diff --git a/Books/Accounting/Oracle/Oracle.txt b/Books/Accounting/Oracle/Oracle.txt deleted file mode 100644 index 86446a3..0000000 --- a/Books/Accounting/Oracle/Oracle.txt +++ /dev/null @@ -1,7718 +0,0 @@ -Overview of Oracle Receivables - -Oracle Receivables provides integrated functionality to perform day-to-day accounts receivable operations. Receivables functionality is managed from these Overview work areas: Billing, Receivables Balances, Revenue Management, and Credit Management. - -All work areas provide access to general ledger account activities, including creating accounting, creating manual journal entries, and reviewing journal entries. -Billing Work Area - -Use the Billing work area to perform tasks related to customer billing activities. Monitor and review incomplete transactions, and approve and research pending adjustments. Use AutoInvoice to import transactions from other systems and generate invoices and credit memos automatically according to your requirements. You can review and correct AutoInvoice import errors and resubmit AutoInvoice. Create new invoices, debit memos, credit memos, and on-account credit memos. Perform related activities to manage your transactions: update, duplicate, credit, adjust, dispute, and preview a transaction. You can also create a new customer record and manage existing customers from the Billing work area. -Receivables Balances Work Area - -Use the Receivables Balances work area to perform tasks related to customer payment activities and the management of accounts receivable balances. Review actionable items, including open receipts and receipt batches, unapplied and on-account receipts and credit memos, receipt remittance batches, and funds transfer errors. Create receipts manually, import receipts using lockbox or spreadsheet, or create automatic receipts. Perform related activities to manage your receipts: apply, unapply, reverse, delete; create invoice adjustments or chargebacks during receipt application; and remit, clear, or risk eliminate factored receipts. You can manage receipt remittances: create, modify, and approve receipt remittance batches. You can also perform tasks related to managing accounts receivables balances, including reconciling receivables to the general ledger and managing receivables accounting period statuses. -Revenue Management Work Area - -Use the Revenue Management work area to perform tasks related to revenue recognition and revenue adjustments. Run the Recognize Revenue program to generate revenue distribution records for invoices and credit memos that use invoicing and revenue scheduling rules. Perform revenue adjustments on one or more transactions, including scheduling and unscheduling revenue; reviewing, adding, and expiring revenue contingencies; and transferring sales credits. You can also manage revenue policies, revenue contingencies, and rules that assign revenue contingencies to transactions automatically. -Credit Management Work Area - -Use the Credit Management work area to create credit profiles for your customers. The credit profile contains key information for establishing the creditworthiness of each of your customers, including credit classifications, credit limits, and credit review cycles. Review and evaluate specific credit authorization requests; run periodic reviews of the creditworthiness of your existing customers; review customer credit scores, and provide recommendations for customer credit. Build scoring models that calculate a credit score based on credit data specific to a customer; maintain detailed information about customer financial and accounting history; and create templates for different types of credit reviews that are automatically assigned to specific credit scenarios. -Customer Information - -From either the Billing or Receivables Balances work area, you have access to manage both customer information and customer account activities, in summary and in detail. You can review customer account information by a single business unit, bill-to site, or across all business units and bill-to sites. For each customer account, you can review transactions and receipts, dispute and adjust transactions, and drill down to current or historical customer account activity. -Simple Configuration to Operate Receivables - -You can create an operational Receivables environment with seven configurations. The remaining configurations are either optional or have predefined values. - -If applicable, your Receivables configuration must include a plan to migrate your customer information from your legacy system. -Receivables Configuration Tasks - -There are seven configuration tasks necessary to create an operational Receivables environment. Before you perform these tasks, you must ensure that you have completed all of the required implementation tasks for Oracle Financials. - -Perform these seven tasks in the order indicated: - - Set Receivables System Options - - Set Receivables system options to define your Receivables environment. During Receivables setup, you specify your accounts, customer and invoice parameters, and how the AutoInvoice and Automatic Receipts programs operate. - - Define Receivables Activities - - Define receivables activities to create default accounting for all activities other than transactions and receipts, including, for example, miscellaneous cash, discounts, late charges, adjustments, and write-offs. - - Define AutoAccounting Rules - - Defining AutoAccounting is a required configuration task for processing customer billing. - - Define AutoAccounting to specify how you want Receivables to determine the default general ledger accounts for transactions. Receivables creates default accounts for revenue, receivable, freight, tax, unearned revenue, unbilled receivables, late charges, and AutoInvoice clearing (suspense) accounts using your AutoAccounting setup. - - Define Receipt Classes and Methods - - Defining receipt classes and receipt methods is a required configuration task for processing customer payments. - - Receipt classes determine the required processing steps for receipts to which you assign receipt methods with this class. These steps include confirmation, remittance, and clearance. Receipt methods specify accounting for receipt entries and applications, determine customer remittance bank account information, and configure automatic receipt processing and fund transfer error handling. - - Define Remit-to Addresses - - Define remit-to addresses to let your customers know where to send payment for open receivables. Receivables uses the addresses to provide default remit-to information when you enter transactions. - - You must provide a remit-to address to complete a transaction. - - If you use AutoInvoice, but you haven't defined a remit-to address for a particular customer site, AutoInvoice rejects all transactions for which it couldn't determine a remit-to address. - - Define Approval Limits - - Define approval limits to determine whether a Receivables user can approve adjustments or credit memo requests. You define approval limits by document type, amount, and currency. - - Define Statement Cycles - - Define statement cycles to control when you create customer statements. You assign statement cycles to customer profiles. - - - Predefined Receivables Data in Subledger Accounting - - Oracle Receivables provides predefined data for Oracle Subledger Accounting that you can use to integrate the two applications. - - When you run Create Receivables Accounting, the program accepts the default accounting information from AutoAccounting without change and uses the predefined data to create accounting in the subledger. Subledger Accounting transfers the final accounting to General Ledger. - Note - - You can optionally define your own subledger accounting rules to overwrite the default accounts from the accounting events. - - Receivables predefines one application in Subledger Accounting named Receivables. Most of the data that Receivables predefines for Subledger Accounting is associated with the Receivables application. - - This table shows the attribute values that Receivables predefines for the Receivables application: - - Field - - - Value - - Application Name - - - Receivables - - Drill-down Procedure - - - AR_DRILLDOWN_PUB_PKG.DRILLDOWN - - Use Security - - - Yes - - Policy Function - - - XLA_SECURITY_POLICY_PKG.MO_POLICY - - Journal Source - - - Receivables - - Third Party Control Account Type - - - Customer - - Subject to Validation - - - No - - Calculate Reporting Currency Amounts - - - Yes - - This table lists the setup information that Receivables predefines for the event entities: - - Application - - - Entity Name - - - Description - - - Gapless Event Processing - - Receivables - - - Adjustments - - - Adjustments - - - No - - Receivables - - - Receipts - - - Receipts - - - No - - Receivables - - - Transactions - - - Transactions - - - No - - Receivables predefines process categories for the Receivables application. These process categories are: - - Adjustments - - Miscellaneous Receipts - - Standard Receipts - - Third Party Merge - - Transactions - - Additional considerations for Receivables predefined data for subledger accounting include: - - Event Classes and Event Class Options - - Sources, Source Assignments, and Accounting Attribute Assignments - - Journal Line Rules - - Account Rules - - Journal Entry Rule Set - - Accounting Method - - Event Classes and Event Class Options - - Receivables predefines event classes for each event entity that belongs to the Receivables application. - - This table lists the event classes that Receivables predefines for the Receivables application: - - Entity - - - Event Class Name - - Adjustments - - - Adjustment - - Receipts - - - Miscellaneous Receipt - - Receipts - - - Receipt - - Transactions - - - Chargeback - - Transactions - - - Credit Memo - - Transactions - - - Debit Memo - - Transactions - - - Invoice - - Accounting event class options define attributes of an event class. Receivables defines the accounting event class options for each predefined event class. - - This table lists the accounting event class options that Receivables predefines for the Receivables application: - - Event Class - - - Process Category - - - Default Journal Category - - - Transaction View - - - Balance Types - - Adjustment - - - Adjustments - - - Adjustment - - - AR_ADJ_INF_V - - - Actual - - Bills Receivable - - - Bills Receivable - - - Bills Receivable - - - AR_TRX_INF_V - - - Actual - - Miscellaneous Receipt - - - Miscellaneous Receipts - - - Misc Receipts - - - AR_CR_INF_V - - - Actual - - Receipt - - - Standard Receipts - - - Receipts - - - AR_CR_INF_V - - - Actual - - Chargeback - - - Transactions - - - Chargebacks - - - AR_TRX_INF_V - - - Actual - - Credit Memo - - - Transactions - - - Credit Memos - - - AR_TRX_INF_V - - - Actual - - Debit Memo - - - Transactions - - - Debit Memos - - - AR_TRX_INF_V - - - Actual - - Invoice - - - Transactions - - - Sales Invoices - - - AR_TRX_INF_V - - - Actual - Sources, Source Assignments, and Accounting Attribute Assignments - - Receivables predefines sources, source assignments, and accounting attribute assignments for Subledger Accounting. - - You can't make changes to predefined sources, source assignments, or accounting attribute assignments. However, you can define your own sources. - - If you choose to define your own journal line rules or accounting methods, you can override the default accounting attribute assignments. - - Use the Manage Subledger Transaction Objects task in Oracle Subledger Accounting to retrieve a list of Receivables sources for an event class: - - Navigate to the Manage Subledger Transaction Objects page. - - Select a Receivables event class: Adjustment, Bills Receivable, Chargeback, Credit Memo, Debit Memo, Invoice, Miscellaneous Receipt, Receipt. - - Click the View Source Assignments button. - - In the View Source Assignments page, review the available sources for the event class. - - Journal Line Rules - - Receivables predefines journal line rules for each predefined event class. Receivables specifies conditions for the use of each journal line rule. - - This table lists the journal line rules that Receivables predefines for the Receivables application: - - Event Class - - - Name - - - Balance Type - - - Side - - Adjustment - - - Adjustment - - - Actual - - - Credit - - Adjustment - - - Adjustment Charge - - - Actual - - - Credit - - Adjustment - - - Adjustment Default Receivable - - - Actual - - - Credit - - Adjustment - - - Adjustment Deferred Tax - - - Actual - - - Credit - - Adjustment - - - Adjustment Charge Nonrecoverable Tax - - - Actual - - - Credit - - Adjustment - - - Adjustment Nonrecoverable Tax - - - Actual - - - Credit - - Adjustment - - - Adjustment Tax - - - Actual - - - Credit - - Adjustment - - - Adjustment Transaction Creation Date - - - Actual - - - N/A - - Adjustment - - - Adjustment Transaction Created By - - - Actual - - - N/A - - Adjustment - - - Adjustment Transaction Last Updated Date - - - Actual - - - N/A - - Adjustment - - - Adjustment Transaction Last Updated By - - - Actual - - - N/A - - Chargeback - - - Chargeback Default Receivable - - - Actual - - - Debit - - Chargeback - - - Chargeback Revenue - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Default Deferred Tax Application - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Default Application - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Default Tax Application - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Refund Application - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Charges - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Default Receivable - - - Actual - - - Debit - - Credit Memo - - - Credit Memo Default Revenue - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Default Tax - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Rounding - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Unbilled Receivable - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Deferred Revenue - - - Actual - - - Credit - - Credit Memo - - - Credit Memo Product Type - - - Actual - - - N/A - - Credit Memo - - - Credit Memo Transaction Creation Date - - - Actual - - - N/A - - Credit Memo - - - Credit Memo Transaction Created By - - - Actual - - - N/A - - Credit Memo - - - Credit Memo Transaction Last Updated Date - - - Actual - - - N/A - - Credit Memo - - - Credit Memo Transaction Last Updated By - - - Actual - - - N/A - - Debit Memo - - - Debit Memo Charges - - - Actual - - - Credit - - Debit Memo - - - Debit Memo Default Receivable - - - Actual - - - Debit - - Debit Memo - - - Debit Memo Freight - - - Actual - - - Credit - - Debit Memo - - - Debit Memo Revenue - - - Actual - - - Credit - - Debit Memo - - - Debit Memo Rounding - - - Actual - - - Credit - - Debit Memo - - - Debit Memo Tax - - - Actual - - - Credit - - Debit Memo - - - Debit Memo Unbilled Receivable - - - Actual - - - Debit - - Debit Memo - - - Debit Memo Deferred Revenue - - - Actual - - - Credit - - Debit Memo - - - Debit Memo Product Type - - - Actual - - - N/A - - Debit Memo - - - Debit Memo Transaction Creation Date - - - Actual - - - N/A - - Debit Memo - - - Debit Memo Transaction Created By - - - Actual - - - N/A - - Debit Memo - - - Debit Memo Transaction Last Updated Date - - - Actual - - - N/A - - Debit Memo - - - Debit Memo Transaction Last Updated By - - - Actual - - - N/A - - Invoice - - - Invoice Charges - - - Actual - - - Credit - - Invoice - - - Invoice Default Receivable - - - Actual - - - Debit - - Invoice - - - Invoice Freight - - - Actual - - - Credit - - Invoice - - - Invoice Revenue - - - Actual - - - Credit - - Invoice - - - Invoice Rounding - - - Actual - - - Credit - - Invoice - - - Invoice Tax - - - Actual - - - Credit - - Invoice - - - Invoice Unbilled Receivable - - - Actual - - - Credit - - Invoice - - - Invoice Deferred Revenue - - - Actual - - - Credit - - Invoice - - - Invoice Product Type - - - Actual - - - N/A - - Invoice - - - Invoice Transaction Creation Date - - - Actual - - - N/A - - Invoice - - - Invoice Transaction Created By - - - Actual - - - N/A - - Invoice - - - Invoice Transaction Last Updated Date - - - Actual - - - N/A - - Invoice - - - Invoice Transaction Last Updated By - - - Actual - - - N/A - - Miscellaneous Receipt - - - Miscellaneous Receipt Bank Charges - - - Actual - - - Credit - - Miscellaneous Receipt - - - Miscellaneous Receipt Cleared Cash - - - Actual - - - Credit - - Miscellaneous Receipt - - - Miscellaneous Receipt Confirmed Cash - - - Actual - - - Credit - - Miscellaneous Receipt - - - Miscellaneous Receipt Short Term Debt - - - Actual - - - Credit - - Miscellaneous Receipt - - - Miscellaneous Receipt Factored Cash - - - Actual - - - Credit - - Miscellaneous Receipt - - - Miscellaneous Receipt Miscellaneous Cash - - - Actual - - - Credit - - Miscellaneous Receipt - - - Miscellaneous Receipt Remitted Cash - - - Actual - - - Credit - - Miscellaneous Receipt - - - Miscellaneous Receipt Tax - - - Actual - - - Credit - - Receipt - - - Receipt On Account Application - - - Actual - - - Credit - - Receipt - - - Receipt Application to Freight - - - Actual - - - Credit - - Receipt - - - Receipt Application to Revenue - - - Actual - - - Credit - - Receipt - - - Receipt Application to Rounding - - - Actual - - - Credit - - Receipt - - - Receipt Application to Suspense Revenue - - - Actual - - - Credit - - Receipt - - - Receipt Application to Tax - - - Actual - - - Credit - - Receipt - - - Receipt Application to Unbilled Revenue - - - Actual - - - Credit - - Receipt - - - Receipt Application to Earned Revenue - - - Actual - - - Credit - - Receipt - - - Receipt Bank Charges - - - Actual - - - Credit - - Receipt - - - Receipt Cleared Cash - - - Actual - - - Credit - - Receipt - - - Receipt Credit Card Chargeback Application - - - Actual - - - Credit - - Receipt - - - Receipt Chargeback Application - - - Actual - - - Credit - - Receipt - - - Receipt Confirmed Cash - - - Actual - - - Credit - - Receipt - - - Receipt Currency Rounding - - - Actual - - - Credit - - Receipt - - - Receipt Short Term Debt - - - Actual - - - Credit - - Receipt - - - Receipt Default Application - - - Actual - - - Credit - - Receipt - - - Receipt Deferred Tax - - - Actual - - - Credit - - Receipt - - - Receipt Earned Discount - - - Actual - - - Credit - - Receipt - - - Receipt Earned Discount on Freight - - - Actual - - - Debit - - Receipt - - - Receipt Earned Discount Nonrecoverable Tax - - - Actual - - - Credit - - Receipt - - - Receipt Earned Discount on Revenue - - - Actual - - - Debit - - Receipt - - - Receipt Earned Discount on Tax - - - Actual - - - Debit - - Receipt - - - Receipt Exchange Gain - - - Actual - - - Credit - - Receipt - - - Receipt Exchange Gain Loss - - - Actual - - - Gain/Loss - - Receipt - - - Receipt Exchange Loss - - - Actual - - - Credit - - Receipt - - - Receipt Factored Cash - - - Actual - - - Credit - - Receipt - - - Receipt Payment Netting Application - - - Actual - - - Credit - - Receipt - - - Receipt Prepayment Application - - - Actual - - - Credit - - Receipt - - - Receipt Refund Application - - - Actual - - - Credit - - Receipt - - - Receipt Remitted Cash - - - Actual - - - Credit - - Receipt - - - Receipt Tax - - - Actual - - - Credit - - Receipt - - - Receipt Unapplied Cash - - - Actual - - - Debit - - Receipt - - - Unapplied Cash - - - Actual - - - Debit - - Receipt - - - Receipt Unapplied for Gain Loss lines - - - Actual - - - Debit - - Receipt - - - Receipt Unearned Discount - - - Actual - - - Credit - - Receipt - - - Receipt Unearned Discount on Freight - - - Actual - - - Debit - - Receipt - - - Receipt Unearned Discount on Nonrecoverable Tax - - - Actual - - - Credit - - Receipt - - - Receipt Unearned Discount on Revenue - - - Actual - - - Debit - - Receipt - - - Receipt Unearned Discount on Tax - - - Actual - - - Debit - - Receipt - - - Receipt Unidentified Cash - - - Actual - - - Credit - - Receipt - - - Receipt Write-Off Application - - - Actual - - - Credit - - Receipt - - - Receipt Reversed Unapplied for Unidentified Receipt - - - Actual - - - Debit - - Receipt - - - Receipt Reversed Unidentified Balance Line - - - Actual - - - Debit - - Receipt - - - Receipt Unapplied for Unidentified Receipt - - - Actual - - - Debit - - Receipt - - - Receipt Unidentified Balance Line - - - Actual - - - Debit - - Receipt - - - Receipt Unapplied Reversed Cash - - - Actual - - - Debit - - Receipt - - - Receipt Bill To Site Receivable Account - - - Actual - - - N/A - - Receipt - - - Receipt Bill To Site Clearing Account - - - Actual - - - N/A - - Receipt - - - Receipt Bill To Site Freight Account - - - Actual - - - N/A - - Receipt - - - Receipt Bill To Site Revenue Account - - - Actual - - - N/A - - Receipt - - - Receipt Bill To Site Tax Account - - - Actual - - - N/A - - Receipt - - - Receipt Bill To Site Unbilled Receivable - - - Actual - - - N/A - - Receipt - - - Receipt Bill To Site Unearned Account - - - Actual - - - N/A - - Receipt - - - Receipt Creation Date - - - Actual - - - N/A - - Receipt - - - Receipt Created By - - - Actual - - - N/A - - Receipt - - - Receipt Last Updated Date - - - Actual - - - N/A - - Receipt - - - Receipt Last Updated By - - - Actual - - - N/A - Account Rules - - Receivables predefines account rules. When Subledger Accounting uses the predefined account rules that Receivables provides, it accepts the default accounting that Receivables generates using AutoAccounting without change. - - You can optionally define your own account rules for an Accounting Flexfield or for a segment. In this case, Subledger Accounting overrides the default accounts that Receivables generates, or individual segment values in the default accounts, when it creates the draft or final subledger accounting. - - The account rules that Receivables predefines for the Receivables application are as follows: - - Credit Memo Distribution GL Account - - Collection Bank Charges Account - - Collection Bank Account Cash Account - - Collection Bank Factoring Charges Account - - Distribution GL Account - - Remit Bank Unapplied Account - - System Gain GL Account - - System Loss GL Account - - Transaction Distribution GL Account - - Transaction Distribution GL Account with reference - - Journal Entry Rule Sets - - Receivables predefines journal entry rule sets that group the predefined journal line rules and account rules within each of the predefined event types. Receivables assigns each predefined journal entry rule set to all event types within an event class. - - This table lists the journal entry rule sets that Receivables predefines for the Receivables application: - - Event Class - - - Journal Entry Rule Set Name - - - Journal Line Rules - - Adjustment - - - Adjustments - Default Accrual - - - Adjustment, Adjustment Charge, Adjustment Charge Nonrecoverable Tax, Adjustment Default Receivable, Adjustment Deferred Tax, Adjustment Nonrecoverable Tax, Adjustment Tax - - Chargeback - - - Chargebacks - Default Accrual - - - Chargeback Default Receivable, Chargeback Revenue - - Credit Memo - - - Credit Memos - Default Accrual - - - Credit Memo Charges, Credit Memo Default Application, Credit Memo Default Deferred Tax Application, Credit Memo Default Receivable, Credit Memo Default Revenue, Credit Memo Default Tax, Credit Memo Default Tax Application, Credit Memo Deferred Revenue, Credit Memo Refund Application, Credit Memo Rounding, Credit Memo Unbilled Receivable - - Debit Memo - - - Debit Memos - Default Accrual - - - Debit Memo Charges, Debit Memo Default Receivable, Debit Memo Deferred Revenue, Debit Memo Freight, Debit Memo Revenue, Debit Memo Rounding, Debit Memo Tax, Debit Memo Unbilled Receivable - - Invoice - - - Invoices - Default Accrual - - - Invoice Charges, Invoice Default Receivable, Invoice Deferred Revenue, Invoice Freight, Invoice Revenue, Invoice Rounding, Invoice Tax, Invoice Unbilled Receivable - - Miscellaneous Receipt - - - Miscellaneous Receipts - - - Miscellaneous Receipt Bank Charges, Miscellaneous Receipt Cleared Cash, Miscellaneous Receipt Confirmed Cash, Miscellaneous Receipt Factored Cash, Miscellaneous Receipt Miscellaneous Cash, Miscellaneous Receipt Remitted Cash, Miscellaneous Receipt Short Term Debt, Miscellaneous Receipt Tax - - Receipt - - - Receipts - Default Accrual - - - Receipt Bank Charges, Receipt Chargeback Application, Receipt Cleared Cash, Receipt Confirmed Cash, Receipt Credit Card Chargeback Application, Receipt Currency Rounding, Receipt Default Application, Receipt Deferred Tax, Receipt Earned Discount, Receipt Earned Discount Nonrecoverable Tax, Receipt Exchange Gain Loss, Receipt Factored Cash, Receipt On Account Application, Receipt Payment Netting Application, Receipt Prepayment Application, Receipt Refund Application, Receipt Remitted Cash, Receipt Short Term Debt, Receipt Tax, Receipt Unapplied Cash, Receipt Unearned Discount, Receipt Unearned Discount on Nonrecoverable Tax, Receipt Unidentified Cash, Receipt Write-Off Application, Unapplied Cash - - Receipt - - - Receipt - Basis Journal Entry Rule Set - - - Receipt Application to Earned Revenue, Receipt Application to Freight, Receipt Application to Revenue, Receipt Application to Rounding, Receipt Application to Suspense Revenue, Receipt Application to Tax, Receipt Application to Unbilled Revenue, Receipt Bank Charges, Receipt Cleared Cash, Receipt Confirmed Cash, Receipt Currency Rounding, Receipt Earned Discount, Receipt Earned Discount on Freight, Receipt Earned Discount on Revenue, Receipt Earned Discount on Tax, Receipt Exchange Gain Loss, Receipt Factored Cash, Receipt On Account Application, Receipt Payment Netting Application, Receipt Prepayment Application, Receipt Refund Application, Receipt Remitted Cash, Receipt Short Term Debt, Receipt Unapplied Cash, Receipt Unapplied for Gain Loss lines, Receipt Unearned Discount, Receipt Unearned Discount on Freight, Receipt Unearned Discount on Revenue, Receipt Unearned Discount on Tax, Receipt Unidentified Cash, Receipt Write-Off Application, Unapplied Cash - Accounting Method - - Receivables provides the predefined Receivables Default Accrual accounting method. - - Subledger Accounting provides the predefined Standard Accrual subledger accounting method that groups the predefined accounting methods for subledger applications. You can optionally create your own subledger accounting method. - - Receivables assigns the predefined Receivables Default Accrual accounting method to the predefined Standard Accrual subledger accounting method. You can assign this subledger accounting method to your ledgers. - - This table lists the assignments for the Receivables Default Accrual accounting method that Receivables predefines for the Receivables application: - - Event Class Assignments - - - Event Type Assignments - - - Create Accounting - - - Journal Entry Rule Set Assignments - - Adjustment - - - All - - - Yes - - - Adjustments - Default Accrual - - Chargeback - - - All - - - Yes - - - Chargebacks - Default Accrual - - Credit Memo - - - All - - - Yes - - - Credit Memos - Default Accrual - - Debit Memo - - - All - - - Yes - - - Debit Memos - Default Accrual - - Invoice - - - All - - - Yes - - - Invoices - Default Accrual - - Miscellaneous Receipt - - - All - - - Yes - - - Miscellaneous Receipts - - Receipt - - - All - - - Yes - - - Receipts - Default Accrual - - You can copy the predefined Receivables Default Accrual accounting method and update the accounting method with new attributes, according to your business requirements. - - The following steps provide general guidelines for copying and updating the predefined Receivables Default Accrual accounting method: - - Create a mapping set for the new attribute values. - - Create an accounting rule based on the mapping set. - - Duplicate the predefined journal entry rule set you want and assign the new accounting rule. - - Duplicate the predefined accounting method assigned to your ledger. - - In the new accounting method, assign an end date to the applicable predefined journal entry rule set assignment and assign the new journal entry rule set. - - Activate the new accounting method. This sets the journal entry rule sets to Active. - - Assign the new accounting method to your ledger. - - Related Topics - - Accounting Attribute Assignments - - -Receivables Accounting Event Model - -An accounting event is a business event in Receivables that has an accounting impact. For example, creating or applying a receipt is an accounting event. - -Not all business events have an accounting impact, but you can decide which events you want to monitor as accounting events. You can modify the accounting setup to create accounting for some events and not for others. - -Subledger Accounting categorizes accounting events as event types. Event types are grouped into event classes that in turn are grouped into event entities. The overall grouping of these components is called an event model. The Receivables accounting event model is predefined for you, and includes each Receivables event class and its life cycle. This accounting event model forms the basis for creating subledger accounting. - -As the foundation of the event model, Receivables contains predefined event entities. An event entity enables Subledger Accounting to handle the accounting for similar business events in a consistent manner. The event entities for Receivables are: - - Transactions - - Receipts - - Adjustments - - Bills Receivable - -Each event entity is associated with one or more event classes. An event class represents a category of business events for a particular activity or document. Event classes group similar event types and enable the sharing of accounting definitions. - -An event type represents a business operation that you can perform for an event class. An accounting event has both an event class and an event type that affect how the Create Receivables Accounting process determines the subledger accounting for it. Event types provide the lowest level of detail for storing accounting definitions. -Transactions Event Entity - -This table describes the predefined event classes and event types for the Transactions event entity. - -Event Class - - -Event Types - -Chargeback - - -Chargeback Created - -Credit Memo - - -Credit Memo Created - -Credit Memo Updated - -Debit Memo - - -Debit Memo Created - -Debit Memo Updated - -Invoice - - -Invoice Created - -Invoice Updated -Receipts Event Entity - -This table describes the predefined event classes and event types for the Receipts event entity. - -Event Class - - -Event Types - -Miscellaneous Receipt - - -Miscellaneous Receipt Created - -Miscellaneous Receipt Reverse - -Miscellaneous Receipt Updated - -Receipt - - -Receipt Created - -Receipt Reverse - -Receipt Updated -Adjustments Event Entity - -This table describes the predefined event classes and event types for the Adjustments event entity. - -Event Class - - -Event Types - -Adjustment - - -Adjustment Created -Bills Receivable Event Entity - -This table describes the predefined event classes and event types for the Bills Receivable event entity. - -Event Class - - -Event Types - -Bills Receivable - - -Bills Receivable Created - -Bills Receivable Updated - - - Reference Data Sets in Receivables - - Use reference data sets to share the values in your Receivables reference data objects either across business units or within one business unit only. - - Receivables includes a predefined Common reference data set. Use the Common set to share reference data that you want to make available to all business units. For example, you can make the transaction types and transaction sources created in each business unit available to all other business units. - Create business unit-specific data sets for reference data for use by one business unit only. For example, each business unit may want to create and maintain its own salespersons and memo lines. - Note - You must create business unit-specific reference data sets for Customer Sites and Customer Account Relationships. All other reference data objects can use the predefined Common set. - This tables lists the reference data objects in Receivables that are assigned a reference data set. - - Receivables Reference Data Objects - Reference Data Object Method of Sharing - Transaction Types Common Set or BU-Specific - Transaction Sources Common Set or BU-Specific - Payment Terms Common Set or BU-Specific - Remit-to Addresses Common Set or BU-Specific - Memo Lines Common Set or BU-Specific - Salespersons Common Set or BU-Specific - Customer Sites BU-Specific Only - Customer Account Relationships BU-Specific Only - AutoCash Rule Sets Common Set or BU-Specific - AutoMatch Rule Sets Common Set or BU-Specific - Application Exception Rule Sets Common Set or BU-Specific - Revenue Scheduling Rules Common Set or BU-Specific - Revenue Contingencies Common Set or BU-Specific -Lockboxes Common Set or BU-Specific - -ranslated Display of Transaction Type, Transaction Source, and Receipt Method - -You can display the translated names of your transaction types, transaction sources, and receipt methods in your local language on important Receivables pages and windows. - -In certain countries it is a requirement to display the names of these objects in the local language. - -Use these three lookup types to create lookup codes with the translation in the local language for each corresponding object: - - Transaction Type: ORA_AR_TRANSLATED_TRX_TYPE lookup type - Transaction Source: ORA_AR_TRANSLATED_TRX_SOURCE lookup type - Receipt Method: ORA_AR_TRANSLATED_RCPT_METHOD lookup type - -Use these values for each lookup code: - - Lookup Code: Numerical identifier of the object. - Reference Data Set: Common Set or any custom set. - Meaning: Translated name of the object in the local language. - Description: Description of the translated object. - -Before you enter lookup codes with translated names under one of these lookup types, complete these prerequisites: - - Collect the numerical identifiers for the transaction types, transaction sources, and receipt methods that you want to display in translation. - Create a list of translated names in advance of entering the corresponding lookup codes. - Log in under the language that you intend to enter lookup codes for. - -To find the numerical identifiers for transaction types and transaction sources: - - Navigate to the Setup and Maintenance work area. - Navigate to the Manage Transaction Types page or Manage Transaction Sources page. - Click the Search button to display all transaction types or transaction sources. - Select View > Columns > Transaction Type Identifier or Transaction Source Identifier to display this column. - Make note of the identifiers for the transaction types and transaction sources that you want to translate. - -To find the numerical identifiers for receipt methods: - - Navigate to the Setup and Maintenance work area. - Navigate to the Manage Receipt Class and Methods page. - Click the Search button to display all receipt classes. - Open the first receipt class that you want in the Edit Receipt Class and Methods page. - Select the first receipt method that you want. - Select View > Columns > Receipt Method Identifier to display this column. - Make note of the receipt method identifier. - Repeat these steps for all receipt methods in all receipt classes that you want. - -When you have completed translation of the objects you need and collected the corresponding identifiers, use the Manage Receivables Lookups task to enter the lookup codes under each lookup type. - -In this example, you want to display the transaction type Invoice_1 in French. The translated name of this transaction type is Facture_1. You confirm that the transaction type identifier for Invoice_1 is 001. - -To create the lookup code for this translated transaction type: - - Log in under the French language. - Navigate to the Setup and Maintenance work area. - Search for the setup task Manage Receivables Lookups. - In the Manage Receivables Lookups page, search for the ORA_AR_TRANSLATED_TRX_TYPE lookup type. - Enter a new row for the lookup code. - In the Lookup Code field, enter 001. - In the Reference Data Set field, enter Common Set. - If not selected, enable the Enabled option. - In the Start Date field, enter the date from which to display the transaction type in French. - In the Meaning field, enter Facture_1. - Note - There is no validation on the text you enter in lookup code fields. You must ensure that the translated name of the object that you enter in the Meaning field matches the original language name exactly. - In the Description field, enter French translation of Invoice_1. - Save your work. - - The French translation of this transaction type will appear on Receivables pages and windows. - -Add as many translated name lookup codes that you need for both new and existing transaction sources, transaction types, and receipt methods. You may want to create a procedure for regular updates to all objects that require translated display. - -You can create lookup codes under the ORA_AR_TRANSLATED lookup types in all the languages your system supports. You must log in under each language separately and update the translated names and descriptions for each lookup code in that language. -Ledger and Legal Entity Document Sequencing in Receivables - -You can set up your primary ledger to use document sequencing in Receivables at the ledger level or legal entity level. - -If you enable document sequencing at the legal entity level, then if you have more than one legal entity assigned to the same ledger, you can assign separate document sequences to Receivables transactions, adjustments, and receipts belonging to each legal entity. - -Legal entity level document sequencing helps you conform to local and governmental authority requirements, while still being able to organize multiple legal entities under the same primary ledger. - -Review these guidelines for document sequencing in Receivables: - - Document Sequencing in Receivables - - Receivables Document Categories - - Chronological Document Sequencing - - Chronological Document Sequencing and Manual Transactions - - Chronological Document Sequencing and AutoInvoice - -Document Sequencing in Receivables - -To use document sequencing in Receivables, in the Sequencing section of the Specify Options page of your primary ledger, perform one or both of these tasks: - - Set the Sequencing By option to Ledger or Legal Entity. - - Optionally enable the Enforce Document Sequencing option for Receivables. - -If you perform step 1 and step 2, then document sequencing is always used in the ledger or all legal entities assigned to the ledger. You must assign a document sequence to every document category generated by Receivables events. - -If you perform step 1 but not step 2, then you can optionally assign document sequences to the Receivables document categories that meet your business requirements. For example, you can use sequential numbering for receipt processing only and not for transactions. -Receivables Document Categories - -If the primary ledger is enabled for document sequencing at the legal entity level (Sequencing By option set to Legal Entity), then Receivables creates a document category for each of these Receivables events in all legal entities assigned to the ledger: - - Invoice transaction type - - Credit memo transaction type - - Debit memo transaction type - - Bills receivable transaction type - - Standard receipt - - Adjustment - -To assign a document sequence to a document category: - - Navigate to the Manage Document Sequence Categories page. - - Search for the document categories that you want. - - You can use the Category Code field to limit your search by entering, for example, Invoice or Receipt. - - Review the search results to find the document category that you want - - If necessary, update the category name according to your requirements. - - Save your changes. - - Navigate to the Manage Receivables Document Sequences page. - - Search for the document sequence name that you want, or create a new document sequence. - - In the Search Results section, update or complete the document sequence setup according to your requirements. - - In the Assignments section, select the document category to assign to this document sequence. - - Save your changes. - -For each Receivables event, the document sequence number is generated when the following related action takes place: - - Transactions: At the time of either saving or completing the transaction, depending on the setting of the Receivables system option Document Number Generation Level for the applicable business units. - - Adjustments: When the adjustment is submitted. - - Receipts: When the receipt is submitted. - - Bills Receivable: When the bill receivable is completed. - -These rules apply to Receivables document sequencing: - - Document sequence date is the accounting date (not, for example, the transaction date or receipt date). - Note - - If a bill receivable requires drawee acceptance, then Receivables uses the transaction date instead of the accounting date to assign the document number. This is because a bills receivable document number is generated when the bill is completed, not accepted. - - You can't change the legal entity on any transaction that has a document sequence number. - - By default, you can't delete any transaction or receipt that has a document sequence number. If the Receivables system option Allow payment deletion is enabled, then you can delete receipts and bills receivable transactions only for the applicable business units. - -Chronological Document Sequencing - -Document sequencing uses the accounting date as the document sequence date. To help ensure reliable document sequencing for your transactions, you can enforce the sequencing of document numbers in chronological order. -Note - -Chronological document sequencing applies to invoice, credit memo and debit memo transactions only, either entered manually or imported using AutoInvoice. It doesn't apply to receipts, adjustments, or bills receivable. - -To enable chronological document sequencing on Receivables transactions, in the Sequencing section of the Specify Options page of your primary ledger perform these three tasks: - - Set the Sequencing By option to Ledger or Legal Entity. - - Enable the Enforce Document Sequencing option for Receivables. - - Enable the Enforce Chronological Order on Document Date option. - -You must perform all three steps for chronological document sequencing. Enabling the Enforce Chronological Order on Document Date option enforces the correlation between the document sequence accounting date and the transaction accounting date. This prevents Receivables from creating a transaction with an accounting date earlier than the accounting date of the last sequenced document within the same document sequence. - -For example, you create an invoice with an accounting date of 01-Jan-2014. This invoice is assigned the document number 100. The next invoice you create is assigned the document number 101 provided the accounting date of the invoice is 01-Jan-2014 or later. If the accounting date is earlier than 01-Jan-2014, then Receivables doesn't create the transaction. -Chronological Document Sequencing and Manual Transactions - -If you're using document sequencing and the primary ledger option Enforce Chronological Order on Document Date is enabled, then you can enforce chronological document sequencing on transactions created manually in your transaction type setup. - -To enforce chronological document sequencing on transactions created manually: - - Navigate to the Create or Edit Transaction Type page. - - Enable the No future dates with chronological document sequencing option. - - Complete the transaction type setup according to your requirements. - - Assign this transaction type to the applicable transactions. - -When you use this transaction type with transactions you create manually, then Receivables won't create the transaction if both the transaction and accounting dates are in the future. -Chronological Document Sequencing and AutoInvoice - -If you're using document sequencing and the primary ledger option Enforce Chronological Order on Document Date is enabled, then for AutoInvoice you must set the Receivables system option Accounting Dates Out of Order. Setting this option determines how AutoInvoice processes transactions when the accounting date is out of order within the document sequence. - -In the Receivables System Options page: Billing and Revenue tab: AutoInvoice section, set the Accounting Dates Out of Order field to Reject or Adjust: - - Reject: If the transaction accounting date is out of order within the document sequence, reject the transaction and transfer it to the error table. - - Adjust: If the transaction accounting date is out of order within the document sequence, adjust the accounting date to conform to the document sequence accounting date. - -Related Topics - - What legal entity is assigned to a transaction? - Accounting Date Derivation During AutoInvoice Import - Document Sequences - Document Sequence Categories - -How AutoInvoice Processes Transactions with Document Sequencing - -If the primary ledger is enabled for document sequencing, AutoInvoice validates and assigns document numbers to transactions according to the requirements of the ledger settings. -Note - -If an imported transaction line already has a document number, then AutoInvoice accepts this document number without further validation. -Settings That Affect AutoInvoice Processing with Document Sequencing - -If the primary ledger option Enforce Chronological Order on Document Date is enabled, then you must set the Receivables system option Accounting Dates Out of Order. Setting this option determines how AutoInvoice processes transactions when the accounting date is out of order within the document sequence. - -Before you run the Import AutoInvoice program, you must also create and assign document sequences to the document categories of the transaction types that you plan to assign to imported transactions. -How Transactions with Document Sequencing Are Processed - -For the most complete example, if the primary ledger is set for document sequencing at the legal entity level, AutoInvoice processes transactions in this way: - - Validate and group transaction lines into transactions. - - Derive the legal entity for each transaction and assign the legal entity to the transaction. - - If the transaction doesn't have an accounting date, then derive the accounting date. - - If the primary ledger option Enforce Chronological Order on Document Date isn't enabled: - - Retrieve the document sequence for the document category of each transaction type assigned to transactions. - - Assign the document number to the transaction according to the combination of legal entity, transaction type, document sequence, and accounting date. - - If the primary ledger option Enforce Chronological Order on Document Date is enabled: - - Order transactions by legal entity and then by transaction type. - - Retrieve the document sequence for the document category of each transaction type assigned to transactions. - - Order transactions by document sequence and then by accounting date in ascending chronological order. - - Compare the document sequence accounting date to the accounting date of the transaction. - - If the transaction accounting date is equal to or later than the document sequence accounting date, assign the document number to the transaction according to the combination of legal entity, transaction type, document sequence, and accounting date. - - If the transaction accounting date is earlier than the document sequence accounting date, retrieve the value of the Receivables system option Accounting Dates Out of Order. - - If the Accounting Dates Out of Order option is set to: - - Reject: Reject the transaction and transfer the transaction to the error table. - - Adjust: Update the transaction accounting date with the document sequence accounting date. - Note - - If the document sequence accounting date is in a closed period, then adjust this date to the first open accounting period. - - Assign the document number to the transaction according to the combination of legal entity, transaction type, document sequence, and accounting date. - -Can I share document sequences across ledgers or business units? - -If document sequencing is enabled for a ledger, it isn't recommended to share the same document sequence across ledgers or business units. - -Document sequencing uses the accounting date as the document sequence date. Because ledgers can have different accounting periods open, each ledger could derive a different accounting date for the same document sequence. - -Because a document category is created for each transaction type you create, best practice is to create and maintain a separate set of transaction types in each business unit. -Receivables Activity Types - -Receivables activity types provide default accounting information for all activities in Receivables other than transactions and receipts. -Using Receivables Activity Types - -Adjustments - -You use activities of this type when creating adjustments. You must create at least one activity of this type. - -There are also three related activities that are reserved for internal use only: - - Chargeback Adjustment - - Adjustment Reversal - - Chargeback Reversal - -You must define general ledger accounts for the Chargeback Adjustment activity before creating chargebacks. - -When you reverse a receipt, if an adjustment or chargeback exists, Receivables automatically generates off-setting adjustments using the Adjustment Reversal and Chargeback Reversal activities. - -Bank Error - -You use activities of this type when entering miscellaneous receipts. You can use this type of activity to help reconcile bank statements using Cash Management. - -Bills Receivable Funds Recovery - -You use activities of this type when you need to unapply a receipt from a bill receivable. Because you can't reverse the receipt in Cash Management, you use this activity to create a negative miscellaneous receipt and apply it to Bills Receivable Funds Recovery. - -Claim Investigation - -You use activities of this type when you create a claim investigation application against a receipt for a transaction or non-transaction underpayment or overpayment. You must define a general ledger account for claim investigation receipts that use the Claim Investigation activity. - -Credit Card Chargeback - -You use activities of this type when recording credit card chargebacks. You must define a general ledger clearing account for the Credit Card Chargeback activity that Receivables provides before recording credit card chargebacks. - -Receivables credits the clearing account when you apply a credit card chargeback, and then debits the account after generating the negative miscellaneous receipt. If you later determine the chargeback is invalid, then Receivables debits the clearing account when you unapply the credit card chargeback, and then credits the account after reversing the negative miscellaneous receipt. Only one Credit Card Chargeback activity within a business unit can be active at a time. - -Credit Card Refund - -You use activities of this type when processing refunds to customer credit card accounts. This activity includes information about the general ledger clearing account to use to clear credit card refunds. You must create at least one activity of this type to process credit card refunds. - -Earned Discount - -You use activities of this type to adjust a transaction if payment is received within the discount period, as determined by the payment terms on the transaction. - -Late Charges - -You use activities of this type to define a late charge policy. You must define a Late Charges activity if you record late charges as adjustments against overdue transactions. If you assess penalties in addition to late charges, then define a separate Late Charges activity for penalties. - -Miscellaneous Cash - -You use activities of this type when entering miscellaneous receipts. The Miscellaneous Cash activity uses a distribution set to automatically distribute miscellaneous cash across various accounts. You must create at least one activity of this type. - -If the Tax Rate Code Source for this activity is Activity, then you must define asset and liability tax rate codes to account for tax on miscellaneous receipts and miscellaneous payments. - -Payments - -You use activities of this type when applying a receipt against other open receipts. You must define a general ledger clearing account to use when offsetting one receipt against another receipt. Only one Payments activity within a business unit can be active at a time. - -Prepayments - -You use activities of this type when creating prepayment receipts. You must define a general ledger account for prepayment receipts that use the Prepayments activity. Only one Prepayments activity within a business unit can be active at a time. - -Receipt Write-off - -You use activities of this type when writing off receipts. You must define the general ledger account to credit when you write off an unapplied amount or an underpayment on a receipt. - -Refund - -You use activities of this type to process automated non-credit card refunds. You must define the general ledger clearing account to use to clear refunds. You must create at least one activity of this type. Only one Refund activity within a business unit can be active at a time. - -Short Term Debt - -You use activities of this type to record advances made to creditors by the bank when bills receivable are factored with recourse. You select a short-term debt receivables activity when you create or update remittance banks to use with bills receivable remittance receipt methods. - -Unearned Discount - -You use activities of this type to adjust a transaction if payment is received after the discount period, as determined by the payment terms on the transaction. - -Related Topics - - PCI DSS Credit Card Processing Requirements - -GL Account Source - -When you define a Receivables activity, you use the GL Account Source to indicate how Receivables derives the accounts for the expense or revenue generated by the activity. -GL Account Source Options - -Activity GL Account - -Allocate the expense or revenue to the general ledger account that you specify for the Receivables activity. If the activity type is Bank Error, Late Charges, Prepayments, or Receipt Write-off, you can only select this option. - -Distribution Set - -Allocate the expense or revenue to the distribution set that you specify. This value is only used with Miscellaneous Cash activities. - -Revenue on Invoice - -Allocate the expense or revenue net of any tax to the revenue accounts specified on the invoice. If Tax Rate Code Source is set to None, allocate the gross amount to these accounts. You can only choose this option if the activity type is Adjustment, Earned Discount, or Unearned Discount. - -If the revenue on the invoice is unearned, then AutoAccounting derives the anticipated revenue accounting distribution accounts and amounts. Receivables then uses this information to allocate the adjustment or discount amount to these derived revenue accounts. - -Tax Rate Code on Invoice - -Allocate the net portion using the expense/revenue accounts specified by the tax rate code on the invoice. If Tax Rate Code Source is set to None, allocate the gross amount to these accounts. You can only choose this option if the activity type is Adjustment, Earned Discount, or Unearned Discount. - -ax Rate Code Source - -When you define a receivables activity, you use the Tax Rate Code Source to indicate how Receivables allocates tax amounts for the activity. -Tax Rate Code Source Options - -None - -Allocate the entire tax amount according to the GL Account Source you specified. You use this option if you don't want to account for tax separately. - -Activity - -Allocate the tax amount to the asset or liability tax accounts specified by the activity. - -Invoice - -Distribute the tax amount to the tax accounts specified by the tax rate code on the invoice. You can't choose this option if the activity type is Miscellaneous Cash or Late Charges. - -Enable the Recoverable option to indicate that the tax for this activity is recoverable. Don't enable this option if tax is nonrecoverable. -Note - -In the event of a tax adjustment to an invoice with zero amount tax distributions, you can’t set the adjustment activity Tax Rate Code Source to Invoice. - -Examples of Using Each AutoCash Rule - -You create an AutoCash rule set from a combination of the six AutoCash rules. You enter the rules in the order in which you want to use them to apply a receipt to an open debit item. - -The AutoCash rules are: - - Match Payment with Invoice - - Clear the Account - - Clear Past Due Invoices - - Clear Past Due Invoices Grouped by Payment Terms - - Apply to the Oldest Invoice First - - Combo Rule - -When you apply a receipt, Receivables uses the first rule in the AutoCash rule set. If the first rule in the set doesn't find a match, Receivables uses the next rule in the sequence, and so on until it can apply the receipt. - -These examples illustrate how each rule applies receipts to transactions and updates customer balances. -Match Payment with Invoice - -The Match Payment with Invoice rule applies a receipt to a single invoice, debit memo, or chargeback only if the receipt amount exactly matches the amount of the debit item. If more than one debit item has an open amount that matches the receipt amount, Receivables applies the receipt to the item with the earliest due date. If more than one debit item has the same amount and due date, Receivables applies the receipt to the item with the lowest payment schedule ID number (internal identifier). - -Receivables uses the values specified for the AutoCash rule set open balance calculation and the number of discount grace days assigned to the customer profile to determine the remaining amount due on the debit item. The rule ignores the value of the Apply partial receipts option. - -For example, consider the following scenario: - -Item/Option - - -Value - -Discounts - - -Earned Only - -Late Charges - - -No - -Receipt - - -$1800 - -Receipt Date - - -14-JAN-03 - -Discount Grace Days - - -5 - -The invoice details are: - -Invoice Number - - -Invoice Amount - - -Discount - - -Payment Terms - - -Invoice Date - - -Due Date - -600 - - -$2000 - - -$20 - - -10% 10/Net 30 - - -01-JAN-03 - - -30-JAN-03 - -The payment terms assigned to this invoice include a 10% discount if the invoice is paid within 10 days, and the open balance calculation on the AutoCash rule set allows for earned discounts. Even though the invoice is paid after the 10 day period, Receivables adds the 5 discount grace days, making this invoice eligible for a 10% discount. - -The remaining amount due on the invoice on January 14 is $1800. Since the remaining amount due matches the receipt amount, the receipt is applied. If there had been no discount grace days, Receivables couldn't apply the receipt because the remaining amount of the invoice would be $2000. -Clear the Account - -The Clear the Account rule applies a receipt only if the receipt amount exactly matches the customer open balance. Receivables includes all open debit and credit items when calculating the customer open balance. Open credit items include credit memos, on-account credits, and on-account and unapplied cash. The rule ignores the value of the Apply partial receipts option. - -The Clear the Account rule uses the following equation to calculate the open balance for each debit item: - -Open Balance = Original Balance + Late Charges - Discount - -Receivables then adds the balance for each debit item to determine the total account balance. The rule uses this equation for each invoice, chargeback, debit memo, credit memo, and application of an unapplied or on-account receipt to a debit item. - -Receivables uses the values specified for the AutoCash rule set open balance calculation and the number of discount grace days assigned to the customer profile to determine the customer open balance. - -For example, consider the following scenario: - -Item/Option - - -Value - -Late Charges - - -Yes - -Items in Dispute - - -Yes - -Receipt - - -$590 - -This table shows the customer activity: - -Past Due Debits/Credits - - -Invoice Amount - - -Late Charges - - -In Dispute - -Invoice 45 - - -$500 - - -$40 - - -Yes - -Invoice 46 - - -$300 - - -$0 - - -N/A - -Credit Memo 100 - - -$50 - - -N/A - - -N/A - -Unapplied Cash - - -$200 - - -N/A - - -N/A - -Since the Late charges and Items in dispute options are enabled, the open balance for this customer is $590. Because the receipt amount matches the customer open balance, the receipt can be applied. - -If the receipt amount didn't exactly match the customer account balance, Receivables would use the next rule in the set to attempt to apply the receipt. -Clear Past Due Invoices - -The Clear Past Due Invoices rule applies a receipt only if the receipt amount exactly matches the customer past due account balance. Receivables includes all open past due debit and credit items when calculating the past due account balance. The rule ignores the value of the Apply partial receipts option. - -The Clear Past Due Invoices rule only applies the receipt to items that are currently past due. A debit item is considered past due if the invoice due date is earlier than or equal to the date of the receipt currently being applied. Receivables uses the receipt date for unapplied and on-account cash, and the credit memo date for credit memos and on-account credits, to determine whether to include these amounts as part of the customer past due account balance. - -For example, if you apply a receipt with a receipt date of 10-JAN-03, all unapplied and on-account cash, and all credit memos and on-account credits, that have a transaction date (receipt date or credit memo date) equal to or earlier than 10-JAN-03 are included when calculating the customer past due account balance. - -Receivables uses the values specified for the AutoCash rule set open balance calculation and the number of discount grace days assigned to the customer profile to determine the customer past due account balance. The settings of the Late charges and Items in dispute options may prevent a past due debit item from being closed, even if the receipt amount matches the customer past due account balance. - -For example, consider the following scenario: - -Item/Option - - -Value - -Late Charges - - -No - -Items in Dispute - - -No - -Receipt - - -$420 - -This table shows the customer activity: - -Past Due Debits/Credits - - -Invoice Amount - - -Late Charges - - -In Dispute - -Invoice 209 - - -$300 - - -$0 - - -N/A - -Invoice 89 - - -$250 - - -$0 - - -Yes - -Invoice 7 - - -$120 - - -$30 - - -N/A - -Since the Late charges and Items in dispute options aren't enabled, Receivables doesn't include Invoice 89 ($250) or late charges for Invoice 7 ($30) in the calculation of the customer past due account balance. Therefore, the past due account balance for this customer is $420. Because the receipt amount matches the customer past due account balance, the receipt is applied. However, Invoice 7 and Invoice 89 are still open, past due debit items. -Clear Past Due Invoices Grouped by Payment Terms - -The Clear Past Due Invoices Grouped by Payment Terms rule applies a receipt only if the receipt amount exactly matches the sum of the customer credit memos and past due invoices. This rule is similar to the Clear Past Due Invoices rule, but it first groups past due invoices by payment terms and uses the oldest transaction due date within the group as the group due date. - -A debit item is considered past due if the invoice due date is earlier than the date of the receipt currently being applied. For credit memos, Receivables uses the credit memo date to determine whether to include these amounts in the customer account balance. - -For example, if you apply a receipt with a receipt date of 10-JAN-03, credit memos that have a transaction date equal to or earlier than 10-JAN-03 are included. Credit memos don't have payment terms, and are therefore included in each group. - -Receivables uses the values specified for the AutoCash rule set open balance calculation and the number of discount grace days assigned to the customer profile to determine the sum of the customer credit memos and past due invoices. The settings of the Late charges and Items in dispute options may prevent a past due debit item from being closed, even if the receipt amount matches the sum of the customer credit memos and past due invoices. - -For example, consider a $900 receipt applied on 25-JUN. This table shows the related customer activity: - -Transaction Number - - -Payment Terms - - -Due Date - - -Invoice Amount - -1 - - -A - - -25-MAY - - -$500 - -2 - - -A - - -25-JUN - - -$200 - -3 - - -A - - -25-JUN - - -$200 - -4 - - -B - - -20-JUN - - -$900 - -5 - - -C - - -25-MAY - - -$905 - -Receivables groups these transactions as follows: - - Group 1: Transactions 1,2,3 Amount: $900 Group Due Date: 25-MAY - - Group 2: Transaction 4 Amount: $900 Group Due Date: 20-JUN - - Group 3: Transaction 5 Amount: $905 Group Due Date: 25-MAY - -Since both Groups 1 and 2 match the receipt amount, Receivables selects the group with the oldest due date (Group 1) and applies the receipt to the transactions in this group. -Apply to the Oldest Invoice First - -The Apply to the Oldest Invoice First rule applies receipts to customer debit and credit items, starting with the item with the oldest due date. Receivables uses the values specified for the AutoCash rule set open balance calculation to determine the oldest outstanding item for the customer. - -For example, consider the following scenario: - -Item/Option - - -Value - -Apply Partial Receipts - - -Yes - -Late Charges - - -No - -Receipt - - -$200 - -This table shows the customer activity: - -Invoice Number - - -Invoice Amount - - -Late Charges - - -Due Date - -801 - - -$0 - - -$35 - - -01-DEC-02 - -707 - - -$450 - - -$0 - - -01-JAN-03 - -If you compare only the due dates for the two invoices, invoice 801 is the oldest invoice. However, Receivables also checks the open balance calculation and automatic matching rule options for the AutoCash rule set. Since the Late charges option isn't enabled, Receivables ignores invoice 801 (because the remaining amount only consists of late charges) and applies the $200 receipt to invoice 707. - -If the Apply partial receipts option weren't enabled, Receivables couldn't apply this receipt and would look at the next rule in the sequence. -Combo Rule - -The Combo Rule applies a receipt to two invoices, debit memos, or chargebacks only if the receipt amount exactly matches the amount of the two debit items. If more than one combination of two debit items has a total open amount that matches the receipt amount, Receivables applies the receipt to the combination of items with the earliest due date. If more than one combination of two debit items has the same amount and due date, Receivables applies the receipt to the combination of items with the lowest payment schedule ID number (internal identifier). - -Receivables uses the values specified for the AutoCash rule set open balance calculation and the number of discount grace days assigned to the customer profile to determine the remaining amount due on the debit items. The rule ignores the value of the Apply partial receipts option. - -For example, a lockbox contains these five open invoices: - -Invoice Number - - -Invoice Amount - -101 - - -$50.00 - -201 - - -$200.00 - -301 - - -$175.00 - -401 - - -$372.00 - -501 - - -$127.00 - -The lockbox contains a receipt for $572. Using the Combo Rule as the first AutoCash rule, the receipt is applied to invoices 201 and 401. -Example of Using an AutoCash Rule Set - -This example demonstrates how to create and use an AutoCash rule set. - -You create an AutoCash rule set to manage the payments received from Global Freight Carriers. You have an earned discount arrangement with this company but with no payment or discount grace days, and you don't add late charges for payments received beyond the due date. -Create the AutoCash Rule Set - -Create the AutoCash Rule set using these values: - -Field - - -Value - -Open Balance Calculation: Discounts - - -Earned Only - -Open Balance Calculation: Late Charges - - -No - -Open Balance Calculation: Items in Dispute - - -No - -Automatic Matching Rules: Apply Partial Receipts - - -Yes - -Automatic Matching Rules: Remaining Remittance Amount - - -On Account - -AutoCash Rule - - -1. Match Payment with Invoice - -AutoCash Rule - - -2. Clear The Account - -AutoCash Rule - - -3. Apply To The Oldest Invoice First -Process a Payment Using the AutoCash Rule Set - -Global Freight Carriers has the following outstanding invoices, none of which are in dispute: - -Number - - -Amount Remaining - - -Due Date - - -Discount Date - - -Discount Amount - -123 - - -$200 - - -11-DEC-02 - - -01-DEC-02 - - -$20 - -124 - - -$300 - - -08-DEC-02 - - -30-NOV-02 - - -$30 - -125 - - -$150 - - -13-DEC-02 - - -28-NOV-02 - - -$15 - -A payment was entered for Global Freight Carriers for $600 with a deposit date of 10-DEC-02. - -Using the AutoCash rule set that you created, Receivables processes the payment in this way: - - AutoCash rule 1, Match Payment with Invoice, fails because none of the customer open items have a remaining amount due that is equal to the amount of the receipt ($600). - - Receivables looks at AutoCash rule 2. - - AutoCash rule 2, Clear the Account, fails because the customer calculated account balance ($650) isn't the same as the amount of the receipt. - - Receivables looks at AutoCash rule 3. - - Receivables uses AutoCash rule 3, Apply to the Oldest Invoice First. - - Receivables first applies the receipt to the oldest invoice, Invoice 124 for $300, and performs these calculations: - - Since the discount date of 30-NOV-02 has passed and the Discount field is set to Earned Only, the $30 discount is no longer available. The amount due remaining for this invoice is now equal to either $0 or the amount of any late charges previously assessed for this item. - - Because the Late Charges option is set to No, late charges aren't included in the customer open balance calculation. The remaining receipt amount is now $300.00. - - Receivables now applies $200 to the next oldest invoice, Invoice 123, and performs these calculations: - - As with Invoice 124, the discount date for Invoice 123 has passed and the $20 discount is no longer available. The amount due remaining for this invoice is now equal to either $0 or the amount of any late charges previously assessed for this item. - - Because the Late Charges option is set to No, late charges aren't included in the customer open balance calculation. The remaining receipt amount is now $100. - - Receivables applies the remaining $100 to Invoice 125 ($150) as a partial receipt because the Apply partial receipts option is set to Yes. - Note - - If the Apply partial receipts option were set to No, Receivables couldn't apply the remaining amount to Invoice 125. Instead, it would be placed on account, because the Remaining Remittance Amount option is set to On Account. - - As with the other invoices, the discount date for Invoice 125 has passed and the $15 discount is no longer available. - - If there are no late charges for this invoice, the amount due remaining is reduced from $150 to $50, and remains open. - -How is an AutoCash rule set selected and used? - -During payment processing, Receivables uses the Match Receipts By rules to attempt to match receipts to open transactions, and either apply receipts automatically or present recommendations for receipt application. - -If transactions can't be matched or transaction information isn't available, Receivables uses the AutoCash rule set, defined for the customer profile either at the customer site or customer account level, to apply the receipt. - -If the customer doesn't have an AutoCash rule set assigned to a profile, Receivables uses the AutoCash rule set assigned to system options and the number of discount grace days defined in the customer site or customer account profile to apply the receipt. - -If none of the rules in the AutoCash rule set apply, Receivables places the remaining amount either unapplied or on-account, depending on the setting of the Remaining Remittance Amount option on the AutoCash rule set. - -During lockbox processing, if you set up a Match Payment with Invoice AutoCash rule and a Receipt Application Exception rule with tolerance limits for automatic adjustments, lockbox will look for and apply an underpaid receipt plus tolerance limit amount to an applicable transaction. -Why can't the AutoCash rule apply a receipt to a related customer account? - -You can only use the Apply to the Oldest Invoice First rule to pay for transactions of a related customer account. - -The rule applies the receipt to the transaction with the oldest due date selected from all transactions belonging to all sites of the related customer account. -How can I use partial receipts? - -Use the AutoCash rule set Apply partial receipts option with the Apply to the Oldest Invoice First rule. Enabling this option lets you apply a receipt to a transaction with an amount less than the amount required to close the debit item. - -If the AutoCash rule set doesn't use partial receipts but does include late charges in the open balance calculation, then Receivables can interpret a receipt application against a transaction amount plus late charges as a partial receipt. - -For example, you intend to close a $100 transaction by applying a $100 receipt, but the transaction has since accumulated a $10 late charge. If the Apply partial receipts option isn't enabled, Receivables can't apply the $100 receipt to the new $110 open debit item. -Approval Limits Document Types - -You can define approval limits for your users for specific transaction activities and amount ranges per currency. The document types identify the transaction activities that a user can approve. -Document Types - -Adjustment - -Define Adjustment approval limits by currency and amount. Receivables uses approval limits that have a document type of Adjustment when you create or approve an adjustment. - -When you enter an adjustment outside your approval limit range, Receivables assigns the adjustment a status of Pending until someone with the appropriate approval limits either approves or rejects it. - -Receipt Write-off - -Define Receipt Write-off approval limits by currency and amount. Receivables uses approval limits with this document type whenever you attempt to write off either an unapplied receipt amount or an underpayment on a receipt. - -You can't write off a receipt amount outside your approval limit range. In addition, the approval limits for write-offs are separate from, but can't exceed, the Receivables system options write-off amounts. - -Credit Memo Refund - -Define Credit Memo Refund approval limits by currency and amount. Receivables uses approval limits with this document type whenever you attempt to refund an on-account credit memo. - -Related Topics - - How Adjustments to Transactions Are Calculated - Guidelines for Applying Receipts and On-Account Credit Memos - Write-offs and Receipts - -How can I manage the users that have approval limits? - -You can only assign approval limits to valid users that are defined in your organization. The combination of user, document type, and currency identify a specific approval limit record. - -You can, for example, define multiple approval limit ranges for the same user and document type in each currency defined in your system. - -Be sure to update approval limits when personnel changes occur. - -Configure Manual Review of Credit Memo Requests - -You can configure manual review and approval of credit memo requests against Receivables transactions using Oracle Business Rules. You can also capture additional information about the credit request and its related workflow notifications. - -The manual credit memo request approval flow sends email or online notifications to each designated approver. Each approver can review the details of the credit request, as well as enter and update information related to credit memo approval. -Configure the Manual Workflow Notification Process - -Configure these tasks in sequence to enable the manual credit memo request approval flow: - - FinArTrxnsCreditMemosAutomaticManual: By default this task is set to Automatic, for automatic creation of the credit memo (business rule 1=1). You can set this task to Manual to initiate the manual review and approval of the credit request. - - This task by itself doesn't enable the workflow notifications. - - FinArTrxnsCreditMemosCreationPostProcessing: After you enable the manual review of credit requests, use this task to enable the workflow notifications for manual reviews. - - You can configure multiple reviewers for this workflow using the task configuration assignee rules. - -To configure the manual workflow notification process: - - Navigate to the BPM Worklist. - - From the user drop-down list, select Administration. - - Click the Task Configuration tab. - - In the Tasks to be Configured: Search field, enter *Credit and click the Go icon. - - This displays the human tasks (HT) available for Credit Memos. - - Select FinArTrxnsCreditMemosAutomaticManual and configure the task for manual credit request reviews using the output value HtOutcmeCreateManualCreditMemo. - - Select FinArTrxnsCreditMemosCreationPostProcessing and configure the workflow process for manual credit request reviews. - - Set up the routing rules for your workflow notifications. - - Set up the BIP template for the notification window according to your requirements. - - You can copy the standard template and modify its content using the BIP editing tools. - -You can use additional attributes in Assignee rule conditions to configure the workflow routing rules. These attributes include: - - Salesperson Name - - Salesperson Email ID - - Sum of all Adjustments Amounts - - Sum of all Receipts Amounts - - Credit Memo Reason Code Descriptive Flexfield Attribute 1-15 - - Invoice Line Description - - Collector Descriptive Flexfield Attribute 1-15 - - Line Level Credit - - Invoice Line Type - - Invoice or Line Adjustments - - Receipts Applied - - Receivables System Options Descriptive Flexfield Attribute 1-15 - - Item Number - - Line Amount Requested - - Transaction Information Descriptive Flexfield Attribute 1-15 - - Revenue Scheduling Rule Start Date - - Revenue Scheduling Rule End Date - - Revenue Scheduling Rule Number of Periods - - Revenue Scheduling Rule Rule Type - - Revenue Scheduling Rule Name - - Tax Credit Amount Requested - -Enable Privileges for Review Credit Memo Request - -Use these three privileges to maintain user access to the Review Credit Memo Request page: - - IEX_REVIEW_CREDIT_REQUEST_PRIV (Review Credit Request): This privilege lets an approver: - - Access the Review Credit Request page. - - Use the View Transaction Activities button to access the original transaction activities. - - Enter comments in the Internal Comments field. - - IEX_UPDATE_DISPUTE_TYPE_PRIV (Update Dispute Type on Credit Request): This privilege lets an approver update the value in the Dispute Type field. - - IEX_UPDATE_REBILL_DETAILS_PRIV (Update Rebill Details on Credit Request): This privilege lets an approver update the values in the Rebill Number and Rebill Group fields. - -Related Topics - - How You Use Oracle Analytics Publisher to Modify Templates for Use with Formats - More Setup for Workflow Email Notifications - Overview of Financials Configurable Workflow Notifications - -How You Define Approval Groups for the Credit Memo Workflow - -There are two predefined rule sets for the credit memo workflow: Collection agent rule set and Non-collection agent rule set. - -These two predefined rule sets refer to two approval groups that aren't predefined. The approval groups are: - - Collection_Manager_Approval_Group - - Billing_Manager_Approval_Group - -You must define the two predefined approval groups and assign users to the groups using these steps: - - Create one approval group called Collection_Manager_Approval_Group and one approval group called Billing_Manager_Approval_Group. - - Assign the users that you want to each approval group. -How You Implement Customer Statements - -Print statements to provide the bill-to sites of your customer accounts with a complete record of their invoice, debit memo, chargeback, receipt, on-account credit, credit memo, and adjustment activity for a specified period. - -To set up for statements, complete these tasks: - - Set Receivables System Options for Statements - - Define Remit-to Addresses - - Define Lookup to Print Custom Statements - - Define Statement Cycles - - Define Customer Site Profiles - -Set Receivables System Options for Statements - -Set the necessary Receivables system options for statement processing. - -To set Receivables system options for statements: - - Navigate to the Create System Options or Edit System Options page. - - Select the applicable business unit. - - Click the Billing and Revenue tab, if it isn't already displayed. - - Enable the Print remit-to address option to print your remit-to addresses on your customer statements. - - Enable the Print home country option to print your home country on transactions and statements that refer to addresses in that country. - - In the Default Country field, select a country to use as your home country. This is the default country value for your remit-to addresses. The home country is also used in tax calculations and for taxpayer ID and tax registration number validation. - - Complete or update the rest of Receivables system options according to your requirements, and save. - -Define Remit-to Addresses - -Define remit-to addresses to provide customer bill-to sites with default remit-to information on statements and transactions. - -To define a remit-to address: - - Navigate to the Create Remit-to Address page. - - In the Remit-to Address Set field, select a reference data set. - - The Country field displays the default country defined in Receivables system options. If necessary, select another country. - - Enter the address details and save. - - In the Receipt from Criteria section, click the Create icon to open the Create Receipt from Criteria window. Use this window to assign the remit-to address you just created to customer bill-to sites in specified locations. - - In the Country field, select a country to assign customer bill-to sites this remit-to address. - - If necessary, use the State field and Postal Code fields to further limit the remit-to address assignment, and save. - -Define Lookup to Print Custom Statements - -By default, the Create Customer Statements process generates a statement document for every bill-to site belonging to a customer account with a Preferred Delivery Method setting of Paper in the customer account or site profile. To enable the printing of custom statements for individual customer accounts or sites, you must define the AR_PRINT_STATEMENT_BURSTING lookup. - -To define the lookup for custom statements: - - Navigate to the Setup and Maintenance work area. - - Search for the setup task Manage Receivables Lookups. - - In the Manage Receivables Lookups page, search for the AR_FEATURES lookup type. - - Enter a new row for the lookup code. - - In the Lookup Code field, enter AR_PRINT_STATEMENT_BURSTING. - - In the Reference Data Set field, select Common Set. - - Select the Enabled option. - - In the Meaning field, enter a description of this lookup code. - - Save your work. - -After you define the AR_PRINT_STATEMENT_BURSTING lookup, you can create custom BI Publisher templates to use for the statements of individual customer accounts and bill-to sites with a Preferred Delivery Method of Paper in the customer profile. -Define Statement Cycles - -Define statement cycles to determine when to send statements to your customers. - -To define a statement cycle: - - Navigate to the Manage Statement Cycles page. - - In the Search Results section, click the Add icon. - - In the Name field, enter a name for this statement cycle. - - In the Interval field, select the interval that determines how often to generate statements: weekly, monthly, quarterly. - - In the Cycle Dates section, click the Add icon. - - In the Business Unit field, select the business unit that will use this statement cycle. - - In the Statement Date field, enter the first date on which to print statements for the statement cycle. - - Repeat steps 5 to 7 until you have the appropriate number of rows for the statement cycle interval for each applicable business unit. - - For example, enter four rows for a quarterly interval or twelve rows for a monthly interval to cover the period of one year. - - Enable the Skip option on a row if you want to skip an interval in the statement cycle. - - For example, after creating a statement cycle with a monthly interval and twelve monthly statement dates, you decide to send statements bi-monthly instead of monthly. You can enable the Skip option on every other row to reduce the number of statements to six per year. - - Complete the remaining fields according to your requirements, and save. - -Define Customer Site Profiles - -After you define remit-to addresses and statement cycles, you must enable the appropriate profile settings on each customer bill-to site to which you plan to send statements. If you aren't using one statement site for the customer, you can, depending on your requirements, assign a different statement cycle to the bill-to sites belonging to the same customer account. In this way each bill-to site can have its own statement for its site transactions. - -To define customer bill-to site profiles for statements: - - Navigate to the Edit Site page of the applicable customer bill-to site. - - Navigate to the Statement and Dunning section. - - Enable the Send statement option. - - In the Statement Cycle field, select the statement cycle to use for this site. - - Click the Late Charges tab. - - Navigate to the Currency Settings section. - - Click the Add icon. - - In the Currency field, select the currency used by this site. - - In the Minimum Statement Amount field, enter the minimum amount required to generate a statement. Receivables generates statements for the site whenever the minimum outstanding balance in the given currency is greater than this amount. - - Complete the remaining fields according to your requirements, and save. - -Related Topics - -How You Use Statement Cycles - -Use statement cycles to determine when to send statements to your customer bill-to sites. You assign statement cycles to customer and site level profiles. - -If you print statements for a specific customer, then: - - If you defined a statement site for the customer, Receivables uses the statement cycle defined in the customer account profile as the default statement cycle to use for printing. - - If you didn't define a statement site, Receivables uses the statement cycle defined in the customer site profile for each applicable bill-to site included in the print run. - -If you don't select a customer, then Receivables prints statements for all customers that have a statement cycle that matches the statement cycle you enter for the print run. - -When you create a statement cycle, you define the interval to use for the cycle (weekly, monthly, quarterly) and the dates on which to print statements for the cycle. You can also indicate if Receivables should skip certain statement dates. - -Receivables includes all activity from the last time you printed a statement for this customer to the current statement date, even if the customer statement cycle is set up to skip printing on one or more statement dates. Receivables also includes open debit items from prior periods in the statement. -Scenario - -Consider the following criteria: - - System Date: 03-SEP-11 - - Statement Date: 01-SEP-11 - - Previous Statement Date: 01-JUN-11 (skipped) - - Statement Cycle: Quarterly - -The activity included in this statement spans the date the statement was last printed on 01-MAR-11 to the current statement date of 01-SEP-11. The previous statement dated 01-JUN-11 had been skipped, so the activity for that period now shows on the current statement. - -This figure illustrates the activity included in this statement: -This figure contains two lines showing transaction activity and statement dates, to illustrate the results of printing a statement according to the criteria specified in the example. - -This table provides an explanation of the logic used to include particular transactions on the statement based on transaction date. - -Invoice Creation Date - - -Included in Statement? - -Invoice Date: 28-FEB-11 - - -No, unless the invoice is either still open or was closed between 01-MAR-11 and 31-AUG-11. - -Invoice Date: 30-AUG-11 - - -Yes, because the invoice date is between the date the statement was last printed and the statement date. - -Invoice Date: 02-SEP-11 - - -No, because the invoice date is later than the statement date. - -How can I create a statement site? - -You can designate one of your bill-to sites belonging to a customer account as a statement site. If you create a statement site, Receivables generates a single, consolidated statement for all the customer bill-to sites, rather than a separate statement for each bill-to site. - -You can only define a bill-to site as a statement site, and you can only define one active statement site per customer account. - -To create a statement site: - - Assign the bill-to site the additional Statements business purpose. - - Set the Statement, Dunning, and Late Charges Site Profiles Used profile option to Yes. - -How do on-account and unapplied receipts appear on statements? - -All receipts, including on-account and unapplied receipts, appear on the statement of the corresponding bill-to site. - -If you create a statement site for the customer account, then Receivables summarizes on-account and unapplied receipts as credits and prints them on a separate page of the consolidated statement, before a summarized listing of subtotals for each of the customer bill-to sites. -Overview of Multifund Accounting - -Multifund Accounting is an optional accounting feature that lets you post transactions, adjustments, and receipts to multiple balancing segment values or funds. Multifund Accounting is also known as Detailed Receivables Distributions. - -In a default accounting model, multiple revenue, freight, and tax lines of a transaction are consolidated and accounted as a single distribution line. When Multifund Accounting is enabled for a business unit and ledger, then the accounting process creates detailed distributions for each transaction line according to the balancing segment values of the account code combinations. - -You can use Multifund Accounting to monitor and track the receipts and usage for each of your balancing segment values. This lets you manage, for example, the disbursement of funds supporting a particular public sector project, such as a general operating fund, endowment fund, and gift fund. Or you can monitor and extract financial information in your organization by division, department, and product, without the need for creating separate invoices for each of these sectors. - -The use of Multifund Accounting is for the setup of a new business unit and primary ledger only. Multifund Accounting applies to these Receivables event classes only: standard and miscellaneous receipts, invoices, credit memos, debit memos, and adjustments. - -For information about the activities supported for Multifund Accounting in each Receivables event class, see Events Supported for Multifund Accounting, Document ID 2558258.1, on My Oracle Support. -Example of Multifund Accounting - -These tables provide an example of multifund accounting on an invoice. In this example, Invoice 101 makes use of funding from two different fund sources. - -Invoice 101 has two invoice lines, one in the amount of $1000 and one in the amount of $500: - -Line Number - - -Memo Line - - -Quantity - - -Unit Price - - -Amount - -1 - - -1 year support - - -1 - - -1000 - - -1000 - -2 - - -1 year additional consultations - - -2 - - -250 - - -500 - -The accounting for these invoice lines with detailed distributions splits the Receivable and Revenue across the two funds (the additional $190 is for Tax and Freight): - -Line - - -Event - - -Account - - -Class - - -Debit - - -Credit - -1 - - -Invoice Created - - -02-000-1200-0000-000 - - -Receivable - - -1120.00 - - -2 - - -Invoice Created - - -03-000-1200-0000-000 - - -Receivable - - -570.00 - - -3 - - -Invoice Created - - -02-000-4100-0000-000 - - -Revenue - - - - -1000.00 - -4 - - -Invoice Created - - -03-000-4100-0000-000 - - -Revenue - - - - -500.00 -Reports for Multifund Accounting - -Use the available reports to review and reconcile your multifund accounting detailed distributions. - -You can manage your multifund accounting detailed distributions using the Receivables to General Ledger Reconciliation Report and the Receivables Aging by General Ledger Account for Multifund Accounting Report. -Note - -The use of these reports for reviewing multifund accounting detailed distributions applies only to the ledger and business units set up to use Multifund Accounting. - -You can review and reconcile your multifund accounting detailed distributions using the available tools in the Receivables to General Ledger Reconciliation Report. Run the Prepare Receivables to General Ledger Reconciliation process, and then access the summary and detailed reports using the Receivables to General Ledger Reconciliation task. - -You can generate and review the aging details for the ledger and business units enabled for Multifund Accounting using the Receivables Aging by General Ledger Account for Multifund Accounting Report. You schedule this report from the Oracle Transactional Business Intelligence Catalog. -Guidelines for Enabling Multifund Accounting - -You enable Multifund Accounting as part of your Receivables System Options setup for a business unit. - -The use of Multifund Accounting involves preliminary planning and an understanding of the ramifications related to its use. Before you enable this feature, review all of the guidelines indicated in this topic. -Enable Multifund Accounting - -To enable Multifund Accounting, follow these steps: - - Navigate to Setup and Maintenance. - - Search for the task Manage Receivables System Options. - - Open the Create or Edit System Options page for the business unit designated for Multifund Accounting. - - If not already displayed, navigate to the Accounting section of the Billing and Revenue tabbed region. - - Enable the Enable multifund accounting option. - - Save your work. - -Caution - -Once you enable the Enable multifund accounting option and save the System Options record, you can't disable this feature for this business unit. - -To complete your setup for Multifund Accounting, you must also create an accounting method in Subledger Accounting for the primary ledger assigned to this business unit. -Requirements for Business Units and Primary Ledger - -Even though you enable the setting for Multifund Accounting as part of the Receivables System Options setup for a business unit, the setting actually applies to the primary ledger and all of the Receivables business units associated with this ledger. - -These requirements apply to enabling Multifund Accounting for a business unit: - - When you enable the Multifund Accounting feature for a business unit, this feature is also automatically enabled on all business units associated with the same primary ledger. - - If any business unit associated with this primary ledger doesn't require Multifund Accounting, then you must disassociate the business unit from this ledger before enabling the feature. - - You can only enable Multifund Accounting on business units that don't have any transactions. - -Requirements for Cash Budget Funding with Receipts - -If you intend to use cash budget funding for receipts, the ledger that you enable for Budgetary Control must be associated with a business unit enabled for Multifund Accounting. - -Ensure that you select a ledger belonging to a business unit enabled for Multifund Accounting when you enter and complete the setup for budgetary control and cash budget funding with receipts using the Edit Budgetary Control and Encumbrance Accounting page. -Requirements for Migrating Legacy Transactions - -These requirements apply to migrating legacy transactions to a business unit enabled for Multifund Accounting: - - You must enable Multifund Accounting for a business unit before migrating transactions from your legacy system to this business unit. - - You can use either an FBDI template or Receivables REST API resources to migrate your transactions. - - Migrate your legacy transactions as open balances for each transaction line. - - After migrating your legacy transactions, post all transactions to General Ledger. - -To ensure the posting of all migrated transactions to a single journal, in the Edit Accounting Options page for the applicable ledger, set the General Ledger Journal option Entry Summarization to Summarize by General Ledger Date. - -This setting lets you manually reverse the journal so that it won't contradict open balance migrations from General Ledger. This also prevents unwanted entries for Revenue, Freight, and Taxes in the current period. -Subledger Accounting Setup for Multifund Accounting - -After you enable a business unit for Multifund Accounting using the Enable multifund accounting option in Receivables System Options, you must complete related setups in Subledger Accounting to use multifund accounting. - -Define a Multifund Accounting accounting method and journal entry rule set assignments in Subledger Accounting for the primary ledger assigned to the business unit. - -To prepare the primary ledger for Multifund Accounting: - - Create an accounting method for Multifund Accounting. - - Assign the predefined Multifund Accounting journal entry rule sets to the Multifund Accounting accounting method you defined. - - Associate the Multifund Accounting accounting method with the primary ledger. - -Caution - -You can only set up Subledger Accounting for Multifund Accounting by assigning the predefined Multifund Accounting journal entry rule sets indicated in this task to the Multifund Accounting accounting method. You can't customize the predefined Multifund Accounting journal rules and journal entry rule sets. -Set Up an Accounting Method and Journal Entry Rule Sets for Multifund Accounting - -To set up the Multifund Accounting accounting method, complete these steps: - - Navigate to the Manage Accounting Methods task from the Receivables configuration. - - Search for the Accounting Method Standard Accrual. - - In the Edit Accounting Method page for Standard Accrual, select Duplicate from the Actions menu. - - In the Create Accounting Method window, create an accounting method for Multifund Accounting. Enter for example: - - In the Name field, enter Multifund Accounting Method. - - In the Short Name field, enter MULTI_FUND_ACCOUNTING_METD. - - In the Description field, enter "Accounting method to support Multifund Accounting." - - In the Chart of Accounts field, select the chart of accounts. - - Click the Save and Close button. - - In the Journal Entry Rule Set Assignments section of the Edit Accounting Method page for Multifund Accounting, delete the existing rule sets copied from the Duplicate action. - - Enter the predefined Multifund Accounting journal entry rule sets: - - Invoices - Multifund Accounting Balancing Method - - Credit Memos - Multifund Accounting Balancing Method - - Debit Memos - Multifund Accounting Balancing Method - - Adjustments - Multifund Accounting Balancing Method - - Receipts - Multifund Accounting Balancing Method - - Miscellaneous Receipts - Multifund Accounting Balancing Method - - Activate the Multifund Accounting accounting method. - - Save your work. - - Navigate to the Specify Ledger Options task. - - Select the primary ledger associated with the business unit enabled for Multifund Accounting. - - In the Accounting Method field of the Subledger Accounting section of the Specify Ledger Options page, select the accounting method that you defined for Multifund Accounting. - - Complete the remaining fields according to your business requirements - - Save your work. - -Set Up Multifund Accounting for Transactions with Invoicing Rules - -You can set up Subledger Accounting for multifund accounting to create detailed distributions on Receivables transactions that use invoicing rules. With the appropriate setup, the Receivables account is split on the basis of Unearned Revenue for transactions using the In Advance invoicing rule, and Unbilled Receivables for transactions using the In Arrears invoicing rule. - -Example of Multifund Accounting on an Invoice with an Invoicing Rule - -The example in the tables below illustrates how the Receivables account is split on an invoice assigned the In Advance invoicing rule. The revenue scheduling rule uses the fixed schedule rule type. - -This table shows details of the transaction: - -Field - - -Value - -Invoice Date - - -1-Mar-20 - -Invoicing Rule - - -In Advance - -Line 1 Amount - - -12000 - -Line 2 Amount - - -15000 - -Revenue Scheduling Rule - - -3 Months Fixed - -Rule Start Date - - -20-Jan-20 - -This table shows the resulting Invoice Accounting Entries, with the Receivables account split according to the balancing segment, which is the first segment of the GL account code combination. The corresponding revenue is recognized over the three-month period, as specified by the revenue scheduling rule: - -Date - - -Dr/Cr - - -Account Class - - -GL Account - - -Amount - -1-Mar-20 - - -Debit - - -Receivables - - -01-000-1210-0000-000 - - -12000 - -1-Mar-20 - - -Debit - - -Receivables - - -02-000-1210-0000-000 - - -15000 - -1-Mar-20 - - -Credit - - -Unearned Revenue - - -01-000-1222-0000-000 - - -12000 - -1-Mar-20 - - -Credit - - -Unearned Revenue - - -02-000-1222-0000-000 - - -15000 - - - - - - - - - -1-Mar-20 - - -Debit - - -Unearned Revenue - - -01-000-1222-0000-000 - - -4000 - -1-Mar-20 - - -Credit - - -Revenue - - -01-000-4110-0000-000 - - -4000 - -1-Mar-20 - - -Debit - - -Unearned Revenue - - -02-000-1222-0000-000 - - -5000 - -1-Mar-20 - - -Credit - - -Revenue - - -02-000-4110-0000-000 - - -5000 - - - - - - - - - -1-Apr-20 - - -Debit - - -Unearned Revenue - - -01-000-1222-0000-000 - - -4000 - -1-Apr-20 - - -Credit - - -Revenue - - -01-000-4110-0000-000 - - -4000 - -1-Apr-20 - - -Debit - - -Unearned Revenue - - -02-000-1222-0000-000 - - -5000 - -1-Apr-20 - - -Credit - - -Revenue - - -02-000-4110-0000-000 - - -5000 - - - - - - - - - -1-May-20 - - -Debit - - -Unearned Revenue - - -01-000-1222-0000-000 - - -4000 - -1-May-20 - - -Credit - - -Revenue - - -01-000-4110-0000-000 - - -4000 - -1-May-20 - - -Debit - - -Unearned Revenue - - -02-000-1222-0000-000 - - -5000 - -1-May-20 - - -Credit - - -Revenue - - -02-000-4110-0000-000 - - -5000 - -Setting Up Your Balancing Segment Values - -As this example illustrates, you must use the same balancing segment value for the corresponding invoicing rule: - - In Advance: Use the same balancing segment value for the Unearned Revenue and Revenue accounts across periods. - - In Arrears: Use the same balancing segment value for the Unbilled Receivables and Revenue accounts across periods. - -Note - -Using the same balancing segment values applies whether a balancing segment value is manually overridden using the Review Distributions window or overridden through the segment rules in Subledger Accounting. Otherwise, Intracompany and Intercompany balancing entries are generated. - -To use Multifund Accounting on transactions that use invoicing rules and revenue scheduling rules, you must modify the Multifund Accounting accounting method you created for the primary ledger associated with the business unit enabled for Multifund Accounting. - -To modify the Multifund Accounting accounting method for invoices with rules, perform these four tasks: - - Create a journal line rule for the Invoice event class and associate it with the journal entry rule set. - - Create a journal line rule for the Debit Memo event class and associate it with the journal entry rule set. - - Modify the conditions within the journal line rule Receipt Application to Multifund Transaction Receivable for the Receipt event class. - - Update your Multifund Accounting accounting method with the new rule sets for Invoice, Debit Memo, and Receipt. - -Create a Journal Line Rule for Invoice Event Class and Associate the Rule with the Journal Entry Rule Set - -To create a journal line rule for the Invoice event class and associate it with the journal entry rule set, complete these steps: - - Navigate to the Journal Line Rules task from the Receivables configuration. - - In the Name field of the Manage Journal Line Rules: Receivables page, search for the journal line rule Multifund Invoice Receivable. - - Select Multifund Invoice Receivable and click the Duplicate icon. - - In the Create Journal Line Rule window, enter a Name and Short Name that identifies this new Multifund Invoice Receivable journal line rule. - - Click the Save and Close button. - - In the Conditions tabbed region of the Edit Journal Line Rule page, enter the following conditions for the new Multifund Invoice Receivable journal line rule: - - ("Transaction Invoicing Rule" Is not null) 'And' ( "Transaction Distribution Account Class" = TAX 'Or' "Transaction Distribution Account Class" = FREIGHT 'Or' "Transaction Distribution Account Class" = ROUND 'Or' "Transaction Distribution Account Class" = CHARGES 'Or' "Transaction Distribution Account Class" = DEFERRED_TAX 'Or' ( "Transaction Distribution Account Class" = UNBILL 'And' "Receivables Offset Indicator" = Y ) 'Or' ( "Transaction Distribution Account Class" = UNEARN 'And' "Receivables Offset Indicator" = Y ) ) - - Caution - - Insert the conditions by selecting them from the menu list. Don't copy and paste condition text from another document. - - Click the Save and Close button. - - Navigate to the Subledger Journal Entry Rule Sets task from the Receivables configuration. - - In the Name field of the Manage Subledger Journal Entry Rule Sets: Receivables page, search for the journal entry rule set Invoices - Multifund Accounting Balancing Method. - - Select Invoices - Multifund Accounting Balancing Method and click the Duplicate icon. - - In the Create Subledger Journal Entry Rule Set window, enter a Name and Short Name that identifies this new Invoices - Multifund Accounting Balancing Method journal entry rule set. - - Click the Save and Close button. - - In the Journal Lines section of the Edit Subledger Journal Entry Rule Set page, click the Plus (+) icon to create a new row. - - In the Journal Line Rule field, select the new Multifund Invoice Receivable journal line rule that you created in steps 1-5. - - In the Account Combination Rule field, select Multifund Transaction Default Receivables GL Account. - - In the Primary Balancing Segment, Second Balancing Segment, and Third Balancing Segment fields, select Copy. - - Click the Save and Close button. - -Create a Journal Line Rule for Debit Memo Event Class and Associate the Rule with the Journal Entry Rule Set - -Create a journal line rule for the Debit Memo event class and associate the new Debit Memo journal line rule with the journal entry rule set by completing the same steps as you did for the Invoice event class. - -Modify the Receipt Application to Multifund Transaction Receivable Journal Line Rule - -To modify the conditions within the journal line rule Receipt Application to Multifund Transaction Receivable for the Receipt event class, complete these steps: - - Navigate to the Journal Line Rules task from the Receivables configuration. - - In the Name field of the Manage Journal Line Rules: Receivables page, search for the journal line rule Receipt Application to Multifund Transaction Receivable. - - Select Receipt Application to Multifund Transaction Receivable and click the Duplicate icon. - - In the Create Journal Line Rule window, enter a Name and Short Name that identifies this new Receipt Application to Multifund Transaction Receivable journal line rule. - - Click the Save and Close button. - - In the Conditions tabbed region of the Edit Journal Line Rule page, insert these new condition details: - - 'Or' "Transaction Distribution Account Class" = UNEARN 'Or' "Transaction Distribution Account Class" = UNBILL - - before the existing condition details: - - 'And' "Distribution Source Type" = REC 'And' "Distribution Multifund Additional Entry" = N - - Caution - - Insert the conditions by selecting them from the menu list. Don't copy and paste condition text from another document. - - Click the Save and Close button. - - Navigate to the Subledger Journal Entry Rule Sets task from the Receivables configuration. - - In the Name field of the Manage Subledger Journal Entry Rule Sets: Receivables page, search for the journal entry rule set Receipts - Multifund Accounting Balancing Method. - - Select Receipts - Multifund Accounting Balancing Method and click the Duplicate icon. - - In the Create Subledger Journal Entry Rule Set window, enter a Name and Short Name that identifies this new Receipts - Multifund Accounting Balancing Method journal entry rule set. - - Click the Save and Close button. - - In the Journal Lines section of the Edit Subledger Journal Entry Rule Set page, select the existing Receipt Application to Multifund Transaction Receivable journal line rule and delete it. - - Click the Plus (+) icon to create a new row. - - In the Journal Line Rule field, select the new Receipt Application to Multifund Transaction Receivable journal line rule that you just created and modified. - - Click the Save and Close button. - -Update Your Multifund Accounting Method with the New Rule Sets - -To replace the existing rule sets for the Invoice, Debit Memo, and Receipt event class in your Multifund Accounting accounting method, complete these steps: - - Navigate to the Manage Accounting Methods task from the Receivables configuration. - - In the Manage Accounting Methods page, search for and select your Multifund Accounting Method to navigate to the Edit Accounting Method page. - - In the Receivables tabbed region of the Journal Entry Rule Set Assignments section of the Edit Accounting Method page, either delete or apply an end date to the existing rule sets for Invoice, Debit Memo, and Receipt. - - Add the new rule sets that you created for Invoice, Debit Memo, and Receipt and activate them. - - Click the Save and Close button. - -Cash Pooling for Multifund Accounting - -You can use a cash pooling model to record multifund accounting entries on cash receipts. - -Cash pooling is a cash management system that notionally consolidates account balances from several accounts without physically moving funds. An organization can combine credit and debit positions from various bank accounts into a pooled account to provide better visibility into the current state of an organization's business and to facilitate ongoing decision-making. - -The cash pool accounting model represents a cash account with the Cleared Cash account class. Other offset cash accounts that reflect an interim receipt status, such as Confirmed Cash or Remitted Cash, aren't used in the cash pool accounting model. - -You can implement cash pooling for multifund accounting using either of two methods, depending on the fund management requirements and local accounting conventions of your organization. The two methods are: - - Cash Pooling using Source Transaction Fund Allocation: Represent cash receipts as a direct split of cash account entries according to the source transaction allocation. Balancing segments of applied transaction receivable accounts are the basis for cash account split on a regular receipt; balancing segment miscellaneous cash distribution accounts are the basis for cash account split on a miscellaneous receipt. - - Cash Pooling using Intercompany Balancing Entries: Represent cash receipts as offsetting treasurer's equity and cash owed to an affiliate using intercompany balancing entries. - -After you set up cash pooling for multifund accounting using either of these methods, you must create an AR_CASHPOOLING lookup code under the AR_FEATURES lookup type. -Note - -Cash pooling only applies to a business unit enabled for Multifund Accounting. You must ensure that you have completed the base setup for Multifund Accounting on the applicable business unit before configuring Cash Pool accounting. -Example of Cash Pooling Methods for Multifund Accounting - -This example illustrates the accounting entries for both methods of representing cash pooling for Multifund Accounting. - -Invoice XYZ contains three transaction lines for a total of $1600. This table represents the three line amounts: - -Account Class - - -Amount - -Revenue - - -$600 - -Revenue - - -$250 - -Revenue - - -$750 - -This table represents the accounting entries for Invoice XYZ. The first segments in the account code combinations--B,C,D--are the balancing segments that represent the three funds: - -Dr/Cr - - -Reference - - -Account Class - - -Account - - -Amount - -Debit - - -Header - - -Receivables - - -B.000.1200.0 - - -$600 - -Debit - - -Header - - -Receivables - - -C.000.1200.0 - - -$250 - -Debit - - -Header - - -Receivables - - -D.000.1200.0 - - -$750 - -Credit - - -Revenue - - -Revenue - - -B.000.4100.0 - - -$600 - -Credit - - -Revenue - - -Revenue - - -C.000.4100.0 - - -$250 - -Credit - - -Revenue - - -Revenue - - -D.000.4100.0 - - -$750 - -Here the Receivables entry is split according to the fund allocation on each Revenue account. - -Receipt PQR in the amount of $1600 is applied to Invoice XYZ. This table represents the receipt: - -Receipt Amount - - -$1600 - -Receipt Status - - -Cleared - -Applied to - - -XYZ - -The resulting receipt accounting entries will differ depending on the Cash Pooling method used. - -Accounting Entries for Cash Pooling using Source Transaction Fund Allocation: This table represents the receipt accounting entries with Cash Pooling enabled on a bank account: - -Dr/Cr - - -Reference - - -Account Class - - -Account - - -Amount - -Debit - - -Receipt - - -Cash - - -G.000.1110.0 - - -$1600 - -Credit - - -Invoice - - -Receivable - - -B.000.1200.0 - - -$600 - -Credit - - -Invoice - - -Receivable - - -C.000.1200.0 - - -$250 - -Credit - - -Invoice - - -Receivable - - -D.000.1200.0 - - -$750 - - - - - - - - - -Debit - - -Invoice - - -Cash - - -B.000.4100.0 - - -$600 - -Debit - - -Invoice - - -Cash - - -C.000.4100.0 - - -$250 - -Debit - - -Invoice - - -Cash - - -D.000.4100.0 - - -$750 - -Credit - - -Receipt - - -Cash - - -G.000.1110.0 - - -$1600 - -Here the Cash Account is originally debited to a generic fund according to the setup defined for the receipt method remittance bank account. It is then reversed and debited back into split cash accounts according to the funds allocation used on the invoice closed by the receipt. - -Accounting Entries for Cash Pooling using Intercompany Balancing Entries: This table represents the receipt accounting entries using Treasurer's Equity and Cash to Affiliates accounts as Intercompany Balancing Accounts (and without Cash Pooling enabled on a bank account). The Debit Intercompany entries represent Intercompany Cash Equity in the cash pool and the Credit Intercompany entries represent Intercompany Cash from Affiliate: - -Dr/Cr - - -Reference - - -Account Class - - -Account - - -Amount - -Debit - - -Receipt - - -Cash - - -T.000.1110.0 - - -$1600 - -Credit - - -Invoice - - -Receivable - - -B.000.1200.0 - - -$600 - -Credit - - -Invoice - - -Receivable - - -C.000.1200.0 - - -$250 - -Credit - - -Invoice - - -Receivable - - -D.000.1200.0 - - -$750 - - - - - - - - - -Debit - - -Invoice - - -Intercompany - - -B.000.1750.T - - -$600 - -Debit - - -Invoice - - -Intercompany - - -C.000.1750.T - - -$250 - -Debit - - -Invoice - - -Intercompany - - -D.000.1750.T - - -$750 - -Credit - - -Receipt - - -Intercompany - - -T.000.2125.B - - -$600 - -Credit - - -Receipt - - -Intercompany - - -T.000.2125.C - - -$250 - -Credit - - -Receipt - - -Intercompany - - -T.000.2125.D - - -$750 - -Here the entire Cash account is initially debited to the Treasurer's Pool. It is then split into various accounts representing the cash contributed by each fund/affiliate as credit intercompany entries, with corresponding debit intercompany entries representing the Equity in Pool for each fund. -Cash Pooling using Source Transaction Fund Allocation - -Use the Pooled account option on the applicable bank account to enable default cash pooling entries rather than Intercompany entries. If you don't enable this option, balancing entries are used to manage cash pooling, according to the additional setup for Intercompany Balancing Rules. - -This option is available by default on the business unit enabled for Multifund Accounting. -Note - -The Pooled account option is commonly used by Payables and Receivables to drive the required fund representation. You should analyze the impact on both your Payables and Receivables activities before deciding on the pooling method to use for funds received or funds expensed through the designated bank account. - -After you enable cash pooling on a bank account, set up an AR_CASHPOOLING lookup code under the AR_FEATURES lookup type. - -To enable cash pooling for multifund accounting using source transaction fund allocation, complete these steps: - - Navigate to the Manage Bank Accounts page. - - Search for and select the bank account you want. - - In the Bank Account page, navigate to the Controls tabbed region. - - In the Payables and Receivables Controls section, enable the Pooled account option. - - Enabling this option designates this bank account as the bank account to use as the default model for representing the cash pooling. - - Complete the other fields according to your requirements. - - Save your work. - - Navigate to the Manage Standard Lookups page. - - Search for and select the lookup type AR_FEATURES. - - In the AR_FEATURES lookup codes section, click the Plus (+) icon. - - In the Lookup Code field, enter AR_CASHPOOLING. - - Enter a start date, and a meaning and description for this lookup code. - - Check the Enabled option to activate the lookup code. - - Save your work. - -Cash Pooling using Intercompany Balancing Entries - -Represent multifund accounting cash pooling by using intercompany balancing rules to map the Equity Pool (receivables) and Treasurer's Equity (payables) accounts. - -After you configure intercompany balancing rules, set up an AR_CASHPOOLING lookup code under the AR_FEATURES lookup type. -Note - -If you use intercompany balancing rules to set up cash pooling, then don't enable the Pooled cash option on a bank account. - -To enable cash pooling for multifund accounting using intercompany balancing entries, complete these steps: - - Navigate to the Manage Intercompany Balancing Rules page. - - Navigate to the Chart of Accounts Rules tabbed region. - - Click the Plus (+) icon to open the Create Chart of Accounts Balancing Rules page. - - In the Source field, select Receivables. - - In the Category field, select Receipts. - - In the Chart of Accounts field, select the chart of accounts. - - In the Receivables Account field, enter the account segments for the Equity Pool natural account. - - In the Payables Account field, enter the account segments for the Treasurer's Equity natural account. - - In the Start Date field, enter the date this chart of accounts rule becomes active. - - Save your work. - - This chart of accounts rule applies to all ledgers that use this chart of accounts. - Note - - If you intend to use more than one balancing segment, use the Additional Intercompany Balancing and Clearing Options page to configure options to balance the second and third balancing segments. These options are used whenever a transaction is balanced by the primary balancing segment, but remains unbalanced by the second or third balancing segment. - - Navigate to the Manage Standard Lookups page. - - Search for and select the lookup type AR_FEATURES. - - In the AR_FEATURES lookup codes section, click the Plus (+) icon. - - In the Lookup Code field, enter AR_CASHPOOLING. - - Enter a start date, and a meaning and description for this lookup code. - - Check the Enabled option to activate the lookup code. - - Save your work. - -Can I write messages in different languages? - -Yes, you can write a message in any language that suits the needs of your enterprise. For any language, the text of a standard message can't exceed 255 characters. Receivables doesn't perform any other validation on messages. - -How can I add a message to a document? - -You can print standard messages on customer statements, and on late charge documents presented as debit memos or interest invoices. - -For statements, active standard messages appear as list of value choices in the Create Customer Statements process. The message you select appears at the end of the customer statement. - -For late charge documents, active standard messages appear in the choice list of the Message Text field in the Late Charges tabbed section of the applicable customer or site profile. The message you select appears in the Notes section of the late charge document for this customer. -What are distribution sets? - -Use distribution sets to account for miscellaneous, or non-invoice related, receipts. Distribution sets are groups of general ledger code combinations that you define to determine the credit accounts for positive miscellaneous receipt amounts and the debit accounts for negative receipt amounts. - -Why can't I create transactions or generate accounting? - -You must open an accounting period before you can perform basic Receivables activities. This is also true of new installations: manually open an accounting period once your installation is complete. - -Guidelines for Receivables System Option Settings - -Certain Receivables system option settings have critical implications for the way Receivables functions for a given business unit. You may need to do some advance planning before deciding how to set certain Receivables system options. - -Considerations for Receivables system option settings include: - - Salespersons - - Header Level Rounding - - Allow Change to Printed Transactions - - Discounts - -Salespersons - -If you intend to use revenue accounting, you must enable the Require salesperson Receivables system option. Revenue accounting requires that you assign sales credits to all transactions that can be adjusted for either revenue or sales credits. - -If you enable the Require salesperson Receivables system option, use the Sales Credit Percent Limit field to limit the percentage of revenue plus non-revenue sales credit that a salesperson can have on any transaction line. - -If you don't enter a value in the Sales Credit Percent Limit field, then no sales credit limit validation is performed during revenue accounting. -Header Level Rounding - -Depending on the legal requirements of your home country, you may need to round amounts at the transaction header level for the receivable account, and then account for and post the difference in a separate account between this rounded amount and the sum of the rounded line amounts for the respective revenue accounts. To do this, enable the Use header level rounding option and define a Header Rounding Account. - -The rounding difference between the header level and line level rounding is assigned to the Header Rounding Account. - -If you enable the Use header level rounding option, then Receivables displays a rounding distribution line for all transactions, regardless of currency. If the transaction is in the ledger currency, then the amount of this line is zero. - -If you don't enable the Use header level rounding option, Receivables rounds amounts at the line level and posts any rounding difference to the receivable account. -Caution - -Once you enable Header Level Rounding and save the Receivables system options record, you can't disable the feature for the applicable business unit. -Allow Change to Printed Transactions - -To allow updates to transactions that have been printed, enable the Allow change to printed transactions option. This option also determines whether you can update a customer address when printed, posted, or applied transactions are assigned to that address. -Note - -You can't update a transaction if it has activity against it, regardless of how you set this option. Examples of activity include payments, credit memos, adjustments, accounting, and assigning the transaction to a balance forward bill. -Discounts - -To allow Receivables to accept unearned discounts, enable the Allow unearned discounts option. Unearned discounts are discounts a customer takes after the discount period passes. The Receivables system options record is the only place that determines whether you can accept unearned discounts for the given business unit. - -To allow discounts to be taken for partial payments against open debit items, enable the Discount on partial payment option. A partial payment is any payment less than the remaining amount due. If this option is enabled, you can still decide to disallow discounts on partial payments at the transaction level when defining payment terms. - -If you never allow discounts on partial payments, then don't enable the Discount on partial payment option. - -Related Topics - - Example of Header Level Rounding - How Discounts Are Calculated - Implementation Settings for Revenue Recognition - -Example of Header Level Rounding - -This example illustrates how header level rounding processes currency conversions and accounts for rounding differences. -Scenario - -ABC Company uses euros as the ledger currency, and it receives an invoice with three line items in Norwegian krone. For this example, the conversion rate between the krone and the euro is 6.55957. -Transaction Details - -The Use header level rounding Receivables system option is enabled for the applicable business unit and a Header Rounding Account is defined. - -This table shows the calculations performed to convert each line amount on the invoice: - -Item/Description - - -Amount in Krone - - -Conversion Rate - - -Amount in Euros - - -Comment - -Paper - - -15.00 - - -6.55957 - - -2.29 - - -rounded up - -Pens - - -12.00 - - -6.55957 - - -1.83 - - -rounded up - -Envelopes - - -25.00 - - -6.55957 - - -3.81 - - -rounded down - -Subtotal - - -52.00 - - -N/A - - -7.93 - - -sum of items - -Rounding Difference - - -N/A - - -N/A - - -- 0.01 - - -N/A - -Total Amount - - -52.00 - - -6.55957 - - -7.92 - - -rounded down - -Because the Use header level rounding Receivables system option is enabled, Receivables must calculate the rounding difference between the currency conversion of the total invoice amount at the header level assigned to the receivable account and the sum of the currency conversions at the line level assigned to each revenue account. This difference is placed in the designated header rounding account. -Conversion Results - -Receivables first converts each line item separately from krone to euros, and then adds them together, for a total of 7.93 EUR. Receivables then separately adds the line amounts in the invoice currency (krone) and then converts to the ledger currency, for a total of 7.92 EUR. - -The rounding difference of .01 is assigned to the header rounding account as defined in Receivables system options. -AutoInvoice Tuning Segments - -Use the AutoInvoice Tuning Segments section of the Billing and Revenue tab of Receivables System Options to designate Accounting and System Items flexfield segments as tuning segments. - -Tuning segments help increase performance of AutoInvoice. The tuning segment is the segment most frequently accessed by AutoInvoice. -Accounting Flexfield Tuning Segment - -If you want to increase the performance of AutoInvoice and indexes already exist for the GL_CODE_COMBINATIONS table, use the value that you specified for your index as the Accounting Flexfield tuning segment. If you defined a concatenated index, use the first column of your concatenated index. - -If no indexes exist for the GL_CODE_COMBINATIONS table, enter the segment with the most distinct values for your Accounting Flexfield tuning segment. -System Items Flexfield Tuning Segment - -If you want to increase the performance of AutoInvoice and indexes already exist for the MTL_SYSTEM_ITEMS table, use the value that you specified for your index as your System Items Flexfield tuning segment. If you defined a concatenated index, use the first column of your concatenated index. - -If no indexes exist for the MTL_SYSTEM_ITEMS table, enter the segment with the most distinct values for your System Items Flexfield tuning segment. -AutoInvoice Log File Message Levels - -In the Log File Message Level field of the AutoInvoice section of the Billing and Revenue tab of Receivables System Options, enter a value from 0 to 5 to indicate the amount of detail to display in the AutoInvoice log file. - -For day-to-day business needs and to improve performance, set the level to 0. If you consistently experience errors while running AutoInvoice, you can set the output to a higher level to review more detailed information in the log about the errors. -Log File Message Level Definitions - -Message Level 0 provides the following entries in the log file: - - Product Version - - Program Name - - AutoInvoice Start Time - - AutoInvoice Concurrent Request Arguments - - Error and Warning Messages - - AutoInvoice End Time - - AutoInvoice Logical Steps - -Message Level 1 provides all of the entries for Message Level 0 plus: - - Time-Stamped function labels - -Message Level 2 provides all of the entries for Message Levels 0 and 1 plus: - - Sizes of allocated arrays - - Dynamic SQL statements - - Number of rows updated, inserted, and deleted - -Message Level 3 provides all of the entries for Message Levels 0, 1, and 2 plus: - - Method IV SQL array values - -Message Level 4 provides all of the entries for Message Levels 0, 1, 2, and 3 plus: - - Values of all variables that are used to call FND or Tax routines - -Message Level 5 provides all of the entries for Message Levels 0, 1, 2, 3, and 4 plus: - - Details of all bad lines and rejected lines. This provides all messages needed for C debugging of AutoInvoice. - -What's the days per posting cycle? - -The Days per Posting Cycle setting lets you process the transactions you're posting in smaller groups to ensure that you don't run out of rollback space during posting. - -For example, if your accounting period is 30 days and you set this value to 30, the posting process uses only one cycle. If your accounting period is 30 days and you set this value to 17, the posting process uses two cycles. Best practice is to set this field to a value less than the number of days in your accounting period. -What happens if I allow transaction deletion? - -Enable the Allow transaction deletion Receivables system option if you want to let users delete Receivables transactions after the transactions have been saved. If you don't enable this option, all Receivables users are prevented from deleting transactions. - -If an installation is legally required to number transactions sequentially with no missing transaction numbers, then best practice is to not enable this option. - -If you enable the Allow transaction deletion option, you can still control which users can delete transactions using function security. -How can I determine the memory allocation? - -Enter in the Maximum Memory in Bytes field the value that represents the amount of memory to allocate to AutoInvoice for validation. The default is 65535 bytes. - -For best results, enter a value equal to the maximum number of records that you import, rounded to an even number, multiplied by 1024. For example, if you use AutoInvoice to import no more than 100 records at a time, enter a value of 102400. - -During AutoInvoice processing, if you receive a message that indicates the application failed to allocate memory, then enter a lower number. If you receive a message that the memory isn't large enough, then enter a higher number. -When do I use days to AutoApply a receipt? - -Enter in the Days to AutoApply a Receipt field the age in days of receipts that AutoApply considers for application against customer transactions. Use this field if your customers often pay for transactions before they're created. - -AutoApply looks for and attempts to apply open receipts to transactions created within the number of days that you specify. For example, if you enter 10, then AutoApply considers all receipts created within the past 10 days for application to transactions. Receipts created longer than 10 days ago aren't considered. - -If you don't enter a value in this field, AutoApply only attempts to match receipts once. -What are the exception rule activities? - -The active application exception rule set determines the action to perform on overpayment and underpayment amounts after receipt application. You can define the default receivables activity to use to process these payments when the action is either a billing adjustment or a write-off. - -The Exception Rule Adjustment Activity field in the Cash Processing tab of Receivables System Options provides the default receivables activity to use for adjustments on overpayments or underpayments. The Exception Rule Write-off Activity field provides the default receivables activity to use for write-offs of overpayments or underpayments. -When are receipts required for a bill-to site? - -Enable the Require billing location for receipts Receivables system option to require that a bill-to site be associated with a receipt. If enabled, Receivables doesn't create receipts that don't have a bill-to site. - -Use this option for customers without statement sites. If you don't enable this option, and you have receipts for customers without statement sites and without a bill-to site associated with the receipt, the unapplied amount of the receipt won't appear on any of the statements for this customer. -What's the difference between the realized gains and losses accounts and the cross currency rounding account? - -The realized gains and realized losses accounts are used to account for the conversion rate gain or loss in the ledger currency resulting from a cross-currency receipt application. - -For example, if the conversion rate for a foreign currency invoice is 1.7 and the conversion rate of the payment for this invoice is 2.0, Receivables posts the difference as a gain to the realized gains account. - -The cross-currency rounding account is used to record rounding error amounts created during a cross-currency receipt application. You must define a rounding error account if you create cross-currency receipts. -Examples of Using the Transaction and Statement Delivery Email Subject Lines - -Use the Email Subject fields in the Transaction Delivery Using Email and Statement Delivery Using Email sections of the Billing and Revenue region of Receivables system options to create an email subject line for the transactions and statements you deliver to customers using email. - -Receivables inserts a period after the business unit, transaction number, and statement date, and inserts a space between each of the field values. - -The following examples illustrate how the subject line appears depending on the settings you use. -Example 1 - -The resulting email subject line for the settings in this table is: "Your invoice is now ready for review. Vision Operations. INV1234." - -Field - - -Value - -Email Subject - - -Your invoice is now ready for review. - -Include Business Unit in Email Subject - - -Last - -Include Transaction Number in Email Subject - - -Last -Example 2 - -The resulting email subject line for the settings in this table is: "Vision Operations. Your statement is now ready for review. 01-01-2017." - -Field - - -Value - -Email Subject - - -Your statement is now ready for review. - -Include Business Unit in Email Subject - - -First - -Include Statement Date in Email Subject - - -Last -Example 3 - -The resulting email subject line for the settings in this table is: "Your invoice is now ready for review. INV1234." - -Field - - -Value - -Email Subject - - -Your invoice is now ready for review. - -Include Business Unit in Email Subject - - -Do Not Include - -Include Transaction Number in Email Subject - - -Last - - -How Transaction and Statement Delivery Using Email Works - -Print and send Receivables transactions and statements to designated customers using email. - -When you run the Print Receivables Transactions process or the Create Customer Statements process, the respective process sends transactions or statements as either a PDF or Zipped PDF file to the designated email addresses of the customer accounts and sites that are set up for email delivery. -Settings That Affect Delivery Using Email - -These settings affect print delivery using email: - - Print Option: Set the Print Option to Print or Do Not Print at the customer site or customer account level, depending upon whether you want to print for specific customer sites or all sites belonging to a customer account. - - For transactions, if the Print Option value isn't enabled at the site or account level, then Receivables uses the required Print Option setting on the transaction type. If necessary, you can exclude or include individual transactions in a print run by changing the Print Option setting on transactions. - Note - - If the transaction type doesn't have the Open Receivable option enabled (for example, a Void transaction), then the email delivery process ignores the Print Option settings at the customer site and account level and uses the setting assigned to the transaction type. You can still override this setting on the transaction. - - Preferred Delivery Method: Set the Preferred Delivery Method field to Email at the customer site or customer account level, depending upon whether you want to deliver using email for specific customer sites or all sites belonging to a customer account. - - Customer contacts: Assign at least one customer contact at the account or site level both an email address and the Bill-to responsibility. To send statements, the contact must be assigned the Statement responsibility in addition to the Bill-to responsibility. - - These rules apply to customer contacts: - - The contact must be active when the Print Receivables Transactions or Create Customer Statements process is run. - - If a customer account or site doesn't have any contact with both an email address and a Bill-to responsibility (and a Statement responsibility for statements), then transactions or statements aren't delivered for this customer account or site. - - For transactions, if a customer account or site does have a contact with both an email address and a Bill-to responsibility, but the same contact email address is also assigned the Collections or Dunning responsibility, then this contact is excluded from email delivery. - - For statements, if the customer has a statement site, then a consolidated statement is created and delivered to this statement site for all bill-to sites belonging to the customer account. - - Email Receivables system options: Use the Transaction and Statement Delivery Using Email sections of the Billing and Revenue tabbed region of the Receivables System Option pages to set up the details of transaction and statement delivery using email for the applicable business units. - Note - - These are all conditionally required fields. If you plan to enable printing and email delivery of transactions or statements, then you must enter values in these fields to ensure successful delivery. - - Enter the appropriate text and values in the corresponding fields: - - From Name: Name of your enterprise. - - From Email: Email address of your enterprise. - - Reply-to Email: Email address of your enterprise that your customers can send an email to. - - Email Subject: Text of the email subject line. - - Include Business Unit in Email Subject: Option to include the name of your business unit in the subject line. - - Include Transaction Number in Email Subject: Option to include the transaction number in the subject line. - - Include Statement Date in Email Subject: Option to include the statement date in the subject line. - - Email Body: Text of the email message. Include appropriate formatting. - Note - - You can't use standard messages to create email message text. - -How Transactions and Statements are Delivered Using Email - -Once your setup is complete, use the Print Receivables Transactions process to print customer transactions, and the Create Customer Statements process to print customer statements. Use the Output File Type parameter to specify the output to use for the print run. For print delivery using email, you must select either PDF or Zipped PDF. If you select Zipped PDF, the file includes an index file of the print run, to identify the first and last page of each printed transaction. - -When you create a transaction, Receivables looks in your setup for the Print Option setting to assign to the transaction in this order: - - Customer site profile - - Customer account profile - - Transaction type - -During print processing, the email delivery process verifies for each transaction or statement: - - For transactions, the Print Option is set to Print. - - You can update the Print Option setting on individual transactions before printing. - - Preferred Delivery Method field is set to Email for the customer account or site. - - At least one active customer contact has both an email address and the Bill-to responsibility, as well as the Statement responsibility for statement delivery. The email delivery process looks for an email address to send transactions or statements to in this order: - - For transactions, email address of the bill-to customer contact on the transaction. - - Email addresses of the contacts of the customer site that are assigned a Bill-to responsibility (and Statement responsibility for statements), but not assigned the Collections or Dunning responsibility. - - Email addresses of the contacts of the customer account that are assigned a Bill-to responsibility (and Statement responsibility for statements), but not assigned the Collections or Dunning responsibility. - - All fields are completed in the Transaction Delivery or Statement Delivery Using Email section of the Billing and Revenue tabbed region of Receivables System Options. - -The name of the output PDF file for transactions delivered using email uses the format: - -Why can't I print transactions or statements using email delivery? - -Your email delivery setup is incomplete. - -This is most likely due to one of two settings: - - In Receivables system options, you must enter an active email address in either the From Email field or the Reply-to Email field of the Transaction or Statement Delivery Using Email section of the Billing and Revenue tabbed region for the applicable business unit. - - At least one customer contact must have both an active email address and a Bill-to responsibility for transaction delivery; and an active email address, a Bill-to responsibility and a Statement responsibility for statement delivery. - - For transactions: - - If the transaction doesn't have a bill-to customer contact, or if that contact doesn't have an email address, then the email delivery process looks for all active customer contacts at the account or site level that have both a Bill-to responsibility and an email address. - - If any exist, then the transaction is delivered to all of these contacts, with the exception of contact email addresses also assigned the Collections or Dunning responsibility. - - If none exist, then the transaction isn't printed. - -AutoInvoice Data Preparation - -Prepare your Receivables environment for any new data that you want to import. If your original system uses any setup data which isn't yet defined in Receivables, you must define this data before using AutoInvoice. -Data Checklist - -Ensure that you have set up and updated the appropriate records in Receivables and related applications. - -Add or update this setup data: - - Add or import customers, if your original system contains data for customers that aren't yet defined in Receivables. - - Add units of measure, if your original system uses units of measure not yet defined. - - Add or update in General Ledger this data: - - Currencies, if your original system uses currencies not yet defined. - - Accounting flexfield segment values, if your original system uses values not yet defined. - - Add or update in Tax this tax data: - - Tax rates assigned to tax rate codes that aren't yet defined. - - Tax rates associated with products shipped to specific locations. - - Full or partial customer and item tax exemptions. - - Add or update these Receivables lookup codes: - - Free on Board (FOB) lookup codes, if your original system uses FOB point codes not yet defined. - - Freight carrier lookup codes. - - Add or update this Receivables data: - - AutoAccounting (this is a required setup to use AutoInvoice) - - Payment terms - - Transaction types - - Transaction sources - - Salespersons - - Revenue scheduling rules - -AutoInvoice Setup - -Review and update Receivables data specific to AutoInvoice. - -Review and update this data: - - AutoInvoice Grouping Rules: Define additional grouping rules or update the default grouping rule provided by Receivables. AutoInvoice uses grouping rules to determine how to create transactions. - - AutoInvoice uses the following hierarchy when determining the grouping rule to use: - - Transaction source - - Customer site - - Customer profile - - System options - - AutoInvoice Line Ordering Rules: Define line ordering rules for AutoInvoice to determine how to order transaction lines. AutoInvoice randomly orders lines on your transactions if you don't define line ordering rules. - AutoInvoice Transaction Source Automatic Receipt Handling: If you want AutoInvoice to automatically evaluate imported credits for receipt handling, select the applicable Receipt Handling for Credits option on the AutoInvoice transaction source. - On Account: Place imported credits on account. - Refund: Create refunds for imported credits. - - Receivables System Options: Set Receivables system options for AutoInvoice in the Billing and Revenue tab: - - Customers section: Grouping Rule field: Assign an AutoInvoice grouping rule to use as part of the default hierarchy for selecting a grouping rule during transaction processing. - - AutoInvoice section: Purge interface tables option: Enable this option to purge data automatically after running AutoInvoice. - - AutoInvoice section: Maximum Memory in Bytes field: Enter a value that represents the amount of memory to allocate to AutoInvoice for validation. - - AutoInvoice section: Log File Message Level field: Enter a level from 0 to 5 to indicate the amount of detail that you want to display in the AutoInvoice log file. - - AutoInvoice section: Accounting Dates Out of Order field: Select Reject or Adjust to determine how AutoInvoice processes transactions when the accounting date is out of order within the document sequence. - Note - - You only use this setting when the primary ledger is enabled for document sequencing. - - Profile Options: Set these profile options for AutoInvoice: - - ID Flexfield Code: Specify the ID of the flexfield code used by AutoInvoice. - - Maximum Lines per AutoInvoice Worker: Specify the maximum number of lines per AutoInvoice worker. - - Source Code: Specify the source code used by AutoInvoice. - - Use Parallel Hint: Enable parallel hints in AutoInvoice. - - AutoInvoice Gather Statistics Allowed: If you set this profile option to Yes, then when you submit AutoInvoice, the program first analyzes the interface tables (RA_INTERFACE_LINES_ALL, RA_INTERFACE_DISTRIBUTIONS_ALL, and RA_INTERFACE SALESCREDITS_ALL) and gathers statistics to determine how best to execute the transaction import. - - If the number of records to be imported and the number of worker processes are approximately the same as the previous submission of AutoInvoice, then you can set this profile option to No and skip this analysis. - -Transaction Flexfield - -Receivables uses the transaction flexfield to uniquely identify each transaction and transaction line you import using AutoInvoice. Transaction flexfields are also used to reference and link transaction lines. - -You must define a Line Transaction Flexfield, and you can optionally define a header-level Invoice Transaction Flexfield. If you define an Invoice Transaction Flexfield, all segments in the Line Transaction Flexfield that refer to header information must also exist in the Invoice Transaction Flexfield. For example, if you define a Line Transaction Flexfield with four segments, and the last two segments refer to line-level information only, define the Invoice Transaction Flexfield using the first two segments. - -If you don't create Reference and Link-To Transaction Flexfields, then Receivables uses the Line Transaction Flexfield structure to link and reference different lines. You don't have to define separate Reference and Link-To Transaction Flexfields in this case. - -However, if you want to create your own form to enter interface data to display the Reference and Link-To Transaction Flexfields, then you must define these transaction flexfields. These flexfields must have the same flexfield structure as the Line Transaction Flexfield. - - - -AutoInvoice Grouping Rule Attributes - -AutoInvoice grouping rules determine how to group transaction lines into transactions during AutoInvoice import. - -AutoInvoice grouping rules contain both mandatory and optional transaction attributes. Two or more transaction lines must contain identical transaction attributes for AutoInvoice to group them together in the same transaction. - -For example, transaction number (TRX_NUMBER) is a mandatory attribute of all grouping rules. If you have two records in the interface tables with different transaction numbers, AutoInvoice creates separate transactions for each record. - -You can't delete a mandatory attribute from any grouping rule, but you can add optional attributes to the mandatory attributes to create a new grouping rule. -Note -If you have Order Management and Revenue Management (OM-RMCS) integration enabled, then the optional transaction attribute sales order date (SALES_ORDER_DATE) is a mandatory attribute for AutoInvoice to import sales orders from Order Management. -Mandatory Transaction Attributes - -The AutoInvoice grouping rule provides the following mandatory transaction attributes from the RA_INTERFACE_LINES_ALL table. All of these transaction attributes apply to all transactions created using AutoInvoice grouping rules: - - BILL_PLAN_NAME - - BILL_PLAN_PERIOD - - COMMENTS - - CONS_BILLING_NUMBER - - CONVERSION_DATE - - CONVERSION_RATE - - CONVERSION_TYPE - - CREDIT_METHOD_FOR_ACCT_RULE - - CREDIT_METHOD_FOR_INSTALLMENTS - - CURRENCY_CODE - - CUSTOMER_BANK_ACCOUNT_ID - - CUST_TRX_TYPE_ID - - DOCUMENT_NUMBER - - DOCUMENT_NUMBER_SEQUENCE_ID - - GL_DATE - - HEADER_ATTRIBUTE1-15 - - HEADER_ATTRIBUTE_CATEGORY - - HEADER_GDF_ATTRIBUTE1-30 - - INITIAL_CUSTOMER_TRX_ID - - INTERNAL_NOTES - - INVOICING_RULE_ID - - ORIG_SYSTEM_BILL_ADDRESS_ID - - ORIG_SYSTEM_BILL_CONTACT_ID - - ORIG_SYSTEM_BILL_CUSTOMER_ID - - ORIG_SYSTEM_SHIP_CONTACT_ID - - ORIG_SYSTEM_SHIP_CUSTOMER_ID - - ORIG_SYSTEM_SOLD_CUSTOMER_ID - - ORIG_SYSTEM_BATCH_NAME - - PAYMENT_SERVER_ORDER_ID - - PAYMENT_SET_ID - - PREVIOUS_CUSTOMER_TRX_ID - - PRIMARY_SALESREP_ID - - PRINTING_OPTION - - PURCHASE_ORDER - - PURCHASE_ORDER_DATE - - PURCHASE_ORDER_REVISION - - REASON_CODE - - RECEIPT_METHOD_ID - - RELATED_CUSTOMER_TRX_ID - - SET_OF_BOOKS_ID - - TERM_ID - - TERRITORY_ID - - TRX_DATE - - TRX_NUMBER - -Optional Transaction Attributes - -The AutoInvoice grouping rule provides the following optional transaction attributes from the RA_INTERFACE_LINES_ALL table. You can assign one or more of these attributes to transaction classes within a grouping rule: - - ACCOUNTING_RULE_DURATION - - ACCOUNTING_RULE_ID - - ATTRIBUTE1-15 - - ATTRIBUTE_CATEGORY - - INTERFACE_LINE_ATTRIBUTE1-15 - - INTERFACE_LINE_CONTEXT - - INVENTORY_ITEM_ID - - REFERENCE_LINE_ID - - RULE_START_DATE - - SALES_ORDER - - SALES_ORDER_DATE (mandatory for Order Management - Revenue Management integration) - - SALES_ORDER_LINE - - SALES_ORDER_REVISION - - SALES_ORDER_SOURCE - - TAX_CODE - - TAX_RATE - -AutoInvoice Line Ordering Rule Transaction Attributes - -AutoInvoice uses line ordering rules to determine how to order and number each line of a transaction, after AutoInvoice has grouped transactions into invoices, debit memos, and credit memos. You can specify a line ordering rule for each AutoInvoice grouping rule that you create. -Transaction Attributes - -AutoInvoice provides the following transaction attributes from the RA_INTERFACE_LINES_ALL table for use with line ordering rules: - - ACCOUNTING_RULE_DURATION - - ACCOUNTING_RULE_ID - - ACCOUNTING_RULE_NAME - - AMOUNT - - ATTRIBUTE_CATEGORY - - ATTRIBUTE1-15 - - FOB_POINT - - INTERFACE_LINE_ATTRIBUTE1-15 - - INTERFACE_LINE_CONTEXT - - ORIG_SYSTEM_SHIP_ADDRESS_ID - - QUANTITY - - QUANTITY_ORDERED - - REASON_CODE - - REASON_CODE_MEANING - - REFERENCE_LINE_ATTRIBUTE1-15 - - REFERENCE_LINE_CONTEXT - - REFERENCE_LINE_ID - - SALES_ORDER - - SALES_ORDER_DATE - - SALES_ORDER_LINE - - SALES_ORDER_SOURCE - - SHIP_DATE_ACTUAL - - SHIP_VIA - - TAX_CODE - - UNIT_SELLING_PRICE - - UNIT_STANDARD_PRICE - - UOM_CODE - - UOM_NAME - - WAYBILL_NUMBER -Example of an AutoInvoice Grouping Rule - -This example illustrates how to use grouping rules to group transaction lines into transactions during AutoInvoice import. -Scenario - -Define an AutoInvoice grouping rule that specifies that to appear on the same invoice, items must match on all mandatory attributes, such as currency (CURRENCY_CODE) and customer bill-to address (ORIG_SYSTEM_BILL_ADDRESS_ID), and must also match on the optional attribute of sales order type (SALES_ORDER_SOURCE). -Transaction Details - -During AutoInvoice import, assume that all mandatory attributes match other than currency and customer bill-to address. -This figure illustrates how three imported invoices are created according to the AutoInvoice grouping rule defined in this example: -This figure illustrates the creation of three invoices based on the mandatory grouping rule and the one optional attribute of sales order type - -Items A and B share the same currency and sales order type, so they appear on the same invoice (Invoice 1). Item C has the same currency as A and B, but it has a different sales order type, so it appears on its own invoice (Invoice 2). Items D and E share the same currency and sales order type, so they appear on the same invoice (Invoice 3). -Result - -Because of the optional attribute of sales order type, AutoInvoice created three invoices. If the grouping rule had designated only mandatory attributes, then AutoInvoice would have created only two invoices. -Why did AutoInvoice reject transactions? - -During AutoInvoice processing, if you have transaction lines that fail validation, the import process looks at the value of the Invalid Line field in the transaction source to determine what to do about the transaction. - -If the value is Reject Invoice, then AutoInvoice rejects all of the transaction lines that make up one invoice according to the grouping rule, if any one of the transaction lines are invalid. For example, if a grouping rule specifies that three transaction lines should be created as one invoice and one of the transaction lines has an error, AutoInvoice rejects all three transaction lines and doesn't create an invoice. - -However, if the value is Create Invoice, AutoInvoice rejects the one invalid transaction line and creates an invoice from the two remaining valid transaction lines. -Why did AutoInvoice create transactions with duplicate transaction numbers? - -During AutoInvoice processing, the import process validates that transaction and document numbers are unique after grouping has completed. - -In certain cases, AutoInvoice will create multiple invoices in the same group with the same transaction or document number. Once grouping is completed, AutoInvoice checks for duplicate transaction and document numbers and reports any lines that fail validation. - -For example, two lines are imported with the same transaction number, but they have different currencies. These lines are split into two separate invoices during grouping due to the different currencies. Once grouping has completed, both of the invoices will fail validation due to identical transaction numbers. -What happens if AutoInvoice processes a transaction class that's not defined for a grouping rule? - -If AutoInvoice uses grouping rules and is processing a transaction class not defined for a grouping rule, then AutoInvoice only uses the mandatory transaction attributes to group transactions. - -When does a grouping rule need a line ordering rule? - -Assign an AutoInvoice line ordering rule to an AutoInvoice grouping rule when you want to organize the transaction lines belonging to a transaction created by the grouping rule in a specific order. - -Use the Order By Type to specify whether to order the values belonging to a transaction attribute from least to greatest (Ascending) or greatest to least (Descending). - -For example, when importing transactions from Distributed Order Orchestration, you can define a line ordering rule with the attribute SALES_ORDER_LINE to list the items on the invoice in the same order as they appear on the sales order. - -Or, you can define a line ordering rule with the attribute AMOUNT and an Order By Type of Descending to ensure that the highest invoice line amounts are listed first on the transactions created by the grouping rule. - - -Guidelines for Defining Payment Terms - -Use payment terms to identify due dates and discount dates on your customer transactions. - -After you create payment terms, you can optionally assign them both to customer account and site profiles and to transaction types. The payment terms you assign are then assigned by default to transactions you create manually using the related customer account or site, or transaction type. - -Considerations for payment terms include: - - Payment Terms and Customer Profiles - - Payment Terms and Discounts - - Payment Terms and Print Lead Days - - Split Payment Terms with Installments - - Prepayment Payment Terms - -Payment Terms and Customer Profiles - -The setup of payment terms on customer account and site profiles influences the use and availability of payment terms on transactions you create manually. - -When you create a transaction manually, Receivables looks for payment terms to assign to the transaction in this order: - - Payment terms assigned to the site profile of the bill-to customer. - - Payment terms assigned to the account profile of the bill-to customer. - - Payment terms assigned to the transaction type. - -You must enable the Override terms option on the customer account or site profile in order to change the payment terms assigned to the transaction. Enabling the Override terms option provides more flexibility in assigning payment terms to manual transactions. - -If you don't enable the Override terms option on customer account and site profiles, then: - - You can't change the payment terms assigned by default. - - If you select a bill-to customer, and no payment terms were assigned either to the account or site profiles of this customer or to the transaction type, then no payment terms are available for use on the transaction. - - You can alternatively either select another bill-to customer or select payment terms before selecting a customer. - - If you select payment terms and then select a bill-to customer, and no payment terms were assigned to the account or site profiles of this customer, then you can't change the payment terms originally assigned. - -Tip - -If you intend to leave the Override terms option disabled on customer account and site profiles, then make sure that you assign payment terms to the transaction types that you intend to use for manual transactions. -Payment Terms and Discounts - -Define standard payment terms for your customers to specify the due date and discount date for their open items. Payment terms can include a discount percent for early payment, and you can assign multiple discounts to each line of your payment terms. - -For example, the payment terms named 2% 10, Net 30 indicates that a customer is allowed a two percent discount if payment is received within 10 days. After 10 days, the entire balance is due within 30 days of the transaction date with no applicable discount. - -Enable the Allow discount on partial payments option to let your customers take discounts for partial payments on items associated with payment terms. A partial payment is a payment less than the remaining amount due. If you do this, you must also ensure that the Discount on partial payment Receivables system option is enabled. - -Use the Discount Basis field to determine what amount to use to calculate discounts for the payment terms. If the payment terms use installments, you can assign discount percentages to each installment. - -Use the Discount Basis Date field to select the date to use to calculate discounts. The choices are: - - Receipt Date: Date the receipt is created. - - Receipt Application Date: Date the receipt is applied to the transaction. - - Deposit Date: Date the receipt is deposited into the remittance bank. - -The discount is applied if the transaction is paid within the payment terms discount date. The formula is: Transaction Date + Discount Due By Period >= Discount Basis Date (Receipt Date/Receipt Application Date/Deposit Date). -Payment Terms and Print Lead Days - -The Print Receivables Transactions process prints eligible transactions according to the transaction date. You normally can't print a transaction in advance of the transaction date. - -You can use the Print Lead Days field to allow printing of transactions with the applicable payment terms a designated number of days before the transaction date. - -Use this field in conjunction with the due date and discount date to print and send customers transactions in advance of the transaction date, for example, to remind customers of due dates and potential discounts. -Split Payment Terms with Installments - -Create split payment terms for invoice installments that have different due dates. The payment terms determine the amount of each installment. - -Use the Installment Option field to determine how to allocate the freight and tax charged to transactions. You can either distribute tax and freight charges across all installments, or allocate all freight and tax charges to the first installment. - -Define the payment schedule for the split payment terms. The payment schedule determines when each installment is due, how much in each installment is due, and how much discount to offer in each installment. -Prepayment Payment Terms - -You can optionally define prepayment payment terms by enabling the Prepayment option. You assign prepayment payment terms to transactions to indicate which transactions require prepayment for goods and services. - -Prepayment payment terms don't require the capture of funds in advance of invoicing or the delivery of prepaid goods or services. You must establish specific business practices at your enterprise if you want to capture these funds in advance. -Split Payment Terms and Amounts Due - -Split payment terms derive different amounts due in each installment of the payment schedule, depending on the setting of the Installment Option field. - -If the base amount is different from the relative amount, and you set the Installment Option field to Allocate tax and freight, Receivables prorates the base amount across the relative amounts of the payment schedule based upon the ratio you define. Receivables uses the following equation to determine the original amount due for each installment: - -Amount Due = Relative Amount/Base Amount * Invoice Amount - -If you set the Installment Option field to Include tax and freight in first installment, the base amount and the relative amounts that you specify for the payment schedule only indicate how the original line amounts of the invoices to which you assign these payment terms are distributed across different installments. - -In this case, the original freight and tax amounts are included in the first installment, in addition to the line amount allocated by the ratio of the base amount and the relative amount that you specify for the first payment. Receivables uses the following equation to determine the original amount due for the first installment: - -Payment Terms Discount Basis - -The payment terms Discount Basis field determines on what basis Receivables calculates the discount amount. -Discount Basis - -Invoice Amount - -Calculates the discount amount based on the sum of the tax, freight, and line amounts of transactions. - -Lines Only - -Calculates the discount amount based on only the line amounts of transactions. - -Lines, Freight Items and Tax - -Calculates the discount amount based on the amount of line items and their freight and tax amounts, but excludes freight and charges at the transaction header level. - -Lines and Tax, not Freight Items and Tax - -Calculates the discount amount based on the line items and their tax amounts, but excludes freight items and their tax lines. -How Discounts Are Calculated - -Receivables uses different formulas to calculate discounts, depending on your setup, the payment terms on the transaction, and the type of payment received. - -Receivables provides formulas for these discount events: - - Maximum Discount - - Earned Discounts and Partial Payments Allowed - - Unearned Discounts with Partial Payment Discounts Allowed - - Earned Discounts with Partial Payment Discounts Not Allowed - - Unearned Discounts and Partial Payments Not Allowed - - Discount on Lines Only - -Maximum Discount - -Receivables uses the following formula to determine the maximum discount amount: - -Maximum Discount = (Amount Due Original) * (Highest Discount Percent - Discount Taken) - -Earned Discounts and Partial Payments Allowed - -If the receipt amount is greater than the remaining amount due, less the discount, Receivables uses the following formula to determine the earned discount: - -Earned Discount = Amount Due Remaining * Discount Percent - -If the receipt amount is either the equal to or less than the remaining amount due, less the discount, Receivables uses the following formula to determine the earned discount: - -Earned Discount = (Receipt Amount * Discount Percent) / (1 - Discount Percent) - -Unearned Discounts with Partial Payment Discounts Allowed - -Receivables uses the following formula to determine unearned discounts if partial payments are allowed: - -Unearned Discount = Maximum Discount - Earned Discount - -Earned Discounts with Partial Payment Discounts Not Allowed - -If the Allow discount on partial payments option on the payment terms isn't enabled, Receivables only takes earned discounts if the receipt amount closes the installment. - -Receivables uses the following formula to determine earned discounts, if partial payment discounts aren't allowed and the receipt amount closes the installment: - -Earned Discount = Amount Due Original * Discount Percent - -Unearned Discounts and Partial Payments Not Allowed - -If the Allow discount on partial payments option on the payment terms isn't enabled, Receivables only takes unearned discounts if the receipt amount closes the installment. - -Receivables uses the following formula to determine unearned discounts, if partial payments aren't allowed and the receipt amount closes the installment: - -Unearned Discount = (Amount Due Original) * (Maximum Discount Percent - Earned Discount) - -Discount on Lines Only - -If the Discount Basis field on the payment terms is set to Lines Only, Receivables doesn't take discounts on receipt amounts applied to tax, freight, or late charges. Receivables uses the following formula to determine the discount amount: - -Line Percent = Discount Percent * (Sum of Lines + Sum of Line Adjustments - Sum of Line Credits) / (Amount Due Original + Sum of Adjustments - Sum of Credits) - -Once you determine the discount line percent, use this as the discount percent in all of these formulas. -Example of Deriving Discount Amounts - -This example illustrates how Receivables derives discount information based on the date of the receipt. - -When you enter receipts manually, Receivables determines whether discounts are allowed based on the payment terms, discount grace days, Receivables system options, transaction date, and the payment terms discount basis date (receipt date, receipt application date, or receipt deposit date). If discounts are allowed, Receivables determines the amount of both earned and unearned discounts, as determined by the details of your setup. -Scenario - -Assume that you're using the following information: - - Unearned Discounts = Yes - - Payment Terms: 10/10, 5/15, Net 30 - - Discount Basis Date: Receipt Date - - Discount Grace Days = 0 - - Calculate Discount on Lines Only = No - - Allow Discount on Partial Payments = Yes - -This table shows the discount details: - -Percent - - -Date - - -On Lines Only - - -On Partial Payments - -5 - - -17-DEC-10 - - -NO - - -YES - -10 - - -12-DEC-10 - - -NO - - -YES - -Assume these invoice details: - - Invoice #101 - - Invoice Date: 02-DEC-10 - - Due Date: 01-JAN-11 - - Amount: $1100 - -The following table displays the default discount amounts based on different receipt application dates. You can also see the amount of earned and unearned discounts that your customers can take. - -Receipt Date - - -Receipt Amount - - -Default Discount Amount - - -Message Line - - -Earned Discount Allowed - - -Unearned Discount Allowed - -From 02-DEC-10 to 12-DEC-10 - - -$990 - - -$110 - - -Discount Earned = 110 - -Total = 110 - - -$110 - - -None - -After 17-DEC-10 - - -$990 - - -0 - -To take the unearned discount, you must update the amount. - - -Discount Earned = 0 - -Total = 110 - - -None - - -$110 - -From 02-DEC-10 to 12-DEC-10 - - -$1000 - -$10 of the receipt is left as Unapplied after the default discount. - - -$110 - - - AutoAccounting Account Types and Segment Values - - Define AutoAccounting to specify how to determine the default general ledger accounts for transactions that you enter manually or import using AutoInvoice. - - You must define AutoAccounting before you can enter transactions in Receivables. When you enter or update transactions, you can override the default general ledger accounts that AutoAccounting creates. - Account Types - - Define an AutoAccounting record for each type of account. You can then assign either a table name or constant value to each segment of the account. - - AutoInvoice Clearing - - The clearing account for imported transactions. Receivables uses the clearing account to hold any difference between the specified revenue amount and the selling price times the quantity for imported invoice lines. Receivables only uses the clearing account if you have enabled this option on the transaction source used for imported transactions. - - Bills Receivable - - The bills receivable account for your transactions. Receivables uses this account when you apply transactions to bills receivable. - - Factored Bills Receivable - - The factored bills receivable account for your bills receivable transactions. - - Freight - - The freight account for transactions. - - Receivable - - The receivable account for transactions. - - Remitted Bills Receivable - - The remitted bills receivable account for your bills receivable transactions. - - Revenue - - The revenue and late charges account for transactions. - - Tax - - The tax account for transactions. - - Unbilled Receivable - - The unbilled receivable account for transactions. Receivables uses this account when the transaction uses the In Arrears invoicing rule. If the revenue scheduling rule on the transaction recognizes revenue before the invoicing rule bills it, Receivables uses this account. - - Unearned Revenue - - The unearned revenue account for transactions. Receivables uses this account when a transaction uses the In Advance invoicing rule. If the revenue scheduling rule on the transaction recognizes revenue after the invoicing rule bills it, Receivables uses this account. - - Unpaid Bills Receivable - - The unpaid bills receivable account for your bills receivable transactions. - Table Names - - Enter either the table name or constant value that you want Receivables to use to retrieve information for each accounting flexfield segment of a given account. - - Enter a constant value instead of a table name if you want AutoAccounting to always use the same value for a given segment.You must ensure that you enter valid information for this segment. - - For example, if you defined your Company segment as a two-character segment with valid values ranging from 00 to 10, you must only enter a two-character value within this range. - - Bill-to Site - - Use the bill-to site of the transaction to determine this segment of revenue, freight, receivable, AutoInvoice clearing, tax, unbilled receivable, and unearned revenue accounts. - - Drawee Site - - Use the drawee site table to determine this segment of your bills receivable, factored bills receivable, remitted bills receivable, and unpaid bills receivable account. - - Remittance Banks - - Use the remittance banks table to determine this segment of your factored bills receivable and remitted bills receivable account. - - Salesperson - - Use the salesperson table to determine this segment of revenue, freight, receivable, AutoInvoice clearing, tax, unbilled receivable, and unearned revenue accounts. - - If you select this option for AutoInvoice clearing, tax, or unearned revenue accounts, Receivables uses the revenue account associated with the salesperson on the transaction. If you select this option for the unbilled receivable account, Receivables uses the receivable account associated with the salesperson on the transaction. - - If the transaction has a line type of Line with an inventory item of Freight, AutoAccounting uses the revenue scheduling rules for the freight account rather than the revenue account. - - Standard Lines - - Use the memo line or inventory item on the transaction to determine this segment of revenue, AutoInvoice clearing, freight, tax, unbilled receivable, and unearned revenue accounts. - - If you select this option for AutoInvoice clearing, freight, tax, unbilled receivable or unearned revenue accounts, Receivables uses the revenue account associated to the memo line item or inventory item. - - If the transaction has a line type of Line with an inventory item of Freight, AutoAccounting uses the revenue scheduling rules for the freight account rather than the revenue account. - - Tax - - Use the tax account assigned to the tax rate codes on the transaction. - - Transaction Types - - Use the transaction types table to determine this segment of revenue, freight, receivable, AutoInvoice clearing, tax, unbilled receivable, and unearned revenue accounts. - - If the transaction has a line type of Line with an inventory item of Freight, AutoAccounting uses the revenue scheduling rules for the freight account rather than the revenue account. - - - - -Discount Earned = 110 - -Total = 110 - - -$110 - - -None - -From 13-DEC-10 to 17-DEC-10 - - -$1000 - -After the default discount of $52.63, the receipt is fully applied. However, a balance of $47.37 remains on the invoice. - - -$52.63 - -To take the unearned discount, you must update the amount. - - -Discount Earned = 52.63 - -Total = 110 - - -$52.63 - - -$57.37 - -After 17-DEC-10 - - -$1000 - -Since there's no default discount, the receipt is fully applied. A balance of $100 remains on the invoice. - - -0 - -To take the unearned discount, you must update the amount. - - -Discount Earned = 0 - -Total = 110 - - -None - - -$110 - -What's the difference between balance forward payment terms and other payment terms? - -Balance forward billing payment terms pass the balance forward billing cycle to the Create Balance Forward Bill process. The billing cycle determines when customer balance forward bills are generated. - -Because balance forward bills can't be split across installments, all settings related to installments on balance forward billing payment terms are disabled. You can't change existing payment terms back and forth for use as both non-balance forward billing and balance forward billing payment terms. -Guidelines for Creating an AutoAccounting Structure - -To implement AutoAccounting, you first define your AutoAccounting structure and then define information for each salesperson, transaction type, product, and tax rate code in order for AutoAccounting to properly create your default accounts. - -You must define your AutoAccounting structure before you can enter invoices and credit memos, and you can only define one structure for each account type. During transaction creation, if AutoAccounting can't determine all of the accounting flexfield segments, it derives what it can and displays an incomplete accounting flexfield. You must provide any missing accounting flexfield information before you can complete a transaction. - -Review these guidelines for each account type when creating your AutoAccounting structure: - - AutoInvoice Clearing Account - - Freight Account - - Receivable Account - - Revenue Account - - Tax Account - - Unbilled Receivable Account - - Unearned Revenue Account - - Available Information for Each Account - -This table indicates the information that you can use to create each type of account. (Rec) and (Rev) indicate whether the account information is taken from the corresponding Receivables or Revenue accounting flexfield. - -Information Source / AutoAccounting Type - - -Constant - - -Customer Bill-to Site - - -Salesperson - - -Transaction Type - - -Standard Item - - -Tax Rate Code - -AutoInvoice Clearing - - -Yes - - -Yes - - -Yes (Rev) - - -Yes - - -Yes (Rev) - - -No - -Freight - - -Yes - - -Yes - - -Yes - - -Yes - - -Yes (Rev) - - -No - -Receivable - - -Yes - - -Yes - - -Yes - - -Yes - - -No - - -No - -Revenue - - -Yes - - -Yes - - -Yes - - -Yes - - -Yes - - -No - -Tax - - -Yes - - -Yes - - -Yes (Rev) - - -Yes - - -Yes (Rev) - - -Yes - -Unbilled Receivable - - -Yes - - -Yes - - -Yes (Rec) - - -Yes - - -Yes (Rev) - - -No - -Unearned Revenue - - -Yes - - -Yes - - -Yes (Rev) - - -Yes - - -Yes (Rev) - - -No - -Notes on the table: - - If AutoAccounting for the AutoInvoice Clearing, Tax, Unbilled Receivable, or Unearned Revenue account is based on Standard Item, Receivables uses the segment from the standard item Revenue accounting flexfield. - - If AutoAccounting for the AutoInvoice Clearing, Tax, or Unearned Revenue account is based on Salesperson, Receivables uses the segment from the salesperson Revenue accounting flexfield. - - If AutoAccounting for Unbilled Receivable is based on Salesperson, Receivables uses the segment from the salesperson Receivable accounting flexfield. - - If the AutoInvoice Clearing, Revenue, Tax, Unbilled Receivable, or Unearned Revenue account is based on Salesperson, and there are multiple salespersons on the transaction, then Receivables creates separate distributions for each salesperson. - -AutoInvoice Clearing Account - -During AutoInvoice processing, Receivables uses the AutoInvoice clearing account to store any differences between the specified revenue amount and the (price * quantity) for imported invoice lines. - -Receivables only uses the AutoInvoice clearing account if you enabled the Create clearing option on the transaction source assigned to imported transactions. However, you must define a clearing account whether or not you enable this option. - -You can use constant value, customer bill-to site, salesperson, transaction type, and standard item for your AutoInvoice clearing account. If you select salesperson or standard item, Receivables uses the specified Revenue accounting flexfield. -Freight Account - -The freight account controls the account in general ledger to which you post freight amounts. You can use constant value, customer bill-to site, salesperson, transaction type, and standard item to specify your freight account. - -If you choose standard item, Receivables uses the specified Revenue accounting flexfield. In addition, you can't import transactions with header-level freight through AutoInvoice. - -If the transaction has a line type of LINE with an inventory item of freight, AutoAccounting uses the revenue scheduling rules for the freight account rather than the revenue account. -Receivable Account - -The receivable account controls the account in your general ledger to which you post receivable amounts. You can use transaction type, customer bill-to site, salesperson, and constant value to specify your receivable account. -Revenue Account - -The revenue account controls the account in your general ledger to which you post your revenue amounts. You can use transaction type, customer bill-to site, standard item, salesperson, and constant value to specify your revenue account. -Tax Account - -The tax account controls the account in your general ledger to which you post tax amounts. You can use tax rate codes, customer bill-to site, salesperson, transaction type, standard item, and constant value to specify your tax account. - -If you select salesperson or standard item, Receivables uses the specified Revenue accounting flexfield. -Unbilled Receivable Account - -Receivables uses the unbilled receivable account for transactions that have invoicing and revenue scheduling rules. Whenever the revenue scheduling rule recognizes revenue on the transaction before the invoicing rule bills for the transaction, Receivables posts this amount to the unbilled receivable account. - -You can select constant value, customer bill-to site, salesperson, transaction type, and standard item for your unbilled receivable account. - -If you select standard item, Receivables uses the specified Revenue accounting flexfield. If you select salesperson, Receivables uses the salesperson Receivable accounting flexfield. -Unearned Revenue Account - -Receivables uses the unearned revenue account for transactions that have invoicing and revenue scheduling rules. Whenever the revenue scheduling rule recognizes revenue on the transaction after the invoicing rule bills for the transaction, Receivables posts this amount to the unearned revenue account. - -You can select constant value, customer bill-to site, salesperson, transaction type, and standard item for your unearned revenue account. - -If you select salesperson or standard item, Receivables uses the specified Revenue accounting flexfield. - - - -Options for Posted and Non-Posted Activities using Transaction Types - -Use the Open Receivable and Post to GL options on the transaction type to manage posted and non-posted activities on transactions. - -If the Open Receivable option is enabled, Receivables updates your customer balances each time you create a complete debit memo, credit memo, chargeback, or on-account credit with this transaction type. Receivables also includes these transactions in the standard aging and collection processes. - -If the Post to GL option is enabled, Receivables posts transactions with this transaction type to general ledger. If this option isn't enabled, then no accounting is generated for transactions with this transaction type. - -Considerations for defining transaction types include: - - Void Transaction Type - - Updates to Customer Accounts and Aging - - Updates to Accounting Only - -Void Transaction Type - -You can void a debit memo, credit memo, on-account credit, or invoice by defining a Void transaction type and assigning it to the transaction. To define a Void transaction type, set the Open Receivable and Post to GL options to No. You can void a transaction by changing the transaction type to Void provided: - - No activity exists against the transaction. - - Transaction hasn't posted to general ledger. - -This activity isn't included in the Review Customer Account Details page since the activity doesn't modify the customer balance. -Updates to Customer Accounts and Aging - -If you set the Open Receivable option to Yes and the Post to GL option to No, Receivables updates customer accounts with the transaction activity of transactions assigned this transaction type. This has no effect on accounting. - -Use transaction types with these settings during your initial implementation, where the transaction amount is included in the general ledger beginning balance for the receivable account, but activity still needs to be aged and payment collected against it. All related activities against the transaction, such as credit memos, payments, and adjustments, are accounted as affecting the customer balance. You can review these activities on the Review Customer Account Details page. -Updates to Accounting Only - -If you set the Open Receivable option to No and Post to GL option to Yes, Receivables updates accounting without any impact on the customer balance. - -Use transaction types with these settings when you want to adjust accounting activity, such as when you rebill a customer in order to reclassify the general ledger account. A credit memo and invoice with the Open Receivable option set to No are created where the credit memo reverses the general ledger account of the original invoice, and the invoice creates accounting with the new general ledger account. This activity is transparent to the customer because the original invoice is used for the cash application when payment is received. - -This activity isn't included in the Review Customer Account Details page since the activity doesn't modify the customer balance. - -Transactions with the Open Receivable option set to No appear in the Other Accounting section of the Receivables to General Ledger Reconciliation Report, even though transactions post to Receivables accounts assigned the financial category of Accounts Receivable. -Natural Application and Overapplication - -The transaction type that you assign to a transaction defines the type of application permitted against the transaction balance. This definition is managed by the Natural Application Only and Allow Overapplication options on the transaction type. - -Natural application only lets you apply a payment or credit to a transaction that brings the transaction balance close to or equal to zero. For example, if an invoice has a balance due of $400, you can make applications against this transaction up to $400 only. With natural application, you can only bring the balance to zero. - -Overapplication lets you apply more than the balance due on a transaction. For example, if you apply a $500 receipt to a $400 invoice, this overapplies the invoice by $100 and reverses the balance sign from positive to negative. -Use of Natural Application and Overapplication - -Whether or not a transaction allows overapplication determines the actions that you can take on that transaction. - -If a transaction that allows natural application only is paid in full, then in order to credit the transaction you must first unapply the receipt from the transaction before creating the credit. - -If you want to use AutoInvoice to import credit memos against paid invoices and evaluate these credits for automatic receipt handling, then the transaction type of the paid invoices must allow natural application only. However, if the Receipt Handling for Credits option isn't enabled on the transaction source of the transaction, AutoInvoice leaves the related credit memo in the interface tables until you unapply the receipt from the invoice. -Guidelines for Transaction Type Reference Accounts - -Define the accounting for transaction types of class Invoice, Chargeback, Credit Memo, and Debit Memo. Receivables uses this information along with your AutoAccounting definition to determine the accounts to use for transactions with the applicable transaction type. -Revenue - -Enter a revenue account, unless the transaction type doesn't allow freight. - -If the Invoice Accounting Used for Credit Memos profile option is set to No, then a revenue account isn't required for Credit Memo transaction types. -Freight - -Enter a freight account, unless the transaction type doesn't allow freight. -Receivable - -Enter a receivable account for all transaction types. - -If the Post To GL option on the transaction type is enabled, Receivables creates a receivable transaction record using this account in order to transfer accounting to general ledger and create a journal entry. - -For Chargeback transaction types, enter the Receivable Chargeback account. The offset to the receivable account on the original debit transaction is generated by the chargeback adjustment. - -If the Invoice Accounting Used for Credit Memos profile option is set to No, then a receivable account isn't required for Credit Memo transaction types. -AutoInvoice Clearing - -If this is an Invoice or Debit Memo transaction type, enter an AutoInvoice clearing account. Receivables uses this account to hold any difference between the revenue amount specified for the revenue account and the selling price times the quantity for imported invoice lines. - -Receivables only uses the AutoInvoice clearing account for imported transactions that have a transaction source with the Create clearing option enabled. If the Create clearing option isn't enabled, then AutoInvoice requires that the revenue amount on the invoice be equal to the selling price times the quantity, or the invoice is rejected. -Tax - -If this is an Invoice, Credit Memo, or Debit Memo transaction type, enter a tax account. -Unbilled Receivable - -If this is an Invoice or Credit Memo transaction type, enter an unbilled receivable account. This account is for transactions that use the In Arrears invoicing rule. -Unearned Revenue - -If this is an Invoice or Credit Memo transaction type, enter an unearned revenue account. This account is for transactions that use the In Advance invoicing rule. - - -How can I arrange the creation of transaction types? - -Create transaction types for each transaction class, and create them in a way that can account for dependencies between transaction types. - -Create your transaction types in the following order: - - Credit memo transaction types - - Invoice transaction types - - Debit memo transaction types - - Chargeback transaction types - -If applicable, create the transaction types that you want to add to your transaction sources before creating transaction sources. - -If you're using late charges, create a transaction type with a class of Debit Memo to present late charges as debit memos, and a transaction type with a class of Invoice to present late charges as interest invoices. Specify the receivable and revenue accounts for these transaction types. Receivables uses these accounts instead of AutoAccounting when generating late charges. -How can I use transaction types to review and update customer balances? - -Use the Open Receivable option on the transaction type to implement an approval cycle for any temporary or preliminary transactions. - -For example, if you have particularly sensitive debit memos, credit memos, on-account credits, chargebacks, or invoices that you want to review after creation, you can define a transaction type called Preliminary with Open Receivable set to No and assign it to the applicable transactions. This transaction type doesn't update your customer balances. - -Once you review and approve these transactions, you can define a transaction type called Final with Open Receivable set to Yes and assign it to the same transactions. This will now update your customer balances on these transactions. - - -Guidelines for Transaction Numbering - -Use the various options on the transaction source assigned to a transaction to manage your transaction numbering requirements. - -Refer to these guidelines when defining transaction numbering for transactions assigned to specific transaction sources: - - Document Sequences - - Automatic Transaction Numbering - - Copy Document Numbers to Transaction Numbers - - Allow Duplicate Transaction Numbers - - Credit Memo Transaction Source - -Document Sequences - -If necessary, define document sequences to assign unique numbers to each transaction, in addition to the transaction number assigned automatically. - -Ensure that the necessary setups for document sequences are completed, according to your requirements. -Automatic Transaction Numbering - -To automatically number new transactions you create using a transaction source, enable the Automatic transaction numbering option and enter a number in the Last Number field. - -For example, to start numbering transactions with 1000, enter a last number of 999. Receivables automatically updates the Last Number fields on transaction sources, so you can review the transaction source later to see the last transaction number that was generated. -Note - -The last transaction number on the transaction source is an approximation only, due to caching. - -You can use automatic transaction numbering with both Imported and Manual transaction sources. -Copy Document Numbers to Transaction Numbers - -If you're using document sequences and you want to use the same number as both the document number and the transaction number for transactions assigned to a transaction source, enable the Copy document number to transaction number option. - -If you're using Gapless document sequences, you should enable this option if you require gapless transaction numbering. This ensures that transaction numbers are generated sequentially with no missing numbers. -Allow Duplicate Transaction Numbers - -Enable the Allow duplicate transaction numbers option to allow duplicate transaction numbers within a transaction source. - -This option is for manual transaction numbering only. -Credit Memo Transaction Source - -Assign a credit memo transaction source to an invoice transaction source, if you want to number credit memos differently from the invoices that they credit. -AutoInvoice and Sales Credit Information - -During AutoInvoice processing, whether you must provide sales credit information on imported transaction lines depends on the settings of the Allow sales credits option on the transaction source and the Require salesperson Receivables system option. - -These are the requirements for passing sales credit information on imported transaction lines: - - If the Require salesperson system option and the Allow sales credits option on the transaction source are both enabled, you must provide sales credit information. - - If the Require salesperson system option isn't enabled and the Allow sales credits option on the transaction source is enabled, you can provide sales credit information, but it isn't required. - - If the Require salesperson system option is enabled and the Allow sales credits option on the transaction source isn't enabled, you must provide sales credit information. - - If neither the Require salesperson system option nor the Allow sales credits option on the transaction source are enabled, you can't provide sales credit information. AutoInvoice ignores any values that you pass. - -How AutoInvoice Validates Imported Transactions - -Use the AutoInvoice Options and Import Information sections of an Imported transaction source to define how AutoInvoice validates imported transaction lines. - -You don't have to pass values for all of the fields that are referenced in the transaction source. If you don't want AutoInvoice to pass certain data, then where available you can set the related option to None. -Note - -Even if you set a transaction source data option to None in order to avoid importing this information into the interface tables, AutoInvoice can still validate and reject transaction lines with invalid data. -Settings That Affect the Validation of Imported Transactions - -These settings affect the validation of imported transactions: - - Invalid Line field: Indicate how AutoInvoice handles imported transactions with invalid lines by selecting either Reject Invoice or Create Invoice. - - If you select Reject Invoice, AutoInvoice doesn't import this transaction or any of its lines into the interface tables. - - If you select Create Invoice, AutoInvoice creates a transaction with valid lines only. For example, you import an invoice with three invoice lines and one of the lines is invalid. AutoInvoice creates the invoice with the two valid lines only and rejects the invalid line. You can use the Edit Transaction page to add the rejected line. - - Accounting Date in a Closed Period field: Indicate how AutoInvoice handles imported transactions that have lines in the interface lines table that are in a closed accounting period. - - Select Adjust to have AutoInvoice automatically adjust the accounting dates to the first accounting date of the next open or future enterable period. - - Select Reject to reject these transaction lines. - - In the Import Information sections, where applicable select Number, Value, Segment, or ID for each option to indicate how AutoInvoice validates information: - - Select Number to import a record into the interface tables using its assigned number. - - Select Value to import a record into the interface tables using its actual name. - Note - - Use Value if you intend to use the transaction source to import data from a non-Oracle system. - - Select Segment to use the flexfield segment. - - Select ID to use the internal identifier of the record. - - Select Amount or Percent to indicate how AutoInvoice validates Sales Credits and Revenue Account Allocations on transaction lines. - -How Imported Transactions Are Validated - -AutoInvoice validates imported transactions based on the settings of the assigned Imported transaction source. Transactions that fail validation appear in the Import AutoInvoice Validation report. - -AutoInvoice ensures that certain column values agree with each other. These values can be within an interface table or multiple interface tables. For example, if the transaction source indicates that a revenue scheduling rule can't be used, AutoInvoice ignores any values passed for invoicing rule, revenue scheduling rule, and revenue scheduling rule duration. - -AutoInvoice performs these validations on transaction lines with revenue scheduling rules: - - Requires that these transactions also include an invoicing rule, if you import transactions that use revenue scheduling rules. - - Rejects lines, if the revenue scheduling rule has overlapping periods. - - Rejects lines, if the designated accounting periods don't exist for the duration of the revenue scheduling rule. - -How You Implement CPQ Cloud and Receivables Processing - -Set up CPQ Cloud and Receivables to enable the integrated quote-to-cash cloud service. This integrated service lets you manage the entire process of quote, pricing, order entry, credit checking, and invoicing. - -To set up the CPQ Cloud/Receivables integration service, perform one or more of these tasks: - - Set up CPQ Cloud and CPQ Cloud data. - - Set up Receivables transaction sources. - - Set Up for multiple CPQ Cloud Instances. - -Set Up CPQ Cloud - -Perform the necessary setups in CPQ Cloud using the CPQ Administration pages. - -Create a data table definition for each of the integration services used by the CPQ Cloud/Receivables quote-to-cash cloud service: - - Credit Check Service: Service that verifies customer creditworthiness. - - Receivables Invoice Service: Service that transfers order lines from CPQ Cloud to the AutoInvoice interface tables in Receivables. - -Each data table definition includes these attributes: - - Endpoint URL: The URL to use to contact the service. - - User Name: The valid user name recognized by the service. - - Password: The accompanying password for the valid user. - -Set Up the CPQ Cloud Transaction Source - -Receivables provides an Imported transaction source under the Common reference data set to use to configure the CPQ Cloud/Receivables integrated service. - -Use this transaction source to: - - Manage the transfer of transaction information from CPQ Cloud to the AutoInvoice interface tables. - - Manage the Call Back service to send Receivables transaction information to CPQ Cloud after the transactions are created. - -To set up the transaction source for CPQ Cloud: - - Navigate to the Edit Transaction Source page. - - Open the CPQ Cloud transaction source. - - If applicable, enter the legal entity. - - If applicable, update the From Date and To Date fields. - - In the Oracle CPQ Cloud Integration section, check the Enabled option. - - Click the Define button to open the Define Endpoint Policy window. - - In the URL field, enter the URL to use to contact the Call Back service. - - In the Security Policy field, enter oracle/wss_username_token_over_ssl_client_policy. - - In the User Name field, enter the user name to use for the Call Back service. - - In the Password field, enter the accompanying password for the valid user. - - Click the Save and Close button to exit the Define Endpoint Policy window. - - Save and close the Edit Transaction Source page. - -Set Up for Multiple CPQ Cloud Instances - -If you plan to have more than one CPQ Cloud instance sending data to Receivables, you must represent each CPQ instance as a business unit and define a transaction source for each instance. - -To set up for multiple CPQ Cloud instances: - - Define one reference data set for each CPQ Cloud instance. - - Associate this reference data set to the business unit for the reference object transaction source. - - Create a transaction source for each reference data set: - - Open the Create Transaction Source page. - - In the Transaction Source Set field, select the applicable reference data set for the business unit. - - If applicable, enter the legal entity. - - In the Name and Description fields, enter a name and description for this transaction source. - - In the Type field, select Imported. - - If applicable, update the From Date and To Date fields. - - Complete the remaining fields in the transaction source with the same settings as the predefined transaction source. - - In the Oracle CPQ Cloud Integration section, check the Enabled option and complete the endpoint policy. - - Save and close the Create Transaction Source page. - -What do I create before creating transaction sources? - -You may want to create certain records before creating your transaction sources. - -You can optionally create these objects for Manual or Imported transaction sources: - - Transaction types: Define the transaction types that you want to appear by default on transactions assigned to your transaction sources. You select the transaction type you want for a transaction source in the Standard Transaction Type field. - - Credit memo transaction source: Define one or more transaction sources for credit memos before you define a transaction source for invoices. You then select a credit memo transaction source to accompany the invoice transaction source in the Credit Transaction Source field. - - You can use credit memo transaction sources in these ways: - - Number the credit memos created against invoices differently from the invoices they're crediting. - - Create a manual credit memo transaction source for credit memo request approvals, when the approved credit memo amount is greater than the open balance on the invoice. For these transaction sources, set the Receipt Handling for Credits option to On Account. - -You can optionally create these objects for Imported transaction sources only: - - Invoice Transaction Flexfield: Define the reference information that you want to capture in the Invoice Transaction Flexfield and display on imported transactions, such as a purchase order number. - - AutoInvoice grouping rule: Define the grouping rule to appear by default on imported transaction lines. - - AutoInvoice clearing account: Define an AutoInvoice clearing account, if you intend to enable the Create clearing option. AutoInvoice puts any difference between the revenue amount and the selling price times the quantity for a transaction into this account. - -How can I manage credit memos with transaction sources? - -Special conditions may apply to the creation of transaction sources for credit memos. - -Review these considerations for transaction sources assigned to credit memos: - - Define Manual transaction sources for credit memos created by the credit memo request approval process. - - Define credit memo transaction sources to assign to invoice transaction sources using the Credit Transaction Source field. Use credit memo transaction sources on invoice transaction sources under these conditions: - - Number the credit memos created against invoices differently from the invoices they're crediting. - - Create a manual credit memo transaction source for credit memo request approvals, when the approved credit memo amount is greater than the open balance on the invoice. For these transaction sources, set the Receipt Handling for Credits option to On Account. - - Enable the Copy transaction information flexfield to credit memo option on Manual transaction sources used for credit memos, to copy the Invoice Transaction Flexfield reference information to the credit memo crediting the invoice. - - Select the transaction type to assign to the invoice using the Standard Transaction Type field, if the credit memo transaction source requires invoice transaction types that use natural application only. - -What happens if I don't enter an AutoInvoice grouping rule? - -Assign the AutoInvoice grouping rule to Imported transaction sources that AutoInvoice uses to group imported transaction lines. - -If you don't assign a grouping rule to an Imported transaction source, AutoInvoice uses the following hierarchy to determine which rule to use: - - Grouping rule assigned to the transaction source of the transaction line. - - Grouping rule assigned to the bill-to customer site profile of the transaction line. - - Grouping rule assigned to the bill-to customer profile of the transaction line. - - Grouping rule assigned to Receivables system options. - -What happens if I don't create a clearing account? - -If you don't use an AutoInvoice clearing account, but you enable the Create clearing option on the transaction source, the revenue amount must equal (Selling Price * Quantity) for all transactions AutoInvoice processes. AutoInvoice rejects transaction lines that don't meet this requirement. - -Revenue Accounts and Memo Lines - -You can optionally associate a revenue account with a memo line. - -If AutoAccounting depends on memo line, Receivables uses the revenue account segment values defined for the memo line, in combination with the rest of your AutoAccounting structure, to determine the default revenue, freight, AutoInvoice clearing, tax, unbilled receivable, unearned revenue, and receivable accounts for invoices that include the memo line. - -When you create a debit memo or on-account credit memo with memo lines, Receivables uses the revenue account from the original receivable item as the credit account. However, when you create debit memo reversals or chargebacks, Receivables uses instead the revenue flexfield from the original receivable item as the credit account. -When do I use memo lines? - -Use memo lines when the item isn't an inventory item. For example, you can define a memo line called Consulting Services to identify charges for consulting activities. You can assign memo lines to debit memos, on-account credits, debit memo reversals, chargebacks, and invoices. - -How can I use tax memo lines? - -You can only use tax memo lines if your tax definition lets you enter manual tax lines on transactions. After you enter a tax memo line on a transaction, you can specify the amount of tax to assign to the transaction line. - -How You Create a Remit-to Address - -Create remit-to addresses to specify on transactions and statements where your customers are to send payment for their open receivables. - -Considerations for remit-to addresses include: - - Receivables system options > Billing and Revenue tab: You can set these Receivables system options as part of your remit-to address setup: - - Print remit-to address option: Enable this option to print remit-to addresses on your customer statements. - - Print home country option: Enable this option to print your home country on transactions and statements with addresses in that country. - - Default Country field: Select the country to assign by default to the remit-to addresses you create. - - Reference data set: Remit-to addresses belong to a reference data set. You can assign remit-to addresses to the Common set or to business unit-specific sets. - - Receipt from Criteria section: Use this section to assign remit-to addresses by default to the transactions and statements of specific customer bill-to sites. - -Note -A remit-to address is required on all Receivables transactions. If you don't set up default remit-to addresses for customer transactions, the Remit-to Address field remains blank on the transaction. You can't update and save any fields on the transaction or complete the transaction without entering a remit-to address. You must ensure that you enter a remit-to address before updating any other fields on the transaction. In the Edit Transaction page, click the Show More link, navigate to the Payment tab, and enter a remit-to address. - -To create a remit-to address: - - Navigate to the Create Remit-to Address page. - - In the Remit-to Address Set field, select a reference data set. - - The Country field displays the default country defined in Receivables system options. If necessary, select another country for the remit-to address. - - If you select another country, this may update the required and optional address fields. You may also need to select the reference data set again. - - Enter the address details and save. You return to the Manage Remit-to Addresses page. - - In the Manage Remit-to Addresses page, search for and select the remit-to address you just created. - - In the Receipt from Criteria section, click the Create (+) icon to open the Create Receipt from Criteria window for the remit-to address. - - Use this window to assign the remit-to address to customer bill-to sites. - - In the Country field, select the country you want. By default, the remit-to address is assigned to all customer bill-to sites defined in this country. - - If necessary, use the State and Postal Code fields to restrict the remit-to address assignment to specific regions of the country. - - Save your work. - -How can I use remit-to addresses? - -The remit-to address lets your customers know where to send payment for their open debit items. - -After you create a remit-to address, you can assign it to the bill-to addresses of the customers and customer sites that you designate by country and, if applicable, by region and postal code range. - -If the Print remit-to address Receivables system option is enabled, the remit-to address is printed on the related customer dunning letters and statements. -How does AutoInvoice validate remit-to addresses? - -During the import process, AutoInvoice rejects all invoices for which it can't determine a remit-to address. - -In order for AutoInvoice to import an invoice, you must either define a remit-to address for the geographical location of each applicable bill-to site or define a remit-to address to use as default for one or more locations. -How can I define a default remit-to address? - -Create or select a remit-to address, then open the Receipts from Criteria window. Select the country that you want to assign to this remit-to address. - -If you only select a country, then all customer bill-to sites in this country are assigned this remit-to address. - -If you want to assign this remit-to address to specific locations within the country, you can optionally select a state or region within the country, and a range of postal codes. -Why did the country appear? - -When you create a remit-to address, a country appears by default if one was defined in Receivables system options. You can change the default to the applicable country of the remit-to address. - -Why do I verify the address? - -If you have Trading Community Data Quality installed, you can expose a Verify Address button on the Create and Edit Remit-to Address pages for applicable countries. - -After you enter a remit-to address, use the Verify Address button to confirm that the address is in the Trading Community Model registry. If the address doesn't exist, Receivables either presents alternative addresses or lets you optionally add the address you entered to the registry. -Create a Shared Service Model in Receivables - -Use service provider relationships to create a shared service model in Receivables to centralize the processing of customer payments. - -In the shared service model, you define one servicing business unit for customer payments. You then create a service provider relationship between this servicing business unit and one or more client billing business units. -Note - -All business units must belong to the same ledger. - -Once you define this relationship, the servicing business unit can receive and process payments for all of its client billing business units. The shared service model for centralized customer payment processing supports all receipt creation methods in Receivables: - - Manual receipts. - - Receipts uploaded using a spreadsheet. - - Lockbox receipts. - - Automatic receipts. - -Receivables provides additional functionality for cross-business unit receipt processing, to facilitate the processing of customer payments: - - Allow a billing business unit outside the service provider relationship to have payments for its transactions processed by any other business unit in the same ledger. - - Allow an individual receipt to be applied to transactions of any business unit in the same ledger. - -Perform these procedures to manage shared services in Receivables: - - Define Customer Payments Service Providers - - Define Receivables System Options for Cross-Business Unit Receipt Processing - - Enable a Receipt for Cross-Business Unit Processing - -Define Customer Payments Service Providers - -Perform the steps in this procedure to define a servicing business unit and client billing business units. - - Create a servicing business unit and client business units. - - Assign the appropriate business functions to each business unit: - - Open the Assign Business Functions page for the servicing business unit. - - Assign business functions to the servicing business unit. At a minimum, you must assign the servicing business unit the Customer Payments business function. - - Save your work. - - Open the Assign Business Functions page for the first client business unit. - - Assign business functions to the client business unit. At a minimum, you must assign the client business unit the Billing and Revenue Management business function. - - Save your work. - - Repeat steps 4 to 6 for each client business unit. - - Assign the servicing business unit to each client business unit: - - From the Manage Service Provider Relationships task, open the Manage Service Providers page for the first client business unit. - - In the Customer Payments Service Providers section, click the Add icon. - - In the Search and Select window, select the servicing business unit. - - Save your work. - - Repeat steps 1 to 4 for each client business unit. - -Define Receivables System Options for Cross-Business Unit Receipt Processing - -Perform the steps in this procedure to allow a billing business unit outside the service provider relationship to have payments for its transactions processed by any other business unit in the same ledger. - - From the Manage Receivables System Options task, open the Edit System Options page for the business unit that you want. - - Navigate to the Billing and Revenue tabbed region. - - Enable the Allow any business unit to process receipts option. - - Save your work. - - This business unit can now have payments for its transactions processed by any other business unit in the same ledger. - -Enable a Receipt for Cross-Business Unit Processing - -Perform the steps in this procedure to apply an individual receipt to one or more transactions belonging to any business unit in the same ledger. - - Use the Create Receipt page to create a new receipt or the Edit Receipt page to open an unapplied receipt. - - In the Application tabbed section, click the Add Open Receivables button. - - In the Add Open Receivables window, enable the Include transactions from all business units option. - - Search for and select the transactions that you want to apply to the receipt. You can select transactions from any business unit in the same ledger. - - Click the Add button and then the Done button. - - If necessary, update the figure in the Applied Amount field for each applicable transaction. - - Click the Save button to apply the receipt to the selected transactions. - - -Rules of the Application Rule Set - -When you apply a receipt or credit memo to a transaction, the application rule set determines how Receivables reduces the open balance of the line, tax, freight, and late charge amounts on a transaction. - -Receivables uses the application rule set assigned to the transaction type to process payment applications. If no application rule set is assigned to the transaction type, then the application rule set assigned to Receivables system options is used. - -You can arrange the order of the line types and application rules in an application rule set according to your needs. Each line type must appear in an application rule set, and appear only once. The Overapplication rule is always last in the sequence. -Line First - Tax After Rule - -The Line First - Tax After rule first applies the payment to open line amounts, and then applies the remaining amount to the associated tax. - -If the payment is greater than the sum of the open line and tax amounts, Receivables attempts to close each remaining open item by applying the remaining amount in the following order, stopping when the payment has been fully applied: - - Freight - - Late charges - -After the payment is fully applied, if a receipt amount remains, this amount is managed by the Overapplication rule. -Line and Tax Prorate - -The Line and Tax Prorate rule applies a proportionate amount of the payment to open line and tax amounts for each line. - -If the payment is greater than the sum of the open line and tax amounts, Receivables attempts to close each remaining open item by applying the remaining amount in the following order, stopping when the payment has been fully applied: - - Freight - - Late charges - -After the payment is fully applied, if a receipt amount remains, this amount is managed by the Overapplication rule. -Prorate All - -The Prorate All rule applies a proportionate amount of the payment to each open amount associated with a debit item (any line, tax, freight, and late charge amounts for this item). - -Receivables uses the following formula to determine the applied amount: - -Applied Amount = open application line type amount / sum of application line types in rule details * Receipt Amount - -After the payment is fully applied, if a receipt amount remains, this amount is managed by the Overapplication rule. -Overapplication Rule - -The Overapplication rule is always the last rule in an application rule set. This rule manages any remaining receipt amount after the open balance of all transaction lines has been reduced to zero. - -If the transaction type for the debit item allows overapplication, Receivables applies the remaining amount to transaction lines, making the balance due negative. If the transaction type for the debit item doesn't allow overapplication, you can either place the remaining amount on-account or leave it unapplied. - -Examples of Using Application Rules - -These examples show how each application rule in an application rule set applies a payment to a transaction. - -Invoice 123 contains these details: - -Field - - -Value - -Line - - -$1000 - -Tax - - -$140 - -Freight - - -$200 - -Total - - -$1340 - -Your customer remits a partial payment of $1040 for this invoice. This table shows how Receivables applies the payment using each of the three application rules: - -Application Rule - - -Total Amount Applied - - -Line Amount Applied - - -Tax Amount Applied - - -Freight Amount Applied - -Line First - Tax After - - -1040 - - -1000 - - -40 - - -0 - -Line and Tax Prorate - - -1040 - - -912.28 - - -127.72 - - -0 - -Prorate All - - -1040 - - -776.12 - - -108.66 - - -155.22 - -This table shows the calculations used by each application rule: - -Application Rule - - -Calculations - -Line First - Tax After - - - Apply payment to open line amount. - - Apply any remaining amount to tax. - -Line and Tax Prorate - - - (1040/1140) * 1000 = 912.28 (Receipt Amount / Total Line and Tax) * Line Amount = Line Amount Applied - - (1040/1140) * 140 = 127.72 (Receipt Amount / Total Line and Tax) * Open Tax Amount = Tax Amount Applied - -Prorate All - - - (1040/1340) x 1000 = 776.12 (Receipt Amount / Invoice Total) * Open Line Amount = Line Amount Applied - - (1040/1340) x 140 = 108.66 (Receipt Amount / Invoice Total) * Open Tax Amount = Tax Amount Applied - - (1040/1340) x 200 = 155.22 (Receipt Amount / Invoice Total) x Open Freight Amount = Freight Amount Applied - -Line First - Tax After - -The Line First - Tax After rule first applies the payment to the line amount, reducing the balance due to zero. Receivables then applies the remaining amount ($40) to the tax charges, reducing the open tax amount to $100. Since the payment isn't enough to close these items, the freight balance isn't affected. - -This table compares each line type before and after you apply an amount using the Line First - Tax After rule: - -Transaction Amount - - -Remaining Amount - - -Line Items - - -Line Items Remaining - - -Tax - - -Tax Remaining - - -Freight - - -Freight Remaining - -$1340 - - -$300 - - -$1000 - - -$0 - - -$140 - - -$100 - - -$200 - - -$200 -Line and Tax Prorate - -The Line and Tax Prorate rule applies a proportionate amount to the open line and tax charges. Since the amount applied isn't enough to close these items, the freight balance isn't affected. - -This table compares each line type before and after you apply an amount using the Line and Tax Prorate rule: - -Transaction Amount - - -Remaining Amount - - -Line Items - - -Line Items Remaining - - -Tax - - -Tax Remaining - - -Freight - - -Freight Remaining - -$1340 - - -$300 - - -$1000 - - -$87.72 - - -$140 - - -$12.28 - - -$200 - - -$200 - -This table shows the calculations used to arrive at the proportionate amounts: - -Item - - -Calculations - -Line Items - - -1000 - 912.28 = 87.72 - -Amount Line Items - Line Amount Applied = Open Line Amount - -Tax - - -140 - 127.72 = 12.28 - -Tax Original - Tax Amount Applied = Open Tax Amount -Prorate All - -The Prorate All rule applies a proportionate amount of the receipt to the line, tax, and freight for this transaction. - -This table compares each line type before and after you apply an amount using the Prorate All rule: - -Transaction Amount - - -Remaining Amount - - -Line Items - - -Line Items Remaining - - -Tax - - -Tax Remaining - - -Freight - - -Freight Remaining - -$1340 - - -$300 - - -$1000 - - -$223.88 - - -$140 - - -$31.34 - - -$200 - - -$44.78 - -This table shows the calculations used to arrive at the proportionate amounts: - -Item - - -Calculations - -Line Items - - -1000 - 776.12 = 223.88 - -Amount Line Items - Line Amount Applied = Open Line Amount - -Tax - - -140 - 108.66 = 31.34 - -Tax Original - Tax Amount Applied = Open Tax Amount - -Freight - - -200 - 155.22 = 44.78 - -Freight Original - Freight Amount Applied = Open Freight Amount - -Remittance Methods and Clearance Methods - -Define a remittance method and clearance method for each receipt class. These settings determine the remittance and clearing behavior for receipts with a given receipt class. -Remittance Methods - -Use the remittance method to determine the accounts to use for receipts that you create using the receipt method assigned to this receipt class. - -Standard - -Use the remittance account for automatic receipts assigned to a receipt method with this receipt class. - -Factoring - -Use the factoring account for automatic receipts assigned to a receipt method with this receipt class. - -Standard and Factoring - -Receivables selects receipts assigned to this receipt class for remittance regardless of the batch remittance method. In this case, you can specify either of these remittance methods when creating your remittance batches. - -No Remittance - -For Manual receipts only. Remittance isn’t required for manual receipts assigned to this receipt class. -Clearance Methods - -Use the clearance method to require receipts created using a receipt method assigned to this receipt class to be reconciled before posting them to the general ledger cash account. - -Directly - -This method is for receipts that you don't expect to be remitted to the bank and subsequently cleared. - -It’s assumed that these receipts are cleared at the time of receipt entry and require no further processing. - -By Automatic Clearing - -Use this method to clear receipts using the Clear Receipts Automatically program. - -Guidelines for Defining Automatic Receipt Methods - -Define the attributes of an automatic receipt method to determine how automatic receipts are processed against selected transactions. - -Review these guidelines when defining the attributes of automatic receipt methods: - - Receipts Inherit Transaction Numbers - - ISO Direct Debit - - Number of Receipts Rule - - Receipt Maturity Date Rule - - Automatic Print Template - - Lead Days - - Customer Payment Method - -Receipts Inherit Transaction Numbers - -If you're using One per Invoice as the Number of Receipts Rule, you can enable the Receipts inherit transaction numbers option to ensure that the automatic receipt number is always the same as the transaction number that the receipt is applied to. Enabling this option helps track automatic receipts. -Note - -Don't enable this option if you're using document sequencing with automatic receipts. -ISO Direct Debit - -Enable the ISO direct debit option to create automatic receipts that automatically debit a customer bank account according to the standards of ISO 20022 direct debit. - -Enabling this option assumes that you have created a debit authorization agreement with your customers for ISO 20022 direct debit. -Number of Receipts Rule - -The Number of Receipts Rule determines the way in which the automatic receipt process creates and applies receipts against transactions. -Note - -If you enable the ISO direct debit option, the Number of Receipts Rule is disabled. ISO 20022 direct debit creates one receipt for the prearranged debit amount from your customer and transfers this amount to the remittance bank account defined in the automatic receipt method. - -Select one of these rules: - - One per Customer: Create one receipt for each customer. - - One per Customer Due Date: Create one receipt for each customer and due date. This option creates several payments for a customer if the invoices of the customer have several due dates. - - One per Invoice: Create one receipt for each invoice. - - One per Site: Create one receipt for each customer site. - - One per Site Due Date: Create one receipt for each customer site and due date. - -Note - -The Number of Receipts Rule assumes an additional grouping by payment instrument. For example, if you use the One per Customer rule, and two invoices belonging to the same customer are to be paid from different bank accounts, the automatic receipt process creates two receipts, one for each bank account number. -Receipt Maturity Date Rule - -Use the Receipt Maturity Date Rule to pay invoices that have different due dates with a single receipt. - -Select Earliest to use the earliest due date of all of the invoices that the receipt covers as the receipt maturity date. Select Latest to use the latest due date of all of the invoices that the receipt covers as the receipt maturity date. - -When you remit a receipt, Receivables uses the maturity date to determine when to transfer funds from the customer bank account to your remittance bank account. -Automatic Print Template - -Enter the automatic print template to use for transmissions using this receipt method. - -Receivables provides one standard receipt print template to format the output of payment selection and creation programs when you create the receipt document. To use a different receipt print template, you must copy and modify this standard receipt print template. -Lead Days - -The number of lead days is the number of days before the invoice due date that an invoice can be selected for application by the automatic receipt process using this receipt method. - -This option is useful, for example, when customer approval is required. You can set the value to the number of days normally required to receive customer approval. -Customer Payment Method - -Select the funds capture payment method that the customer will use to remit payment for automatic receipts using this receipt method. -Note - -If you enable the ISO direct debit option, Bank Account Transfer is the only payment method available. - -Oracle Payments provides predefined funds capture payment methods, but you can define your own. - -Remittance Bank Accounts on Receipt Methods - -Define remittance bank account information for each receipt method assigned to a receipt class. Remittance bank account information includes the general ledger accounts to use when you enter or apply receipts. -Remittance Bank Accounts and Receipt Currencies - -If you remit receipts in one currency only, you can enter more than one remittance bank account for a receipt method, but you must mark one account as the primary bank account for the receipt method. - -If you remit receipts in more than one currency for a receipt method, then you must enter at least one remittance bank account per currency and mark one account per currency as primary. - -During receipt entry and processing, Receivables uses the primary bank account as the default remittance bank account for the receipt. You can accept this value or enter any other bank account defined for the receipt method in the same currency as the receipt. -Factored Receipts - -If the receipt class of the receipt method allows factoring, you can specify the number of Risk Elimination Days for factored receipts for a given bank account. - -When you factor receipts, Receivables creates a short term debt to account for risk in case of customer default. When you clear or risk eliminate these receipts, the debt is cleared after the receipt maturity date plus the number of risk elimination days that you enter. -Cash Budget Funding with Receipts - -If you intend to fund a cash control budget in Budgetary Control with application amounts from standard receipt applications and miscellaneous receipt creation, you must complete related setups for receipt methods and remittance bank accounts. - -Create and assign a remittance bank account to each receipt method that you will use to process receipts for cash budget funding. You can set up receipt methods for both automatic and manual receipt creation. - -During setup, you must assign the same GL cash account to the remittance bank account belonging to the receipt method used for cash budget funding and to the ledger in Budgetary Control enabled for cash budget funding. - -Complete these steps for your GL accounts: - - In your Budgetary Control setup, enter the GL cash account in the Accounts in Journals Subject to Cash Controls section of the Edit Budgetary Control page for the applicable ledger. - In the related remittance bank account, enter the same GL cash account in the Cash field in the GL Accounts section of the Edit Remittance Bank Account page. - You must only enter the GL cash account in the Cash field. Enter different natural accounts in each of these fields in the GL Accounts section of the same remittance bank account: - Receipt Confirmation - Remittance - Unapplied Receipts - Unidentified Receipts - On-Account Receipts - -You must enter different natural accounts in these fields to prevent overstating the cash control budget with additional budget activity on the cash account. -How Lockbox File Transmissions Are Validated - -The first step in lockbox processing is validating the data imported from your bank file using the lockbox file transmission. - -The lockbox process validates the data that you receive from the bank to ensure that: - - entire file was received. - - no duplicate receipts within a batch. - - customers and transactions are valid. - -Lockbox also validates that all data is compatible with Receivables by ensuring that the columns in the AR_PAYMENTS_INTERFACE_ALL table reference the appropriate values and columns in Receivables. -Settings That Affect Lockbox Validation - -Lockbox checks for duplicate receipts and transactions. - -Duplicate receipts have the same receipt number, amount, currency, and customer account number. Lockbox doesn't allow duplicate receipts within the same receipt source for the same customer. This is the same validation Receivables performs when you manually enter receipts. - -Transaction numbers are only required to be unique within a receipt source. A customer can have duplicate transaction numbers as long as they belong to different receipt sources. However, lockbox can't automatically apply a payment to these transactions. - -If a customer has more than one transaction in the lockbox transmission with the same number, then lockbox can't determine to which transaction to apply the payment. In this case, the receipt is either left as Unapplied (if the customer account number or MICR number is provided) or Unidentified (if the customer account number or MICR number isn't provided). - -You can manually apply the receipt according to the transaction recommendations that Receivables presents according to your implementation. -How a Lockbox Transmission Is Validated - -When you import a bank file, lockbox completes the following validations: - - Transmission Level Validations - - Lockbox Level Validations - - Batch Level Validations - - Receipt Level Validations - - Overflow Level Validations - - Customer Validations - - Currency Validation - -Transmission Level Validations - -Lockbox validates the lockbox transmission to ensure that transmission information corresponds to the transmission format. The following attributes are validated: - - Transmission format contains receipt records. - - Either the lockbox number is part of the transmission format, or you specify the lockbox number when you submit the lockbox. - - Accounting date is in an open accounting period. - - Total transmission record count and amount that you supply must match the actual receipt count and amount as determined by lockbox. If the transmission format includes the transmission header or trailer, lockbox counts all records in this transmission. The validated count includes all receipts and detail records transferred to the interim table. - - Origination number is valid, if provided. - -Lockbox Level Validations - -Lockbox validates the lockbox records to ensure that lockbox information corresponds to the transmission format. The following attributes are validated: - - If the transmission format includes the transmission header or trailer, ensure that the lockbox number is included and is valid. - - Lockbox batch count is correct, if provided. - - Lockbox amount is correct, if provided. - - Lockbox record count is correct, if provided. - - Origination number is valid, if provided. - - No duplicate lockbox numbers. - -Batch Level Validations - -Lockbox validates the batch records to ensure that batch information corresponds to the transmission format. The following attributes are validated: - - Batch name exists on batch records. - - Batch name is unique within the transmission. - - Batch amount is correct. - - Batch record count is correct. - - Lockbox number exists on batch records, if this number is part of the transmission format. - -Receipt Level Validations - -Lockbox validates the receipt records to ensure that receipt information corresponds to the transmission format. The following attributes are validated: - - Remittance amount is specified. - - Check number is specified. - - Item number is specified and is unique within a batch, a lockbox, or the transmission, depending on the transmission format. - - Lockbox number is specified (if this number isn't part of the lockbox header or trailer of the transmission format) and batches aren't imported. - - Batch name is specified, if either batch headers or trailers are part of the transmission format. - - Account number is specified, if transit routing number is part of the transmission format. - - Invoice1-8 are either valid or left blank. - - Installment1-8 are either valid installment numbers or are left blank. - - Invoice, debit memo, credit memo, on-account credit, or chargeback number derived from the matching number doesn't belong to a receipt. - - Transaction number is entered where an application amount is specified. - - Sum of all of the Amount Applied columns for a receipt doesn't exceed the remittance amount. - - Customer account number is valid. - - Customer account number and MICR number both reference the same customer, if both are provided. - - Receipt date is specified. - - Receipt method is valid. - - Currency is valid. - -Overflow Level Validations - -Lockbox validates the overflow records to ensure that overflow information corresponds to the transmission format. The following attributes are validated: - - Batch name is specified, if either batch headers or trailers are part of the transmission format. - - Lockbox number is specified, if either the batch header or trailer isn't specified and the transmission format includes the lockbox number. - - Item number is specified and matches a receipt record. - - Overflow indicator is specified, unless it's the last overflow record. - - Overflow sequence is specified. - - Invoice1-8 are either valid or are left blank. - - Installment1-8 are either valid installment numbers or are left blank. - - Transaction number derived is entered where an application amount is specified. - -Note - -For Receipt and Overflow validations of Invoice1-8: If you're using matching numbers and a receipt record indicates that multiple transactions are to be paid by this receipt, lockbox assumes that all of the transactions are the same document type, such as invoices, sales orders, or purchase orders. - -For example, if the first 2 transactions are invoices, lockbox successfully matches them with this receipt. However, if the next transaction isn't an invoice, lockbox either imports the remaining receipt amount as Unidentified or rejects the entire receipt, depending on the lockbox definition. - -If lockbox imports the remaining receipt amount as Unapplied, then Receivables retains the invalid matching numbers. -Customer Validations - -Lockbox can either validate customer data based on the following attributes or mark the receipt as Unidentified if no match is found: - - Customer account number is valid. - - MICR number is valid. - - Bill-to customer is from a matched invoice, if matching is enabled. - -Currency Validation - -Receivables lets you process receipts in multiple currencies. If you pass the currency, conversion type, and receipt date, lockbox attempts to determine the conversion rate. If lockbox is unable to determine the conversion rate, the receipt will fail validation. -Receipt Application Using the Match Receipts By Rule - -During lockbox and manual receipt processing, Receivables uses the settings of the Match Receipts By rule to identify the document type to use to match receipts to transactions when customer information isn't available. -Document Types for Receipt Matching - -The following six document types are used to match receipts to transactions. During receipt processing, Receivables searches for one of these document types in this order: - - Transaction number - - Sales order number - - Purchase order number - - Balance forward billing number (Lockbox only) - - Shipping reference - - Contract number - -Selection of the Match Receipts By Rule - -When Receivables finds a document type with the same number as the current search to match the receipt with a transaction, the process checks the locations where Match Receipts By rules are enabled in this order: - - Customer bill-to site - - Customer - - Lockbox (for lockbox processing) - - System options - -Receivables looks for a rule that matches the document type of the number in the current search, and stops when a value is found. For example, if Receivables finds a matching transaction number in the first search, it checks the customer site for the Match Receipts By rule. If the rule is set to Transaction, Receivables matches the receipt with this transaction and applies the receipt. - -If the Match Receipts By rule at the customer site is a document type other than Transaction, Receivables searches for a number that matches this document type. - -If there are no values assigned at the customer site or customer level: - - For lockbox processing, Receivables uses either the Match Receipts By rule assigned to the lockbox or, if the Use match criteria to determine customer option is enabled, the entire document type hierarchy. - - For manual receipt processing, Receivables uses the Match Receipts By settings on the Receivables system options record assigned to the business unit. - -If Receivables can't find a match after searching each document type, the process applies the receipt using the AutoCash rule set defined for the customer. - -If the AutoCash rule set is unable to apply the receipt, Receivables assigns the receipt a status of Unapplied. You must then manually apply the receipt. -Examples of Matching Rules - -Here are two examples of using matching rules. - -Example 1: During lockbox processing, a receipt record indicates that a receipt should be applied to open debit item 12345. Receivables first searches for a transaction (invoice, debit memo, chargeback) with this number. Receivables finds an invoice with this number, so the process checks the value of the Match Receipts By parameter at the customer site. The Match Receipts By rule is null for this customer site, so Receivables checks the setting in the customer profile. Match Receipts By is set to Transaction in the customer profile, so Receivables matches and applies the receipt to the invoice. - -Example 2: Using the same receipt record information as Example 1, assume that Receivables fails to find a transaction with the number 12345. The process then searches for a sales order with this number. Receivables can't find a sales order with this number, so it now searches for and finds a purchase order with number 12345. Receivables then checks the Match Receipts By rule at the customer site. The Match Receipts By rule is null for this customer site, so Receivables checks the setting in the customer profile. The rule is also null in the customer profile, so Receivables checks the rule for the lockbox. The Match Receipts By rule is set to Purchase Order Number for this lockbox, so the process matches the receipt with this purchase order and applies the receipt to the transaction. -Lockbox Underpaid Receipt Processing - -You can set up lockbox processing to automatically close transactions and create adjustment entries for underpaid receipts against customer invoices. - -This helps reduce the need for post-processing activities to manually apply receipts and create adjustments. - -The lockbox underpaid receipt processing setup uses a combination of: - - Designated AutoCash tolerance limit. - Match payment with invoice AutoCash rule. - Receipt Application Exception Rule for underpayments. - -During lockbox processing, the underpaid receipt process: - - First looks for a match between an invoice amount and the sum of the underpaid receipt amount and the AutoCash tolerance limit amount. - If these amounts match, lockbox applies the sum of the receipt amount and tolerance limit to the invoice with the lowest amount. - If two or more invoices have the same amount, lockbox applies the receipt to the invoice with the oldest due date. - -Underpaid receipt processing for lockbox applies to: - - One business unit. - One customer site within the business unit. - One currency of the customer site. - Customer transactions assigned a transaction type enabled for Natural Application Only, where adjustments bring the balance due to zero. - -To set up lockbox underpaid receipt processing, complete these steps: - - Create an AutoCash Rule Set enabled for application tolerance. - Create a Receipt Application Exception Rule for underpayments. - Update Receivables System Options for the applicable business unit. - Update the applicable customer site profile with the currency tolerance amount and adjustment reason. - -Create AutoCash Rule Set - -To create an AutoCash Rule Set for underpaid receipt processing: - - Navigate to the Manage AutoCash Rule Sets page. - Click the Plus (+) icon to open the Create AutoCash Rule Set page. - In the Name field, enter the name for this AutoCash rule set. - In the Description field, enter an optional description. - In the Set field, select the reference data set you want. - In the Discount field of the Open Balance Calculations section, select None. - - This exposes the Include application tolerance amount option. - Enable the Include application tolerance amount option. - In the Rule Remaining Remittance Amount field of the Automatic Matching Rule section, select Unapplied. - In the Rules section, click the Plus (+) icon to open a new row. - In the Sequence field, enter 10. - In the Rule field, select Match payment with invoice. - Save your work. - -Create Receipt Application Exception Rule - -To create a Receipt Application Exception Rule for underpaid receipt processing: - - Navigate to the Manage Receipt Application Exception Rules page. - Click the Plus (+) icon to open the Create Receipt Application Exception Rules page. - In the Set field, select the same reference data set you selected for the AutoCash rule set. - In the Name field, enter the name for this Receipt Application Exception rule. - In the Description field, enter an optional description. - In the Exception Rules section, click the Plus (+) icon to open a new row. - In the Condition field, select Underpayment less than. - In the Amount field, enter 100. - In the Percentage field, enter 100. - In the Action field, select Adjustment. - Save your work. - -Update Receivables System Options - -To update Receivables System Options for underpaid receipt processing: - - Navigate to the Manage Receivables System Options page. - Search for and select the business unit you want to open the Edit System Options page. - Navigate to the Billing and Revenue tab. - In the Exception Rule Adjustment Activity field, select the Adjustments Receivables activity. - In the Exception Rule Adjustment Reason field, select Charges. - Navigate to the Cash Processing tab. - In the AutoCash Rule Set field, select the AutoCash rule set you created for automatic adjustments. - In the Application Exception Rule Set field, select the receipt application exception rule you created for underpayments. - In the AutoCash Tolerance Amount field, enter 100 (the same amount you entered in the Amount field of the Receipt Application Exception rule). - Save your work. - -Update the Customer Site Profile - -To update a customer site profile for underpaid receipt processing: - - Navigate to the Manage Customers page. - Search for and select the customer you want. - Open the customer site you want in the Edit Site page. - Click the Profile History tab. - In the Site Profile tab of the Edit Site Profile page, navigate to the Receipt Matching section. - In the AutoCash Rule Set field, select the AutoCash rule you created and entered in Receivables System Options. - In the Application Exception Rule Set field, select the receipt application exception rule you created and entered in Receivables System Options. - Navigate to the Invoicing section. - In the Exception Rule Adjustment Reason field, select Charges. - Click the Credit Limits and Late Charge tab. - Navigate to the Currency Settings section. - In the Currency row you want, enter 100 in the AutoCash Tolerance Amount field. - Save your work. - - - diff --git a/Books/Music/Articles/Sound On Sound Synth School 1.txt b/Books/Music/Articles/Sound On Sound Synth School 1.txt new file mode 100644 index 0000000..e9222ce --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 1.txt @@ -0,0 +1,120 @@ +Synth School: Part 1 +Analogue Oscillators, Filters & LFOs + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published June 1997 + +After all the political talk in recent years about a return to traditional values, Paul Wiffen kicks off a major new series on synth programming by arguing the Analogue Fundamentalist Party case — that an understanding of the basic elements of traditional analogue synths is essential to fully exploit the various types of synthesis available today. This is the first article in a 12-part series. + +Back when I wrote my first series on the basics of synthesis (longer ago than I care to remember), there was really no need to mention the word analogue, as it was the only type of synthesis commercially available (except for the odd bit of harmonic addition on prohibitively expensive computer systems like the Fairlight). As a result, anyone who knew anything at all about synthesis would be familiar with the basic building blocks of waveforms, filters and envelopes. This meant that when a new synthesis technique came along, some of the elements in it would be familiar, even if it didn't use all the same components to build up a sound. So FM synthesis (or Frequency Modulation, which will be covered in a future part of this series), for example, might not have filters, but it used sine waves and envelopes. Sampling might not use regular waveforms, but most samplers had filters and envelopes on them — and so on. + +While I may sound like a right-wing politician attempting to claim the moral high ground, I still maintain that anyone who has a good grounding in the principles of analogue synthesis will not take long to get their heads around any new system that comes along, simply because several of its elements will probably be familiar to them, so all they need to do is spot how the unfamiliar elements are used to do the job of the missing analogue stages. + + While experienced analogue synthesists can get into the right ballpark when imitating acoustic sounds, it's clear that this way lies considerable frustration. + +Five years ago, such an insistence on starting with analogue might have been greeted with scorn, as few people were using analogue synths for music making. Now, though, whether through the use of original analogue instruments bought on the second-hand market, authentic recreations of the way the sound was made (like the Novation Bass Station), hurriedly adapted PCM-based systems like the Yamaha CS1x and MC303, or even the computational muscle of DSP-based physical models of analogue such as the Korg Prophecy and recently released Roland JP8000 and Yamaha AN1x, the analogue sound and programming style are back in a big way. Perhaps it's the pre-millenium retro vein in all forms of music, from techno to straight rock. But it does mean that starting this series with analogue makes me hipper now than I've ever been accused of being in my life. Even if analogue synthesis hadn't made a huge comeback, I'd still be starting with it. I just wouldn't look so cool! + +Another side benefit is that those of you buying brand new physical models of analogue synthesis (three of which will ship this year to swell the growing numbers already out there) need not worry about how the sound is achieved internally (any more than those of you using the genuine article or PCM-based copies). The controls still use the same terminology, the very terminology we will be exploring in these first few articles. +Subtraction — That's The Name Of The Game + +Most other forms of synthesis are additive in nature — they take simple elements and add them together to build up the more complex sounds which our ears find interesting. The most obvious example of this is additive synthesis, which takes sine waves (possibly the most uninteresting sound of all) and sums them to imitate the harmonic series found in nature. Even FM synthesis, which multiplies sine waves together in an attempt to generate complex waveforms more quickly, tends to add several of these products together to get to its more effective results (which is why 6-operator FM sounds better than 4-operator FM, because you can add more products together). + +Analogue, or subtractive, synthesis (as it is sometimes called in academic circles) does the opposite. It starts with more than you need, and you take away bits until you're left with the sound you want. This makes it more analogous to sculpture (where the sculptor knocks lumps off a big block until the shape he wants is revealed) than painting (where the image is built up from individual brush strokes). + +To continue the sculpture analogy, where do we get our sonic block of stone and what form does the audio chisel take? Let's take the block first. If we're to remove frequencies from sound, presumably we need to start with a sound that has more frequencies than we need. There are two possibilities here. Firstly, we could take a sound with all the audible frequencies contained in it, and many analogue synths do have the ability to generate this sound, the technical term for which is... noise. It should be reassuring to any absolute beginners that they are already familiar with this term, even if they would normally associate it with a generic description of non-musical sound. Indeed, if you just listen to the noise setting on an analogue synth, without any filtering or enveloping, it is a fairly unmusical sound. Usually referred to as white noise (meaning that it contains all frequencies at equal volume), it takes a fairly severe amount of processing to remove enough frequencies from this to leave you with a musical sound (although, as we will see next month, it can be done, by using resonance). + + It is the variable nature of the pulse wave which makes it my favourite as a starting point for analogue synth sounds. + +Fortunately, there are other sound sources which contain lots of frequencies suitable for selective removal, but which also sound more musical to begin with. Although the sine wave we mentioned earlier in conjunction with additive and FM synthesis contains only a single frequency, other commonly recognised regular waveforms — square, sawtooth and pulse — contain whole families of frequencies in mathematical relationships to each other, known as harmonic series. In lay terms, this means that the human ear perceives them as a single pitch whose tonal quality is determined by the exact mix of related harmonics present. + +This is because these harmonic series are naturally occurring and are produced by traditional 'pitched' musical instruments. What we hear as a single note from a flute, piano or violin is actually a whole series of sounds which are related to each other. The actual pitch we hear in musical sounds is known as the fundamental and this is usually the lowest and loudest frequency present (although not necessarily so). The other frequencies present in the aforementioned waveforms (and many natural sounds) are all multiples of the fundamental's frequency (two times, three times, four times, and so on). These are referred to as the first harmonic, second harmonic and so on, making up the harmonic series. Guitar (and other stringed instrument) players actually use these harmonics as a part of their repertoire of timbres. By touching the string halfway, or a third or quarter of the way, along its length they cause it to vibrate in two, three or four sections, at twice, three times or four times the frequency respectively. Many wind instruments achieve the higher octaves in their range by a similar technique, blowing harder to split the vibrating column of air into sections. Indeed, brass instruments before the introduction of valves could only play the pitches in the harmonic series (hence the reason why standard military bugle calls are variations on the higher harmonics). + +Of course, all these acoustically produced 'harmonics' actually contain their own harmonic series, from the new fundamental that has replaced the original. Few sounds in nature consist of a single frequency, as the energy used to create any particular frequency usually spills over into creating its related harmonics at lower volumes. The closest sound you might get to a sine wave produced acoustically is wetting your finger and running it round the rim of a wine glass till it begins to resonate (a great way to liven up a dull dinner party). + +Unfortunately, the 'pure' sound of a sine soon bores the ear (unless combined together by additive synthesis or FM — see future episodes), so what are your waveform choices if you want a whole raft of related frequencies instead of a single one? +Meet The Candidates + +Fortunately for subtractive synthesis, waveforms such as sawtooth, square and pulse, which are easily produced by electronic oscillators, contain a whole heap of harmonics which determine their characteristic timbres. Indeed, the sawtooth waveform (so called because the slow rise/fast fall of the cycle when traced out resembles the teeth of a saw) contains all the harmonics within the human hearing range, although not in the same quantities. In fact, the loudness of each harmonic is inversely proportional to its frequency. So the harmonic with double the frequency of the fundamental is at half the volume, three times the frequency is at a third the volume, and so on. This makes this waveform ideal for producing fuller sounds, as it contains all the frequencies related to the fundamental. + +The square wave (so called because the trace it makes looks like square blocks — or the tops of castle walls) is the one electronic waveform which has always produced a murmur of recognition on first hearing. It contains only all the odd-numbered harmonics (ie. every other one) again in inverse proportion to their frequency, and the 'hollow' sound this produces is extremely reminiscent of the clarinet. Presumably this is because the resonant characteristics of the body of the clarinet accentuate the odd-numbered harmonics and mute the even-numbered harmonics. The patch charts supplied with old analogue synths always had a clarinet patch (square wave with wide open filter), and this was also a common preset when technology became available to recall synth settings instantly. + +The other common waveform on analogue synths is the pulse wave and this is a bit of a chameleon. You can't describe its timbre, nor even list the waveform's harmonic content, as this varies with the width of the pulse. Yes folks, unlike the staid old sawtooth waveform, which is unvarying in its harmonic content, you can change the harmonics and their proportion in the dynamic go-ahead pulse waveform by changing the width of the pulse. Indeed, the aforementioned square wave is actually a special case pulse wave, where the negative and positive sections of the cycle are of equal length. + +It is the variable nature of the pulse wave which makes it my favourite as a starting point for analogue synth sounds. This enduring love affair started on the day when I twisted the width control on a Wasp for the first time with a pulse waveform selected on the oscillators (before that I had assumed that the width control must be broken, because it didn't seem to do anything). The moving harmonic spectrum which greeted my ears really transformed my interest in synthesis from a cerebral one to an emotional one. In that brief sweep many different harmonic spectra came and went, and I realised that analogue synthesis could hold as much sonic interest as any naturally produced sound. While the human ear cannot always pick out the static presence of particular harmonics, it's extremely sensitive to changes in their levels (as we'll see when we come to additive synthesis in a later article). The fantastic thing about the pulse wave is that not only are there thousands of variations of harmonic spectra available as starting points for sounds, at the tweak of the width knob, but also, most analogue synths will let you automate the moving of the pulse width. This technique is referred to, unsurprisingly, as Pulse Width Modulation, or PWM for short. + + Why should we limit ourselves on electronic instruments to things that occur in the real world? + +The width parameter actually refers to the duration of the positive component in proportion to that of the complete cycle. So a 10% pulse wave means that the positive segment only lasts one tenth of the cycle length before dropping to the negative segment. A 50% pulse wave (aka square wave) means that the positive and negative segments are of the same duration. + +We've already looked at the harmonic content of the square wave (all the odd harmonics decrease in volume as they go up, in case you weren't paying attention earlier) and whilst it's not feasible to describe the spectra at every possible width setting, the fundamental and lower harmonics become weaker the further from the central setting you venture. This leads to a bright but thin sound which, at the extremes, starts to sound as if it is moving up several octaves before disappearing altogether. Some analogue synths prevent this from happening, by restricting the width control to between 5% and 95% or even 10% and 90%, providing a sort of set of 'training wheels' for fledgling synthesists, but on other machines you can completely silence the oscillator by turning the width control too far. + +Later analogue synths (usually those with presets) feature width knobs which only vary between 0 or 5% at one end of their range and 50% (square) at the other, as their designers started listening to the result and noticed that a 30% pulse wave sounds the same as a 70%. So if the analogue synth you have access to doesn't have graphics or numbers next to the width knob to indicate the width at that position, try the following procedure to find out which range you have. Move the width knob (with pulse wave selected on at least one oscillator, unless you want to repeat my error of all those years ago) until you hear the signature 'hollow' sound of the square wave (you may even have a preset square wave to compare it to). This will probably be either the central position or the maximum. +Oscillators: The Other Use + +Pulse width modulation, the automatic movement of pulse width by the synth in a repeated cycle, is as good a way as any of being introduced to the other type of oscillator used in analogue synthesis: the Low Frequency Oscillator. The LFO is one of the many tools first invented for analogue synthesis which have found their way into other synthesis styles, just because they're so useful. The low frequency at which this type of oscillator cycles is below the range of human hearing, so it's no use routing an LFO through the audio pathway of the synth. Instead we use an LFO to control the regular, repeated change of settings on the synth (the jargon term for this is modulation, because 'change' would just be too easy to understand!). The LFO can be routed to control, amongst other things, the pitch of the audio oscillators (for vibrato), or as here, the width of the pulse wave. Hardy souls may prefer to move the width control for their pulse wave themselves, but for the busy player (using all 10 fingers on the keyboard) and the lazy (more my style), LFO control of PWM (aren't all these three-letter abbreviations great?) is the best thing since sliced bread (no, actually, it's more satisfying than that!). + +Minimoog Model D: The third audio oscillator (a luxury few analogue synths boast, whatever their price point) can be set to operate as an LFO. +Minimoog Model D: The third audio oscillator (a luxury few analogue synths boast, whatever their price point) can be set to operate as an LFO. + +On the Minimoog and Memorymoog, the third audio oscillator (a luxury few analogue synths boast, whatever their price point) can be set to operate as an LFO, but this example of switching between audio device and modulation device is fairly rare. Normally audio oscillators are audio oscillators and LFOs are LFOs and ne'er the twain shall meet. Audio oscillators are usually labelled as OSC 1, OSC 2, and so on, and LFOs as LFO 1, LFO 2, and so on. The waveforms these low-frequency oscillators can adopt vary slightly from those used by their audio cousins. The sine wave, for example, often eschewed by analogue audio oscillators because of its rather thin, single-frequency sound, really comes into its own on an LFO because of its gentle undulating nature. + +Most of the time you want LFO changes to be gradual and without sudden jumps. Sudden or instant movement of parameters tends to introduce an 'event' into a sound which the ear often perceives as a new note. Gradual changes, such as those brought about by the smooth cycle of a sine wave, maintain an interest in the sound without demanding the full attention of the listener, as abrupt changes do. Thus it is that the classic pulse width modulation effect uses a sine wave on a slow LFO to vary the width setting. Particularly on low bass notes or string ensemble sounds, this makes for the most sensual sound an analogue synth can produce, with the slow ebb and flow of the harmonic content making for a subtle but intoxicating effect. The best-known example of this is the original Moog Taurus pedals, which featured a special preset with this effect hardwired in. Beloved of many a prog-rock band, this sound has yet to re-surface in the analogue vocabulary of dance music, probably because there is more interest in the real sub-bass end, which is somewhat concealed by the PWM movement higher up the harmonic series. However, anyone who has heard Taurus pedals through a big arena PA cannot doubt for a second that the real low end is definitely present. If you want to try out this effect for yourself at home, it's fairly simple to set up. + + Route a slow LFO (no more than one cycle per second) to the pulse width of your oscillator, and crank the depth of the modulation up. + Play a low note and you should hear a continuous movement in the sound as the harmonics come and go. + If you want to use the sound higher up, you may find the effect a little lost, as many of the harmonics will have moved out of the audio range, but you can compensate for this by speeding up the LFO a little (not too fast, though, or it can end up sounding out of tune). + + While I would always rather have other types available, if your analogue synth only has low-pass filtering, you will still be able to get the majority of 'standard' analogue sounds + +One word of caution when setting up your own PWM effect: just as you can set the static width of a pulse wave to be so narrow that the sound disappears altogether, so an LFO set to too great a modulation depth can take the pulse width in and out of the same territory, so that the sound temporarily disappears. If you hear this happening, just back off the LFO depth a little. Sometimes this can happen just once every few minutes, but in that case, you can be sure it will happen right in the middle of your best take or the highlight of your solo. Here's one solution I've found which avoids the need to decrease the amount of PWM in your sound. + +If both slightly detuned oscillators of an analogue synth are set to pulse wave and their widths are modulated by different LFOs, set to slightly different speeds, then not only does the richness of the PWM effect increase as the two shifting harmonic patterns interact, but the chances of your sound going AWOL at the critical moment are less than you winning the lottery jackpot. Of course, there are some who might describe this technique as over-egging the pudding (usually insensitive producers trying to get some other instrument to fight its way past my overblown synth sound), but I've never subscribed to the 'less is more' philosophy (being more of a 'too much is never enough' kind of guy!). + +Other uses for the LFO, such as vibrato (modulating the pitch) and tremolo (modulating the volume) are also best used with the sine wave settings (indeed some synths don't offer a choice, their LFO waveform being fixed to sine wave). Its near-relative, the triangle wave, sometimes available as an alternative, is subtly different, making the variations linear instead of exponential (straight up and down instead of slowing towards the extremes before going back to the centre). If you've got both on your synth, see if you can hear the difference. Even with a slow LFO speed, it's a subtlety easily lost in a mix. If you don't have it, don't feel too hard done by. It's a bit like New Labour and the Conservatives: 9 out of 10 voters can't tell the difference. +Filter Tips + +Once you've selected the waveforms that give you the mix of harmonic content you want to represent your virgin sculptor's block, you need the sonic equivalent of a hammer and chisel to 'chip away' the unwanted bits. This is the filter which, as its name implies, removes unwanted frequencies and also allows you to boost certain frequencies if required (a capability not implied in its name, admittedly). Which frequencies are removed and which are left depends on the type of filter used. Most analogue synths only have one filter per voice (except modular designs, of course) and a good many of those are limited to the low-pass type. Others may have a switchable type, but even then it will be the low-pass setting which gets most use. + +The low-pass filter attenuates (lowers the volume) of the frequencies above its cutoff point (the frequency at which it is set to work either manually or automatically). It lets frequencies lower than this cutoff pass through to the audio output (hence its name). The reason why this is the most commonly used type of filter is that for most musical purposes we need to hear the fundamental frequency of the oscillator, and a low-pass filter will not remove this until it is closed down nearly all the way (ie. until the cutoff frequency is moved to the bottom of its range). So even when some pretty drastic filtering is going on, we can still hear the fundamental pitch. That's why many manufacturers decided it was the only filter type needed. While I would always rather have other types available, if your analogue synth only has low-pass filtering, you will still be able to get the majority of 'standard' analogue sounds. It may limit your ability to venture into the weird and wonderful, but it shouldn't restrict your mainstream analogue palette too much. + +The cutoff frequency of the filter is perhaps a slightly misleading term, as it actually refers to the frequency at which the filter starts to do its job of attenuation. However, analogue filters can only gradually reduce frequencies in proportion to the distance from the cutoff. Slope-off might actually be a more accurate term, if it didn't imply someone leaving work early. Indeed the measurement of how quickly a filter attenuates is known as the slope or gradient of the filter. On conventional analogue synths (and many modern ones) this is either 12 or 24dB per octave — so each time the frequency doubles, anything at that frequency is reduced by another 12 or 24dB. + + If you're interested in making new sounds, you'd do well to look for analogue synths with high-pass and band-pass filters. + +The characteristics of a filter change subtly, depending on the degree of attenuation it offers. Aficionados of the more drastic slopes (those on the Minimoog or ARP Odyssey, for example) praise the punchiness of the resulting sound, whilst those who favour the gentler gradient filters (on Roland instruments, for example) speak of a smoother, rounder sound. It's all a matter of taste, and you'll have to compare analogue synths to see which suits yours, if these vague descriptions don't immediately strike a chord with you. + +You may come across another way of referring to a filter's attenuation capabilities: the terms 2-pole and 4-pole. These refer to the number of circuits the filters originally used to do the job — each pole represented 6dB of attenuation. Don't worry too much about this, though (if you're buying second-hand the information may not even be available); just listen to the sound as you move the filter about and see if you like it. Those who need scientific accuracy in the description of their filters may do better to look at some more modern DSP models of filters, which are very precisely documented. + +By this point the more perceptive of the uninitiated will be saying to themselves "Never mind all this dB/oct stuff; why use waveforms full of harmonics if all you're going to do is take half of them out again?" Why indeed? The answer lies in the fact that the filter's cutoff frequency can be controlled in real time, either manually or via devices like the LFO (which we have already looked at) or the envelopes (which we will cover next month, as they're used in all types of synthesis). So you can start with all the frequencies present but close down the filter quickly, taking out progressively more frequencies as you go, so that the tail end of the sound is much duller, lacking the top end. This is a fair approximation of how plucked strings act in the real world. As the string is struck, much of the harmonic series is generated, giving a very bright attack. But as the energy present in the system dissipates, it's the higher frequencies which die away fastest, leaving the lower harmonics to ring on until only the fundamental is left. + +Again, while the imitative role of analogue synthesis is much reduced, the ear still gravitates to sounds which although not exactly the same as naturally-occuring sounds, nevertheless have some of the same characteristics. So a previously unheard bright sound dying away is more easily assimilated by the ear, as it shares the same overall timbral characteristics as more familiar sounds. In a similar way, sounds whose harmonic content stays roughly the same, or rise and fall more slowly as a means of expression, are also familiar, as the ear recognises these characteristics from bowed strings and wind instruments. Here, too, the player can make a note last as long as (s)he wants (provided they have the stamina) and bow/blow harder or softer for expression. The sound which starts dull and gets brighter/louder is a much rarer phenomenon in nature, and as a result synth sounds like this have that 'backwards tape' character. + +We'll look in detail at how envelopes shape these timbral (and other) variations in the sound next month, but to conclude this article, I'd just like to acquaint you with the rarer types of filter, as some of them are in danger of extinction (notwithstanding some brave preservation work being done by the DSP engineers at Emu Systems on the Emulator Operating System). Whilst they will never help you in your search for piano, strings and brass, they are creative tools which should appeal to those interested in less run-of-the-mill sound design (see Figure 3, which illustrates the three types of filter you're likely to encounter). + + The high-pass filter does the opposite of its more common brother and removes the frequencies below the cutoff point. So a sweep of the filter in the upwards direction will remove the fundamental first and then the lower harmonics, leaving the upper harmonics sounding till last. Again this is a fairly unnatural situation, and may sound strange to the ears, but why should we limit ourselves on electronic instruments to things that occur in the real world? Why not do things which are unusual or impossible in nature, and if we like them, use them? Let's face it: most of the current uses of sampling are hardly naturalistic! + The band-pass filter is a combination of the operation of low-pass and high-pass, in that it attenuates frequencies both above and below the cutoff (leaving only those around the actual cutoff frequency). In some analogue synths band-pass operation was actually achieved by running low-pass and high-pass filters in parallel (usually splitting the available poles of filtering between them). Some of the more interesting and unique filter configurations were based on this principle. Several ancient Korg solo synths had a great device, called a Traveller, which consisted of two sliders, one of which controlled the low-pass cutoff and the other the high-pass cutoff. Although they could be moved apart to widen the frequencies allowed through, they had a physical restraint to prevent the high-pass going lower than the low-pass, which would have filtered out all frequencies, leaving no sound. + +The OSCar had a similar system, but in band-pass mode the two cutoff frequencies were swept in tandem from one knob (with two poles of filtering on each, instead of the 4-pole filtering on high and low pass), with a second knob, labelled Separation, which governed the distance between them. This allowed some interesting vocal effects, as this is a fairly crude model of the way the human vocal system works (those interested in this type of thing should look at Emu's formant filtering on Morpheus, UltraProteus and their samplers, as it is a much more sophisticated version of the same principle!). + +However, most band-pass filters, when available at all, did not offer this degree of control. The single cutoff parameter applied to both high-pass and low-pass elements, and frequencies either side were attenuated equally and immediately. Its principal effect was to make the waveform sound as if it were coming down a telephone line (as an analogue phone cannot reproduce lows or highs, it can be considered a primitive band-pass filter). But clever use of even simple band-pass filters still produces interesting, if more esoteric, timbral changes. These kind of facilities are what fascinate me most about analogue synthesis, and if you're interested in making new sounds rather than just imitating acoustic ones, you'd do well to look for analogue synths with high-pass and band-pass filtering on them. + +Next month I'll look at how resonance accentuates a filter's action, and l'll cover the way in which an envelope works and how it can be used to shape a sound's pitch, volume and harmonic content in real time. This is a staple analogue technique, but its application is universal to programming, as it's a standard tool in any type of synthesis. Until then, if you have an analogue synth, experiment with manual tweaking of filtering (especially quick movements of cutoff) as you'll understand the need for automatic control via envelopes better when you've tried to do things manually. +Which Waveform? + +When I used to do my Adult Education classes on Electronic Music for the late lamented Greater London Council, the question most asked was "Which waveform do I use to make a flute/violin/piano sound?" (Delete as applicable). This was, of course, before sampling released analogue synthesizers from the tyranny of having to imitate acoustic sounds, so the first instinct was to try and make recognisable timbres. Whilst there are some immediately noticeable resemblances — the square wave, as mentioned in the body of this article, sounds a lot like a clarinet — and experienced analogue synthesists can get into the right ballpark when imitating acoustic sounds, it's clear that these days that way lies considerable frustration. After all, on a PCM synth, you can dial up a multisound actually sampled from the instrument you want to imitate. In the same way that the invention of photography changed forever the other visual arts, giving them a more interpretive, abstract role, sampling and PCM ROM have provided a short-cut to the slavish reproduction of acoustic instruments. Having said that, sometimes an 'analogue' of an acoustic sound can bring a breath of fresh air to a track. +Analogue Waveforms: A Pictorial Representation + + SINE WAVE: contains fundamental pitch only; main use in analogue synthesis is for LFO modulation. + TRIANGLE WAVE: contains the fundamental and a few high harmonics. Normally only found in analogue as variant on sine wave for LFOs. + SQUARE WAVE: contains all the odd-numbered harmonics in inverse proportion to their number in the harmonic series. + PULSE WAVE: contains differing harmonic levels depending on the exact width of the pulse. + PULSE WIDTMODULATION: moves through all the harmonic profiles of the various pulse widths. + SAWTOOTH: contains all the harmonics in inverse proportion to their number in the harmonic series. + RISING: only differentiated on LFOs. + FALLING: only differentiated on LFOs. + +The Rise & Fall Of The Sawtooth + +Rising and/or falling sawtooth waves often appear on LFOs and, while there would be no change in harmonic content between these two on an audio oscillator, on an LFO there is a world of difference. One gives you events in the sound with a sharp attack and slow decay (the falling sawtooth), whereas the other gives events with a slow attack and fast decay (rising). The falling sawtooth is probably more useful, as it can create rhythmic elements with volume, tone or pitch which can sound like a repeated note. These days, however, you are probably better off doing this using a repeated envelope, arpeggiator or sequencer, unless you have the fairly rare facility of sync'ing the LFO to your track. The rising sawtooth usually tends to sound like something recorded onto tape backwards and is included on exhaustive analogue synths more for completeness than for practical musical applications. diff --git a/Books/Music/Articles/Sound On Sound Synth School 10.txt b/Books/Music/Articles/Sound On Sound Synth School 10.txt new file mode 100644 index 0000000..3091099 --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 10.txt @@ -0,0 +1,98 @@ +Synth School: Part 10 +Modelling Electric Instruments + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published August 1998 + +The Technics WSA1; its excellent electric piano models attracted many traditional keyboard players. +The Technics WSA1; its excellent electric piano models attracted many traditional keyboard players. + +Last month, Paul Wiffen looked at how virtual synthesis can emulate analogue synths whilst going beyond their hardware-based limitations. Now he looks at its applications for imitating and exceeding older instruments such as electric piano and organ. This is the 10th article in a 12-part series. + +As I explained last month, virtual synthesis consists, in principle, of recreating what happens inside a 'real world' instrument in the ethereal domain of Digital Signal Processing. The technology involved can be viewed as an extrapolation of effects processing (with which we're all reasonably familiar) back to the point where the sound is first generated. It applies to real mechanical musical instruments as much as to electric or electronic ones where the sound is generated and modified by discrete analogue components. +Driver & Modifier + +Korg's Z1 provides the musician with authentic Rhodes and Wurlitzer patches. +Korg's Z1 provides the musician with authentic Rhodes and Wurlitzer patches. + +When modelling analogue synthesis, software engineers replace each element of the synthesis process (oscillators, filters, envelopes, and so on) with software routines which interact in exactly the same way as their analogue counterparts. The process of modelling earlier musical instruments is actually simpler, in theory, as it separates the process into just two sections, however, the implementation of each of these sections may well be much more complex than the modelling of the individual elements of analogue synthesis). The technical terms for these two sections are 'driver' and 'modifier'. + +In the simplest terms, you could think of the driver as what actually produces the sound in the first place — or, to be slightly more scientific, how the energy is initially put into the system. In the case of a guitar, the driver would be the finger or plectrum hitting the string; in a wind instrument, it would be the breath passing through the mouthpiece; in a violin, it would be the bow scraping across the string. These are all actions which produce the initial vibration, and as such they 'drive' the systems. + +The modifier is fairly easy to comprehend: it is the part of the musical instrument which takes the initial vibration and changes it into what we recognise as the sound of that instrument. This would be the bridge and sound box on a guitar or violin, the tubing on a wind instrument, and so on. + +But before we look at the modelling of traditional western classical orchestral instruments, which are somewhat complex sound-production systems, let's look at how the theory of driver and modifier is applied to some rather simpler electronic instruments which pre-date analogue synthesis. + + Technics took an alternative route to giving modelling technology a reasonable amount of polyphony at an affordable price. + +New Model Piano + +Figure 1: Korg Z1 Wurlitzer patch. +Figure 1: Korg Z1 Wurlitzer patch. + +Although the conventional acoustic piano is such a complex system that an authentic model would cost a fortune in DSP hardware, the somewhat simpler system developed for electric pianos is much more feasible to physically model, and as a result there have been some quite successful models of electric pianos, by Technics on the WSA1 (see the 'Higher Polyphony The Technics Way' box), and Korg on the Z1 (many of which have been bought by traditional keyboard players because of the authenticity of their Rhodes and Wurlitzer patches). The driver in the electric piano system is, of course, the hammer hitting the tine; a physical action. The modifier is the pickup placed over the tine to capture and amplify its sound, and this part of the process is electrical. It may be worth recalling at this point that in instruments referred to as electric (electric guitar or electric piano), the source of the sound is a physical event and the mechanism for amplifying it electrical. In instruments referred to as electronic (such as the organ or synth), the entire sound-generation process is electrical. + +Having decided what our driver is, in the case of the electric piano, we have to create a model of what happens when the hammer hits the tine. Clearly, there is a degree of timbral change in the initial sound, based on how hard the key is struck, so not only do we need to vary the volume of the sound but also to create a different harmonic series based on the velocity of the key-strike. The increase in the proportional level of higher harmonics on harder key-strikes is a fairly well documented phenomenon which conforms to the natural increase in brightness which many musical systems exhibit when more energy is put in. This is because higher harmonics require more energy to generate at a given volume (because there are more cycles per second), so when there's less energy present in the system, the amount converted into higher frequencies is reduced disproportionately. This not only explains why a low-velocity key-strike produces a duller sound, but also why the initial strike produces the brightest point in the sound, after which the sound quickly becomes duller. An electric piano sound very quickly approximates to a sine wave at the fundamental frequency of the note. This is fairly standard stuff and will not cause too many problems for any software DSP engineer worth his salt. + +Figure 1 shows the parameters for the Electric Piano Model in the Korg Z1. The settings were programmed by producer Martyn Phillips for a Wurlitzer sound. If you look at the Hammer parameters, you'll see that the Wurlitzer is fairly velocity sensitive (76, where 0 equates to no velocity and 99 is incredibly velocity sensitive), but generates very little attack noise. Rhodes patches created with this model tend to have at least a setting of 35 for click, unless they're emulating the DynoMyRhodes electronics, in which case a setting of 75 is more appropriate. + +The most interesting part of the electric piano model is the modifier. This is to be expected, as the driver part of the electric piano, the struck tine, is a very small, uninteresting sound (which is why it was easily covered by a sample in the Technics WSA1). The most successful electric pianos used a fair amount of electronic processing to turn this sound into something more interesting to the ear. Clearly, an in-depth analysis of how the sound is modified by such electronics is more the domain of the software engineer creating the model than the musician using the model to recreate his electric piano timbres. Indeed, many of the terms used for the parameters are drawn from electronic circuit design. However, each separate physical model tends to have one key parameter which leaves you in no doubt about the authenticity of the model (as you'll see next instalment, when I talk about Rosin Amount for bowed string and Embouchure for brass/reed instruments). In the case of Electric Piano models, this key parameter is clearly Pickup Position, which appears in both the Technics WSA1 and Korg Z1 electric piano models. + +Anyone who owned a Rhodes or Wurlitzer piano in the '70s should remember the fashion for opening them up and individually adjusting the position of the pickup over the tine. It was a very time-consuming process, but was perhaps the best way of customising your sound, as it really did bring about major changes in the timbre of the instrument. At one extreme it was possible to achieve a very bright, thin sound which would cut through anything, while moving the pickup to the other end of its travel yielded a plummy, mellow sound (a bit like the difference between the bridge and neck pickups on an electric guitar). + +The joy of physically-modelled electric pianos is not only that this Pickup Position parameter allows you to change the apparent pickup position without all that tedious mucking about inside the instrument with a screwdriver: you can also do it in real time, while you're playing. On the Technics WSA1, pickup position is available on the unsprung mod wheel, while most electric piano patches on the Korg Z1 have the pickup position mapped to the Y component of the X-Y pad. This means that in both cases you can fiddle with pickup position until you get the sound you like and then leave it there (using the X-Y Hold switch on the Z1). +Organ Transplant + +Figure 2: Korg Z1 Jazz Organ patch and effect settings. +Figure 2: Korg Z1 Jazz Organ patch and effect settings. + +Many people are familiar with the fact that the electronic organ works as a sort of primitive additive synthesizer. Drawbars control the level of a series of tone wheels, each of which (in theory, at least) should produce a sine wave representing one of the harmonics in the natural series. These form the driver component of the system, with the rotation of the tone wheels being the original source of the sonic energy in the system. This, of course, dates back to how pipe organs (perhaps the first additive synthesizers) changed the timbre of the sound by adding together pipes of related pitches to create a fuller sound. Electronic organs had as many as 10 drawbars, which gave the ability to mix together the lower pitches in the harmonic series to create different registrations (the latter is originally pipe organ terminology, referring to a series of stops for each of the sets of pipes which were either in or out — ie. on or off). Nowadays, we would probably refer to them as presets, as they essentially change the timbre of the instrument. + +This is rather a simplification of what happens inside the most enduring versions of the electronic organ — and we must not, of course, forget the major 'external processor' involved: the Leslie speaker, which modulated the organ sound, making it sonically more 'interesting'. As so often happened with early analogue applications of technology, the actual product departed from what it should have been according to its 'on paper' design, but was none the worse for that. Indeed, the organs which came closest to producing pure sine waves were the ones often referred to as 'cheesy' these days. The distortion produced in the classic Hammond sound, often a product of ageing tone wheels and abused circuitry, added greater harmonic complexity than simple harmonic addition ever could, often in a similar way to the complex but aurally pleasant distortion produced by guitar amps and distortion pedals. Clearly, a physical model of electronic organs which could only recreate the theoretically pure organ sound would only be of interest to those recreating kitsch '60s lounge music. So organ models need to recreate the more complex phenomena which resulted in the more enduring organ timbres. + +The first instrument to use modelling technology to recreate electronic organ sounds was the Technics WSA1. This instrument does not use physical modelling in the purest sense of the term, as the basic source of most driver sounds is samples (see the 'Higher Polyphony The Technics Way' box for a more complete description of Technics 'acoustic modelling' technology). However, for electronic organ sounds, single-cycle waveforms could be added together to model how the basic organ timbre is built up using tone wheels at related frequencies. + +In Organ mode, the WSA1's backlit LCD display changes to give a representation of drawbars, which can then be modified with the sliders next to them. This means that harmonic content can be changed in real time, just like in all those Keith Emerson solos (although I have yet to see the modulation parameter for routing virtual knives into the cabinet...). + +On the Korg Z1, although the assignable knobs below the display can be set to control the level of up to five drawbars (or groups thereof), the way in which organs are modelled is slightly different. Each oscillator can have a different model loaded into it, but the Organ model only has three drawbars (although there are three different variations on a sine wave or triangle wave for each drawbar to control the level of). The best way to make a complex organ sound is therefore to switch both oscillators to the Organ model and then use each one to produce three different drawbar harmonics. The Sub Osc can also be used to produce the fundamental, so that the six drawbars can be set to higher harmonics. The Jazz Organ patch in Figure 2 demonstrates this very clearly: the Sub Osc is set to the fundamental (16' in classical pipe organ terms), Osc 1 is set to the second, sixth and twelfth harmonics (8', 22?3' ' and 11?3') and Osc 2 has two drawbars set to the eighth harmonic (2') and detuned slightly; the third drawbar is doubling up the fundamental. +Leslie Fillip + +Figure 3: Korg Z1 Pipe Organ patch and effect settings. +Figure 3: Korg Z1 Pipe Organ patch and effect settings. + +The other section of the Z1 you can see in Figure 2 is brought into play all the time for electric organ sounds: it's the rotary speaker effect algorithm. This gives the Leslie effect, which, as I mentioned earlier, is synonymous with enduring organ timbres. (If you're interested in how the Leslie cabinet works, or the history of Hammond organs, take a look at our 'Vital Organ' feature in the October 1997 issue of SOS). Indeed, where such organ sounds are concerned, the Leslie effect is the major part of the modifier, in that (apart from some distortion caused by knackered circuitry, key-clicks caused by worn contacts, and so on) it is the rotary effect which gives the sound its character and charm. This is where the line between physical modelling and DSP effects blurs to the point where one can be seen as part of the other. In fact, a physical modelling instrument which could not apply a rotary speaker effect could hardly be said to properly cover organ modelling. Fortunately, both the Z1 and WSA1 (the only two synths which claim to cover organ modelling) both have effects algorithms for rotary speaker simulation. + +As you can see from Figure 2, the proper modelling of a Leslie speaker includes parameters for the rate and acceleration of both the rotor and the horn, as well as for the distance and spread of the virtual microphone which is picking up the sound. Mod switch 2, just next to the X-Y pad on the Z1, is normally used to swap between the slow and fast rotation rates. + +The Organ models on both the WSA1 and Z1 are not just restricted to the modelling of electronic instruments. Both are extremely adept at pipe organs of the ecclesiastical variety, although in both cases the rotary speaker is best eschewed in favour of the largest hall reverb available on the machine. Figure 3 shows a typical Classical Pipe Organ patch. You will notice that all modulations have been switched off and that the click component, so common in electronic organs, is also defeated. Then it simply remains to select the required footages (remembering, again, that the Sub Osc can be used to add in an extra footage at the bottom end) and give the hall reverb its largest possible setting. +Orchestral Manoeuvres + +The Technics WSA1R rack modelling synth. +The Technics WSA1R rack modelling synth. + +This move from the electronic to the acoustic world (albeit still within the digital domain) leads rather nicely into the remaining chapter on physical modelling, coming your way next month. I'll be looking at plucked string algorithms (which produce both acoustic and electric guitars, harpsichords, and other plucked string instruments, such as dulcimers and spinets), and at the three most widespread uses of physical modelling in the acoustic world — brass, reeds and bowed strings. + +Although the balance of this piece has been based around Korg's MOSS system (with a small contribution from Technics' acoustic modelling), next time I'll be broadening the palette to include the Yamaha VL system in its many incarnations, including the cheapest physical modelling unit to date, the VL70M. Until then, see if you can lay your hands on a WSA1 or Z1 to try out some of the electric piano and organ sounds we've been looking at. If not, a Korg Prophecy will be good preparation for next month, as it also covers plucked strings, brass and reeds. +Higher Polyphony The Technics Way +The Technics KN5000 virtual drawbar acoustic modelling, first used on the WSA synths. +The Technics KN5000 virtual drawbar acoustic modelling, first used on the WSA synths. + +The main obstacle to the development of affordable physical modelling synths over the last five years has been the expense of the DSP hardware. The flood of polyphonic DSP-based machines which hit the market last year (Yamaha AN1x, Roland JP8000, Korg Z1, Nord Lead 2) was very much due to recent decreases in cost and increases in power of DSP chips. Before this price/performance breakthrough, companies working on the development of physical modelling, such as Yamaha and Korg, were forced to limit the polyphony of their early instruments (the VL1 and the Prophecy) to a single voice. This wasn't too much of a problem, as these instruments were principally designed to recreate the voicing of monophonic instruments such as brass and woodwind or lead and bass synths, and it allowed all the power available to be concentrated into a single powerful voice. + +However, Technics took an alternative route to giving modelling technology a reasonable amount of polyphony at an affordable price. They realised that the greatest amount of DSP power was taken up by producing the driver, the original sound before the resonator modifies the harmonic content. By replacing a modelled (and therefore processor-intensive) driver with a PCM sample, they could save an enormous amount of processing power — power which could be ploughed back into increasing polyphony. As a result, when other modelling synths on the market were duophonic at best, the WSA1 had 32 voices of polyphony, a figure still not achieved by the most powerful current modelling synths. (With the optional 6-voice expansion, the Korg Z1 still only clocks in at 18 voices, for about the same retail price that the WSA1 had on its release in 1995.) + +To make PCM samples work as drivers for a modelling synth (rather than as the more 'finished' sound you'd normally expect from the PCM sound sources in an S+S synth), Technics had to record the samples in as primitive a way as possible, removing as much of the resonator component as they could from the samples. So strings were miked as close to the string and as far away from the sound hole of violin or guitar as possible, while woodwind reeds were sampled without the resonating column component. This makes the raw samples in the WSA1 rather less polished and exciting than those in the average PCM-based synth. + +A perfect example is the source samples for the electric pianos, which have much of the toy musical box about them when heard unmodified. + +Fortunately, no-one is expected to listen to these raw samples as they were recorded. When the sampled driver is passed through the DSP resonator section, the acoustic modelling process recreates the same timbral and enveloping changes which take place inside the instrument once the initial sound has been triggered. So what's the advantage in this? Why not just use a sample which has the final sound of the instrument? + +The answer to this lies in the increased expressivity which can be achieved by modifying the resonating component with real-time controls. The amount that can be done with 'finished' samples is fairly limited, especially with fairly crude 'analogue'-style filters and envelopes, which can make the sound brighter or duller, and end sooner or later, but can't make it fundamentally different. The harmonic variation which modelled modifiers can introduce is much more akin to the kind of filtering offered by Emu's Z-plane synthesis, as represented by Morpheus and UltraProteus, for example. Modifications are at the same sort of level as multi-band graphic EQs with serious amounts of cut and boost available, or even the more complicated parametrics which can precisely tailor frequency components. + +The much more complex and subtle variations which can be produced by modelling the modifier component of an instrument system get to the heart and soul of an instrument's expressivity, without the problems that cross-switching or cross-fading samples brings. In the case of the electric pianos on the WSA1, you can control parameters such as pickup position and pickup sensitivity, as well as the timbral effects of the electronic circuitry itself. Using DSP for the modifier side of the process meant that much of the subtlety and precision of physical modelling could be introduced without the cost of the drivers being produced entirely by DSP. + +Sadly, the WSA1 (and its module counterpart, the WSA1M) were not major hits in the S&S-dominated market. They were launched at a time when the demand for subtlety of expression for players and authenticity of real sounds was an all-time low, and the market requirement was for sounds suited to techno and related dance styles. Having discovered some potential for the type of real-time modulation favoured by the dance producers in Technics' acoustic modelling process, this author participated in the production of an expansion board full of drum loops and analogue oscillator timbres, in an attempt to save this developing technology from becoming obsolete before it matured. Unfortunately this Dance board was released too late to save the instrument from the ignominy of the discounted blow-out, and the last WSAs were sold off at a quarter of the original RRP, complete with the Dance board. However, anyone who picked one up at this final price (or buys second-hand at a similar price) secured an amazing deal, as the value for money of the original RRP has still to be equalled in terms of polyphony, if not fidelity, by the modelling synths of the present day. + +Technics chose not to continue the technology of acoustic modelling in the form of follow-up WSA products, but one component at least lives on: the way in which the WSA's electronic organ sounds was programmed has been used in Technics' KN5000, and it's from this instrument that we've sourced the LCD screen illustrating the modelling of organs via virtual drawbars. diff --git a/Books/Music/Articles/Sound On Sound Synth School 11.txt b/Books/Music/Articles/Sound On Sound Synth School 11.txt new file mode 100644 index 0000000..39c0a34 --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 11.txt @@ -0,0 +1,161 @@ +Synth School: Part 11 +Modelling Strings & Wind Instruments + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published September 1998 + +The VL70m made Yamaha's modelling technology widely affordable. +The VL70m made Yamaha's modelling technology widely affordable. + +In the penultimate part of his series on synthesizer technology, Paul Wiffen turns his attention to the problem of emulating acoustic instruments in which the sound is produced by a string or reed, and amplified and modified by the body of the instrument. This is the 11th article in a 12-part series. + +Those who were paying attention last time will remember that although the critical thing about physical modelling is that the parameters involved change depending on the instrument being modelled, the underlying theory breaks the process of modelling down into two main constituents; the driver and the modifier. The driver is the point where the energy is put into the system — the bow or plectrum hitting the string, or air being blown through reed or mouthpiece. The modifier is the part of the system where the quality of the sound is changed by resonance and amplification. For strings, this would be the bridge transmitting the vibration of the string to the wooden case, or the column of vibrating air being modified by the size and shape of the tubing in the case of wind instruments. + +The main reason for making this distinction between driver and modifier is that, broadly speaking, the driver tends to be the thing which is being constantly changed to modulate the pitch and introduce expression, whereas the modifier tends to be the more constant factor which gives the instrument its recognisable character. The problem with sampling is that it cannot separate these two elements from the final sound. As a result, the speeding up or slowing down of the sample which is needed to change the pitch produces unfortunate effects like changing the apparent size of the resonating case or column. This doesn't grate too much on the ear when the pitch change is small (a few semitones), but once you exceed half an octave the sampled instrument changes radically. This is why multisampling was developed, to change the source sample often enough across the keyboard to minimise the change in playback frequencies required to cover all the required pitches. + +Sharp ears will have noticed, however, that some instruments respond much better to multisampling than others and that as a result some instruments have to be sampled much more frequently across their range than others. This is usually because of the complexity of their resonant component (ie that part which doesn't change when the pitch is changing). The more complex this part of the system, the more the vibration of the driver is changed from the original input energies. As a result, the re-pitched sample loses its authenticity very quickly, maybe within a minor third. Less complex resonant systems may allow sampled versions to be transposed as much as an octave before the altered resonance gives the game away. The most complex system, and the one which is much the most resistant to multisampling is the human voice. This is because its most important component by far is the non-pitch related changes in the resonant characteristics (as we will see later, modelling systems can make a fair stab at human vowel shapes because the resonant characteristics can be separate from pitching control). +Eastern Wind (And Strings) + +The first commercially available synth to offer physical modelling of wind and string instruments was Yamaha's flagship (but pricey) VL1. +The first commercially available synth to offer physical modelling of wind and string instruments was Yamaha's flagship (but pricey) VL1. + +So far, there are really only two manufacturers using modelling technology for the emulation of wind and string instruments: Yamaha and Korg (although Roland do use modelling components in their Virtual Guitar system, they are applying DSP modifier techniques to the actual sound of a real string, which replaces the virtual driver component). Yamaha were first on the scene with the somewhat pricey VL1 — a duophonic 4-octave keyboard — four years ago. Although the price has come down dramatically, they have not really expanded the polyphony of their implementation at all. The latest versions of what they call Virtual Acoustic synthesis are the monophonic Ł499 VL70m module and a single VL voice in the EX5 workstation and EX5R rack (see box on Combining Modelling with PCM Synthesis). This emphasises the strength of physical modelling for solo acoustic instruments and the fact that the DSP power required to produce polyphonic modelling is still very expensive. + +So much so, in fact, that Korg's much written-about OASYS modelling system has never actually been made commercially available (despite several appearances at international trade shows like Frankfurt and NAMM), but has instead metamorphosed into a development platform, from which the technology is trickled down in more affordable packages. This represents a marked change in manufacturer philosophy; 10 or even 20 years ago, they might have tried to sell a limited number at a high price for keyboard stars like Keith Emerson or Stevie Wonder to buy (remember the Yamaha GX1 or the Crumar GDS). These days, however, even the stars prefer to keep their cash in a high-interest account until the more commercially viable versions appear. + +The first trickled-down version of this technology (which Korg refer to as MOSS — Multi Oscillator Synthesis System) was the Prophecy Solo keyboard, released three years ago. Like the VL1, it featured a shorter-than-normal keyboard, clearly showing its solo synth status (most solo acoustic instruments only offer a range of around three octaves) and was monophonic. However, it did considerably broaden the range of physical modelling, adding plucked string, brass and reeds to the various different analogue configurations we looked at in the first part about physical modelling, all for (just) under a grand on its release. + +In the UK the Prophecy was a massive success, mainly due to the rediscovery of analogue synthesis as an important factor in the emerging Dance music scene (and perhaps the fact that all the old pomp rockers live here, although the biggest market for their music is still in the US). In other territories, it was a disaster as Korg distributors, scratching their heads for potential markets, attempted to sell it as a lead instrument to put on top of home organs. As a result, huge stockpiles of Prophecies built up throughout the world and these have recently been cleared through the UK for as little as Ł499. If you search the dealer ads in this issue, you may still find a few for sale. + +Polyphonic physical modelling of strings, brass and woodwind finally hit the market last year in the form of the Korg Z1, as DSP chips came down in price to the point where 12-voice polyphony (and 6-part multitimbrality) could be provided for Ł1699. The models provided were expanded from those in the Prophecy up to 13 by the addition of electric pianos and organs (which we looked at last time) and bowed strings (Prophecy had only featured a plucked string algorithm). + + ...the future probably lies in hybrid instruments combining the expression and real-time control of modelling with the authenticity of PCM. + +Modelling The Computer Way + +Yamaha's VL Visual Editor allows you to construct "hybrid" virtual instruments by combining drivers and modifiers from different instrument models. +Yamaha's VL Visual Editor allows you to construct "hybrid" virtual instruments by combining drivers and modifiers from different instrument models. + +One of the problems with physical modelling, especially once you break out of dedicated analogue re-creation, is that the number of parameters involved is huge and can be very tricky to program from the front panel of the instrument. If programming Prophecy from its rather obtuse user interface is proving frustrating for anyone out there, it may be some consolation that the great factory presets were created using custom software running on some obscure Japanese computer platform, rather than on the Prophecy itself. + +In fact, the complexity of real instrument modelling is definitely something which benefits from computer software control, not just for the programming of sounds, but also for simply comprehending what is going on. Thankfully, then, both Yamaha and Korg have released programming software for slightly more widely available computer platforms to aid in sound programming. This has the extra advantage that I can use screen dumps from the different sound models to illustrate my descriptions! + +Yamaha produce three different editors, Visual, Analogue and Expert, in versions for the different implementations on the VL1, VL1M, VL7 and VL70m (the fundamental difference being that the VL70m has only one element available per voice, whilst the more expensive units have two). + +The Visual Editor is an ideal introduction to the concepts of physical modelling. By allowing you to mix and match drivers and modifiers, it really underlines the fact that Yamaha's modelling system will let you take the output of, say, a reed and modify it through the resonant characteristics of a non-wind instrument body, like that of a cello. By pointing and clicking at the energy input device (bow, reed, finger, mouthpiece) and the resonator (horn, f-hole body, etc), you can design your own hybrid instruments and then make them more bizarre still by processing the sound through something even more (conventionally) inappropriate like a humbucking pickup. Alternatively, you could be boringly conventional and put a bowed string through a violin body or a trumpet mouthpiece through a horn. + +Once you have set up the basic configuration of your revolutionary instrument and decided whether you want an alto or tenor voice version (that's high or low to you), there are nice simple editing parameters which allow you to 'tweak' the brightness, thickness, distance, breath feel and reverberation characteristics of the sound. In fact these simple controls are hooked in software to multiple parameters in the VL system, but they provide a 'no fear' editing system. Clearly, the simplification of the parameters means that you cannot get the full capability of the VL system by using this editor, but it can provide an introduction to physical modelling which is free of technical jargon. + + Don't make the mistake of trying to do everything with one type of synthesis: give yourself as big a palette of sonic generation as possible! + +Experts Only Need Apply + +Yamaha's VL synths use identical parameters to model string and brass instruments. +Yamaha's VL synths use identical parameters to model string and brass instruments. + +The Expert Editor is just the opposite, and within seconds of loading it you have access to the most alarmingly-named parameters — Slit Saturation Feedback Balance and Graham Function Argument had an old bluffer like me in a flat panic (a little research in the Penguin Dictionary of Physics tells me that the latter refers to Graham's law of diffusion). This editor is definitely not for the faint-hearted, because it really throws you in at the deep end, allowing access to every single parameter in the VL system via four or five tall windows (this software was clearly written on an A4 DTP monitor). However, as with most editing software the best way to learn about it (or any type of synthesis, in my view) is through grabbing the parameter bar, waggling it about, and seeing the effect it has on the sound. + +I was a little confused at first to find that the string model had parameters for Conical Horn Insertion and other clearly brass-related terminology, but this turned out to be because the parameters for string and brass modelling on the VL are identical. This is apparently because the characteristics of a vibrating string are very similar to those of a vibrating column of air (see the box on Karplus-Strong synthesis). However, Yamaha's programmers have realised that this might be a barrier to thinking clearly about how you want to change your model to be more like a particular instrument, so there is a menu which lets you change the displayed parameter names between string and wind terminology. Thus the Slit Saturation Feedback Balance legend in a Wind model becomes Friction Function Feedback if you switch to String Terminology (whether or not this does help you to get your head round what you are trying to achieve is a debatable point!). + +I have to say that this program really does deserve its 'expert' denomination, if only for the terminology — but don't let the jargon confuse you, it is fairly easy to use to get the results you want. The one problem I found was that the Expert editor does not allow you to keep several different windows open at the same time. This means that making simultaneous changes to the driver and the modifier is not possible, though separating the driver from the modifier by a different window at least leaves you in no doubt about the effects of each on the final sound. + +The third piece of software from Yamaha, the Analogue Editor, really falls outside the scope of this piece, but briefly speaking allows you to turn the VL into a fairly simple analogue synthesizer, with all the standard components you would expect. +Z1 To The Macs + +Many of the parameters in Korg's Z1 Plucked String model can be modulated in real time. +Many of the parameters in Korg's Z1 Plucked String model can be modulated in real time. + +Korg's Z1 editor for the Macintosh is very different from the various different VL editors which Yamaha offer, being a much more integrated program. Analogue and acoustic instrument modelling are both covered in the same piece of software and, at another level, parameters for both driver and modifiers are all covered in one window. The plus side of this is that you can see all the parameters for the Reed model at once. The minus side is that if you are unaware of the driver/modifier theory side of physical modelling, this software will not make you aware of it — indeed, no knowledge of physical modelling theory is required at all to use this software. + +For the most part the parameters (of which there are substantially more than in the Yamaha Visual Editor) are named much as a player of the instrument in question, rather than a physicist, would refer to them (see Bell Resonance and Lip Character in the Brass Model screenshot on page 190, for example), and even when more technical terms like Bow Differential or String Dispersion have to be used, you need only try switching it on and off to see what it does. The fact that everything within the individual model is available in one window also means that the mix and match approach of the Yamaha Visual Editor is not possible (no putting a cello bow across a flute tube in this implementation!). This is presumably because Korg's models are actually very different from each other, whereas Yamaha's VL is based around a single model which covers the territory between string and wind modelling. +Full Of Pluck + +The Z1's Reed and Brass models are divided into a number of sub-models, in which parameters for the length and shape of the instrument body are preset. +The Z1's Reed and Brass models are divided into a number of sub-models, in which parameters for the length and shape of the instrument body are preset. + +The Plucked String model made its first public appearance on the Korg Prophecy, but as that was a monophonic instrument its use was limited to things like bass and lead guitars. On the Z1, the polyphony allows its use to be broadened to include strummed guitar chords and violin pizzicato as well as other instruments which you don't immediately think of as having plucked strings, like harpsichord and clavinet. Most of the parameters are fairly obvious (see screenshot opposite), with such factors as the position of the string pluck and harmonic stopping (as well as electric pickup if used), the force of the strike, the amount of damping and the dispersion within the string all not only accessible, but able to be modulated by keyboard tracking and/or all the real-time controllers. +Another String To Korg's Bow + +The new string model in the Z1 is the Bowed String model, which of course means mainly members of the violin family. The real blessing of this is that finally strings which are both really responsive and authentic are available polyphonically (Yamaha's VL series have an excellent solo violin which can be duophonic on the VL1). Sample technology gave really authentic strings in one bowing style (Marcato, Legato, Sforzando, etc) but by using the real-time controllers to change the Bow Speed and Pressure, you can now make smooth changes between these different playing styles without worrying about the artifacts which come from crossfading between different samples. +Amongst The Reeds + +Both the Reed and Brass Models on the Z1 actually have a number of instrument sub-models (to take account of the individual differences between instruments). The parameters used do not change between different sub-models; the sound, however, changes fairly significantly as you switch from one to the next with exactly the same parameter settings. This is because the Korg models do not have parameters to describe the exact shape and length of the tube. Instead these are preset for each conventional instrument within the sub-model. This, again, fits in with the Korg implementation of physical modelling which aims for accuracy in the modelling of real instruments, rather than the ability to 'morph' between different instrument configurations as you can on the Yamaha. Here are the Reed sub-models available on the Z1: + + HardSax1 + HardSax2 + HardSax3 + SoftSax1 + SoftSax2 + Double Reed1 + Double Reed2 + Bassoon + Clarinet + Flute1 + Flute2 + Pan Flute + Ocarina + Shakuhachi + Harmonica1 + Harmonica2 + Reed Synth + +Because the size and shape of the instrument is fixed in the sub-model, the parameters which can be adjusted are principally things which may change due to the playing style, such as breath pressure. This means the expression available can be tailored very precisely to a player's technique or the style of music the instrument will be used for. Clearly, the way a clarinet sounds in classical music will differ greatly from its sound in jazz, yet the same physical instrument is used for both. It follows therefore, that it is the playing style which must differ. The parameters you see in the Reed model are what allow this difference to be made. +Where There's Z1, There's Brass + +As with the Reed Model, the Brass model copes with different sizes and shapes of instrument by having sub-models which you switch between. The user-alterable parameters are once again designed to elicit expression and feel from the model, by routing modulations to real-time controllers like the +X-Y pad and the soft knobs below the display. The Z1 Brass Sub-Models are: + + Brass1 + Brass2 + Brass3 + Horn1 + Horn2 + Reed Brass + +Here there are fewer sub-models than in the Reed Model, presumably because there are fewer differences between the different brass instruments than there are variations on the reed theme. +Future Modelling + +The Z1 probably represents the pinnacle of modelling achievement to date, not just because of its 18-note polyphony or multitimbrality (although these are where the bulk of the DSP horsepower is expended), but because of its versatility. It covers the same analogue territory as Yamaha's AN1x, Roland's JP8000 and Clavia's Nord Leads, but allows more flexible imitations because it can have two models at once (as we saw in the first part of physical modelling), it does electric pianos and organs as well as the Technics WSA1 we covered last time, and now we find it a more specialised modeller for acoustic instruments in a similar vein to the Yamaha VL series. If you want to get a feel for the breadth of sounds and expression that physical modelling can cope with right now, the Z1 defines the current boundaries. If you want to really explore physical modelling for authentic sounds, then beg steal or borrow a Z1 and a Mac to run the editor on. Those of you who want to experiment with the grey areas between specific models and get into the more experimental side of modelling should look at some member of Yamaha's VL family, either a second-hand VL1/7 or the current VL70M module with one or more of the software editors (Visual if you want fast results or Expert if you really like a challenge). + +I get the feeling that the Z1 will look as relevant as the DX7 does now in 10 years time — an instrument that represented a quantum leap forward at the time of its introduction, especially in terms of allowing a player's individuality and expression to come through. Given another 10 years of DSP development, we can expect to find instruments that have the power and speed to tackle the really tricky timbres like the acoustic piano, modelling the interactions between the struck strings and the undamped ones authentically in real time. + +Until then the future probably lies in hybrid instruments like the Yamaha EX5 for monophonic instruments and the Korg V3 for polyphonic ones (see box, left), combining the expression and real-time control of modelling with the authenticity of PCM for big ensemble sounds for which modelling still can't create the sonic complexity. +Author's Message + +As we near the end of this year-long round up of the different synthesis styles which have been made available commercially over the years, there is a thought I would like to share with you. My recent experiments in combining modelling technology with PCM synthesis (see box) served to underline a lesson I learnt years ago when first combining samples with analogue and digital synthesis, a technique which manufacturers eventually refined into the PCM-based synths of today. No one type of sound generation will give you all the different timbres and expressiveness you want. Don't make the mistake of trying to do everything with one type of synthesis: give yourself as big a palette of sonic generation as possible! Mix and match synthesis types to play to their strengths and cover their weaknesses. Mistrust those ads which tell you any one product will give you all the sounds you need, but encourage manufacturers who combine technologies within individual machines like the Yamaha SY99 or EX5, the Technics WSA1 or the Korg V3, as well as those who persevere with the more esoteric forms of synthesis like Kawai and Waldorf. It will be a very dull world, sonically speaking, if we all end up using PCM-based synthesis for everything (something which looked a very real danger a few years back, but which has now receded somewhat thanks to physical modelling and the re-emergence of analogue synths in dance music and the like). + +Next time, we will finish off by taking a look at some more esoteric types of synthesis like granular and re-synthesis which are emerging from the less commercially driven areas of computer shareware and the Internet, further expanding the palette of sonic creativity. In the meantime, get your hands on physical modelling in some shape or form if you possibly can (remember you can now get a VL70m or a Prophecy for under Ł500), and don't forget to try combining it with the other synthesis types to which you have access, either in sequences or individual program combinations. Your music will be the more expressive for it. + +Long before anyone succeeded in properly modelling plucked strings (see main text), there came the Karplus-Strong synthesis algorithm (after Messrs Kevin Karplus and Alex Strong, who developed it at Stanford University in California). A description of this algorithm was first published by its developers in the Computer Music Journal Vol 7 Part 2 in 1983. It is now often identified as one of the first physical modelling algorithms, as this technique anticipates modelling by defining the required stages using terms coined by physicists analysing components of a vibrating string. Essentially the way it works is to introduce a noise burst into a delay line whose time determines the resonant frequency of the string, pass this through a low-pass filter to simulate the energy loss caused by the reflection of the wave in the string and then feed back the result into the delay line. + +The original version of the Karplus-Strong algorithm would produce two or three 'moderately realistic plucked string sounds' (to quote the humble Kevin Karplus) simultaneously in real time on an 8080A processor (imagine what it could do on a modern processor) and gained several US patents. It was licensed by several companies who have yet to produce a stand-alone product from it (although Kevin Karplus reports that a few companies have tried to market the technique without paying royalties). + +Apparently, if the decay element from the filter is taken out then it performs a reasonable impression of a vibrating column of air in a tube open at both ends. This perhaps goes someway to explaining the similarity of Yamaha's string and wind models, in which some parameters do the exactly the same things but are given different names relating to the physical attributes of the instruments being emulated. + +Most people who are familiar with Karplus-Strong synthesis will know it from its inclusion in Digidesign's seminal sample editing program from the '80s, Sound Designer (before it transmogrified into the proto-hard disk editor, Sound Designer II). Unfortunately, this implementation of Karplus-Strong, whilst producing some quite nice timbres, suffers from not being real-time. Once the computation has been done off-line, it is rendered as a sample so that it can be transferred across to whichever sampler your version of Sound Designer was supporting. This means that it suffers from the same problems in playback as all samples, ie. it gets longer the lower you play it and shorter the higher up the keyboard you go. It does, however, give you quite a nice flavour of the potential of the algorithm as a historical step on the road to current physical modelling techniques, so those of you who can track down the original version of Sound Designer (it was produced in customised applications on the Mac for the Emulator II, Prophet 2000, Akai S900 and E-max among others) can have some fun generating mutant guitars and mandolins. +Strong Plucked Predecessor + +Modular synthesizers were originally developed in the '50s and '60s and were frequently called wallpaper synths because of the sheer size of the things, which often stretched across an entire wall. (If you wanted a system like this nowadays, it wouldn't cost quite as much as the Lord Chancellor's famous wallpaper, but not far off...). Modular synths came into their own and into popular culture in the 1970s, with bands such as Tangerine Dream, Kraftwerk, and Tonto's Expanding Head Band, and artists such as Tomita, Keith Emerson, Rick Wakeman and, of course, the ultimate modular evangelist, Walter/Wendy Carlos. + +A typical modular system consists of banks or blocks of sound-generating, sound-modifying and controller modules such as oscillators, filters, amplifiers, envelope generators, modulators, mixers and sequencers. Every module has input and output sockets that are used for interconnecting with the others. They don't have MIDI, memories or presets and they very rarely have hard-wired connections internally — everything is connected across the front of the modules using patch cords. + +The underlying principle of modular synthesis is Voltage Control. For example, a typical analogue keyboard generates a different voltage (CV, or Control Voltage) for each key, plus a separate on/off voltage for each key, called a Gate or Trigger. The CV signal can be used to control a Voltage Controlled Oscillator (VCO) to produce different pitches, while the gate control signal is used to trigger an envelope generator (ADSR — Attack, Decay, Sustain, Release) to give dynamics to the sound. So to produce a basic playable sound you would need a keyboard controller, a source such as a VCO, a VCF (Voltage Controlled Filter) to add tonal variation to the sound of the VCO, and an envelope shaper connected to a VCA (Voltage Controlled Amplifier) to vary the dynamics of the sound. + +Another fundamental aspect of modular synthesis is that there is little or no difference between audio and 'modulation' signals, and practically any input or output can be connected to anything else. The audio output of a VCO can be used to modulate the control input of a second VCO, a VCA can be used to modulate a control voltage, and a mixer can mix CV signals just as an audio mixer would. +Combining Modelling With PCM Synthesis + +Whilst last year saw the release of a whole slew of new physical modelling instruments, including the Yamaha AN1x, Korg Z1, Roland JP8000 and Nord Lead II, this year has been very quiet. Apart from the rack version of the Roland, the 8080, which was shown for the first time at Summer NAMM in Nashville (see this month's News pages), the only really new development is the rackmount Supernova from Novation (reviewed in last month's SOS) which sadly I have yet to get my hands on. However, this does not mean that physical modelling is about to go away. On the contrary, the big news this year is that modelling is now being integrated into workstation synthesizers with a vengeance, allowing the solo instrument and analogue sounds at which it is particularly strong to be used alongside PCM-based synthesis. This year has already seen two Japanese manufacturers further extend the workstation concept with modelling and more must surely follow. + +Actually, this is not that new an idea; two years ago, Korg's Trinity Plus, Pro and ProX included a solo board (available as the SOLO-TRI option), which added the monophonic capability of the Prophecy modelling synth to the Trinity's PCM-based synthesis. As the name implied, you could add a solo instrument, say a lead or bass sound, over the top of a polyphonic Combi or Sequence. As most of the sounds in the Prophecy were already designed for this kind of use, it made the Trinity workstation that bit more versatile especially for keyboard soloists who found PCM-based sounds great for backing tracks, but lacking the expressiveness needed when the spotlight fell on them. + +However, users soon found that you often needed more than one sound from the S Bank (where the sounds were stored). The Solo board did great analogue or plucked string basslines as well as solo reeds and woodwinds or lead synths. The more creative Trinity owners added the HDR options which gave them four tracks of hard disk recording. This meant they could record four tracks of solo sounds to a SCSI hard drive and then have the fifth play back from the internal MIDI sequencer. Whilst not ideal, as only the last one was instantly available for editing, you could always keep the original MIDI solo tracks muted, so if they needed re-editing, you didn't have to play them in again from scratch. Then you would just re-record them to the hard drive once you had edited them. + +This year saw a new range of workstation synths from Yamaha, the EX series (see review of EX5 in May's SOS). Along with their vast PCM-based polyphony there was also a duophonic An synthesis capability (monophonic on the EX7) and a VL synthesis capability (on the EX5 and EX5M only). This meant that EX owners could now also add an analogue lead or bass line or a solo reed or string sound to their sequences, perfect for bringing that expressiveness which only physical modelling can give to the most noticeable element of your sequences. + +However, just as FM became truly usable and sonically pleasing (to this author's ears, at least) only when it could be combined polyphonically with AWM & User Samples on the Yamaha SY99 (my all-time favourite Yamaha product), the next big step for physical modelling will be when there is the DSP capability available within a synth to allow the polyphonic layering of a modelled sound with a PCM-based one. There was a certain element of this in the Technics WSA1 which we looked at last time, but this was still a bit of a compromise as the driver element of physical modelling was replaced, rather than augmented, by samples. In the past few months, I have been experimenting with this using a Trinity and a Z1 MIDIed together, and got some great results (once I thought to disable MIDI Program Change Receive on the Z1 — imagine the frustration when you haven't saved your editing on the Z1 and you change programs on the Trinity, thereby selecting a new Program on Z1 and losing your edits). + +In the way that the future has of becoming the present sooner than you think, then, imagine my joy when the Trinity V3 turned up at Korg (for whom I consult as a part-time product specialist/tech support person) with a new six-voice MOSS synthesis capability (identical in structure to that of the modelling on the Z1) in addition to its 32-note PCM-based polyphony. This made my experimentation with modelling/PCM combination synthesis much easier (no more losing edits by changing programs) and I was also able to introduce my own samples into the equation from the PBS-TRI option. I have finally been able to get that elusive orchestral string sound, where the expressiveness of the bowed string model in changing from light strokes to the fierce 'digging-in' of marcato bowing can be combined in the same program with the rich texture of an entire string section which, for the time being, only samples can capture. The nearest I had before was on the SY99, where I used the FM element to get the variety in the playing style, but it never quite had the authenticity that you get from modelling. This instalment of Synth School was originally due to be published last month, when I wouldn't have been allowed to mention this latest development, but happily I waxed so lyrical about the modelling of electric instruments that the piece had to be split in two, and the V3 has now been publicly announced (and is reviewed on page 150 of this issue of SOS). + +Perhaps one day the amount of DSP power available will be enough to generate the richness of texture which comes from 20 or 30 string players in unison, without needing samples and effects to fatten the sound up, but for the time being I am quite happy with this new combination of modelling and sampling which gets me closer than ever before. As a failed second violin player and would-be composer/conductor of orchestral music, this is the closest to heaven I have yet come. Those of you fortunate enough to have access to both modelling and PCM-based synthesis really should try combining the two, whether via MIDIed 'additive synthesizers' or internally within one instrument. diff --git a/Books/Music/Articles/Sound On Sound Synth School 12.txt b/Books/Music/Articles/Sound On Sound Synth School 12.txt new file mode 100644 index 0000000..a7e39de --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 12.txt @@ -0,0 +1,60 @@ +Synth School: Part 12 +The Way Ahead + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published October 1998 + +The Kawai K5000 — the only additive synth still in production. +The Kawai K5000 — the only additive synth still in production. + +Will physical modelling continue to be at the leading edge of synthesis, or are there other methods moving up on the inside track? Paul Wiffen winds up the Synth School series with a little crystal ball-gazing. This is the last article in a 12-part series. + +There are many lessons to be learnt from the various technologies we have examined in Synth School over the last year or so. The history of FM teaches us that a method of synthesis can go from being the be-all and end-all of the professional synth market to the lowest common denominator of computer video games in a relatively short time (and that despite this, Yamaha are probably making more money out of FM today than they ever did in the heyday of the DX7). The elevation of the fat analogue sound to the modern Holy Grail, when 10 years ago you couldn't give analogue-sounding machines away, warns of the dangers of selling off old gear in pursuit of the latest sonic fashion. But perhaps the most important lesson is a general one on how the relentless development of VLSI technology driven by the computer industry (to which we are but a very small sideshow) turns today's impossibility or very expensive luxury into tomorrow's staple product (which doesn't really get anyone excited anymore). + +Take additive synthesis as a classic example; it is a much more powerful technology in its only current production incarnation, the Kawai K5000, than the infinitely more restricted non-real time implementations which the Fairlights and Waveterms offered 10-15 years ago. Even the early real-time implementations like the K5 and the never-released Technox Axcel caused more of a stir than something wonderful which you can now buy for around Ł1000. Sampling is another classic example; the early Fairlight which turned the whole industry on its head had lower sample quality than the most despised Soundblaster-compatible PC soundcard. The former would have cost you Ł25,000+, the latter you can pick up for under a ton. + +As far as physical modelling is concerned, I feel we are midway between these two extremes. Yamaha, who released the first commercial available physical modelling synth, the VL1, have now adapted that same technology to a Ł500 module or an even cheaper plug-in card for their computer-based system. Korg's OASYS, perhaps the most powerful modelling synth exhibited to date, has never been released, because the days of even megastars shelling out thousands and thousands of pounds for the first implementation of a new technology are over. This hasn't prevented the technology it contained being extremely successful (in this country at least) in the Prophecy. Korg's current Z1 covers more territory than any other physical modelling synth, from analogue and FM-type synthesis through to a host of string and wind instruments, but I often hear people complaining about it because it can only achieve 18-note polyphony and 6-part multitimbrality (PCM-based synthesis has made people blasé about amounts of polyphony, sample memory and multitimbrality which would have seemed like science fiction five to 10 years ago). + +The current state of DSP technology means that certain areas of imitative synthesis are still no-go zones simply because of the sheer amount of DSP power required. But DSP technology is now progressing so fast that I suspect it won't be that long before all the sympathetic harmonic interactions between strings on that most complex of instruments, the grand piano, will succumb to the computational power of the microchip. + +The real challenge these days for physical modelling is not the perfect recreation of acoustic instruments or even the biggest sounding, most powerful analogue-style synth ever, but making the technology easy to operate by people who have never even learnt the basics of analogue synthesis (none of whom are amongst SOS readers, I am sure). The various solutions to this, from the increasing use of dedicated front-panel knobs or X-Y pads or ribbon controllers, through to SysEx control by computer programs, have helped expand the market for physical modelling, but I still feel that this is just another example of 'dumbing down' technology so it can be sold. For the time being at least, the development of physical modelling seems to be its consolidation into more marketable versions of the technology, and its integration into workstations (see last month's sidebar on "Combining Physical Modelling with PCM"). So what other contenders are there for the Future of Synthesis? +Resynthesise + +Emu's Emax samplers were capable of a unique type of synthesis involving the combination of two different samples. +Emu's Emax samplers were capable of a unique type of synthesis involving the combination of two different samples. + +An old chestnut which periodically turns up is the concept of resynthesis. This is the name given to a generic process whereby an analysis of the sound (usually sampled) is made in an attempt to break it down into its constiuent parts, which can then be recreated piecemeal from basic building blocks. These building blocks are usually hundreds of sine waves which are used to build up the harmonic content of the sound, the sound having been analysed in the first place via a Fast Fourier Transform. Those of you who saw Duran Duran's 'Reflex' video will have seen Fairlight displays of FFTs on its samples, usually compared to a plot of a mountain range or the seabed. The Fairlight was not the only system which could produce pretty FFT displays. They were even possible on the cult UK sampler Lynex in the late '80s which ran on the Atari ST. However, all these systems had one thing in common; they could produce a lovely picture from a sample, but they wouldn't let you change the harmonic content, because they couldn't actually turn the sound into its constituent harmonics, let alone convert it back to a sample. + +Because FFT analysis breaks the sound down into harmonic content, it made sense that the first systems which could attempt a reconstruction would be additive synthesisers. In fact, one of the earliest commercially available systems was a Dr T's program for the K5 that ran on the Atari. Although there were not really enough harmonics and envelopes available on the K5 to cope with really complex sounds, it would produce recognizable versions of simple sounds which made good starting points for sound design rather than having to set all the harmonics manually from scratch (in fact, if anyone out there still has a copy of this software, perhaps they would contact me via SOS as I would love to get my hands on it once again). Of course, if someone were to do something similar for the current Kawai, the K5000, which has a much more flexible implementation of additive synthesis, this would probably get a lot closer to a useable resynthesis system. + +Perhaps the best resynthesis I ever heard was on the Technox Axcel, a system which came originally came from Canadian academia, but which went through the inital phases of commercial marketing. It had a flexible additive structure which could assign more or fewer harmonics to each voice as required (although this meant more complex sounds had less polyphony), and at the Paris show in about 1989 they had got the resynthesizer analysis working. I heard a very respectable resynthesis of a flute sound, complete with the more demanding breath component (a flute on its own wouldn't have been that impressive, as the pitched component is a fairly simple harmonic series). However, I never got sufficient hands-on time to evaluate the potential of the system on really demanding sounds. I believe Jean-Michel Jarre bought that unit, but the company went in liquidation shortly afterwards and very few units were actually shipped. + +Over three years ago our venerable editor wrote a piece about Oberheim Electronics (now owned by Gibson) having developed a similar system in conjunction with Berkeley, Stamford, MIT and IRCAM (see the January '95 issue) under the unlikely name of G-Wiz Labs, but we have no more recent information, so either the development process is taking longer than they thought or the project has been abandoned. Again, as its name implied (FAR — Fourier Analsis and Resynthesis) it seems to have used an FFT analysis of the source sample to set up harmonic components. One potential problem with resynthesis, the recreation of unpitched noise components, was dealt with rather elegantly by comparing the result with the original and then creating shaped noise to fill out the differences. At $10,000 plus a Macintosh, it was not cheap, but Paul's report mentioned a recognisable line from Suzanne Vega's 'Tom's Diner' being replayed at different pitches and tempos without any of the normal drawbacks of sampling. Certainly, resynthesis is one of the few systems which seems to have the potential for synthesising vocal performances. + +The appeal of resynthesis is that it would have all the advantages of sampling, in that any sound which can be played in to the system could be reproduced, but without the disadvantage of samples playing back at different lengths when repitched. When a resynthesis is triggered at different pitches on something like the Oberheim FAR system, the replay time would be constant and noise elements in the sound would not be repitched at all. Looping would also no longer be a problem; you would merely extend the duration of the harmonic series in the sustain phase of the sound. Of course, the repitching would not necessarily remove all the problems associated with sampling. Sounds which have been shaped by some sort of resonant chamber (human voice, bowed strings, guitars, etc) would have the harmonic boosts/dampening repitched, which introduces the Pinky and Perky/Carlsberg effect that often forces multi-sampling. This is where physical modelling triumphs as it splits the sound into the driver (which is usually repitched) and the modifier or resonator (which usually doesn't change). + +Perhaps the ideal resynthesis system would be one which does not simply reduce each slice of sound to its constituent harmonics, but would instead look for the effect of a constant resonator in a longer sample of an instrument playing across its range, and would then recreate the harmonic spectrum of the driver separately from the resonant amplifier of the modifier. It might be referred to as 'remodelling'. + +One drawback with resynthesis or 'remodelling' is that would leave nothing for the programmer to do. Just play the sound in, let the computer do its number-crunching and hey presto — your sound can be played back from the keyboard. Of course, if the sound has been broken down into constituent harmonics, then the levels of these could be edited or adjusted in real time for creating new sounds or adding expression, but it still reeks of the increasing dominance of factory presets and lack of user editing and personalisation of the sounds. 'Remodelling' would be better as you could adjust the parameters of the model to make new sounds. But still I find I miss the challenge of 'pure' synthesis, where you have to be the brains and do the analysis of the sound yourself and then recreate it with the parameters available (or even make up a completely new sound). +Where Do You Want To Go Tomorrow? + +So if you are interested in synthesis and sound design for its own sake, rather than having specific timbres to recreate or gigs to do with the minimum number of synths, then where are the new frontiers? Where can you rediscover the thrill of finding a new way of doing things, or even a technology to misuse or trick into doing something unique? The answer to this question, as with so many these days, seems to concern computers and the Internet. In fact, most new types of synthesis since the '80s have been developed at their theoretical and experimental stages through computers. Generally speaking, a designer/engineer had an idea or came across a phenomenon when doing something else which he thinks has potential. The cheapest way to investigate further was to set up some computations on a generic system, ie. a computer, which can be programmed to simulate (often not in real time) the effect which will be produced when certain novel configurations and/or processes are tried. He then took this to an electronic music company and tried to persuade them to take it a stage further. This sometimes took the form of developing specific hardware which is fast enough to do things in real time (like Yamaha's development of John Chowning's FM) or, alternatively, adding it to an exisiting generic product like a sampler. A good example of this latter is Emu's addition of Transform Multiplication as part of the SE software upgrade to their Emax samplers (see 'Transforming Samples' box opposite). +DIY Synthesis + +So back then to our own computers and their umbilical link to the repository of human knowledge that is the Internet. Modern personal computers' CPUs are now so fast that they rival the computational power of systems that only major manufacturers or universities could afford 10 or 20 years ago. You also now have a direct link to the people in educational establishments who are trying to push back the boundaries. Lacking any other public forum to publish their ideas, many academics now post their ideas and sonic experiments on the Internet, just for the satisfaction of airing their concepts to a wider audience who can try their techniques out (indeed it is difficult to see how some of these methods could be implemented into a tradition commercial synthesizer). As a result, you can get into more or less esoteric forms of sound generation at the leading edge of academia via that PC or Mac sat in the corner of your living room. One that has been coming to SOS's attention over the last few months is Granular synthesis, explained elsewhere in this article. + +The main lesson however, is that it has never been easier to get into weird and wonderful forms of synthesis yourself. With a computer and an Internet connection, you can do your own research, download examples and descriptions and then with a sampler or generic synth you can recreate some of the things described and try them for yourself. New types of synthesis without expensive new keyboards — sounds great to me. So Synth School is not exactly coming to a close but transferring to the Internet (a sort of Open University for the new millennium). Get your search engines in gear and you can try three impossible methods of synthesis before breakfast. + +And so we reach the end of the final instalment of Synth School. I have thoroughly enjoyed writing this series and I am particularly grateful to all those of you who have cornered me at trade shows or product launches and been kind enough to say how they have found it useful. Perhaps the most important message I have tried to put across is this: refuse to use factory presets and make up your own sounds using whatever tools come to hand — your music will be the better, or at least the more individual, for it. If you have been led by any of these articles to try out new ways of creating sounds, (or even return to some old ones you thought you had left behind) then these articles have done their job. +Sprinkle On The Granules + +There are numerous references on the Web to Granular synthesis, a method which builds timbres out of very small snippets of sound stuck together to create completely new timbres. Having been informed by various authorities (including Leon Zadorin from some Antipodean seat of learning or other: www.academy.qut.edu.au/music/new...) that the content of the granules is less important than their size and shape (or, as he put it, "human perception of frequency, duration and amplitude tends to reside within a practical minimum)", I decided to dig out my sampler and have a bash myself. As long as your sampler does not restrict the smallest loop length you can have (as some of the early Akais and Rolands did), pretty much any sampler will do. The length of these 'sonic grains' (as each small snippet is known) should apparently be less than 100 milliseconds, because anything larger than that starts to reveal the source sound. + +I started by cutting and pasting a small snippet of sound (less than 1/10th of a second) to itself until I realised that way was going to take for ever. Then I realised the I could use the loop length to replay the small snippet over and over. As long as you keep the loop length very short, the granulated sound bears absolutely no apparent relationship to the source sample. To begin with I used the auto zero crossing feature on the Prophet 2000 to make loops with a smooth cycle crossing in them, which tended to produce very pure sounds with not too many harmonics present, but then I realised that was spoiling the fun. So then I turned to the Roland S760, which doesn't automatically find zero crossings, and things got really interesting. By setting the loop points almost randomly, you get some fantastically twisted angular timbres. I then found a way to move the fixed loop length around quickly within the sample, which made a very quick way of changing the timbre radically. + +Reading further with my faceless Australian mentor, I discovered that another factor is the 'density' of the grains (ie. how much silence there is between them). So then I started to cut and paste some silence in at the end of the loop and found that this tended to make the timbres slightly more acceptable to those of a nervous disposition. Basically, adding silence between the grains seemed to act like adding water to Scotch, making the sound more platable to the sensitive soul. Mind you I never got to any sounds I could have played to my mother, but then isn't that what rock & roll is all about? In these days of techno and other industrial types of dance music, this technique seems to have a lot going for it. I strongly recommend experimenting with it, if you have a sampler and a couple of hours to kill. +Transforming Samples + +Transform Multiplication was a form of synthesis unique to Emu's Emax range of samplers, which used some heavy computational algorithms to combine two samples in a unique but time-consuming way. The process came up with some weird and wonderful sounds ideal for futuristic timbres and sound effects, but it suffered from the same problem as many non-real time implementations of synthesis: the process of tweaking a promising first try into a satisfying sound could take days. When a typical computation duration exceeds thirty minutes, the problem is not so much that creating a completely new sound from a set of parameters entered takes a long time (although this will deter the superficial user), but that each minute adjustment of those parameters, or to use the technical term, 'tweak', takes exactly the same time. So to refine a promising sound can be soul-destroying, especially if you are at the experimental stage where you do not know exactly what each of the parameters will do. Changing a parameter in the 'wrong' direction or altering the 'wrong' parameter altogether means that you have sentence yourself to another long wait just to get back in the right direction. Indeed, to become as familiar with Transform Multiplication as I am sure many of you are with the other forms of synthesis we have looked at might well take a lifetime, unless someone comes up with a real-time implementation. Perhaps Gerry Basserman, who did the demos for Emu for years, might well have reached the stage where he was confident of the effect that individual parameter changes to Transform Multiplication would have, but I suspect that there are precious few others. My experimentation with this technique often produced some fascinating results, but I never really felt like I was doing anything more than randomly combining samples which sometimes had serendipitous results. I certainly never felt completely on top of the method. However, if Emu or anyone else were to come out with a real-time implementation of this style of synthesis, you can bet I'd be first in the queue to master the technique. Sadly, the cynic in me suspects that the market for synthesis styles which create new sounds rather than attempt to duplicate old ones is not large enough to prompt Emu or anyone else to produce the expensive hardware this would need (probably leaving physical modelling far behind in terms of the raw horsepower required). In the meantime, if you can get your hands on a Emax SE, Transform Multiplication will certainly satisfy an appetite for new weird and wonderful sounds. diff --git a/Books/Music/Articles/Sound On Sound Synth School 2.txt b/Books/Music/Articles/Sound On Sound Synth School 2.txt new file mode 100644 index 0000000..c1a7be1 --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 2.txt @@ -0,0 +1,71 @@ +Synth School: Part 2 +Resonance, Envelopes & Routing + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published August 1997 + +This month, Paul Wiffen looks at ways of modifying a filter's shape, both in terms of frequency response and over time, and considers the importance of routing in connecting together a synth's various sound-generating and -modifying components. This is the second article in a 12-part series. + +Having established the basic principle of analogue (or 'subtractive') synthesis in the first part of this series, back in June's issue — ie. start with a sound containing more than you need (a waveform which contains lots of harmonics) and whittle it down (using a filter to remove the unwanted harmonics) — we can now come on to ways of refining this process and automating it. If you have been trying the manual filter frequency manipulations I suggested at the end of the first piece, you will have noticed that small movements of the filter cutoff are not that noticeable, and that to get a marked effect you need to sweep the filter over a sizeable portion of its range. Although later on in this installment we will look at ways to do this automatically, without spraining your wrist every time you move the knob quickly, it is sometimes more appropriate to accentuate a small filter movement than to make the movement itself bigger. +A Greater Emphasis + +This is done by amplifying the frequencies around the cutoff point. This means that instead of having to detect the filter's position by noticing what is not there, we can actually hear more of the frequencies around the cutoff point because their presence is exaggerated. There are perhaps more synonyms for this feature of analogue synthesis than any other, and this can make it difficult for beginners. If the terminology for this parameter on the front panels of two synths is different, how are you supposed to know they both do the same thing? The most self-explanatory of the terms used is Emphasis, which probably explains why it is the least common. All too often, manufacturers try to mystify the processes they use, so more scientific terms, like Resonance and Q, are much more common. But whether the control is labelled Emphasis, Resonance, or Q, it does the same thing. At the point where the filter cutoff slope begins, there is a very narrow band in which the frequencies are actually boosted. The higher this control level is set, the more the frequencies at the cutoff point are amplified. When the filter is static (ie. the cutoff point is not moving), the effect can sometimes be difficult to spot, possibly because there are few frequencies in the filtered waveform around the cutoff point. Sometimes, when you turn the resonance up on a static filter you hear it quite clearly (because there are frequencies around the cutoff point and they are being boosted), other times not. But the surest way to hear the effect of resonance on a filter is to sweep it, even by a small amount. If you have access to a filter with resonance, select a sawtooth wave (or some other harmonically-rich source if you don't have analogue waveforms available) and try adjusting the resonance on a static filter setting first. If you don't immediately hear certain frequencies being picked out, just move the cutoff a little bit. Then do the same with the resonance set to zero. The difference will be very clear. As the filter with resonance is moved, the individual harmonic components in the source waveform(s) will be picked out one by one. This, for me, is another one of the great joys of analogue synthesis. Quite often, the sonic interest created by this slow sweep through the frequencies on a single note is worth a thousand played notes with unvarying harmonic content, especially if you sweep in a low register, where all the associated harmonics are within the audible range. The most common use of resonance is with low-pass filters, but on synths with high-pass and even band-pass filters (see June's instalment for more on these), you usually find that the resonance control is still available, and sometimes it can be very effective when used with such filters, especially for creating 'vocal'-type movement in a sound (see the 'Vowel Play' box). + + Oscillator sync is ideal on lead synth sounds, where it can make the synth scream like a distorted lead guitar... + +Of course, resonance has many other uses. You can use it whenever you want a sound to catch the ear in a busy mix, where it has to fight its way past a lot of other attention-grabbing sounds. It is also useful to alert the ear to the presence of basslines, when you know (or suspect) that the music is going to be heard on systems that cannot accurately reproduce the bass end (AM radio, older TV sets, and so on). A bit of resonance will bring out the higher harmonics which are in the bandwidth of the playback system, and listeners' ears will extrapolate to the fundamental and 'fill in' the missing frequencies. +Filters As Oscillators + +On some analogue synths, if you turn the resonance right up, the filter starts to howl in a way that is very similar to guitar feedback. This is known as 'going into oscillation' and happens because the resonance is up so high that a clearly distinguishable frequency is created, with the harmonic characteristics of a sine wave (ie. very little else except the fundamental pitch). Sadly, some analogue manufacturers and many of those currently producing PCM-based synths felt/feel that you need to be protected from this extreme effect, so you may find that you can't get this to happen on your synth. If you can, try using full resonance with the audio oscillators set to generate white noise (if available on your synth). This is the extreme example of subtractive synthesis I referred to in the first part of this series, where you start with all frequencies present, but hack most of them away, until you are left with just a raw oscillation of a very narrow band, amplified to screaming level. You can then use the filter frequency as a sort of very rough pitch control. While it is unlikely that you will find a use for this technique in a sensitive ballad, sometimes it is just the thing for the climax to a full-frontal sonic assault. This technique will really make ears bleed, and also offers the synthesist one of the few ways with which to fight a guitarist stuck in front of a Marshall stack with all six strings feeding back (you can hear Brian Eno making excellent use of the technique on Roxy Music's early, well, music). I've not heard self-oscillation being used in techno yet, but I'm sure it would fit right in with that 'machinery on overload' vibe. +Introducing Envelopes + +In the course of discussing the effect of resonance, we've seen that it brings out movement in the filter cutoff. So far, we have assumed that this movement will be induced manually by the performer... and so it often is. For me, the difference between a great player and a greater synthesist is that the latter often does more with the parameter knobs during a solo than with the keyboard. Listen to Larry Fast with Peter Gabriel or the aforementioned Brian Eno on early Roxy Music albums and you won't hear a bewildering flurry of notes, but complex changes in timbre which are far more interesting than 'chops'. However, there are many filter movements which are too fast to be produced for every note played. Wouldn't it be nice if there were a way to automate these filter movements, leaving both hands free to play the keyboard? Well, the good news is that there are several. We already saw one of them in last month's instalment; the Low Frequency Oscillator, or LFO, which can be used to induce regular repeated variations in the sound. The first applications we saw were in using the LFO to control pitch, adding vibrato or volume for a tremolo effect. By routing the LFO to the filter cutoff frequency (more on the concept of routing in a minute), you can constantly vary the harmonic content of the sound, an effect which is particularly pleasing at very slow LFO frequencies. If you then also increase the resonance, the harmonics will be emphasised in turn as the cutoff sweeps back and forth. + +There is another way to vary the cutoff, which is based not on repeated effects, but happens automatically each time you trigger a note. This means you can set up the same shape of filter movement for each note, even when you are playing very quickly or polyphonically. This sound-shaper is not only the lynch-pin of analogue synthesis, but a mainstay of all other types of synthesis as well, and is called an Envelope. It allows us to automatically shape sound over time, beginning from the start of each new note. By taking care of the changes we require on every note we play, it leaves us free to worry about what we are playing. I've introduced the concept here by explaining how envelopes can alter filter cutoff over time, but they may also be used to control any other aspect of the sound which we want to affect each note played, such as the volume level or pitch. This is what makes the envelope such a universally useful synthesis tool, not just for analogue filtering, but for overall volume (which we need to control in any type of synthesis). The envelope is also important in other synthesis methods, for controlling frequency modulation (or FM) amount or the level of different harmonic groups in FM or additive synthesis respectively (more on FM and additive synthesis next month). + +The most common type of envelope in traditional analogue synthesizers is called the ADSR. This is an abbreviation for the four stages the envelope can pass through, namely Attack, Decay, Sustain & Release. While these are not universally implemented by any means (on cheaper machines you may find only Attack, Decay and Release, and on more recent synths there may be additional parameters available), the ADSR is the most common type, and a good place to start understanding the idea behind envelopes. Three of the four standard envelope parameters refer to the times taken to move between specific levels (Attack, Decay and Release). The third parameter, Sustain, is different, as this sets the level at which the envelope remains until the key is released. + +Attack is the time taken for the envelope to move from the initial zero level to the maximum level. The higher this parameter is set, the longer it takes to reach that maximum level; so if the Attack Time is at zero, the full level should be achieved instantly (in fact, it does take a small amount of time to reach full level, and this time varies from synth to synth; this variation in the minimum attack time is what can make one synth sound punchier than another). The Decay parameter sets how long it takes for the envelope level to drop from the maximum to the variable Sustain level. If this Sustain level is set to maximum, the Decay parameter has no effect, and if the Sustain level is zero, the level will drop to zero at the rate set by the Decay if the key is held long enough. Setting the Sustain level to maximum means that once the attack portion of the envelope has happened, there will be no change in the sound until the key is released. The lower the sustain is set, the more the level is allowed to decay while the note is still held. Once you have let go of the key, the Release parameter governs how quickly the level drops to zero from that set by the Sustain value. If this is set to a short time, then the level will drop very quickly. + +It is fairly easy to understand how these levels work if you imagine the envelope being assigned to control the overall volume of a sound. A slow Attack will fade the sound in instead of it appearing instantly, a fast Decay will make it die to the Sustain level more quickly, a high Sustain level will keep the sound at high volume until the key is released, and a long Release means the sound will take a while to die away once you have let go of the key. All analogue synths will have a volume envelope (as will 99% of all other synthesizers) so you can very quickly acquaint yourself with the effect of these controls on the volume by adjusting the parameters and seeing how they affect the sound. Of course, if you don't have all four parameters, just learn the effect of those you do have. Those of you using synths with more complex envelopes will have to wait until later in the series to fully understand how they work, when we will look at those synthesis styles which use more stages. +Envelopes & Filters + +Of course, envelopes may be applied to the filter as well as the volume of a sound (this is where we came in), and this is important when creating sounds that appear 'natural' to our ears. In acoustic instruments, the harmonic content of the sounds generated often changes radically over time, as well as just the volume: a plucked string starts off very bright, but quickly dies away to just the fundamental. Even bowed or blown instruments, which can maintain a steady harmonic content over time, tend to have a harmonically brighter attack as the player accentuates the beginning of the new note. Even if you're not seeking to directly copy acoustic sounds (I've already mentioned what a non-starter this is with most analogue synths), the ear still likes to hear familiar patterns in sounds. However, when it comes to applying an envelope to the filter cutoff, things get a little bit more complicated. A volume envelope will always start from silence and return to it (otherwise the synth would be sounding even when you hadn't played anything), but this is not necessarily the case with the filter envelope. The filter cutoff may not start from completely closed, nor may it be returned to that position. In fact, most of the time the volume envelope is used to silence the sound long before the filter envelope might achieve the same result. + + For me, the difference between a great player and a greater synthesist is that the latter often does more with the parameter knobs during a solo than with the keyboard. + +However, in certain cases, you may want to use the filter envelope to remove all frequencies. In this case you would use the manual filter control to close the filter completely, and then set the envelope to open it and return it to the closed position at the end of the Release phase of the envelope. Remember to make sure the the release on the volume envelope goes on long enough to let you hear the effect of the filter envelope. It is also best if you set the volume attack to minimum and the volume sustain to maximum. In general, you should use the manual filter cutoff to set the start and end position of the filter. Remember that if the manual filter cutoff is set to fully open the filter, there is no way the envelope can affect the filter any further (unless you have one of the more flexible synths which allow for negative settings of the filter envelope). So make sure that the filter is at least partially closed before you start trying to hear the effect of the filter envelope. You will also need to set the amount of effect that the filter envelope has on the cutoff position (look for the parameter on your synth labelled Filter Env Amount, or perhaps just Filter Amount). If this is set to zero, you might spend all day adjusting the filter envelope parameters without hearing any difference! The Filter Amount control determines how much movement the envelope will induce in the cutoff frequency. If you set a large amount, the filter will probably be fully open at the end of the Attack phase of the envelope, and lesser amounts will cause it to open up less. + +To imitate the natural harmonic decay heard in 'plucked' acoustic sounds, you should set the attack of the filter envelope to zero, so that when you play a note, the filter will open up fully straight away. If you use a slower attack, the note will sound more like a instrument being bowed or blown softly to start with and then increasingly harder. Again, these are just examples from the acoustic world to help you understand what you are doing, not attempts to make exact copies of 'real' sounds. The great thing about analogue synthesis is that you can create lots of sounds which don't exist naturally, and if you have access to more comprehensive analogue synths, you should also experiment with envelope control of band-pass and/or high-pass filtering. Similarly, if it is possible to set a negative envelope amount to the filter on your synth, check out the effect that this gives. In this case, you should set the manual cutoff to the most open position that you want it to be, as the negative envelope will close the filter to start with, and then return it to the most open position at the end of its cycle. + +It is always a good idea when experimenting like this to work with fairly long attack, decay and release times, with the sustain level at about half way. This gives the untrained ear more time to follow what is happening to the sound during each phase of the envelope. When you feel comfortable with the slow movements, reduce the times so that the cycle happens more quickly. Once you have heard a filter opening slowly and then sped it up bit by bit, you will soon recognize the characteristic sweep, however fast it is happening in a sound — if you have trouble, you can always turn up the resonance, which will help pick out the filter movements. +Routing And Misrouting + +Of course, envelopes can be used to control much more than volume and filter cutoff, but how much you can experiment with this will be determined by how much routing you can do on your synth. The most basic analogue synths will be hard-wired to the sort of signal path shown in Figure 3. Usually two oscillators (sometimes one, sometimes three) are mixed together and passed through a filter — also known as a VCF or DCF (Voltage Controlled or Digitally Controlled Filter), and then the volume amplifier or VCA/DCA (Voltage Controlled or Digitally Controlled Amplifier). Normally the filter and amplifier will each be controlled by an envelope (on some more basic synths you may have to share one envelope between volume and filter) and you will often find that your envelope(s) cannot be set to control anything else. A single LFO will probably be available to control the pitch of both oscillators (vibrato), the pulse width of one or both (PWM), or the filter cutoff. If you find yourself able to do more than this, then your synth is definitely above average. Additional routing possibilities include envelope to pitch (for automatic bend effects), pulse width and LFO amount (to delay vibrato till after the note has been held for a second, and so on), and switching a third oscillator between normal audio and LFO operation. On some synths (such as the EDP Wasp and OSCar) you may even find that you can switch the envelope to repeat its cycle, allowing for the creation of custom LFO waveforms using the ADSR shape. + + Attack is the time taken for the envelope to move from the initial zero level to the maximum level. + +At the opposite end of the scale, you may have access to modular analogue synthesizers whose routing possibilities are completely up to you; with these, you use patch cords to connect the different parts of the sound-generation and -shaping architecture together in any order you like. The degree of complexity is directly proportional to the number of patching points in the system (and the number of patch cables you have — a steadily decreasing number in my experience!). On big modular systems, not only are the routing possibilities infinite (even discounting those which do not produce an audible result), but the actual number of oscillator, filter and envelope modules is variable (assuming you have the money — so if you want another oscillator, you go out and get another oscillator module), and you can build up ridiculously complicated routings. There comes a point where the law of diminishing returns is clearly applicable, but unless you are very experienced, long before this point you will lose all grasp of what is actually happening to the sound in your mega-patch. + +Korg MS20 Mini +The Korg MS20 has enough patching points to be flexible, but not so many as to be unmanageable or incomprehensible.A good compromise between the fixed architecture of the basic analogue synth and the totally open system of gigantic modular systems is something like the Korg MS20, which has enough patching points to be flexible, but not so many as to be unmanageable or incomprehensible. This was perhaps the most successful of the 'patchable' analogue machines (even though the single-oscillator MS10 was much cheaper). As a result, there are a decent number of these machines floating around out there (whilst house-hunting in Carshalton recently, I spotted one left behind by a teenage son when deserting the parental abode) although their price on the second-hand market has risen drastically of late because of the renewed interest in all things analogue. However, once you have mastered the fixed routing of the simpler analogue synths, such 'patchable but simple' analogues are ideal for learning the more advanced applications of analogue synthesis — if you can track one down. + +So, when the routing of the analogue signals is left up to you, what are you going to do with your new-found freedom? Well, as we so often discover when all constraints are removed, many of the possibilities opened up actually lead nowhere at all or, to be more literal in this case, result in silence. So you should actually start by recreating the signal path shown in Figure 3; one, two or three oscillators routed into the mixer, with the result put first through a low-pass filter and then amplifier, with an ADSR envelope each controlling the filter's cutoff point and the amplifier's level respectively. This advice is not so conservative as it sounds; it's not so much 'don't try this at home, children' as 'It pays to learn the rules before you break them!'. LFOs can be routed initially to oscillator pitch and pulse width (if pulse wave is selected on one or more of the oscillators, that is), or filter cutoff and amplifier level (for wah-wah and tremolo-type effects). Then try moving one connection at a time and see the way the sound changes; start with the points to which LFOs and envelopes are routed, as these are much less likely to make the sound disappear altogether. + +Don't think it's the end of the world if you don't have an analogue synth with physical patching facilities, either. Although Sequential Circuits never went as far as offering patching cables, the Poly-Mod sections on everything from their Pro One up to the Prophet T8 give you some pretty wild routing capabilities which allow you to get away from the standard analogue setup, and most modern synthesizers have pretty flexible internal routing capabilities now that such things can be done in software. So even if your PCM-based synth doesn't have the most authentic analogue oscillator sounds, it can still teach you a great deal about the way routing works. Particularly good examples of very flexible routings are Emu's rack units, from the Proteus onwards. The only real problem with software routing is that you may have to become familiar with a lot of abbreviations, as sometimes there is not enough room in digital displays to list out the parameters and their settings fully. So be prepared to decipher combinations of numbers and letters like OSC1 PWM ENV or FIL TYP: BPF in the display. Whatever access you can get to more flexible routing synths, whether via patch cables or software switching, don't be afraid to experiment with bizarre routings. The more advanced techniques discussed below both evolved from people plugging things in where they weren't supposed to go! Who knows, maybe you will be the first to discover a new routing technique which will be as full of character as these two. +Ring Modulation & Oscillator Sync + +The first of these, Ring Modulation, is a process for modulating one frequency with another in such a way as to produce only sum and difference frequencies, but none of the original fundamental. The original ring modulation circuit has its origins in radio communications, and was originally based around a couple of transformers and a diode bridge or ring (hence the name). Subjectively similar effects can be created by routing an oscillator operating at an audible frequency into the LFO input of another audio oscillator, which is possibly how the effect was first discovered. This would probably have originally have been done on a modular system, but it is also possible on the classic MiniMoog/MemoryMoog design, which allows oscillator 3 to be switched between audio and LFO function. By switching to the LFO routing, but keeping the frequency in the audio range, you can modulate the pitch of the other oscillator so fast that you produce new frequencies which are multiples of the two source oscillator frequencies, many of which are not in the normal harmonic series of either oscillator's fundamental frequency. This produces a range of sounds with a metallic quality, and is therefore useful for making bell sounds or more abstact timbres. Whether the sound has a slight metallic edge to it or is completely atonal depends on whether the frequencies of the two oscillators are closely related or not, as well as whether the pitch of one is being moved in real time as you play it (by an envelope or LFO, for example). As very small adjustments to a ring-modulated oscillator's frequency can make a major difference to the timbre produced, you will find the results can be unpredictable but very rewarding. + +Another technique which produces major changes in the harmonic content of the sound, but is less radical in terms of those harmonics' mathematical relationship to the fundamental, is oscillator sync. In this specific configuration, one oscillator's cycle is synchronised to that of a second. This forces the waveform of the sync'ed oscillator to restart its cycle each time the other one crosses the zero point going from negative to positive. As a result, the fundamental frequency of the slave oscillator is kept the same, but the waveform is radically changed. The pitch of the controlling oscillator is not normally added into the audio mix, but instead can be shifted by pitch-bend, envelope, aftertouch or LFO. This makes radical changes to the harmonic content of the synchronised oscillator, but without making the fundamental pitch as weak as ring modulation does; instead, the higher harmonics around the pitch of the moving oscillator are picked out. Oscillator sync is ideal on lead synth sounds, where it can make the synth scream like a distorted lead guitar, or on bass sounds, where it makes the bassline stand out with a really hard edge. Oscillator sync is to be found on many analogue synths, from the classic Prophets and Moogs to the more recent Novation BassStation Rack and Yamaha AN1x. It is another one of my favourite features on analogue synths, giving unparalleled expression to the sound when the pitch of the controlling oscillator is linked to aftertouch or one of the mod wheels. However, like ring modulation, oscillator sync is not, strictly speaking, a 'subtractive' technique, in that it adds to the frequencies originally present in the oscillator waveforms (although you shouldn't let that stop you making good use of it!). As such, these techniques make a good bridge from 'straight' subtractive techniques to other calculation-based styles of synthesis, which use multiplication and waveform manipulation to produce frequencies outside of the normal harmonic series, such as Frequency Modulation and Phase Distortion. In the next part of this series, we will look at the most successful of these 'multiplication' synthesis types, Frequency Modulation, or FM. +Erratum + +Apologies go to readers for the mistake which crept into the diagrams illustrating Paul Wiffen's first article in the Synth School series, and our thanks to those four observant readers who contacted us to point it out. The fundamental frequency in any waveform is of course the same as the first harmonic in the harmonic series, and should not have been illustrated as two separate components. The correct harmonic series for the sine, sawtooth, square and pulse waveforms are displayed left. +Analogue Recreations With Physical Modelling + +Although many people swear by the original analogue synths, some of which are now changing hands for more than their original retail prices, a new generation of synths is recreating the analogue sound via the state-of-the-art technique of physical modelling. Using raw processing power, DSP chips (first used for effects processing) are now being using to simulate the exact stages of the sound modification procedure which occur in analogue synthesizers, from oscillator waveforms to filter action to envelope shaping, all entirely in the digital domain. The principle advantages of these modern recreations are that they boast rock-solid tuning (never original analogue's strong point), hundreds of presets and user programs, and all the advantages of MIDI for sequencing and SysEx communication. Korg's Prophecy did not restrict itself to just analogue sounds but the analogue models it did feature were extremely reminiscent of the classic monosynths of yesteryear. The first polyphonic synth to recreate analogue sounds was Clavia's Nord Lead, which allowed real-time control with dedicated analogue controls, and this machine had the market to itself for over a year (and was recently upgraded to the Nord Lead II). However, the Japanese manufacturers have responded strongly in the last few months, with Roland's JP8000 (a thorough recreation of that company's classic Jupiter 8) coming first. This was swiftly followed by Yamaha's AN1x, a 10-voice synth with particularly good sync sounds — see the AN1x review starting on page 166 of this issue. You can also read Gordon Reid's preview of the very latest contender, the 12-voice polyphonic Korg Z1, elsewhere in this issue. Whether any or all of these machines can be seen as authentic replacements for the classic synths of yesteryear is a personal opinion, and no doubt the debate on this point will rage long and hard. What is beyond question is that as the second-hand market runs out of bargains (as owners wise up to the value of the pearls they have been sitting on), these new machines offer a very viable alternative, particularly in the modern MIDI setup. +Vowel Play + +Sometimes analogue impressions of vocal sounds can work better than sampled vocals in a track, because the frequencies affected by the filtering are not directly related to the pitch of the note you are triggering, but dependant only on the filter cutoff. The human vocal chords apply the same resonant filtering effect, and they don't vary this just because you sing a different pitch. Instead, the variation is used to create different vowel sounds, independent of the note being sung. When you play a new note with even the most accurate samples, the resonant frequencies shift in strict mathematical relationship to the transposition from the original pitch. So when you transpose a sampled voice by even a semitone, it sounds more like a different person singing the new pitch, not the same vocal chords. Whilst an analogue synthesizer will rarely be mistaken for human voices, it may well give you a more organic impression of voices used as an ambient background than a sampler whose variations in timbre directly related to pitch jar on the ear. As always, I advise people to steer clear of the idea of using analogue synthesis in direct imitation of a sound. However, analogue synths can be excellent for giving the general impression or feel of conventional instruments without being slavish imitators, especially when placed further back in the mix and given their own ambient space. When trying to produce a vocal effect on an analogue synth, the best results tend to come from those which have a band-pass filter setting or a high-pass and low-pass in series (essentially the same thing). Set the resonance to just under the point where it is about to go into self-oscillation, and then move the cutoff frequency (or frequencies if you're using low-pass and high-pass filters in series) around slowly. With luck you will find a point where a distinct throaty element creeps in. Patience is a definite virtue in the search for this elusive effect, and if the synth you're using has user memories, be ready to save as soon as you find it. If not, then be ready to record the part you want the sound for, as the sound can drift all too quickly on unstable old machines. My favourite machine for this is the Elka Synthex, which had two different widths of band-pass filter, a very stable resonant response, and a ton of user memories. My 'Choirboy' patch, a serendipitous find on that machine, has fooled many an untrained ear (I'm thinking mainly of TV and film directors with that 'untrained' reference, by the way) to the point where I could probably have got away with billing them for a session with Aled Jones or whoever the current pre-pubescent warbler was! The dual filter of the OSCar is another winner for this (moving the Separation parameter controlling the distance between the two resonant peaks can create vowel sounds which give the impression of singing in a foreign language), as are any of the early Korg synths featuring the splendidly-named 'Traveller' (they don't make parameter names like that any more, do they?), which is a disguised high-pass and low-pass filter in series. diff --git a/Books/Music/Articles/Sound On Sound Synth School 3.txt b/Books/Music/Articles/Sound On Sound Synth School 3.txt new file mode 100644 index 0000000..9b469e4 --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 3.txt @@ -0,0 +1,99 @@ +Synth School: Part 3 +Digital Synthesis (FM, PD & VPM) + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published September 1997 + +Having completed his study of analogue synthesis last month, Paul Wiffen takes a look at FM and its related digital synthesis types, which rocked the synth world throughout the 1980s. This is the third article in a 12-part series. + +Incredible as it now seems, 10 years ago, Frequency Modulation (or FM) synthesis ruled the world — well, the musical world at least. Having already sold a phenomenal number of FM-driven DX7s, Yamaha were in the process of creating cheaper and cheaper FM synths (with increasingly large model numbers) so that even the most impoverished musos could have their own. A couple of years after this, Yamaha launched their (in my opinion) best-ever synths with the hybrid SY series, which combined 16 FM voices with 16 PCM sample-based voices. My treasured SY99 is actually my favourite Yamaha product of all time (for reasons which will become clear elsewhere — see the 'Which FM Synth Is Best?' box). + +These days, from a synth player or programmer's point of view, you could almost be forgiven for thinking that FM had never existed, and that Yamaha had discreetly drawn a curtain over that whole period of synth history (they dropped FM from the SY85 a few years back, and then quietly discontinued the synth itself); in short, the profile of FM keyboard synths on the market is at an all-time low. But, in fact, FM synthesis is more widespread than ever; hidden in the bowels of every IBM-compatible computer now being sold is a miniature FM synth. Back in the days when PCM-based synthesis (or wavetable synthesis, as the computer industry incorrectly refer to it) was still too expensive to put on soundcards, Yamaha sold their FM technology to Creative Labs as the sonic engine on the original SoundBlaster, in the form of the OPL chip. Due to the phenomenal success of this soundcard and its descendants, the OPL chip is now part of the ubiquitous SoundBlaster spec which games and other multimedia applications alike use for their sonic accompaniement. So every SoundBlaster-compatible card now produced has to have the OPL chip (even if it also features a high-quality PCM sample-based synth as well) — and these days you can't sell a PC without a SoundBlaster card built in. This means that there are actually more FM synthesizers out there than ever, although they no longer sport Yamaha's unique combination of brown and green, nor the label DX. In fact, the huge numbers of FM synths sold in the '80s has probably now been eclipsed by the number included in the PCs that have been sold worldwide! +Capital FM + +As the FM sound engines on PC soundcards use a less sophisticated version of FM, we will concentrate on the implementation of FM first made available on Yamaha's DX7 (and their much more expensive DX1). If you are serious about using FM in your sonic arsenal, try to get your hands on an FM machine with the same implementation as this, because the scope of what you can achieve with the less complex implementation, sonically speaking, is rather more limited. In addition to the thousands of DX7s out there (including 1988's DX7 MkII), there are also TX802 and TX816 racks, SY77 & SY99 workstations, all now going second-hand for a fraction of their original asking price, and all with the 'more evolved' version of FM. This implementation is generally referred to as 6-operator FM (as opposed to 4-operator FM on the DXs with higher model numbers and, of course, their OPL chip descendants in PC soundcards). Straight away, we've run into our first piece of FM-related jargon; operator. However, there is no need to worry about this, as when I tell you that all operators do is produce sine waves, you will (hopefully) recognise them from the previous two parts of this series as being closely akin to the oscillators in an analogue synth. What's different in FM synthesis is the way these sine-wave generators interact to create sounds. + + Don't expect to master FM synthesis as quickly as you did analogue. + +So, why are they called operators? The answer lies in history... Unlike analogue synthesis, which was developed and refined in parallel by several different individuals and companies over some years (Bob Moog of Moog Electronics, Dave Cockerell of EMS, Dave Smith of Sequential Circuits, and Dave Rossem of Emu, to name but a few), FM has a much more singular parentage. In the early '80s, a team at Stanford University in California, led by Dr John Chowning, discovered a pure synthesis application for Frequency Modulation, which had been in use as a high-quality audio broadcast transmission system for some years. The new form of synthesis allowed the creation of sounds which had previously been beyond the ability of most analogue synths (for example, reasonably realistic brass, electric piano, and bell sounds, as well as other 'metallic-sounding' timbres); and so, emphasising this particular strong point of the new discovery, Chowning shopped FM synthesis around several manufacturers, and, after a few refusals from American companies (who must have later felt like the man at Decca who turned down the Beatles), signed an exclusive agreement with Yamaha for them to develop the new method and bring it to the market. As a result, Chowning and Yamaha were able to develop their own jargon, and decided that operator, rather than oscillator, was the term for them. Actually, it wasn't a bad decision, as it meant that nobody expected to use operators in the same way as oscillators on an analogue synth. + +So, how does FM synthesis use operators to create sound? (Warning: more incoming jargon, albeit slightly more familiar!) Firstly, it is important to note that on any FM synth, each operator is known as either a Carrier or a Modulator, depending on the role that the sine wave produced plays in the creation of your FM sound. Those of you who know something about the way radio transmissions work may recognise the terms Carrier and Modulator. In broadcasting, it was discovered that if you modulated the frequency of a waveform instead of its amplitude (as in the earlier method of radio broadcasting, Amplitude Modulation, or AM), you could encode more audio information more accurately for transmission, which resulted in better reception, and a greater bandwidth and dynamic range. Those of you reading this in the Shires will be capable of listening to Mr Branson's fine radio station in hissy old AM (if you haven't given up on it because it's too much like listening down an old telephone), while us Greater London types have it in glorious FM stereo (although I can assure you that Michael Bolton's bleatings do sound worse on FM). The frequency of the carrier, in the case of Virgin Radio FM, is 105.8 MHz (ie. what you tune your radio to — or away from if Mr Bolton is playing) and that of the modulator varies according to the audio signal being transmitted. When we then tune into an FM radio signal, the carrier signal is taken out and we listen to the modulator. + +However, in FM synthesis, it is the carrier we listen to (although with the effect of the modulator still present). In other words, we are actually interested in the interaction of the carrier and modulator, rather than using one as a means to get the other from A to B. + +In fact, those of you who remember the difference between audio oscillators and low-frequency oscillators (LFOs) from the first two parts of this series should now be able to understand exactly the relationship between the carrier and modulator. A carrier is like an audio oscillator; its modulated output is sent to the mixer and thence to the speakers. The modulator is more like an LFO. You don't actually hear it, but you do hear the effect it has on the carrier. + +The main difference between the modulator and an analogue synth's LFO is the speed of operation. As implied in its name, an LFO operates at low frequencies, nearly always below the audio range. There is no such restriction placed on a modulator; it may operate at frequencies considerably higher than audio, within the audio range, or below it. In this respect, the way it is used is similar to the way analogue synth oscillators can be employed to create ring modulator-style effects, where you set up one oscillator to modulate the pitch of another (this was covered in more detail at the end of the last instalment in this series). The frequencies produced by this analogue cross-modulation are ideal for bell-type sounds and other metallic timbres — exactly the timbres which FM later became famous for. This is no big surprise when you consider that pitch is merely the musical way of referring to frequency. + +So, what's the difference between cross-modulation as practised on an analogue synth and the frequency modulation in the Chowning/Yamaha implementation? Well, to start with, FM operators can only ever produce sine waves, unlike an analogue oscillator. At first, this may seem a bit limiting when you remember that a sine wave only produces a fundamental frequency, but in fact the interaction of just two sine waves can produce incredibly complex timbres. This is because in FM, you don't simply mix two frequencies. Frequency Modulation actually produces multiple frequencies based on the sum and the difference of the original frequencies. The greater the modulation depth, the louder these new frequencies are in relation to the original frequency of the carrier. When you also consider that in Yamaha's FM, modulated carriers can be further modulated or themselves used as modulators, you should see that it is possible to quickly build up large numbers of frequencies in harmonically-related and/or harmonically-unrelated series. In general, the former will give the purer tones, and the latter the more complex, more enharmonic sounds, until all at last becomes noise if the relationships get too complex. + +This also explains why 6-operator FM is more versatile than its lesser, 4-operator relative.If you think about it, there are so many more ways you can configure six operators as carriers, modulators, modulated carriers, carrying modulators, re-modulated modulators, and so on, than you can four. This brings us neatly to the pretty pictures screen-printed on the front panel of the DX7 (or on illuminated displays if you are the proud owner of a DX1), which tell you how the operators are currently configured. These configurations are known (jargon alert!) as Algorithms. +Slave To The Algorithm + +On modular analogue synths, you could create your own audio signal routings, allowing you to plumb the most bizarre signal paths together. Most analogue synth manufacturers preferred to set the possible paths in stone to some extent, so that you didn't end up with routings which produced no noise or led to the direst rackets (both of which tended to trigger lots of calls to modular manufacturers complaining of "broken" machines). Yamaha saw this problem coming a mile off, and quite sensibly chose to limit how the six available operators on the DX1 and DX7 could be hooked together, permitting only those algorithms liable to produce the most musical results, and thus giving the end user reasonable flexibility without the suffering. 6-operator FM offered 32 algorithms (its 4-operator junior had just eight — another plus point for 6-operator FM). Most DX owners complained that the synths were too complicated, but can you imagine the complexity if all routings had been freely user-definable? Or what the user interface would have been like? The mind boggles! + +The conventions Yamaha use in the diagrams of these algorithms are fairly simple once they are explained. Whilst we do not have the room to reproduce the layout of all 32 algorithms in this article, 11 are pictured in Figure 1, on the first page of this article, as examples, which will allow you to visualise some of the ways DX operators can be arranged. + +Algorithms are 'read' from top to bottom, and the operators on the bottom row of any algorithm are the carriers. These are what actually produce the sound you hear coming from the machine, mixed together like the signals from analogue oscillators before they enter their synth's filter. Anything above the bottom row is a modulator, and the lines joining them to the carriers show which is modulating which. You will see from Figure 1 that in many of the first few algorithms, one carrier is being modulated by two or even three modulators. In the final 16 algorithms on the DX7 (numbers 17 to 32), one modulator is able to modulate several carriers. Of course, some algorithms (numbers 3 and 4, for example) have a third row on top, and this is where you find the modulators modulating modulators (stay awake at the back there, please). Algorithms 1, 2 and 16 (in the diagram) even have a fourth level to re-modulate a modulated modulator. In case I have failed to lose you so far, I must also mention that each algorithm has an feedback loop somewhere, with which one or several operators can be set to modulate itself/themselves. As an example of the latter type, take a look at algorithm numbers 6 and 4 (again, see Figure 1) where a chain of two and three operators respectively are fed back on themselves). + +I hope you can now see that the algorithm selected has the most fundamental role to play in terms of the sound the DX produces. Randomly switching the algorithm on any of the preset sounds will soon convince you of this. In fact, if you are not careful, you can end up removing all the FM from your sound! +DX In Not-All-FM Horror Shock + +Now it's time to let you in on a big secret. Some of the algorithms on a DX7 have hardly any FM in them at all, which you might feel is a bit like finding out the Pope is not Catholic after all. Algorithm 32 has no modulators at all (except that operator 6 can modulate itself, thanks to the feedback loop) and is actually more like additive synthesis (next month's topic of investigation) in that it just mixes together the sine wave audio output of all six operators, a bit like drawbars on an organ. Algorithm 31 is little better, with one modulator tacked on to carrier 5 like an afterthought. If you are scared of getting lost in over-complicated modulation paths, I suggest you start your experimentation with algorithms 31 or 32. The more adventurous among you should dive straight in on the triple modulation loop of algorithm 4. + + Incredible as it now seems, 10 years ago, Frequency Modulation (or FM) synthesis ruled the world... + +By the way, not all the operators featured in an algorithm are necessarily being used. Firstly, whenever you are in Voice Edit Mode on the DX, you will see what looks like a 6-bit binary number in the upper half of the display. This actually shows the status for each operator (1 for On, 0 for Off). These can be toggled using the first six of the 32 green switches on the right-hand side of the machine. Clearly, if a carrier or modulator is switched off, its sound (in the case of carriers) or effect (in the case of modulators) will not be heard. + +Secondly, if the modulation depth of a particular modulator is set to zero, its effect will also not be heard. To check this, first use the Operator Select switch to step through to the operator you want to check. The various parameters for controlling the modulation amount (initial depth, envelope, velocity, aftertouch, LFO, and so on) will then all be available under their respective switches to the right. +Real-Time Timbre Change + +Without going into more detail than we have room for here, this last sentence has quietly summed up one of the real strengths of Yamaha's FM synthesis implementation, and also explains why it had such a massive impact on the synth market of the mid-'80s. Up until then, most analogue synths had not been velocity sensitive, and those that were tended to be very expensive. The Prophet T8 first shipped around the same time as the DX7 (some two years after it was first shown), and its eight (admittedly very big) voices set one back a not-so-cool Ł5000, compared to the DX7's much less wallet-savaging release price of Ł1549. Even when a manufacturer managed to produce a more cost-effective machine, the limited number of voices was still a problem — at the same Frankfurt show where I first saw the DX7, Siel launched the velocity-sensitive Opera 6 for slightly less money, but as its name implies, it still only had six voices. + +Not only did the DX have 16 voices (the first affordable synth with more voices than people have fingers), but on each, velocity and aftertouch could be routed to control some or all frequency modulation depths. This brought pianists (many of whom had sneered at the limited polyphony and real-time expression of synths for years) flocking in droves to hand over their hard-earned for a DX, particularly those jazz players for whom a chord is not a chord unless it has a dozen notes on top of those in the straight major or minor triad. + +Suddenly, voices on a synth could change quite radically, depending on how hard you hit them and whether you leant on the note afterwards. This meant that you could keep your left hand (previously needed to push the mod wheel up every time you wanted a bit of vibrato or other form of expression) free to play basslines or a further five/six notes of jazz harmony (or, as we classical types like to refer to it, dissonance!). Previously, polyphonic synthesis had been an exclusive club, firstly thanks to its price, and secondly because you had needed to learn new ways to introduce expression into your playing. Suddenly, you could use all the techniques learnt in those years of piano lessons without modification. The sustain pedal could even be used unsparingly, as you had enough notes to ring on while you flourished up and down the keyboard (so to speak). Suddenly, all the real players wanted a DX7 — or a DX1, if they had money to burn. + +Meanwhile, die-hard synthesists were still reeling from the shock. Of course, the drawback was that even the most experienced analogue programmer had to learn how to program a DX from scratch, and for many, unfamiliar terms like operator, feedback and algorithm proved a hefty culture shock. Fortunately, there were a couple of familiar terms amongst the alien parameters on the front panel. +It's Ok — FM Has LFOs & EGs Too + +Certainly, when my eyes first fell on the DX's front-panel EG label, I breathed a sigh of relief. OK, so the DX had no filters, but at least it had envelope generators... and an LFO as well. Phew. Everything I had previously learnt about analogue synthesis had not gone out of the window. In your first close encounters with FM, I suggest you keep this thought in mind, as FM synthesis can seem like another universe after the familiarity of analogue, particularly when the envelopes don't seem to have the familiar Attack, Decay, Sustain and Release phases. We will look at how DX envelopes work, but first let's look at the altogether more familiar use of the LFO. The DX7's LFO parameters, Wave, Speed and Delay, should be self-explanatory (what waveform you want, how fast it cycles and when it comes in), and PMD and AMD are just abbreviations for pitch modulation depth (vibrato) and amplitude modulation depth (tremolo). Of course, if the operator to which these two are applied is a modulator, the audible effect will not be vibrato and tremolo, but instead a variation in the modulation frequency or depth, the end result of which will be changes in the harmonic content of your sound. Despite these differences, the DX7's LFO section will be fairly familiar territory to the average analogue programmer. If you have access to a DX7, try setting up fairly radical LFO modulations (for radical read unmusical) on operators 2, 4 and 6, with algorithm 32 selected (where all six operators are behaving as unmodulated carriers), and then switch to algorithm 5 or 6; you will be surprised at how much more interesting (and musical) the timbre will suddenly become as these wild audio sweeps are converted into frequency modulations. Switching algorithms really is the fastest way to sonically, rather than intellectually, appreciate the relationship between carrier and modulator. As you get more proficient, you can try using the more radical algorithms, like numbers 16, 17 or 18. +Pushing The Envelope — Rates & Levels + +A similar technique can be applied as you find your way around the DX's initially unfamilar envelopes. These allow a greater degree of fine-tuning of the operator level than the simple analogue ADSR type, but they are fundamentally the same. If it helps at first, try thinking of a carrier's EG as an amplifier envelope which changes the volume in real time (because that's what it is), and a modulator's EG as a filter envelope which changes the harmonic content over time (because that is the closest analogy). It is by increasing the level of the modulator with its envelope that you can simulate the changes in brightness which occur in real plucked or blown sounds. + +The way to approach rate/level envelopes is to see them as a customisable ADSR for the DIY enthusiast. The level is the point at which each segment of the envelope changes to the next and the rate is the time it takes to make this transition. Yamaha thoughtfully provided a diagram of the envelope on the front panel to the left of the algorithms (see Figure 2 on the previous page), and if you take a look at this, you should see straight away that rate 1 and level 1 provide the equivalent of the ADSR's Attack phase. The only difference is that the attack does not necessarily have to go to the maximum level available, as with an ADSR. By making level 2 higher than level 1, you can have a secondary attack phase, whereas making it lower would put you into a more conventional decay situation (sorry if this is starting to sound like strategic military jargon!). The third phase of the envelope can be another increasing or decreasing segment, depending on whether level 3 is higher or lower than level 2. Care must be taken with level 3, however, as it is also the sustain level — that is, once this level has been reached, you're stuck with it until the key is released. Rate 4 gives you the equivalent of an ADSR's release time, but again this need not necessarily go to zero (just as rate 1 need not necessarily go to maximum). This is ideal on a modulator if you want to keep the harmonic complexity as your sound fades out, but be careful when using this on a carrier, or the note may go on forever (or until you change the sound, at least!). + +Don't expect to master FM synthesis as quickly as you did analogue. If using analogue synthesis is like learning Spanish, with a simple structure and warm to the ear, then FM is more like German or Russian, complicated and often harsh-sounding (anyone spotted what I studied at university yet?). Some people never feel confident that they know what parameter changes to make with FM, and just busk it, or give up altogether. But don't be put off. Investing time pays dividends with FM, and it is possible to achieve an expressivity rare in the world of synthesis, especially if you are a jazz player and need to create the sort of sounds that don't over-fill the frequency spectrum when you play a dozen notes at once. Some people I know claim that they are still getting new sounds from FM (although when I've heard them, 'new' is perhaps a little strong). Techno/industrialist enthusiasts will love some of the metallic 'klangs' you can produce, and it is the only type of synthesis to appeal to bell-ringers (pun intended). + + Yamaha's SY-series of synths contained, to my mind, the ultimate implementation of FM... + +Those of you whose appetite for knowledge has been whetted by this all-too-brief resumé of Yamaha's FM can find much more detail, programming advice and exhaustive analysis in my colleague Martin Russ' series on FM programming which ran from May to October 1988 in the pages of this fine publication. There are also many fine books on the subject, including the excellent tome by Howard Massey, The Complete DX7. Those of you who like a more surreal approach should try the alternative DX7 manual from Rittor Music, translated rather literally from the Japanese (if it's still available) which features several pages on operators which produce a POOOsound and a section on what happens to a 'tickled' operator when it is being 'tickled' by the 'tickler' (presumably the carrier modulated by the modulator). I was reduced to tears of laughter by this Ken Dodd approach to FM synthesis. +Casio, Pd & The Cz Range + +For several years, Yamaha had the digital synthesis field all to themselves, until competition came from the most unlikely source. I can still remember driving round the North Circular Road to Casio (yes, they of digital watch, calculator and VL-TONE fame), wondering what I had done to so upset the Editor of a certain now-long-deceased hi-tech music and recording publication that he would send me on a punitive mission to look at a Casio mini-keyboard. I came away a total Casio CZ-series convert, due in no small part to the enthusiasm of Richard Young, who persuaded me to 'listen without prejudice' to the CZ101 and its grown-up equivalent, the CZ1000. What I heard was reminiscent of FM in its clarity and expressivity, but it had the warmth I felt the DX lacked (I was fairly anti-FM at the time). I ended up writing a book with Dave Crombie on the CZ range and the Phase Distortion (or PD) system it used, and I still use IPD sounds (the later, advanced version of Phase Distortion) in my Casio PG MIDI Guitar — it works really well for plucked timbres. + +There is not a huge amount of room left in this slot to explore Phase Distortion fully, but as it's much simpler in structure than FM, we can have a brief look at the principles behind it. Like FM, it eschews the use of subtractive techniques such as filtering, preferring to create its harmonic complexity and real-time timbral changes with a mathematical process which makes complex sounds by altering simpler waveforms (although not quite as simple as plain old sine waves, as in Yamaha's FM). This is not done by using one waveform to modulate another, as in Yamaha's synths, but rather by changing the speed at which the waveform is read out within the duration of each individual cycle. This has the effect of distorting the phase of the waveform (hence the name) and thereby changing its shape and harmonic content. The greater the amount by which the speed is shifted, the more the waveform changes shape, and the more complex the resulting harmonic content. + +There is actually a wider range of raw waveforms on offer for Phase Distortion than in analogue synthesis; there are the old favourites like Square, Sawtooth and Pulse, but also some hybrid forms like double sine, saw pulse and three different resonant waveforms. You can also combine these to produce more complex harmonic structures before you even begin distorting the phase. However, to try and help you understand PD a little better, we will look at what happens to a cosine wave when its phase is distorted (don't worry about the fact that it's a cosine wave — this is simply a sine wave starting from a different point in its cycle, and doesn't actually sound any different). If you look at Figure 3 on the previous page, you will see the cosine waveshape and the corresponding phase angle throughout its cycle. + +If we now speed up the readout of this waveform in the first half of the cycle, making a steeper phase angle gradient, and then slow down the readout in the second half, so that the total cycle time does not change (this keeps the pitch constant), the cosine wave will be altered as shown in Figure 4. As you can see, the whole waveshape leans forward, producing a much more complicated set of harmonics than just the fundamental contained in the original cosine. Of course, the wider the variation in the readout speed, the bigger the kink put in the phase angle graph, and the more radical the harmonic content. + +By using an envelope to control the amount of phase distortion (Casio refer to this as the DCW ENV, the Digitally Controlled Waveform envelope), you can achieve the kind of real-time harmonic synthesis changes which all synths must have if they're to produce something more interesting to the ear than organ sounds. As you will see immediately from Figure 5, left, the envelopes Casio used have double the number of Rate and Level components found in Yamaha's FM envelopes (8 instead of 4), but the same basic principles apply, with level 5 being the Sustain component (the one which is maintained while the key is held down). As well as the envelope controlling the Phase Distortion, there are also the DCO ENV for pitch and the DCA ENV for volume. + +The main advantage of PD synthesis over FM for the would-be programmer is the fact that much of the terminology and many of the concepts are closer to traditional analogue synthesis. In fact, if you think of the DCW envelope as akin to the filter envelope on an analogue machine, you will be knocking out your own sounds in no time. However, the principal advantage of PD to the listener is that the sounds have a much warmer quality, without resorting to the kind of chorus detuning of the TX816 or DX-MAX, or the combination with PCM sounds and effects of Yamaha's SY series. But PD's success in the mid-'80s was probably due more to the fact that the CZ synths were amongst the first to have a proper implementation of multitimbral operation via MIDI Mono Mode; you could actually trigger different timbres on different MIDI Channels. This led Vince Clarke to use half-a-dozen CZ101s hooked up to an old UMI sequencer on the BBC Micro in his late-'80s setup (before he went right back to analogue stuff triggered from a Roland MC4 at the turn of the '90s). + +Casio followed up the success of the CZ models with the VZ range, expanding PD into IPD (Interactive Phase Distortion), which increased the expressivity available through aftertouch and velocity. Although there were far fewer VZ synths made, I would thoroughly recommend them if you are looking for the most developed implementation of Phase Distortion. Those of you wanting to make your way further into the subject can read more in Phil South's two-part SOS article which ran in the July and August 1987 issues, or even in the book Dave Crombie and I wrote, which rejoiced in the wonderfully imaginative title The Casio CZ Book (if you can still find it). + +Having looked at the forms of synthesis based on more complex mathematical operations this month, you may be relieved to hear that next time I will be concentrating on simple addition (so you can put those wet towels and bottles of aspirin away now). We will be looking at the way additive synthesis builds up complex timbres, and will examine the dominance of another Japanese company, namely Kawai, in this field. Till then, happy modulating (or tickling)! +FM Without A Yamaha Synth + +A little-known fact these days is that you can experiment with FM-style programming if you own an Oberheim analogue synth of the right vintage. Both the seminal Xpander and the herculean Matrix 12 offer FM-style oscillator cross-modulation, and have the added flexibility of being able to use waveforms other than simple sines as both carrier and modulator. So, although the Oberheim version of FM is, strictly speaking, only 2-operator (ie. the two oscillators), you can arrive at very complex sounds like bells and tuned percussion very quickly, because of the additional harmonic content in the 'operator' waveforms which produce a very complex harmonic spectrum when cross-modulated. If you are looking to mix and match synthesis types, you could do far worse than acquire one of these vintage analogue synths (designed by Marcus Ryle and Michel Dodoďc, now of Alesis fame). They sound excellent and are incredibly versatile — and the Matrix 12 is also one of the few analogue synths to be truly multitimbral. + +The only company still producing synthesizers which can make sounds along FM lines is Korg, whose version of FM, VPM (or Variable Phase Modulation) features both in the highly successful Prophecy monosynth and, for those of a more polyphonic and multitimbral frame of mind, the brand-new Z1 (the subject of Gordon Reid's exclusive SOS preview last month, and due for a full SOS investigation in the very near future). + +Both machines use the (by now) familar terminology of carrier and modulator and, like the Oberheim versions, only have two oscillators, but these can be set to produce all the available waveforms, not just sine waves. Once again, this gives you a shortcut to the more complex timbres which would be created with several levels of modulation in Yamaha's FM implementation, although it does reduce the sheer width of sounds you can create, because you don't have the choice of different algorithms. + +It would be fair to say I think that whilst Yamaha's FM offers as much programming potential as a big modular analogue system (German synthesis specialists Jellinghaus once made a DX7 remote programmer which had a physical knob for every DX parameter; it covered about an acre), what Oberheim and Korg's versions offer is more akin to what a hard-wired analogue synth can produce. Nevertheless, you can still obtain all the staple sounds (that means the bells, electric pianos, tuned percussion and metallic sounds which made FM famous). However, if you mean to dig really deep and lose yourself like an explorer in the jungle of FM, there really is no substitute for Yamaha's 6-operator implementation. Just don't forget to tell someone where you are going and when you expect to be back, or you may never be seen again! diff --git a/Books/Music/Articles/Sound On Sound Synth School 4.txt b/Books/Music/Articles/Sound On Sound Synth School 4.txt new file mode 100644 index 0000000..459866f --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 4.txt @@ -0,0 +1,76 @@ +Synth School: Part 4 +Additive Synthesis + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published October 1997 + +Throughout the '80s, additive synthesis was the Holy Grail for synth purists; many machines aspired to it, but only one achieved it successfully. Paul Wiffen explains how additive works and looks at the various implementations, including the newly updated Kawai version. + +In previous instalments of this feature, I've used various analogies from the visual arts to help illustrate how different types of sound generation work. Analogue or subtractive synthesis I likened to sculpture, where artists starts with more 'stuff' than they ultimately need and remove large chunks of it until they are left with what they actually want. Sampling is more like photography, with a snapshot of the required timbre being taken; in PCM-based machines (often known as sample + synthesis) that snapshot is tweaked for the final result in much the same way that a photograph is manipulated during development and printing. It can be altered a little, but it will always be a photograph of the same subject. + +To continue in this vein, additive methods of synthesis are closest to the oldest of the visual arts, painting. The sound is built up from its constituent parts, just as a painter mixes together different hues to achieve the required colour, and then lots of different colours are used to create the final picture. Additive synthesis uses combinations of harmonics to create the basic tone colours or 'timbres' and on more sophisticated systems several of these timbres can be combined to make the overall sound. On later additive synths it's not uncommon to find filters, borrowed from subtractive synthesis (just as you find them on many PCM-based machines), used to highlight the unique harmonic content of the waveforms that additive can create. +All-Artificial Additives + +When we looked at the basic waveforms used in subtractive synthesis (see SOS June '97), we found that certain common electronically generated waveshapes — square, sawtooth, sine, and so on — could be described in terms of their harmonic content. A sawtooth contains all harmonics in inverse proportion to their number, a square wave all the odd harmonics in the same ratio, a sine wave only the fundamental or first harmonic. Additive synthesis turns this arrangement on its head and uses those very harmonics as the building blocks for much more complex waveforms. Where real-time timbral changes are possible, these are achieved by varying the levels of individual harmonics or groups of harmonics, often using devices we have come across before, such as envelopes and LFOs. + +Because the sine wave is the purest waveform, in that it only contains the fundamental, and because it is the easiest to generate electronically, being very simple to describe mathematically, the sine wave is used as the basic building block of additive synthesis. A whole series of sine waves (whose frequencies are related to each other in exact correspondence with the harmonic series we used to analyse analogue waveforms previously) are 'summed', or mixed together. The second sine wave is double the frequency of the first, the third three times that of the fundamental, and so on. This makes it very easy to know the frequency of the harmonic in relation to the fundamental — for example, if your fundamental is good ol' A440, then the frequency of its fifth harmonic is 2200Hz. + +One of the measures of power in an additive synth is how many harmonics are available per note of polyphony. Although in natural and synthesized sound the greater proportion of the harmonics present are the lower ones, if the upper harmonics (normally only present in very small amounts) are not there at all, a the sound is perceived as dull or distant, because distance and obstacles remove the higher frequencies first. This is why, when that flash car masquerading as a mobile disco pulls up next to you at the lights, all you can hear through your closed windows is the bottom end of whatever dubious taste in music the occupant has decided to share with you. Open your windows and the full glory of the unvarying hi-hat pattern becomes clear. + +So, in order to create bright, interesting sounds, an additive synthesizer must be able to produce more than just the lower harmonics. This is particularly true in the lower ranges, where more and more of the harmonics of a sound are brought down into the audio spectrum. On higher fundamental frequencies, the higher harmonics quickly move into ranges which can only be appreciated by dogs. + +Any self-respecting additive synth should be able to manage a minimum of 32 harmonics. Any less and the proper term for it is 'an organ'. In fact, strictly speaking, the tonewheel organ is the first additive synthesizer, allowing you to mix ten or more sine waves at related harmonic frequencies via the drawbars. Of course, if the tonewheels are creating pure sine waves, the sound will be very thin and uninteresting. Those organs which tend to sound the most pleasing to the ear are those where, through age or deliberate design, the tonewheels are putting out more complex waveforms, augmented by percussion, overdrive and a rotary speaker. Ten sine waves on their own (whatever unique mix of levels you come up with) do not a full sound make. In fact, 32 harmonics is an absolute minimum, and many additive synths provide 64. On the really well-specified machines, it is often possible to go to 128 by halving polyphony (ie. the second voice is used to create harmonics 65-128). + +It's an interesting exercise (and proof that the theory I have been spouting is based in fact) to use additive synthesis to recreate the standard waveform timbres of analogue synths (although if this is all you ever plan to do with additive you will be drastically under-using its potential and should give up now!). By setting the second harmonic to half the level of the first, the third to a third of the level, the fourth to a quarter, and so on up the series, you will soon hear the familiar timbre of the sawtooth wave emerging as if a filter were being opened up slowly on it. In fact, as long as you're able to set the levels precisely enough, this will probably give you a more accurate sawtooth than most analogue synths. If you don't recognise the sawtooth timbre from your analogue synth, it's probably because the synth is only producing an approximation, with a bunch of extra frequencies not technically supposed to be present adding the extra character (just like the more interesting organs I referred to earlier). + +Herein lies an early warning of one of the main dangers of additive synthesis. Without care it can sound weak and thin, and on simple implementations the best you can hope for is some pure tones with a glass-like transparency. If you're looking to additive for rip-roaring sounds which cut through everything else and grab the ear, you'd better make sure that your additive synth offers enough complexity and real-time operation to vary the harmonic content enough to demand the ear's attention (or that it 'cheats' by adding subtractive filters or PCM snippets to its sonic arsenal). I actually think there's little point in additive synthesis if you're going to stick to imitations of waveforms which are produced in analogue synths, or — worse still — attempt to recreate 'real' sounds. Having said this, theoretically speaking, any sound can be broken down into its constituent sine waves and therefore could be recreated by a sufficiently powerful additive synth. This theory was often advanced by many of the hobbit-like academics who lurked in the aisles of smaller stands at '80s trade shows, waiting to ensnare innocent journalists who weren't forewarned by previous encounters of this type. The real problem was that, after expounding half an hour of theory along these lines, when you finally persuaded them to play you a sound from this system of theirs (which was going to change the history of synthesis forever), it was always the same thin-sounding pipe organ patch they came up with (hardly surprising, since the pipe organ was the first additive system). + +On many of the computer music systems of the early '80s which offered multiple methods of sound generation, additive synthesis was the poor relation, the 'also ran'. The Fairlight had its sampling, the PPG its wavetables, the Synclavier its FM, and these were the glamorous aspects of these machines. They all also had some form of additive capability, yet somehow this was rarely mentioned, and used even less often. There were two reasons for this. The first was that the other means of sound production offered by a given system was more or less unique to the system (in the early days, at least) and therefore its promoters would always emphasise that side. Secondly, the other ways of working offered far more in terms of instant gratification than the additive side, which suffered from what I always refer to as the 'Compute' syndrome. +Stone-Age Additive + +Early implementations of additive synthesis were not real-time implementations. The actual computational power in these computer music systems was pretty puny by today's standards (the current average PC with a soundcard outstrips the sonic potential of the original Fairlight by several powers of 10). As a result, they couldn't perform the level changes you might make to different harmonic components in real time, but had to go off-line to compute the new waveform. So, when adjusting the relative levels of the harmonics, you would be flying blind in terms of what the result would be. Actually, deaf is probably a better term than blind, as most of these systems had some pretty fancy graphics to show you what you were doing; my favourite was the PPG Waveterm, which superimposed the waveforms for new harmonics on top of the current waveform, complete with amplitude representation of level. Then, when you pressed 'Compute', it merged these together (eventually) into a single new waveform. However, no matter how pretty these displays were, unless you were very experienced they told you little about how the final product would sound. As a result, the process of creating an additive waveform could be very long-winded, unless you just went for the serendipitous approach of bunging in a load of harmonics with random levels, pressing Compute and hoping for a gem sooner or later. + +But the amount of time taken by these early systems to create an additive waveform wasn't the only drawback. Because they were computed rather than generated in real time, these waveforms were set in stone when it came to playing them back. In fact, they were just like samples — indeed, the additive waveform the Fairlight created was loaded into the sample RAM for playback, in exactly the same way as a sample. Even when you used a merge facility to move from one additive waveshape to another, the result was still a fixed calculated product and the speed of the transition would increase as you went up the keyboard and decrease as you descended. When an additive capability was provided really cheaply by Digidesign's Turbosynth software for the Mac and Atari, the same restrictions applied. The resulting sound could only really be played effectively by MIDI sample-dumping it across to a sampler, with all the restrictions that implies. Of all the first generation of additive-capable systems, the sounds generated on the PPG Waveterm were probably the most useful, as they could be played back with real-time movement between different waveshapes in the wavetable (if you had the time to create several and then compute the transitions between them) or analogue filtering (if you didn't). + +Oxford Synthesizer Company OSCar +The OSC OSCar had the capability to generate new waveforms using additive principles.I'm proud to say that the first commercially available synth with the capability to alter additive waveforms in real time was British, and the present author had the honour (if not the financial reward, for there never was any) of being the midwife at the birth. The OSCar, which was mentioned in a previous instalment of this series for the flexibility of its filtering system, also had the capability to generate new waveforms using additive principles. What was unique at the time was that you could actually hear the harmonics being added or removed in real time. I vaguely remember saying to Chris Huggett, during the OSCar gestation period, that if he was going to put additive capability on the OSCar, it had better be more usable than on other machines I had tried. I had clearly been traumatised by my singular lack of success in coaxing something interesting in the additive vein out of Oxford University Music Department's Fairlight on my sole encounter with it, making a mockery of the lengths of bribery and corruption I had gone to in order to gain access to it. + +Although the system Chris came up with for defining the mix of harmonics was perhaps a little unscientific (each key on the keyboard represented a harmonic, and pressing it repeatedly in additive waveform creation mode increased its proportion in the overall result), it was fairly intuitive and gave you real-time feedback. If you didn't like the immediate change in timbre when you added a new harmonic in, you could just take it out again, without all that tedious mucking about with computing. The actual process of building up a waveform was so pleasing to the ear (as harmonics came and went) that several artists used it unadorned as intros to tracks. You can hear a clear example of this on Jarre's Revolutions (perhaps the most OSCar-intensive album ever made, although Ultravox's Lament comes a close second and their 'Love's Great Adventure' takes the award for most OSCar-laden single). + +Unfortunately, this real-time change in harmonics during waveform creation could not be reproduced during playback, but two waveforms created like this could be played back at once, and then mixed or filtered to create real-time timbral change. I always found the mixture of an additive waveform with a conventional analogue one to be most useful in imparting a little bite and unique character to the traditional analogue synth sound. + +Other real-time additive implementations started to appear, mainly from the realms of academe, and they were usually lamentable both in terms of sound quality and of playability — not to mention the poor appearance and hygiene of the member of the design team who had been let out of the lab to do the demo at the trade show where they were previewing. Mercifully, very few of these systems made it to commercial release, but one of the few that did (and proved to be one of the more successful implementations) was the Technos Axcel shown above. Of French-Canadian origins, it had a splendid multi-LED touch-sensitive user interface which made it possible to draw harmonic levels, waveforms and envelopes with a single sweep of the hand. This made it terrifically easy to use but also horrendously expensive (probably the main factor in its short life — a little over a year of intermittent commercial availability). + +It also had the capability to load a sample, analyse it and produce an approximation to it built up from sine waves. While this was not very close in terms of fidelity, it made a great starting point for new sound creation (another of additive's traditional drawbacks is the amount of time it takes you to set all the harmonic levels and envelopes to get an interesting sound going — this made for a great shortcut). However, the Axcel's main strength was that it could set the amplitude envelope separately for each harmonic (or vary the level from other controllers), so you could get really interesting timbral changes in a sound in real time, and in this respect it pointed the way forward. The Axcel's weakness was that the more harmonics you used (ie. the more complex the sound), the more polyphony suffered (the best sounds were monophonic or duophonic), and this, coupled with its high price, led to its early extinction. +The Land Of The Rising Synth + +It fell almost inevitably to Japan to produce the first implementation of additive synthesis which was both real-time and affordable without sacrificing polyphony. The Kawai K5, when I first came across it in 1987, was a revelation, and its sound and facilities still stand up pretty well today. Offering 8-note polyphony (only the DX series had ever offered more at the time), it nevertheless managed up to 64 harmonics per note (128 if you used two notes per voice) and, most important of all, real-time control of the levels of various harmonic groupings. I fell in love with it for its speed and flexibility, and for the fact that I had always known that there must be something in this additive synthesis business — I just hadn't managed to find it until then. If you can find one of these wonderful machines on the second-hand market (it also came in rackmount form as the K5M), it's well worth the paltry sum you will probably have to pay to make it yours. It makes a fine introduction to additive synthesis and is only bettered by Kawai's current K5000 range. + +Also worth looking out for is the Dr T's Atari program which took Akai S900 samples and analysed them, for subsequent downloading, via MIDI, into the K5 as additive impressions. First seen on the Axcel, this capability would never fool anything but the most untrained ear, but it made for excellent sounds and a great starting point for new sound development. + +Let's look at how the K5 allowed the individual level of harmonics to be controlled in real time, as this synth is one of the best models for successful additive synthesis (and one Kawai have expanded on in the K5000 series). As I mentioned earlier, one of the drawbacks of additive synthesis can be how long it takes to make a sound, simply because of the sheer number of parameters that needs to be set. There's the starting volume level of each harmonic, to begin with (in the earlier non-real-time systems, this was all you could do, because, having been computed, those levels then couldn't be changed). Just setting the level of each of 64 harmonics could take 20 minutes (more if you decided you didn't like the original level you had set). The K5 cut out a lot of the donkey work, by first showing you all harmonics at once, with a bar representing the level of each in the LCD display and then allowing you to select groups of harmonics whose values could be adjusted simultaneously. These groupings include Odd, Even, Octaves (2, 4, 8, 16, and so on) or 5th intervals (3, 6, 12, 24, and so on) or a user-definable Range specifying the lowest and highest harmonics you want to affect. Once these are selected, turning the increment dial raises or lowers the level of those harmonics in proportion. This may seem simple enough, but before the K5, no-one had streamlined the process to this extent. The Axcel's touch-sensitive interface made it quick to set the levels individually, but grouping harmonics was Kawai's innovation. + +Of course, this is only the beginning of making an additive sound on the K5. To actually change the harmonic levels over time, we return to our old friend the envelope. It would have been possible to make do with the traditional ADSR-type envelope, but Kawai opted for the more flexible rate/level style, with six stages, and the settings of these rates and levels are all visible at once, which saves flipping between screens all the time. Each harmonic (or group of harmonics) can be assigned to one of the four envelopes. There are even short-cuts for the programming of these envelopes, to speed up the process of setting them up. Higher-numbered envelopes can 'shadow' or take on the settings of the lower-numbered envelopes. So you can set up the first envelope and then tweak the higher-numbered ones using the settings of the first envelope as your starting point, rather than having to do each one from scratch. + +In addition to the four harmonic level envelopes, there are three more: one for the overall level of the sound, one for its pitch, and one for the filter. To the additive purist, this last word is probably the equivalent of blasphemy, but Kawai realised that sometimes there is just no substitute for the sheer speed of using a filter. Having said that, the filter is a very accurate digital one, with a unique set of parameters to control it. In addition to the normal cutoff frequency, the point around which the filter operates, you can specify the 'flat level' (ie. the amount of signal that is passed below the cutoff frequency). By reducing this to zero you can acheive the same sort of result as a band-pass filter; with it set to maximum you get a normal filter response without resonance; and in between, the frequencies immediately around the cutoff are passed at a higher level (very similar to the effect of resonance). The final parameter, Slope, actually gives a degree of control over how steep the transition is between the cutoff frequency point and the flat level. This is equivalent to changing the number of poles in an analogue filter (ie. increasing the dB/octave cut), and at very steep settings gives a similar result to high resonance settings. + +Not content with that filter, Kawai also added a digital formant filter, which works on 11 bands set an octave apart. Although a full examination of formant filtering is really a subject for a future Synth School, the effect of this filter is very similar to that of a graphic equaliser, where the amount by which each octave of frequency range is boosted can be independently set. This dovetails very nicely with additive synthesis, because the harmonics are also related to the octaves above the fundamental — so you know, for example, that boosting the third octave will affect the harmonics centered around number 8 (if you play the lowest C). Kawai rounded off their real-time implementation of additive by making sure that it was not only the envelopes which could affect the harmonic levels, but also parameters such as keyboard scaling and velocity, giving additive an expressive feel for the first time ever. +Adding It All Up + +Reading this piece might leave you with the impression that you're actually in the middle of a review (or a eulogy) of Kawai synths. But to talk about additive synthesis without mentioning Kawai would be like covering FM without reference to Yamaha, or analogue synthesis without Bob Moog. Yes, other people made FM synths, and analogue synthesis existed before Bob came along, but the DX7 and the Minimoog produced the most cost-effective and manageable versions of those types of synthesis, and for me the K5 is in the same league. It took a previously interesting but unwieldy type of synthesis and made it available in a form that was quick and easy to use. Sadly, no other manufacturer has picked up this ball and run with it. For 10 years the K5 has really been the only additive synth to sell in any quantity, and only Kawai's recent re-investigation of the concept has saved additive synthesis from being consigned to the history books (see 'Current Additive Possibilities' box). + +The great thing about additive synthesis is that, unlike many of the other methods we have covered in these Synth School pieces, it has not been done to death. It is perhaps one of the most flexible types of synthesis, and is particularly well suited to the creation of abstract sounds rather than imitative ones. In terms of its usage in commercial music, the surface of what additive can do has hardly been scratched, and now that there is a new generation of additive synthesis on the market, I'm optimistic that we may see a revival in its fortunes. If you're looking to add a bit of originality to your music, whatever the style, additive will enable you to depart from the fixed sounds of PCM and the well-trodden timbres of analogue. You certainly won't exhaust its potential in a hurry. +Current Additive Possibilities + +Until late last year (that is, when Kawai re-entered the additive arena with a totally updated additive synth, the K5000W, which I had the pleasure of reviewing in January's SOS), it looked as though the Kawai K5 might be the final full stop in the history of additive. You should refer to the K5000W review if you want precise details of how Kawai have used the extra processing power available in the late '90s to update their concept, but let me just broadly cover how the additive synth's potential has been expanded by the K5000 series: + + There are now individual envelopes for each of the 64 harmonics. + The formant filter has 128 bands (adjusted on a semitone rather than an octave basis) and can be swept using the LFO or envelope. + The more standard filters now allow high- or low-pass configuration. + Envelopes can now be looped to cycle complex harmonic changes. + It is now possible to morph between harmonic snapshots in real time (an updated version of the old Merge capability on the Fairlight, which was so interesting but unfulfilling because it was frozen into a sample format). + The last major addition is the ability to add DSP effects to the sounds, something no modern synth can afford to be without. + +Since looking at the K5000W, which featured some other facilities in the auto-accompaniment vein which I felt were of peripheral interest to synth aficionados, my excitement at Kawai's development of the additive strain has further increased with the release of the K5000S and K5000R. These two units forgo auto-accompaniment in favour of the real added value of an arpeggiator and — joy of joys — hard-wired and assignable knobs for real-time manual performance-parameter control. Having a dedicated knob to tweak the balance between Odd and Even Harmonics, adjust the Low and High Harmonics, move the Bias (centre frequency) and LFO speed and amount of the Formant Filter, not to mention the Cutoff and Resonance of the standard Filter and the main envelope parameters is, for me, the icing on the cake that Kawai have been baking for ten years now. Those of a more scientific frame of mind will appreciate the ability to assign the four user knobs to the parameters of their choice, and additive sounds are ideal for triggering from an arpeggiator. diff --git a/Books/Music/Articles/Sound On Sound Synth School 5.txt b/Books/Music/Articles/Sound On Sound Synth School 5.txt new file mode 100644 index 0000000..a208db3 --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 5.txt @@ -0,0 +1,131 @@ +Synth School: Part 5 +The Origins Of Sample & Synthesis (S&S) + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published December 1997 + +Synth School, Part 5: The Origins Of S&S; +Roland D50 multitimbral S&S synthesizer. + +At the January NAMM show in 1987, Roland launched their D50, which mixed synthesis and sampled sounds in one package, a combination which has remained popular to the current day. Paul Wiffen examines how S&S evolved into the most widespread form of sound generation on the market. This is the fifth article in a 12-part series. + +Until Roland launched the D50, sampling and synthesis had been perceived as two wholly different disciplines, almost like competitive ways of doing the same thing. Some people favoured sampling because it gave you a more accurate representation of actual instruments (the holy grail of piano, strings and brass, for example), while others stuck to the various styles of synthesis because they offered greater expressivity and speed of use. There had been massive improvements in the sampling arena in the preceding few years. It was no longer just the province of rich stars and well-paid programmers. The Ensoniq Mirage had solved the expense problem, the Prophet 2000 had made state-of-the-art fidelity affordable (12-bit linear as opposed to 8-bit companded) and shortly thereafter the Akai S900 had made fidelity relatively easy to use as well (thereby drastically reducing my income, as I had been making a nice living out of operating first Emu and then Sequential samplers for people who found them difficult to use!). So sampler ownership was reaching a much wider market than in the early '80s. + +Sampling's principal remaining drawback in the late '80s was the amount of time it took to load sounds. As a result, the majority of people playing live, and those who were frightened by the idea of using computer technology (RAM, floppy disks and hard drives), were still using the various competing forms of synthesis we have examined in previous instalments of this series, because even if less sonic authenticity was available from these forms of synthesis, they responded better to velocity and aftertouch and (most importantly, I suspect) you could switch sounds instantaneously. The great debate raged between the two opposing schools of thought, often with things getting a bit personal. The great irony was that the whole situation was about to be resolved, by these two supposedly conflicting technologies being merged together (a bit like this year's shock announcement that Bill Gates was putting money into Apple). +Before The D50 + +Synth School, Part 5: The Origins Of S&S; + +It has to be said that sampling and analogue synthesis were not existing in glorious isolation anyway; as early as the PPG Waveterm it had been possible to make a sample and then play it back on the Wave synth through analogue filters. The Emulator II added analogue filtering and enveloping to sampling technology, and this was carried over into more affordable samplers such as the Mirage, Prophet 2000 and Akai S900 (although many people never used the facility). And even on synthesizers there had been the odd attempt to increase the fidelity of certain sounds by using small PCM samples loaded into ROM. (This was how the Ensoniq ESQ1 provided its drum sounds.) But all these half measures meant that synthesis and sampling were seen as mutually exclusive fields — until the D50 came along. + +The D50 used a much larger amount of PCM ROM (separate from that holding the operating system of the synth) to store a significant number of samples, allowing the expressive performance of a wide range of sounds previously only possible with any fidelity on a sampler. Although the D50 itself didn't have a sequencer, this approach paved the way for a new breed of instruments known as 'workstations', which were designed to perform a wide range of musical tasks — for example, playing drum, bass, piano and string parts simultaneously using an internal sequencer. These sounds were the ones which were the most difficult to make with analogue or digital synthesis, the ones which had previously only been possible by loading a disk or two's worth of data into a sampler. Although Ensoniq had already released the first instrument worthy of the workstation title, it was Korg who had the breakthrough success with the M1, not because its sequencer was notably easy to use, but because of the sheer size of its palette of sounds. The reason was that the samples in the M1 were larger than those in the D50, in the same way that the D50's samples had been larger than the percussion snippets in the ESQ1. +How Did They Do That? + +Synth School, Part 5: The Origins Of S&S; + +It's still well worth looking at how the D50 generated sounds, because in the course of taking a few enforced shortcuts (dictated by the budget they were working to), the Roland engineers came up with some techniques which changed synthesis forever. + +The D50 was actually a hybrid of three previously distinct technologies: + +• Analogue (or subtractive) synthesis + + Digital sampling + Digital signal processing (DSP) for effects + +These core technologies met in the D50, perhaps not for the first time, but certainly in the most affordable and usable way. Although each on its own would not have been enough to make a viable instrument (the samples were too short, the synthesis too restricted and the effects too primitive), the combination of the three made an instrument people couldn't wait to get their hands on. And although its imitative capabilities have long since been surpassed, as a synthesizer it still has much to recommend it today. + +Let's first analayse the strengths and weaknesses of the D50's three component technologies: + + Analogue synthesis took electronically generated waveforms and used filtering to shape the harmonic content of the sound over time. While such a process was excellent for creating rich and interesting sound timbres, its imitative capabilities were limited, especially for inexperienced users. In addition, polyphony was usually limited, due to the need for discrete circuitry for each voice. + The digital sampler used the technique of digitising sound and storing it in computer memory to allow real instruments to be recorded and played back from the keyboard. This provided an instant realism unavailable from traditional synthesizers, but with a loss of expressivity (the only nuances available being those 'frozen' in the recording). The amount of sample recording time available was very limited, due to the high cost of computer memory. In addition, instruments had to be sampled every few notes along the keyboard for authentic reproduction, which used up the available memory even more quickly. Looping (repeating an unvarying section of the recorded sound for as long as the key was held down) helped reduce memory usage enormously. Techniques such as fading or switching between samples depending on how hard the key was hit increased expressivity, as did the introduction of analogue components such as filters and envelopes, to allow the timbre of the recording to be changed by playing style. + Digital signal processing, the third component, had reached the stage where a single DSP chip could be programmed to imitate many different analogue effects, such as chorus, flanging, reverb and echo, and even combine two or more of these effects simultaneously. + + Interestingly, the D50's PCM loops pre-date the use of sampled drum loops, now omnipresent in modern recordings. + +Roland used the term Linear Arithmetic Synthesis (or LA Synthesis, for short) to promote this combination of technologies, although the irony is that the term gives very little clue as to how the D50 works, based, as it is, on one often-overlooked part of the process which determines how two waveforms are combined. The options are to sum the waveforms together (like two oscillators in analogue synthesis) or multiply them (as in ring modulation or various digital synthesis techniques). It will become clear that this part of the process played little or no part in the D50's phenomenal success. It seems likely that the term was coined more for its two-letter acronym value (like FM, PD, and so on). + +So what were the key components which gave LA synthesis its appeal? +The Sampled Attack + +Synth School, Part 5: The Origins Of S&S; + +What let analogue synthesizers down more than anything in terms of imitation was that they could not create the extremely complex sets of harmonics present at the beginning of most acoustically produced sounds. The first few milliseconds of sound, when a piano hammer strikes a string or a bow begins to move on a cello, have a huge harmonic content not available in traditional electronic waveforms. If we do not hear these short-lived frequencies, we perceive the sound as lacking in authenticity. + +The Roland engineers realised that if they could use a digital recording to produce the initial attack, this would go a long way towards creating realistic instrument sounds. In addition, very little computer memory would be needed to store these very short 'attacks'. Pulse Code Modulation was used to record the attacks, and they were stored on Read Only Memory (ROM) chips, which did not lose their contents when the power was shut off, unlike the Random Access Memory (RAM) chips used in samplers. This did away with the need for floppy disk drives (although a memory card could be used to make further PCM samples available). +The Sustain Loop + +Synth School, Part 5: The Origins Of S&S; + +The Roland engineers turned to waveforms that had more in common with analogue synths in order to produce the sustained portion of the sound. The looped portions of samples often sounded very similar to traditional synthesizer timbres. They were known as single-cycle loops, as they contained only one of the repeating patterns which make up the timbre of an electronic oscillator. The small amount of data contained in such loops meant that they took up very little room in the ROM chips, which meant that notes could be held indefinitely without using up valuable RAM space. +Partials + +Synth School, Part 5: The Origins Of S&S; + +Obviously, the fact that different parts of the sound were being created by different PCM waveforms meant that it was necessary to control these sources separately. The solution that was devised to allow this was called the Partial. There were four Partials available for each sound program in the D50. Each Partial could be loaded with a PCM waveform and then combined with its fellows. Each Partial used one voice of the D50's polyphony, so it was often better not to use all four Partials unless really necessary (more complex sounds would result in less polyphony). Most of the more realistic sounds used at least two Partials (one for the sampled attack and one for the loop section). However, some of the sounds had four Partials, using two pairs of two to create the effect of two sounds layered together (piano and strings, for example). Perhaps the sounds which characterised the D50 the best were those which used all four Partials independently, to create complex evolving timbres. These did not require much playing, but simply sustaining a note or chord while different elements faded in and out. Such sounds were almost unknown to the average musician before the D50, being only possible on professional systems such as the Synclavier or PPG. +Add Or Multiply? + +Synth School, Part 5: The Origins Of S&S; + +Although I've played down the importance of the way the Partials were combined in the success of LA synthesis, it is actually one of the things which makes the LA process of interest as a synthesis type today, now that it has been superseded by systems with more memory. The standard way of combining the different elements of sound since the beginning of synthesis was simply to mix them — ie. sum them in a linear fashion. This was just one way of combining the sounds on the D50 (admittedly the one used by the majority of its sounds). The other was to multiply the waveforms together, which tends to create metallic or bell-like timbres, as the normal harmonic series is supplemented by less usual frequencies. This is where (for me at least) the really interesting sounds from the D50 were created. Although the success of the instrument can be attributed more to the new level of authenticity it brought to conventional keyboard sounds than any revolutionary new timbres it created, it is in this latter area that purchasers of second-hand D50s today may want to look for its unique character. + +The combination of the four Partials on the D50 was determined by Algorithms. Although there were nowhere near as many as offered by 6-operator FM, they were illustrated on the front panel of the instrument, just like on the DX7 (see picture above). These algorithms allowed you to determine which sounds were added together and which multiplied. You could, for example, multiply two pairs of Partials and then add the results, or multiply one pair and add the result to two other Partials. However, this feature of the machine was perhaps the least exploited, with 95% of sounds created by simply adding together whichever Partials were selected. +Enveloping + +The combination of sampled attack and single-cycle loops meant that realistic strings, brass and other sustained sounds could be easily created. However, pianos and other timbres produced by striking do not sustain forever, but die away gradually. A single-cycle loop, therefore, has to be 'faded out' to simulate this effect. The more sophisticated samplers had already borrowed envelopes from analogue synthesis to deal with this, and the D-series engineers followed suit. Because the D-series used sampled attacks along with single-cycle loops, a more complex envelope system than the conventional ADSR was used, with six independently adjustable times and levels was employed. In this the D50, once again, had more in common with the DX7 than conventional analogue synthesizers. + +Because the D50 featured analogue-style filtering (albeit digitally controlled, hence the term DCF), these envelopes could be used to adjust not just the volume of the loop over time but also the harmonic content. This was absolutely critical to the realism of LA synthesis, as you might not want the looped part of the sound to retain its full harmonic content throughout a decay. Without the ability to vary harmonic content, any decaying sounds, from pianos and accoustic guitars, through to tuned percussion, would have had little realism. +Blending Partials + +Even very careful adjustment of the basic envelopes could not prevent the attack and looped segments sounding like two different sounds being triggered at the same time. What was needed was something to 'fuse' the sounds together so that they became one instead of two distinct timbres. To achieve this, the Roland engineers used DSP effects such as reverb and chorusing to blend the parts together. Reverb tends to make the point where a sound ends difficult to perceive, so this was perfect for hiding the fact that the sampled attack had suddenly stopped and the looped portion was the only part remaining. Chorus was also good for adding some timbral movement to the single-cycle loops, which can be a little static to the ear. + + As a result of all the M1's features, Korg found themselves with the best-selling synth of 1988/9. + +Because the sounds which needed this 'smearing' really did need it, in order to be usable at all, the Roland engineers made the effects setting part of the basic patch, so that it was always automatically selected with the program, becoming one with the sound and therefore a fundamental component of the synthesizer for the first time. Previous synths had often featured a chorus unit, but usually as a separate item (it was not usually tied in permanently and selected simultaneously with the timbre, except in the case of the Roland Jupiters and Elka Synthex). Although the inclusion of full-scale DSP effects may originally have been decided upon to mask problems with this style of sound creation, it changed the face of synthesis forever. Today it is virtually impossible to sell anything but the most basic of monosynths without a built-in effects capability. This is because once a programmable DSP effect section has been added to a synth, there is no reason not to make available as many different effect algorithms as possible. +The Wider Effect + +Once the DSP chip was inside the unit, there was no reason to limit its use to disguising the shortcomings of the D50's synthesis system. Reverb and chorus had a very pleasing cosmetic effect on any sound and were used on virtually every patch. Effects like distortion and ring modulation could take the most bland source waveforms and turn them into complex, expressive sounds. As a result, the D50 caused an even bigger change in the world of synthesis than the processing of sampled sounds through analogue-style synthesis. With the exception of a few professionals, who would pointedly ask to hear synths on demo with the effects bypassed, the majority of purchasers simply accepted that this was an improvement in the final sound they could obtain from a synth, without the need to hook-up expensive external effects. Soon built-in effects were the norm, not the exception, for synthesizers. +The Korg M1 + +The next refinement of the PCM-based synthesizer was the Korg M1, which burst upon the world one year later at the 1988 NAMM show in Los Angeles. The price for memory had come down since the launch of the D-series, allowing Korg to increase the amount of memory within their new instrument. The major advantage of this was that instead of having to split samples into attack portions and single-cycle loops, they could use samples which moved naturally from the attack into a longer looped section, in exactly the same way as in a sampler. This meant that it was no longer necessary to disguise the join between the attack and the loop, because there no longer was one. + +Another advance the M1 made was that only one voice of polyphony was required to play back each entire sound. This meant that polyphony did not vary from one sound to the next quite as dramatically as on the D50 and, at the same time, the sounds were not so reliant on the built-in effects to make them sound natural. Sound-stacking could be used to make very complex timbres, rather than being necessary just to create authentic simpler ones. + +Of course, this did not mean that all the M1's sounds were perfect reproductions of the instruments from which they had been sampled. With hindsight, a lot of the original sounds in the M1 used perhaps too short a segment of attack sound, and the loops came too early for authentic reproduction of timbres like pianos, guitars and other sounds which die away gradually (although anything which could sustain indefinitely, like strings and brass, was extremely authentic). As a result, the M1 produced a 'compressed' sound which became very popular in certain styles of dance music. The M1 Piano, in particular, became a staple of house remixes because it was artificially bright and 'in your face', and the organ sound on it was a similar staple for garage music. Whilst you would rarely use an M1 piano today for a 'straight' piano sound, at the time the M1 brought an unprecedented level of authenticity to sample-based synths. + +The other thing which the M1 offered, over and above the authenticity of its sounds, was multitimbrality (the ability to play numerous different timbres at the same time). This could be done from the on-board sequencer or via MIDI, assigning each timbre to a different channel for triggering. Multitimbrality wasn't new; Sequential circuits had introduced it at the end of 1983 in the Six-Trak and Ensoniq had made it a major feature of all their products since the ESQ1 in 1985. However, the M1 was the first instrument with a good range of really authentic sounds to offer this facility. As such, it was perhaps the first synth whose on-board demos sounded like complete pieces of music, because it had everything from authentic drums and basses, to piano, strings and brass, guitars and synthesizer sounds, all in one unit. + +Many previous keyboards had featured sequencers, but the usefulness of these was limited by the number of timbres they could produce simultaneously, or by the limited range of the synthesis type they featured. The full PCM multitimbrality of the M1 meant that the sequencer became much more than a sketch-pad or demo facility. It was a compositional tool which was hooked directly to the sounds. This meant that people who had no computer sequencing facilities or knowledge of MIDI could sit down and play something, record it, and overdub more tracks, with different sounds on each one. Whilst those who had mastered MIDI and computer sequencing would find nothing remarkable about this, it was a real revelation to those who had never experienced the power of MIDI sequencing. + +The term 'workstation' was borrowed from the computer industry to market this concept, as well as a floppy disk drive as standard, so that M1 sounds and sequences could be recorded, saved and loaded back into the machine. As a result of all these features, Korg found themselves with the best-selling synthesizer of 1988/9. +The DSP Effect + +The only area which caused a bit of difficulty for M1 users (and still does today, as one in every 10 calls to the Korg technical helpline still bears out) was the allocation of effects in multitimbral mode. Like the D50, the M1 features built-in DSP for a wide variety of effects, which are also memorised and selected by the individual sound Programs. So whilst using a single timbre, it is possible to obtain sounds which are dramatically altered by the DSP. However, when Combi mode (which allows multiple timbres to be available simultaneously) is selected, the chances are that these sounds will suddenly become very flat and uninteresting. This is because the DSP circuitry in the M1 can only produce one effect setup at a time. Unless the Combi setup has exactly the same effects and routing setup as the individual Program, there's bound to be a noticeable difference to a Program when it's selected as just one of the sounds in Combi mode. The degree of difference is determined by two factors. + +The first of these is how close the settings of the individual Program are to those selected in the Combi. If reverb is selected for both, and only the amount of early reflection or size of space has been changed, the difference will be subtle and not noticed by many novice users. If the Combi and Program settings have different effects selected, such as chorus and echo, the difference will be far more noticeable even to the most untrained ear. + + Until Roland launched the D50, sampling and synthesis had been perceived as two wholly different disciplines, almost like competitive ways of doing the same thing. + +However, the second factor is usually what alerts the novice user to the problem. If, in Combi mode, the user selects a Program where a complex DSP effect is actually creating the timbre from a very simple source (such as a distorted guitar sound), suddenly all the character of the distorted guitar or synth disappears and is replaced by a thin plucked sound. This often happens after three or four backing tracks have already been recorded and the user wants a really exciting lead instrument to play over the top. The general reverb used for the other sounds just does not work as a substitute for the distortion the guitar Program uses. The change in some timbres is so radical that some users at the time even contacted their dealers to report that their synth was not working properly. Many dealers received M1s back for repair, only to find that there was nothing wrong with them, except for an inability to faithfully reproduce several different Programs simultaneously in Combi mode. This is because the M1 does not have multiple effects processors (as do most other multitimbral workstations). M1 users have to try and make Combi setups for multitimbral sequencing which can share the same effects setup. This may mean backing off the reverb on that string sound, so that the bassline doesn't disappear in woolly mush, or leaving the chorus off the guitar, because it makes the piano sound like a honky-tonk. + +The best way to deal with this situation is to try and plan which sounds you want to use simultaneously in advance. It is usually obvious which sounds really need the effects to retain their inherent character and which ones only use the DSP for a little sugar-coating. Then you need to reach a compromise between the amount of effect needed to give one sound its character and the amount which will not render the others unrecognisable. + +Ideally, each M1 sound would have effect 'send' amounts, but this capability was not introduced by Korg until much later, on workstations such as the X-series. The result was not the same as if separate effects were available on each part individually, but it did give the best compromise available. This effects limitation was only finally resolved last year on the Trinity, which does have enough DSP horsepower to allocate 'insert' effects separately to each part during multitimbral operation, and also to offer an overall master effect, such as reverb, which is available to every part in amounts determined by effect 'sends'. +The Rest Of The D-Series + +As with the Yamaha DX7, the previous universally successful synthesizer, the D50 spawned a whole series of descendants, both larger and smaller, from the flagship D70 to the D5 and D10 at the lower end of the market. None of the D50's descendants really added anything to the basic principle of LA synthesis, nor to the basic architecture of their antecedent. The D70 was the only machine which expanded at all on the spec of the D50, and that was in practical areas like the number of keys on the keyboard, and controller functions. So the D50 remains the definitive example of LA synthesis. +LA Synthesis In The '90S + +While the fidelity and sonic quality of LA synthesis have long since been surpassed, the role of the D50 need not be a purely historical one. Unlike the DX7, which can be replaced by more recent FM synths from Yamaha and others, the D50 can still make certain sounds which no other single synth on the market can emulate, and many of its trademark sounds still have a place in modern music. + +One of the things for which the D50 became famous, and eventually infamous, was its looped sounds featuring a rhythmic element and shifting harmonic overlays, previously seen only on the Prophet VS and PPGs. These are now a staple of most synthesizers, and for this we really do have to thank the D50. The most famous D50 sound of this type was 'Digital Native Dance', a slowly evolving combination of synth timbres and a percussion loop. Although this particular sound was done to death as an intro on recordings by many artists in 1987, including the great Wacko himself, the other complex looped/ambient sounds on the D50 still have a certain charm. You can even create your own combinations by mixing and matching synth timbres with percussion loops. + +Interestingly, these PCM loops pre-date the use of sampled drum loops, now omnipresent in most modern recordings, but they have the same drawback as sample loops in that their tempo cannot be changed without re-pitching the loop, and they therefore cannot be synchronised to other instruments within the track (hence their use as intros and ambient backgrounds). The ReCycle approach developed by Steinberg cannot be used, as there is no way to download PCM samples into the computer, and even if there were, the results cannot be loaded back in nor sync'ed to MIDI Clock. However, if you're fortunate enough to find a pitching where the loop fits harmonically and rhythmically with your track, re-triggering at the beginning of each bar (or every few bars) can be quite effective. If not, you may need to use the loop as a starting point or inspiration for a track and then fade it out when the other elements kick in. It must be said, though, that there are better systems available now for creating interesting synthesized loops in your music. + +Ironically, it is in the setup of the often-overlooked Linear/Arithmetic algorithms that the biggest potential for creating unique sounds on the D50 remains. Avoiding the linear summing of partials and opting instead for arithmetic combining brings you into the sort of territory you could otherwise only explore with ring modulation or FM, to which the LA process is related. It's the same procedure of building complex sounds very quickly by multiplying simpler waveforms together, but what's unique about the D50 is that the source samples are no longer just sine waves (as in the case of Yamaha FM) or other analogue waveforms (as in basic ring modulation) but complex, sample-derived timbres which already have many harmonic characteristics before you combine them. The result of multiplying such sources together can give unpredictable but fascinating results — occasionally beautiful, often angular, and even ugly, but never dull. Even timbres which are unpleasant when dry acquire an interesting character when processed through effects, so don't write off even the ugliest sounds until you've smoothed them out with some chorus or reverb. + +I find it particularly interesting to try this with one of the aforementioned percussive loops on one Partial and a sustain loop on the other, as this imparts a crunchy rhythmic feel to a sustained timbre. Persistant experimentation is the key here, as the result will not always be usable on first combination (unless you're at the most industrial end of the techno movement, in which case the first thing you try will probably fit right in). + +One tip, though: steer clear of sampled attacks for things like this. If both Partials you're combining are just attacks, any nuances of arithmetic combination will probably not have time to come through and if only one of the Partials uses a sampled attack, the other will sound even more dull and lifeless once the attack is over. Pair arithmetically combined sounds of similar duration, and then add attacks or longer sustains linearly, for a more even result. + diff --git a/Books/Music/Articles/Sound On Sound Synth School 6.txt b/Books/Music/Articles/Sound On Sound Synth School 6.txt new file mode 100644 index 0000000..e68f15c --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 6.txt @@ -0,0 +1,110 @@ +Synth School: Part 6 +Building On PCM — The Next Generations + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published February 1998 + +Ensoniq's VFX-SD workstation. +Ensoniq's VFX-SD workstation. + +The ball of S&S synthesis had been thrown, and most of the big names in synthesis caught it and ran with it, scoring some notable goals in the process. Paul Wiffen continues his chronicle of modern synthesiswith a look at the state of play from the late '80s to the present day. This is the sixth article in a 12-part series. + +When we left the PCM-based synth story in the last instalment of this series, Korg's M1 workstation had superseded the Roland D50 and was in a dominant market position. But technology marches on, and there were many new developments in sampled-based synthesis and hybrid systems still to come from Ensoniq and Yamaha (amongst others), but also from Korg themselves. +An American Tale + +Sampling and FM synthesis technology in one box — Yamaha's SY99. +Sampling and FM synthesis technology in one box — Yamaha's SY99. + +The next company to develop PCM-based synthesis was the American manufacturer Ensoniq. In fairness to Ensoniq, they were actually the first company to put sample-based waveforms in synthesizers. Back in 1985, the ESQ1 had a few small PCM samples built in to allow drums and strings to sound more authentic. In fact, these samples, combined with a built-in sequencer, made the ESQ1 a candidate for the title of first workstation synth. + +However, the VFX was really the first machine from Ensoniq which could be compared with the Korg M1, in that it had quality samples and effects, multi-stage envelopes and multitimbrality. Introduced in late 1988, the VFX lacked only one thing to qualify it as a workstation — a sequencer. This was added in the VFX-SD the next year. As the suffix implies, Ensoniq added not only a Sequencer but a floppy Disk drive to this model, to enable saving and loading of sequences and programs. + +The VFX architecture is well worth examining, because for the first time it made a PCM-based synth as easy to set up for live use as the split/layer keyboards of the late '70s and early '80s. Combining M1 Programs into Combis had always been a bit of an effort, and certainly not the sort of thing you tackled on stage halfway through a gig. For the VFX, though, a system was developed which made the process easy enough to contemplate in front of an audience. +Live Or Programmed? + +Emu's Proteus 1. +Emu's Proteus 1. + +Ensoniq achieved the task by adding a different section to the VFX, from which the combining sounds could be played live. This was separate from the setup used for multitimbral access by internal or external sequencer. The arrangement made perfect sense, because the parameters you need to change quickly when layering two or three sounds together live are very different to the parameters you might need to adjust during the playback of a multitimbral sequence. The VFX allowed the user to quickly select three different patches (the second and third by double-clicking) and then see and adjust their respective volumes, pan, keyboard range, effect amounts and other important parameters related to live presentation. This meant that VFX users could very quickly assemble a complex split/layer setup, with maybe two sounds under the right hand and a bass sound under the left, balance them, and position them in the stereo mix, without the minutes of parameter adjustment that would have been required to do the same with an M1 Combi, for example. + +As a result, a whole new breed of players was encouraged to start programming, because the surface layer of the VFX gave easy access to the combining of programs into performances without the need to develop an in-depth knowledge of how the machine worked. Whether any of them were encouraged by this to delve deeper into the machine's archictecture is open to debate, as the story of synthesis seems to be one of more and more user-accessible parameters being accessed by fewer and fewer users. It seems to have taken the return to popularity of simple analogue synths to encourage people back into knob-tweaking for themselves. +Inside The VFX + +Korg's T2 workstation. +Korg's T2 workstation. + +Those intrepid users who did venture into the structure of the individual VFX patch were rewarded with a voice structure laden with possibilities. The VFX's voice architecture was actually more reminiscent of that of the D50 than that of the M1 (which had tended to sound OK with one or two base samples, so Korg's engineers hadn't needed to develop so complex a voice architecture). The VFX, however, now allowed up to six voice components instead of the four components (Partials) of the Roland machine. Not all of these had to be used, and many sounds used only one or two source waveforms, especially as the VFX did not split individual sounds into attack and loop segments. Using all six components meant that you could create some of the most complex, evolving sounds ever possible on a synthesizer, especially as the multi-stage envelopes available on the VFX could be used to control the level of each component individually. As a result, the VFX could produce sounds of such complexity that they made the D50 sound like an old two-oscillator synth. If three patches were layered together, up to 18 oscillators could be triggered from a single key. However, that many oscillators piled together can be rather overpowering in everyday sounds (not to mention the fact that they exhausted the synth's polyphony very quickly). + + Yamaha's SY99 took things a stage further, by adding a disk drive and the ability to load samples into RAM. This meant that users could actually take their own samples and combine them with FM sounds. + +Within each component of a sound the possibilities were even more complex. In another development reminiscent of the D50, a series of waveforms could be strung together to create a loop, and these were no longer fixed by the manufacturer as on the D50; users could now specify the starting and finishing source waveforms for their loops. They were, however, restricted to using them in an order defined by Ensoniq, so the best results still came from the serendipitous sequence of waveforms at the design stage. However, it was possible to add or take away waveforms from the beginning or the end of a sequence, or even to move to another part of the waveform ROM completely, giving a lot more control to the user than the D50's fixed loops did. Playback rate was, of course, still fixed, but at least the rhythmic patterns created could be changed to some considerable extent. + +As Ensoniq had also taken multi-stage envelopes further than before, with multiple rates, levels and loop points, the potential for creating sounds of unprecedented complexity was great (as were the chances of getting completely confused and giving up). However, in the hands of Ensoniq's creative team of developers astounding results were achieved, some almost qualifying as pieces of music in their own right. A selection of breathtaking programs shipped with the VFX, some still evolving and bringing in new components a couple of minutes after being triggered. This only led to one problem: how should you use them in a track? It was back to the old story of intros and quiet middle sections (where the synthesist in a band has too often been banished before). Problems with sync'ing rhythmic elements to the tempo of the song still existed, so keyboard players stuck to the basic pads and imitative instruments unless they were doing film, TV or ambient music where such restraints are less common. It would be left to Korg, a few years later, to solve this problem and allow complex changing timbres with rhythmic elements to be sync'ed to the tempo of the song. +Performance Controls + +To make the VFX's six available components within the voice more versatile for performance (and to prevent enthusiastic programmers exhausting the polyphony too quickly), Ensoniq used an expanded set of real-time controllers to bring different voices in and out of play. So, instead of combining together voices with radically different elements, it was possible to group together voices which were very similar but with slight variations. Additional switches provided the means to mute and un-mute different components. For example, a flute patch might have a straight flute sound as one of its components, one with extra breath noise as its second, a third with a 'flutter-tongue' effect, and so on. Switching these in and out in different combinations meant that the user could circumvent one of the biggest problems with sample-based synthesizers, the fact that the source PCM waveform cannot be altered in real-time. + +This was an important development in PCM-based synthesizers. It has been taken on by many other manufacturers, whether in keyboards which feature expanded performance controllers, like Korg's most recent PCM-based machine, the Trinity, or Emu's range of modules featuring extensive modulation routings, which allow the user to make the most of the standard MIDI Continuous Controller inputs. A raw PCM sample can only ever be a 'snapshot' of an instrument at one moment in time, played in one way. Only by mixing between different snapshots in real time can any sense of the motion and change that is part of the nature of real instruments be conveyed by a PCM-based synth. + +The VFX also improved on the amount of multi-channel MIDI access that a user could have to PCM-based synthesis. Twelve patches could be set up very quickly to be controlled on any MIDI channels, with similar key range, transposition and controller setups to the performance mode. As computer-based sequencing became more and more important to the majority of users, it was a major plus that 12 of the VFX's programs could be used simultaneously on different MIDI channels. Hence, the Multi was born (as opposed to the Combi, a Korg invention). In general, these days, PCM-based keyboards tend to feature both a Combi-derived mode for performance (it may even be called Performance Mode) and a Multi-derived mode for internal or external sequencing (usually accessed by a switch marked 'Seq' or 'Multi'). The jargon may vary from manufacturer but the two are usually easily distinguished, as one gives quick access to a lesser number of sounds, while the other gives much more complete access to at least 16 different timbres (several manufacturers now have schemes, especially on PCM-based modules, for 32 different timbres to be used simultaneously). + + For under Ł1000, Emu's Proteus gave the user access to many of the sounds which had only previously been attainable from a Ł2000 sampler. + +Ensoniq & Effects + +Of course, the old problem of different effects being an integral part of sounds and not being available simultaneously reared its head when MIDI was used to sequence multiple programs. Whilst Ensoniq didn't have the solution to this (which can only be the expense of the extra hardware to provide a separate effect circuit for each multitimbral voice, as on the Korg Trinity), its Copy routines did allow the most important effect in any combination of programs to be quickly copied to the effects buss of the Multi section. This meant that the procedure described last month when I talked about the M1's effects (for copying the effect of the sound most reliant on it and assigning some of the other sounds to it as appropriate) could not only be carried out on the VFX, but it could also be achieved more quickly. It is noticeable that nowadays most PCM-based synths allow this procedure; the main difference between synths is whether it is made easier or more difficult by the architecture of the machine in question. + +This capability was equally useful on the VFX-SD, which had the necessary on-board sequencer and floppy disk drive to qualify it as a workstation. Now the chances were increased that the user might be trying to create his/her entire piece on the one instrument, it was even more important that the ability to share the two simultaneously available effects between up to 12 musical parts was as easy and flexible as possible. In addition, the sequencer could record any changes to this shared effects capability. + +Although they have not made such a giant leap forward again since the release of the VFX, Ensoniq have continued to include the originally unique aspects of the VFX design in their subsequent synthesizers. After the VFX-SD came the TS10 and its 76-note keyboard variant, the TS12. These had even more complete sequencers and so took over the 'top-of-the-range' workstation mantle. They also added the ability to load samples from the Ensoniq library as source samples, allowing the user to customise the basic set of sounds in the machine. (One of the principal problems with PCM-based synths is that if you don't have a kazoo sample in the basic waveform ROM, you are unlikely ever to get a kazoo sound out of the machine.) For the smaller budget, Ensoniq also produced the SQ1 and SQ2, which came with a less powerful sequencer and synthesis architecture. Those who are interested in the combination of multiple sound sources within a single program, however, will still find the same ability in these machines. +EMU Exploit Their Sound Library + +Around this time there was a major change in direction from Emu Systems, who, until this point, had concentrated almost exclusively on samplers. Although Emu's samplers had much of the subtractive synthesis architecture of the machines we have already looked at here (in fact, the Emulator II was the first sampler which included a full complement of filters, envelopes and other subtractive standards), they could not really be called synthesizers because all source waveforms had to be loaded from disk into RAM. It should be noted, though, that Emu samplers come much closer to the traditional synthesizer than those from Akai or even Roland. + +Emu had been making a big investment in sound sampling for their machines for more than 10 years by this stage, and they suddenly realised they had a marketable asset (outside the library disks which they been selling or bundling for their end users). They decided that if they were to design a small rackmount module which had the synthesis capabilities of their samplers, but with lots of short samples pre-loaded into masked ROM, they too could join the PCM synthesizer revolution. + +Thus was Proteus born, named after the Greek god who could change his shape at will (a reference to the number of different instrument multisamples in ROM, which the user could instantly switch between). For under Ł1000, it gave the user access to many of the sounds (albeit in much shorter samples and loops) which had only previously been attainable from a Ł2000 sampler, and then only after waiting minutes for the sample data to load from floppy or hard disk. The result was an overnight success, and thousands of these modules are still in use. + +But the real appeal of Proteus for those interested in synthesis was not the instantaneous availablility of quality Emu sounds but the very real synthesizer architecture of the machine. It inherited all the standard Emu synthesis capabilities, with proper filtering, enveloping, and a modulation routing system to die for. + + As computer-based sequencing became more and more important to the majority of users, it was a major plus that 12 of the Ensoniq VFX's programs could be used simultaneously on different MIDI channels. + +Not only could Proteus change its shape from program to program, but also from machine to machine. Emu hit on the idea of selling their extensive library piecemeal, divided into categories for the needs of different users — so whereas the original Proteus gave you a wide sweep of sounds for general use, subsequent machines became more targeted to specific music styles. The first of these was Proteus 2 Orchestral, a big hit with film and TV composers who, even if they didn't use it in their final mixes, found it invaluable for composing and trying out arrangements and orchestrations. Proteus 3 World satisfied a growing demand for ethnic samples after the influence of Peter Gabriel's Real World label started to make itself felt in the crossover markets, and the Procussion gave drummers and synthesists the same editable access to a huge drum library. The real payoff, though, came with the Vintage and Classic Keys models (by now the numbering system had been abandoned). These offered sampled synthesizer waveforms from classic synths of yore, which could be properly filtered, modulated and enveloped through a real synthesizer voice circuit. If you want an example of how Samples & Synthesis can be a really creative tool, take a look at these two modules. + +The Proteus heritage still continues today in the UltraProteus (a sort of greatest hits with some extra filtering capabilities from Emu's own Morpheus, which we will look at next time) not to mention the increasingly bizarrely named modules (Orbit, Planet Phatt and Carnaval) which court the dance market. Other manufacturers have clearly learnt the lessons of marketing specific sound sets at different target groups (Roland and Akai in particular), but for me the joy of Proteus remains in the synthesis rather than the sample side, which is why those machines loaded with synth waveform samples give the synthesist the greatest creative potential! +Korg's Response + +After the success of the M1 and its rack relations, the M1R and M3R, the next series of synths from Korg, the T1, T2 and T3, addressed the growing criticism the M1 had started to suffer for the compressed nature of its more percussive instruments, such as piano and guitar. Korg did this by taking advantage of the continually dropping price of ROM and allocating twice as much memory to the storage of the PCM samples. This meant that the sample could be longer before the loop needed to start on sounds which decayed, and the loops could also be longer, if required, on sustained timbres. As a result, the piano and guitar sounds gained much more natural decays and so could be used for a wider range of music styles, rather than just the fast repetitive triggering of dance music, where subtlety was not required. The T-series appealed much more to the performer, and this was why the flagship T1 had a full-range weighted keyboard, to allow traditional pianists to feel more at home with it. + +Of course, as Winston Churchill remarked, you can't please all of the people all of the time, and many people in the emerging field of dance music complained that the T-series didn't sound like the M1, and so didn't use them. The reason was simple. The compressed nature of the sounds in the M1 made them ideal for the no-holds barred sound of dance music, where everything needed to cut through and be louder than everything else. Pre-compressed sounds such as the M1 pianos and guitars were ideal, especially if the user didn't have the money — or the awareness of the need — for a separate compressor. As a result, Korg have made the orginal M1 samples available several times in more recent products to court the dance market (the X5DR and Trinity PBS options, as we shall see later). + +Another key feature of the T-series was that the user could load his or her own samples into the machine for processing through the instrument's filtering and enveloping. Like the Ensoniq TS-series, this gave the user a way around the main limitation of PCM-based synthesis — that if the waveform ROM does not contain a multisample approximating to the sound you need, you'll be hard-pressed to drag said sound out of the machine. Now Korg users could at least expand and customise the source waveforms with samples to take care of their less mainstream needs. On the T1 the sample RAM to do this came as standard, whereas on the T2 and T3 it was an optional extra. + +The 0/W series added more refinements; the major step forward was the doubling of polyphony to 32 notes. The module version, the successful 05R/W, also helped develop the PCM-based multitimbral module into a commonplace item in any setup. One of the most important improvements that arrived with the 05R/W was the implementation of effects via a send amount system. This allowed you to remove effects from sounds like the bassline (which often didn't need them, especially if the effect was reverb) by setting the effects send amount on your bass sound to zero. + + The story of synthesis seems to be one of more and more user-accessible parameters being accessed by fewer and fewer users. + +Next came the X-series, which made the concept more accessible at the low-budget end and gave more user control. The module versions, the X5D and X5DR, added some of the original sounds from the M1 because these had become so important for certain styles of dance music that they became a major selling point (despite being less authentic than the more recent versions of pianos and organs which used more generous allocations of RAM). + +The M1 tradition culminated at the beginning of 1996 with the Korg Trinity, still using PCM samples as its main source of sounds (now at 48kHz sample rate, allowing this synth to be used in an all digital systems with the addition of S/PDIF or ADAT interfaces), but with the addition of separate DSP circuits to finally get around the problem of changing effects when it was being used as a multitimbral instrument. The Trinity comes in various versions, but nevertheless still uses the same fundamental technology that Korg introduced back in 1988 with the M1. +Apart From PCM... + +Clearly, other companies have made extremely good use of PCM technology in their synthesizers (including newcomers to synthesis Alesis, as well as Kawai, Roland, and Akai), but it is the quality and type of the source samples rather than the innovation of their synthesis archictecture which makes them useful. However, the mid-'90s saw several developments in synthesis, including Emu's Morpheus and Korg's Wavestation, and we'll focus on these transitive types of synthesis next time, as well as looking at some of the precedecessors, such as the PPG Wave and the Prophet VS, which inspired them. +Yamaha Join The PCM Party + +So great was the success of Yamaha's FM (Frequency Modulation) synthesis in the early '80s that the company spent most of that decade 'trickling down' the technology into cheaper and cheaper synthesizers. As a result, they were the last of the 'big names' to introduce PCM-based technology into their synthesizers, and it was initially a supplement to their FM technology, not a replacement for it. This meant that the sounds which FM had proved very good at producing — electric pianos, tuned percussion and woodwind — could still be provided by the FM circuitry, but the sounds which were better produced from PCM samples, like acoustic piano, strings and other fuller sounds, could be generated using the more recent technology. + +However, the reason why the SY77 (the first machine to combine FM and S&S) proved so popular with its more professional users was not the ability to produce sounds with one or other of the two complementary technologies, but the ability to produce hybrid sounds from the combination of the two. PCM's biggest weakness was still the difficulty of adding expression to the performance. The basic sample would sound very authentic but somewhat static. FM was the perfect antidote for this, as it has always been very responsive and expressive, although not the most authentic way of reproducing the fundamental timbre of sounds. + +Of course, the two technologies did not necessarily always sit together well in the mix. Fortunately, the SY77 also had the necessary DSP hardware to produce effects. This meant that the same 'smearing' techniques as used on the Roland D50 (see December '97's Synth School) could be used to bind the two sounds together. The only difference was that, instead of using the effects to join together an attack with the sustain portion of the sound, both the FM and PCM parts would sound simultaneously but, being of different characters, they would stand out from each other. The effects would be used to blend the two sounds together. + +Of course, many of the programs would only use one sound or the other, so in this case the effects would be used just to add reverb or chorus, in the normal way. The SY77 also had the ability to sequence multitimbrally, but the effects had to be shared between all the different programs being triggered. It therefore allowed you to use the effect/s from whichever program seemed to need it most and then assign the other sounds to those effects where appropriate. + +The SY99 took things a stage further, by adding a disk drive and the ability to load samples into RAM. This meant that users could actually take their own samples and combine them with the FM sounds. At the time, however, there was not much general cross-platform support for reading other manufacturers' disks, so unless you wanted to contend with MIDI sample dump, your main option was sample disks for Yamaha's own TX16W sampler (a 12-bit machine which had been able to do stereo samples but only at 33kHz, whereas mono ones were available at 48kHz). One of the interesting side-effects of this was that some use was finally made of a TX16W sample library which the old Yamaha R&D Centre in London's Conduit Street had given me a splendid budget to create. Yamaha distributors all over the world finally had a use for the piles of beautifully bound disk sets for the rather overlooked sampler, which had been in stock for years. For me personally, it meant the ability to load all these great sounds, which no-one else had ever given me a budget to record and edit properly, eaxctly as I had set them up, but in a synthesizer (without two hours wasted on MIDI sample dump and basic editing, which tends to de-motivate me seriously!). This isn't the only reason why the SY99 is my favourite Yamaha synth of all time, but it certainly goes a long way towards it. The SY99 certainly is unique in allowing you to combine FM, subtractive synthesis, and your own user samples all within a single machine. + +Even when Yamaha eventually dropped the FM capability and produced their first purely PCM-based synthesizer, the SY85, they still kept the ability to load user samples into RAM, but using the much cheaper method of SIMMs (Single In-Line Memory Modules), just like modern samplers. As a result, a colleague (now the manager) at a certain retail store I used to manage was able to use his library of dance loops and drum samples to cheaply customise that machine for the evolving dance market. The rack version of this synth, the TG500, actually went a stage further, using Flash ROM to store samples so that they were retained in memory after power-down (I suspect because it had no disk drive to quickly reload from, so MIDI Sample Dump was the only way to get them in). Korg are now offering this as an option for the Trinity in the form of the PBS-TRI option, and it really expands the usefulness of a PCM-based synth, especially for live applications, where loading samples even from hard disk is altogether too long a procedure. Nothing beats turning a machine on and finding your own personalised samples already to go. + +Yamaha's most recent PCM-based synths unfortunately no longer have the ability to load samples into RAM or Flash ROM. Despite the fact that they retain the DSP effects capabilities of all the previous Yamaha workstations and the ability to sequence multitimbrally, they're not as exciting, for me, as the glorious hybrids of the late '80s and early '90s. The really notable and innovative products from Yamaha at the moment are in the physical modelling arena. + diff --git a/Books/Music/Articles/Sound On Sound Synth School 7.txt b/Books/Music/Articles/Sound On Sound Synth School 7.txt new file mode 100644 index 0000000..6aed0cf --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 7.txt @@ -0,0 +1,104 @@ +Synth School: Part 7 +Transitional Synthesis + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published April 1998 + +Fairlight's Computer Music Instrument (CMI) was one of the first systems to offer a form of transitional synthesis, but the feature was never really exploited due to the technological limitations of the day. +Fairlight's Computer Music Instrument (CMI) was one of the first systems to offer a form of transitional synthesis, but the feature was never really exploited due to the technological limitations of the day. + +Between the extremes of the broad brushstrokes of subtractive synthesis and the painstaking detail of additive, there have existed many hybrid styles of synthesis combining the speed of the former with the precision of the latter. Paul Wiffen traces the development of this middle ground through its successes and heroic failures. This is the seventh article in a 12-part series. + +Throughout much of the last 20 years, there has been a strain of synthesis which, although it has never challenged the dominant variety at any point, has always provided a worthy alternative for the synthesist looking for that little bit extra control over the timbre of the source waveform without having to go to all the effort of specifying the shifting level of each harmonic individually, as in additive synthesis. While individual manufacturers have coined many terms for their variation on the theme — Wavetable Synthesis, Vector Synthesis, Wave Sequencing, and so on — the overall term which seems to best fit this broad category is Transitional synthesis, because the sound, broadly speaking, starts with the specific harmonic content of one or more waveforms, and evolves, through various means, to end with a different harmonic spectrum (rather than decaying to fundamentals, as with a closing analogue-style filter). How this is achieved varies from one implementation to another, but what all the forms of this type of synthesis have in common is that they offer the user greater control of the harmonic content of the sound as time passes, by allowing him/her to specify the waveform at given moments in the sound's development. + +In this they are very different from analogue synthesis, where the fundamental nature of the timbre throughout its development is determined by the basic waveform selected. All that can happen is that some or most of the frequencies this waveform contains can be removed by the filter cutoff or exaggerated by resonance; no radical shift in harmonic content can be achieved. In PCM-based synthesis, the harmonic content of the sound is dictated by the frequencies present when the recording was made. Although these can also be modified by cutoff and resonance, new frequencies, again, cannot be introduced. +Timbral Evolution In A Fair Light + +PPG's wave (below) with the Waveterm sampling hardware on top. +PPG's wave (below) with the Waveterm sampling hardware on top. + +Perhaps the earliest manifestation of the kind of Transitional synthesis I'm talking about this month was on the original CMI (Computer Music Instrument) from the innovative Australian company Fairlight. Press and media coverage of the instrument made much of its light pen and the facility to draw single-cycle waveforms that it offered. Those who tried this method, however, soon found that, without analogue filters to run through the harmonic content of waveforms, picking out and exaggerating their differing compositions, most hand-drawn waveforms sounded rather ordinary and often bland, despite the revolutionary way in which they were created. The simple fact of the matter is that the human ear is sensitive to change in harmonic content, and tends to be unimpressed by a static harmonic content, however complex. The secret of the success of the enveloped filter, as a mainstay of synthesis over the years, is that it's an exceptionally quick and easy way to vary this harmonic content. + +Lacking any such filtering capability, the Fairlight engineers had to look for another way to make harmonic content change. Obviously, the samples the Fairlight made could contain timbral changes but only if they were present in the source being recorded. Introducing timbral change on the machine itself would be a tougher job. The system they eventually came up with was perhaps the only function on the CMI which really made use of its computational power, all its other facilities being simple RAM storage and replay tasks, whether of sample data or sequences. + + ...if you can get your hands on a PPG, Prophet VS or Yamaha SY22, you'll discover a style of synthesis which is perhaps the most powerful of all the non-imitative styles. + +Having created two waveforms, the user could place one at the beginning of the available sound memory and the other at the end. The computer would then calculate a waveform for every other memory location in between, by interpolating between all the corresponding points on the two waveforms (this process was known, a little inaccurately, as a Merge). As a result, each waveform played back in the course of a sound made in this way was similar to the one which preceded it but with subtle changes as the waveform was slowly altered to evolve towards the final result. The important thing was that these changes were entirely different to those which a filter would give, as they were produced by a mathematical method which was not in any way restricted by how sound behaves in the real world. Exciting new timbres emerged which had never been heard before. These could be radical (if two completely dissimilar waveforms were specified as start and end points) or subtle (if the two waveforms were closer together in appearance). There were changes for the ear to pick up on, and these changes were also unpredictable and different. + +Unfortunately, although the CMI's method might sound like a sound designer's dream, the technology of the time had some major limitations which restricted its usefulness in mainstream musical applications. Firstly, memory size was limited, so the transition from one waveform to the other happened fairly quickly at the nominal original pitch. This meant that it was no good for sustaining sounds, where a gradual change in timbre works wonders; the sound was always of finite length. Secondly, the memory into which the transitional sound was loaded achieved pitch changes in exactly the same way as a sampler — by replaying at different rates. So the higher up the keyboard you triggered the sound, the shorter it became, and the quicker the timbral change happened. A sound triggered lower in the keyboard would last longer, and its timbral change would take longer to happen. + +Of course, there were times when this unalterable relationship was fortuitous. Occasionally the short high notes would have enough punch and character to stand out well over a pad sound, which made up for their brevity. More often, the longer, slower notes worked well as sustained low-end sounds, with the timbral change accentuated because the higher harmonics were more audible. + +But most Fairlight users lost patience with these limitations, at least in part because the CMI had nowhere near enough computional power to perform its operations in real time (which is why the computations had to be stored in memory and played back just like samples). As a result, they would stick to the (at the time) unique sampling and rhythm-sequencing capabilities of the Fairlight. + +Very little use of the CMI's Merge facility was recorded for posterity, and I have never heard a sound on record which I could positively identify as having been created in this way. I live in hope that, since today's computational power could create the interpolated waveforms needed on the fly, without even breathing hard, someone will do a real-time implementation of this exciting feature of the grandaddy of all digital systems, since, if the calculations were done in real time, the speed change needed to vary the pitch would disappear. The bright, metallic sounds I found the CMI created would suit current musical styles, like techno, down to the ground. +Wave Goodbye To Pitch Limitations + +The successor to Sequential's Prophet VS, designed by the same team of engineers and programmers — the Yamaha SY22. +The successor to Sequential's Prophet VS, designed by the same team of engineers and programmers — the Yamaha SY22. + +The next digital instruments to venture into the territory of harmonic transition were the PPG Wave series. Happily, this system, invented by Wolfgang Palm, did not rely on computation in real time, so the Wave synthesizers did not suffer the problem of the evolution of the sound being linked to its replay pitch. As a result, our old friend the envelope generator could be used to control the speed and direction of the movement between waveforms. + +This was possible because the waveforms were created at the factory and loaded, in 'family' groupings, into so-called 'wavetables', sets of digital memory locations exactly like single-cycle sampled waveforms. These wavetables allowed a style of harmonic transition which was very similar to the Merge facility on the Fairlight, in that each waveform was only slightly different to the one on either side of it — but over the 32 locations within each wavetable, wide timbral changes were possible. + +Of course, those wavetable groupings were decided by the manufacturer, removing the element of serendipity available on the user-defined Fairlight implementation. But this was more than made up for by the fact that the results were usable in a real-time mainstream format. + +The synthesist was able to specify the wavetable used by each oscillator, and the starting waveform. However, there was then no obligation to make use of the wavetable's harmonic flexibility. The specified waveform could be used through the sound's duration, complete with normal amplifier and filter enveloping, exactly as on an analogue synth (although the waveform was generated digitally). In fact, one of the PPG's wavetables contained the standard sine, sawtooth, square and pulse waveforms, so that you could make sounds in exactly the same way as with analogue synths, although they never sounded quite the same. + +However, nobody bought PPG Wave synths for their ability to duplicate the analogue synthesis process, but rather for the fact that they could supersede it. Once you had specified the initial harmonic content with the starting waveform, an envelope or LFO could be used to change that harmonic content, by moving around inside the wavetable in much the same way that envelopes and LFOs can change the filter cutoff from its initial harmonic-content setting in analogue synthesis. The greater the envelope depth or LFO amount, the further away it was possible to move from the original waveform in the wavetable. The speed of that movement was determined by the attack, decay and release times of the envelope, or the frequency of the LFO. + +Despite the fact that the wavetables were factory-preset, this gave the PPG Wave synthesizers a much broader timbral range than standard analogue synths, especially as enveloped analogue filters could also be brought to bear on the sound after the wavetable synthesis had done its unique job. The closest analogy for those of you who have only heard analogue synthesizers is Pulse Width Modulation (PWM): the timbre changes without any movement on the part of the filter as the waveform moves between different variations of the basic waveshape. It was when I first heard Pulse Width Modulation that synthesis came alive for me, and the PPG system offered this same kind of movement, but with a host of different timbral groups in the various wavetables. + +Just as with PWM, you could choose to set a constant timbral motion, with an LFO moving the wave readout evenly on each side of the starter waveform, or set up a more tailored single harmonic movement using the attack, decay, sustain and release phases of an envelope. You could use the attack to move quickly from the initial waveform to another further along the wavetable, move back a portion of that distance using the decay, hold on one particular waveform for the sustain segment, and then move slowly back to the original waveform during the release phase. + + The beauty of Vector Synthesis was that it was very 'hands on' (to use the modern jargon) and simple to grasp (figuratively and literally). + +More Power To The User + +The mighty Waldorf Wave. +The mighty Waldorf Wave. + +As stated earlier, the PPG system was considerably more musically useful than the Merge function of the Fairlight, but was restricted to the waveforms provided by PPG in the Wave synthesizer. PPG's Waveterm changed all this, by providing the computational power for users to create their own waveforms (and, incidentally, make samples) and download these into the Wave 2.2 synth for use just like the factory-preset wavetables. On the Wave 2.3, the whole memory could be used to download and play back 12-bit samples linearly. + +There were two versions of the Waveterm (A & B), easily distinguished externally by the fact that most 'A's had 8-inch floppy drives, while the 'B's used the newer 5.25-inch disks. More importantly, the 'B's were improved internally by 16-bit resolution and better A/D conversion for the sampling side. Of course, sample playback through the analogue filters of the Wave 2.3 drew most attention (not surprisingly, as it pre-dated PCM-based synthesis by seven or eight years) but more creative users latched onto the fact that with the Waveterm they could build their own wavetables and turn them into custom sounds on the 2.3 synth. + +Of course, time eventually catches up with any technological innovation, and PPG's fortunes faltered with the arrival of cheap samplers from Ensoniq, Sequential and Akai. Ironically, these never attempted to cover wavetable synthesis, but nevertheless the writing was on the wall for the Wave system. Despite ground-breaking new product designs, which were the first attempts anywhere in the world at stand-alone hard disk recording and virtual synthesis (called the HDR and the Realizer), PPG finally went bankrupt in 1987 (see the 'Thoroughly Modern Wave' box for what happened next). +Following The Sequential Vector + +Waldorf's Microwave II. +Waldorf's Microwave II. + +The next company to go in for a system which allowed you to change the harmonic content of the source sound in real time, before the filter section, was Sequential Circuits. However, instead of changing the waveform that an oscillator was generating, their system allowed you to set up four different waveforms on four different oscillators and then mix between them by means of a joystick. This was clearly a much cheaper system: the Prophet VS, the synth which used this technology, was released with a price tag of around Ł2000 instead of the Ł3-4000 price tag the PPG Waves had carried. Of course, the resulting sound was not quite as smooth as that produced by the PPG, where the harmonic content of every waveform was closely related to that of the one either side in the wavetable. On the VS you could choose to mix between waveforms with vastly different harmonic contents, which made many of the resulting sounds a little harsh to the average ear. + +Sequential dubbed this technology Vector Synthesis, which was perhaps a bit of a misnomer. A vector is a straight line between two points, but the VS's joystick allowed you to take any indirect path between the starting and end positions of the oscillator mix. No doubt Sequential thought that Vector Synthesis sounded better than Cartesian Synthesis, or any other more accurate name. + +Apart from the waveforms supplied as standard (which included sine, sawtooth, square and various widths of pulse, so you could produce standard analogue timbres through the filter), the VS also allowed you to create your own waveforms, through a basic form of additive synthesis (which had only been available in the PPG system if you could afford a Waveterm to go with your keyboard). On the VS, this was done by stepping through the various harmonics and specifying a level for each. What's more, you could actually hear the resulting change in real time (unlike with the Waveterm, which had to compute when all harmonic levels had been set). + +Once you'd created your waveforms, or just selected the factory-preset ones you wanted to use, you could place two pairs of them on the X and Y axes of the joystick. This meant that left/right movement would control the mix between one pair and up/down movement would simultaneously do the same for the other pair. Any position of the joystick thus gave a unique mix of the four oscillators, and as a result, extremely complex timbral changes could be produced as part of a real-time performance. This was something the PPG could only achieve through programming. Of course, there were envelopes on the VS, to allow this mix to be altered automatically during the playback of a note, but to make life even easier the VS could record a manual joystick movement, and use this as the model for automatic change in the mix. + +The beauty of Vector Synthesis was that it was very 'hands on' (to use the modern jargon) and simple to grasp (figuratively and literally). There were no difficult concepts to get your head round. Everyone understands the concept of 'mixing', and a couple of minutes with the joystick made it very easy to understand the possibilities for unique sound creation. + +So if it was such a great idea, why was the Prophet VS the last synth Sequential made, before going bankrupt and being taken over by Yamaha? Well, it was the usual combination of poor mechanical reliability and other developments in the industry with more mass-market appeal. Sequential had their problems with quality control: one particular quirk with the case design made aftertouch stop working if you put the keyboard at an angle on an A-frame stand. The joystick on the first VS I used to reacquaint myself with Vector Synthesis for this piece had partially dropped inside the case and was held in place by tape. + +The other reason the VS remained a specialist taste was what I refer to as the 'Piano, Strings and Brass Effect'. The VS couldn't do any of these at all authentically. Unfortunately, it came out at around the same time as the D50, which had the rudiments of PCM-based synthesis, so it could get close, and it had built-in digital effects to boot. The fact that it was also cheaper than the VS was the final clincher. Sequential returned to sampling technology in the Prophet 3000, the first 16-bit sampler to hit the market, but this came to market too late to save them. +The Japanese Pick Up The Baton + +Fortunately, the design talents at Sequential were not scattered to the four winds, as Yamaha stepped in and kept Dave Smith and his team together. They took over Sequential's building in San José, and although little was seen from the team in the year after the takeover, they were put to work on a more commercial implementation of Vector Synthesis. This eventually emerged a couple of years later as the Yamaha SY22, its ancestry clear from the joystick on the front panel. The synth included some PCM source waveforms (to take care of the Piano, Strings and Brass Effect) but lost out on the ability to build custom waveforms through additive synthesis, as this was felt to be too marginal. + +But the main advantage the SY22 had was that it was built by Yamaha. The case design was much more solid and the reliability a thousand times better. In addition, Japanese manufacturing techniques had brought the price down to well under Ł1000. As a result, the SY22 sold in much greater numbers, and if you find one on the second-hand market, the chances are that it will be in much better condition than a VS and will continue to work properly for many years to come (even if there are those, like myself, who would argue that the Yamaha version misses out on much of the uniqueness and character of the original VS). + + Curiously, by the time the SY22 hit the market, Yamaha had already been without the Sequential design team for almost a year. + +Curiously, by the time the SY22 hit the market, Yamaha had already been without the Sequential team for almost a year — inscrutably, they had parted company with the ex-Sequential personnel almost as quickly as they had moved to keep them together. However, another Japanese manufacturer, Korg, stepped in to preserve the unity of the design team, and Korg have continued to use their talents as an R&D facility ever since (two current Korg products which owe their existence to this facility are the 1212 I/O PCI card and the Z1 synth). Ironically, the first product they presented to Korg, another implementation of some of the concepts first introduced in the Prophet VS, was developed so quickly that it was launched at the same NAMM show which saw the introduction of the Yamaha SY22. We'll look at this instrument, the Korg Wavestation (perhaps the most successful of all the transitional synthesizers), in the next instalment of Synth School, as well as the most powerful implementation yet from Emu Systems, in the form of the Morpheus. + +In the meantime, if you can get your hands on a PPG, Prophet VS or Yamaha SY22, you'll discover a style of synthesis which is perhaps the most powerful of all the non-imitative styles — no use at all if you want authentic piano, strings and brass sounds, but all the better for that if you want to come up with truly unique and personalised synth timbres. +Thoroughly Modern Wave + +Fortunately, when PPG ceased to be, its Wave technology was not lost forever. Wolfgang Düren, who had masterminded worldwide sales for PPG in their heyday, decided, at the end of the '80s, to recruit designer Wolfgang Palm. The aim was to use the new LSI (Large Scale Integrated) circuit technology to produce a MIDI-controllable rackmount version of the Wave system. In a inspired moment they decided to call it the Microwave, and this instrument is still available in an updated form today — the Microwave and the Microwave II boast the original wavetables from the PPG instruments. Rumour has it that the new company spent over a year trying to make digital filtering sound as good as the original analogue filters of the 2, 2.2 and 2.3, but, in a move reflecting the original Wave keyboard's design years before, they were forced to go with analogue filters to keep the sound authentic. Distinguished visually by a large, bright-red parameter value dial (reminiscent of Comic Relief's Red Nose), these instruments have brought the price of wavetable technology down to around the Ł1000 mark, without sonic compromise, thanks to the modern economy of single-parameter access. + +A few years later the same team followed the Microwave with the impressive Waldorf Wave keyboard, boasting a front panel which can be raised up, Minimoog style, for ease of use when programming. In addition to the trademark big red dial, there are scores of smaller red knobs and switches to make programming as quick and easy as possible. Unfortunately, all this instantaneous parameter access has its downside: the price. The Waldorf Wave is one of the most expensive synthesizers on the market, but this hasn't stopped the production being pre-sold for years in advance. + +As a result of Waldorf's efforts, if this piece has whetted your appetite for wavetable synthesis, you're not obliged to brave the second- (and third-) hand marketplace. You can purchase a current Wave synth in either a very affordable (Microwave) or very expensive (Waldorf Wave) form depending on your budget, but either way you will have perhaps the most authentic recreation of a vintage technology on the market. If you do go, instead, for an original PPG, make sure you know a good service engineer. + diff --git a/Books/Music/Articles/Sound On Sound Synth School 8.txt b/Books/Music/Articles/Sound On Sound Synth School 8.txt new file mode 100644 index 0000000..996dc49 --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 8.txt @@ -0,0 +1,78 @@ +Synth School: Part 8 +Wave Sequencing To Z-Plane Synthesis + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published June 1998 + +Paul Wiffen continues to examine transitional synthesis, covering the Wave Sequencing facility, first introduced on the innovative Korg Wavestation, and concluding with Emu's Z-plane technique, which may be regarded as bridging the gap between S&S and today's physical modelling. + +In the previous part of this series (see SOS April 1998), I began to talk about what I've termed 'transitional' synthesis methods, where, broadly speaking, a sound begins with a given harmonic content and evolves, to end with a different harmonic spectrum. This type of synthesis was exemplified, in different forms, by the Fairlight CMI, the PPG Wave series, the Sequential Circuits Prophet VS, and the Yamaha SY22, which was designed by the Sequential team for Yamaha after Sequential's demise. At the end of our last exciting episode, the ex-Sequential personnel had parted company with Yamaha and had been taken under Korg's wing instead, where they continued to develop their concepts further. +Crossfade To Wave Sequencing + +The transition from waveform to waveform in Sequential's Vector Synthesis, first seen on the Prophet VS, was a simple crossfade, and although two of these crossfades could be controlled or programmed by the joystick which was so integral to the Vector Sythesis system, the maximum number of waveforms which could be involved in a single sound was four. However, the San José-based team's next development — termed Wave Sequencing — allowed up to 255 different waves to be involved. This innovation was introduced on the Korg Wavestation, which still featured joystick-controlled Vector Synthesis, but added the much greater potential for transitional synthesis that wave sequencing gives. + +Korg Wavestation +Korg Wavestation.The closest precursor of wave sequencing was the PPG system of wavetable synthesis, where related single-cycle waveforms were stored in a group of 32. The user could pick a starting waveform and then use an envelope or LFO to move around in the wavetable, causing timbral changes as the waveform being read out changed. Differences between adjoining waveforms were fairly slight, so the degree of timbral change was determined by how far and how fast the readout moved from the original starting point. + +In the case of wave sequencing, coming 10 years after wavetable synthesis, there was much less economic restriction on memory for storing waveforms. As a result, instead of access being limited to 32 single-cycle waveforms, full PCM samples were available, and up to 255 could be 'on-line' for use by an oscillator in a sound. Each stage in the wave sequence could be occupied by a PCM sound radically different from the one before or after it in the sequence. The potential for striking sonic change is therefore much greater in wave sequencing, especially since the PCM waveforms can be deliberately moved around by the user to contrast as much as possible with their neighbours. + +Not only can the number of steps in the wave sequence be up to 255, but at each step the user is also able to determine not only the PCM or single-cycle waveform that is to be played, but also the duration of that wave and of the crossfade to the next wave. As a result, a greater degree of fine-tuning is possible than in any preceding form of transitional synthesis. Of course, this also means that it can take a great deal of time to create a really complex wave sequence. + +Figure 1: A 7-step wave sequence, as shown in all Korg Wavestation manuals. +Figure 1: A 7-step wave sequence, as shown in all Korg Wavestation manuals.To get a better idea of exactly how wave sequencing works, let's take a look at Figure 1, which is the diagram Korg supplied in all their Wavestation manuals, depicting a 7-step wave sequence. It shows how each of the steps can have an entirely different waveform asssigned to it. Some are clearly PCM samples, such as Step 1 and Step 6, some are standard analogue waveshapes, such as Step 2 and 4, and others are more complex singlecycle waveforms, such as Step 7. + +When the wave that each of these steps uses has been set, the level (volume) of each step can be individually set, as can the semitone (+/- 24) and fine (+/-100 cents) tuning for each. In the diagram you'll see that Step 2's level is set louder than the others, and that Steps 4, 6 and 7 are quieter. The duration of each step is set as an arbitrary value between 1 and 499 or to Gate (which means that it lasts for as long as the key is held down). If the scale between 1 and 499 is not right for your needs, there's a neat little utility which lets you compress or expand the overall timescale of the sequence by up to 200%. This means that you can instantly make the wave sequence last twice as long or a fraction of its former length. + +The transition between each step and the next is set by a crossfade parameter with another arbitrary value range, of 0 (no crossfade) to 998. This allows the timbral change between one step and the next to be instantaneous or to occur smoothly over whatever time interval you choose. This is the real power of wave sequencing — that these timbral changes can be as sudden or as gradual as you like. + +Having set up some really interesting shifts of timbre, you may want to have them repeat. The Wavestation allows you to cycle around as many steps of the wave sequence as you want, in either a forwards or forwards/backwards loop. The number of repeats can be set from 1-126, or you can specify infinite repeat, until the amplifier envelope fades the volume down completely. + +The cycling of the steps still does not exhaust the possibilities of wave sequencing. Once the wave sequence is set, complete with crossfades and loop if required, the point at which playback of the wave sequence starts can be controlled by a variety of modulation sources. These include velocity, which can be set up so that harder keystrokes start playback from early in the wave sequence and gentler ones later on. This technique can be used with wave sequences which include harsher, brighter waveforms in the early steps and softer timbres in the later ones, to create a natural increase in harmonic content on faster keystrikes and a gentler sound on a lighter stroke. Alternatively, you can set a dynamic modulation source like mod wheel or aftertouch to change the step number of the wave sequence. In this case a start step is specified and this stage of the wave sequence is held until the modulation source is activated. Then the movement within the wave sequence is controlled by the mod wheel or aftertouch, so that timbral changes can be introduced as a real-time expression factor. It is this type of facility which makes wave sequencing such a powerful form of synthesis, especially for lead synthesizer work. +More Fun In The Waves + +Wave sequencing is only one of the techniques available on the Wavestation synthesizers. The instrument can be reduced to the simplest of analogue-style architecture, with just one or two oscillators playing back single-cycle waveforms through standard subtractive synthesis filters, but complete with specialist analogue techniques like Hard Sync (for those who remember back to our second instalment of Synth School). However, the number of oscillators can be set to four, and then they can be mixed, either in the normal way, or by using Vector Synthesis via a live joystick or the Mix Envelope, which stores this two-dimensional mix as an envelope over time. Add to this the fact that any or all of the four oscillators can be set to play back wave sequences with their own filters and envelopes and you can see how complex each Patch can become (if the programmer has the time to set it all up). And since the Wavestation is multitimbral, it's possible to combine up to eight Patches into a Performance or 16 Patches on different MIDI channels in a Multi. At Patch, Performance or Multi level, the entire sonic result is passed through two effects, which are as good as those available on any synthesizer at the time (indeed, the effects were considered so good that the later, rackmount, Wavestation AD allowed external sound sources to be processed through them). + +Although the sales of the Wavestation series of synths (including the much cheaper 1U Wavestation SR) never challenged the success of straight PCM-based machines such as the Korg M1 or its successors, many people now declare the Wavestation to be their favourite Korg synth, or even their favourite synth of all time. It certainly has the potential to be an inexhaustible source of inspiration for real synthesis aficionados, allowing access to traditional subtractive synthesis, vector synthesis and wave sequencing. Not surprisingly, all three members of the Wavestation family hold their value extremely well on the second-hand market, but if you can find one within your budget, it's a machine whose potential you are unlikely ever to exhaust. +Leading On A Z-Plane + +Figure 2: An example of an Emu Morpheus filter configuration. +Figure 2: An example of an Emu Morpheus filter configuration.The next type of synthesis I'll be looking at, Z-plane synthesis from Emu Systems, fits broadly into the category of transitional synthesis. However, the transition does not happen between different oscillator waveforms but in the filter section of the synth. Z-plane synthesis was first implemented in the wittily-named Morpheus (the name has nothing to do with the figure from Greek mythology but refers to 'morphing', a term which means to change from one thing to another), and its use of interpolation between two filter shapes is very reminiscent of how the Fairlight 'merged' from one waveform to another. Extremely complex filter shapes are created through the use of up to eight filter components, each of which is comparable to the traditional low-pass, band-pass or high-pass filters or parametric equaliser bands (see Figure 2 for one configuration example). The resulting sculpting of the sound is far more precise and subtle than in any previous type of synthesis. In addition to the basic function of the filter, starting by removing the high and/or low end, peaks and notches can be placed at will anywhere across the entire audible frequency range. + +Figure 3: The Morpheus filter can change its function over time, as this graph from the original Morpheus manual shows. Here filter characteristic A morphs into Filter characteristic B over time (the axis labelled 'Morph' here). +Figure 3: The Morpheus filter can change its function over time, as this graph from the original Morpheus manual shows. Here filter characteristic A morphs into Filter characteristic B over time (the axis labelled 'Morph' here).Once you've managed to get your head round this, brace yourself, because we still haven't scratched the surface of Z-plane synthesis. In fact, the basic Morph parameter on its own might be thought of as X-axis synthesis. Another parameter, Frequency Tracking, introduces the equivalent of a Y-axis into the equation. This is the closest parameter to the conventional filter cutoff, in that it moves the complex Morph filter up and down the frequency range (Figure 3). + +In combination with the Morph parameter, Frequency Tracking gives two-dimensional control over the filter shape (as illustrated in Figure 4). Unlike a conventional filter cutoff, though, the Frequency Tracking parameter cannot be moved in real time, but must be set at Note On (presumably because there has to be some limit on the processing power required). This makes it suitable for hooking to parameters like keyboard tracking and velocity, but unavailable for controlling from aftertouch or envelopes. However, the real-time Morph parameter allows much more radical effects than filter cutoff movement, and thus more than makes up for the fact that you have to fix the Frequency Tracking at Note On. +Amazing Transformations + +Figure 4: Two-dimensional control over filter shape is provided by the combination of the Morph parameter and the Frequency Tracking parameter. +Figure 4: Two-dimensional control over filter shape is provided by the combination of the Morph parameter and the Frequency Tracking parameter. + +The observant amongst you will have spotted that I've still not mentioned the 'Z' axis that completes Z-plane synthesis: a third parameter, Transform 2. The function of this varies from Z-plane filter to Z-plane filter, but one example of what it can do is increase the size of the peaks and notches in the filter contour (similar to the individual peak which is increased in a conventional filter by the resonance control). Now we've introduced the Z-plane into the equation, and now the three-dimensional variations possible in the resulting filter contour are best visualised as the cube shown in Figure 5 (above), rather than the square in Figure 4. + +The Transform 2 parameter, like the Frequency Tracking parameter, is also fixed at Note On, but this actually gives you more flexibility than most traditional filtering, where there is rarely any automatic control of resonance at all and you have to make do with the fixed setting whatever the note played or its velocity. + +Figure 5: The Transform 2 parameter introduces the Z-plane into Z-plane synthesis, giving three-dimensional variations in filter contour. The concept is shown here as a cube. +Figure 5: The Transform 2 parameter introduces the Z-plane into Z-plane synthesis, giving three-dimensional variations in filter contour. The concept is shown here as a cube.Figure 5 shows the result when velocity is used to set Transform 2 and keyboard position used to set Frequency Tracking. Not all of the 197 filter types in the original Morpheus feature this third Transform 2 parameter, but about half do (so technically there are around 100 Z-plane filter configurations in Morpheus). All the filter configurations are individually described in the manual, complete with comments and suggestions for specific uses, so there's no danger that you'll be left to yourself to try and work out where to use them (although I find that random assignment leads to some of the most exciting results — but then I've always been a great believer in serendipity, or the 'happy accident', ever since Jon Pertwee explained what it meant in an episode of Doctor Who!). + +You really can make some major timbral alterations to your source waveform, changing it almost beyond recognition. In fact, the sheer range of filter types and the way they can be altered in performance, the technology used to create and modify the filter contours on an individual basis, and the resulting sonic variations in the sound, make Z-plane synthesis a real precursor to last year's buzz technology, physical modelling (also known as virtual synthesis or acoustic modelling). This uses shedloads of DSP power to modify source waveforms in the same way that the physical modifiers of the real instrument (shape and size of resonating case or vibration column, for example) affect the input sound. Many of the Morpheus' filters are described in these terms — for example, F097 ("designed to make possible a set of piano presets that sound like they were recorded with the sustain pedal down"), or F105 ("designed to emulate some of the resonant characteristics of an acoustic guitar body"). As such, the Morpheus probably represents the missing link between instruments which just use DSP to add some effects sparkle, and those which create the entire sound through raw DSP, as in physical modelling instruments such as the Yamaha VL series or the Korg Prophecy or Z1. + +Of course, we haven't really looked yet at the source waveforms that Morpheus allows you to filter in this radical way. Although the standard analogue waveforms we know and love from the very first Synth School (sawtooth, square and pulse in various widths) are available, these are crammed in with 48 sampled sounds, 22 harmonic waveforms (built additive synthesis-style), 92 singlecycle samples from organs and synths, and 68 percussion sounds. So while Morpheus has something in common with PCM-based synthesis, it also adds elements of analogue, additive and other types of synthesis along the way. If you're looking for a synth that will yield hours of experimentation and sonic creativity, Morpheus is a monster, but like so many of the best synths ever made, don't look to it for piano, strings, brass and drums (unless you like these with a twisted edge). + + The real power of wave sequencing is that timbral changes can be as sudden or as gradual as you like. + +Physical Relationship + +With Z-plane synthesis, we've started to touch on the technology used in physical modelling, which brings us up to date, as this is currently where all the big strides in synthesis are being made. From purely analogue models (those on the Roland JP8000 or Clavia Nord Lead, for example) through those which are based on other synthesis styles (such as FM on the Yamaha AN1x or other electronic instruments such as organs and electric pianos on the Korg Z1), to models of purely acoustic instruments (such as brass and woodwind from the Yamaha VL series, or plucked and bowed strings on the Z1), physical modelling is playing a greater and greater part in sound production on modern synthesizers. And it will become more and more prevalent as DSP gets more powerful and cheaper to implement. + +Next time, we'll look at how physical modelling can not only imitate but sometimes go beyond the type of synthesis from which it draws its inspiration, to create even more exciting possibilities for those who are constantly searching for that something extra from a synth. +VFX PCM Loops: A Step In The Right Direction + +Synth School: Part 8 + +The Ensoniq VFX, while not offering the flexibility of wave sequencing, can give you a taste of the possibility of using a string of PCM waveforms as part of your sound. Although you cannot determine the order of the PCM sounds, which is strictly governed by the order in which they were loaded into ROM by Ensoniq, you can set the sample from where the string of samples starts reading out and how many samples will be included. There's no potential for looping each individual sample and setting how long it lasts, let alone crossfading between one sample and the next, but it is possible to set the string of selected samples to loop. Looping allows you to start to create rhythmic patterns which can be used either as the basis for a patch, or as an element to fade in and out via an envelope. + +As the percussion samples are all stored together, it's quite often possible to find some really neat loops in this area of ROM. Some of the areas with brass and woodwind samples produce loops which sound like the worst sort of avant-garde jazz, but by messing around with the start point and the number of steps in the loop, you can come up with some unexpectedly musical results, especially if you want to create sounds which evolve and change their fundamental nature over time. + +If you can't get access to a Korg Wavestation, some time spent with this facility on an Ensoniq VFX will certainly give you a taste of what can be done with wave sequencing. Incidentally, later Ensoniq synths, such as the TS10, expanded on what the VFX offered, allowing both user selection and ordering of samples. diff --git a/Books/Music/Articles/Sound On Sound Synth School 9.txt b/Books/Music/Articles/Sound On Sound Synth School 9.txt new file mode 100644 index 0000000..6eb42c6 --- /dev/null +++ b/Books/Music/Articles/Sound On Sound Synth School 9.txt @@ -0,0 +1,88 @@ + +Synth School: Part 9 +The Imitation Of Analogue + + Synthesizers > Synthesis / Sound Design + +By Paul Wiffen +Published July 1998 + +Korg's Z1, like all modelling synths, requires masses of DSP horsepower. +Korg's Z1, like all modelling synths, requires masses of DSP horsepower. + +Physical Modelling and Virtual Synthesis have been buzzwords for several years now, especially when it comes to imitating analogue synthesis. But what are their advantages and disadvantages, and how do they work? Paul Wiffen explains. This is the ninth article in a 12-part series. + +About 12 years ago, I was taken by a guy, with whom I was working on an Atari sampler, to the engineering lab where he moonlighted as a Cambridge research doctor in DSP for audio. There, from a computer which filled half a decent-sized room, I was played a series of brass and woodwind sounds which I assumed to be samples. They certainly had an authenticity I had previously only heard from sampling. But the more I listened, the more admiration I had for the guy who had made the multisamples. I couldn't hear the loops, nor the points up and down the range where one sample stopped and the next one started. I knew he couldn't have used positional crossfading, because that always gives a 'doubled', chorus-like effect. What's more, sometimes the effect of velocity (from the MIDI master keyboard being used to trigger the sounds) changed the sound subtly, in a way that velocity crossfades could not. I was flummoxed. "How's it being done?," I asked. "Physical modelling," came the reply. "One day all synthesis will be done like this!" + +Two years later, at a US NAMM music fair, I was helping out on the stand of my room-mate in California. My main contribution had been to use a Roland MC500 to sequence the backing for his demonstrator, ex-Berlin guitarist Dave Diamond, and sync it to the PPG HDR, the world's first stand-alone hard disk recorder, so that Dave had something to record his guitar and vocals alongside. I had assumed that the HDR ($17,000 with an 85MB hard drive) was the most advanced piece of technology I was going to see during that show, but when the German designer, Wolfgang Palm, emerged from the internal booth, saying "Andy, I think I have it working again," we all huddled inside to hear an even bigger and more expensive box do a passable imitation of a Minimoog. Then he flipped a switch and it produced the kind of non-electric piano which only FM can be responsible for. The box was called the Realizer and when I asked how it was being done, the dour German replied "Virtual Synthesis." It took me years to equate this with what I'd heard two years before in Cambridge. + + Let's just make this clear: Virtual Synthesis is another name for Physical Modelling. One term describes where it is done, the other how, but the procedure is the same. + +So before we go any further, let's just make this clear: Virtual Synthesis is another name for Physical Modelling. One term describes where it is done, the other how, but the procedure is the same. So don't let any boffins or, worse still, marketing men, hoodwink you — they are two terms for one technology. + +But what is the technology, exactly? Again, you may well receive several different answers depending on who you ask. Here are just a few of them: "masses and masses of DSP horsepower"; "software models of the way real instruments produce their sound"; "built-in DSP FX taken to its logical conclusion"; and "the sonic equivalent of virtual reality". The trouble is that there is an element of truth in all of these; it does take a huge amount of Digital Signal processing to undertake realistic physical modelling; the software involved does attempt to recreate the way sounds are made in the real world; instead of just changing the basic sounds through effects processing, the sound is created from scratch by the same sort of chips which have been producing the effects in synthesizers for years; and the level of realism involved these days beats anything I have seen on a virtual reality system into a cocked hat. +She's A Model... + +Korg's Prophecy. +Korg's Prophecy. + +Let's return to first principles and the word 'modelling', because this is the key to the technology. All the other methods of synthesis we have looked at over the last year have one thing in common: the parameters involved with each type of synthesis don't change depending on the type of sound you're trying to get. There's a filter attack parameter on an S&S (Sample & Synthesis) synth whether you're trying to produce a piano, strings, or a synth bass. There are harmonic levels on an additive synth whether you're making a brass sound or a harpsichord. The wave sequencing parameters on a Wavestation are always there, whether you use them or not! + +The same is not true of a current multi-model synthesizer such as the Korg Prophecy/Z1 or a Yamaha VL-series synth. Look for the same parameters you used to make a flute sound when using the Bowed String model and you'll be out of luck: the parameters change depending on the model you have selected. This is why the time it takes to change patches on a modelling synth is often perceptible, because so many different parameters need to be broken down and re-configured. Quite often when you change models, you are quite literally changing synths. This can make physical modelling as a method of synthesis quite challenging to define, which is why the DSP effects analogy is quite useful. We expect the parameters to change when we switch a multi-effects unit from reverb to flanging or distortion; the multi-modelling synth is the same — only more so. Think of changing from a tenor sax to a soprano as akin to changing from a hall reverb to a room; changing to a violin is like selecting a phaser effect instead. The only real difference is one of scale: the amount of DSP power is greater in a modelling synth by at least a power of 10 or two. + +However, this really doesn't help you understand how physical modelling does what it does, in the same way that most people don't have any idea how DSP is used to create effects. In fact, the principle is the same as with digital reverb. The designer attempts to work out what happens in the real world, and then uses mathematical calculations to attempt to recreate this in software. The degree of realism achieved depends on two things: howaccurate is his analysis or 'model' of what happens in the real world, and how closely the DSP algorithms he then writes reproduce this analysis. If the designer has misunderstood how the sound is produced in the real world, then — however good his DSP code is — it's unlikely that he'll make a very realistic-sounding reverb or plucked string instrument (although he may create some great new effect or sound which can't be produced in the real world). On the other hand, however great his understanding of the processes involved, if he doesn't have the necessary DSP horsepower to hand he may get into the right ballpark, but he isn't going to fool anyone that this is a real hall or a real guitar. For this reason, I still haven't heard a halfway decent model of a grand piano, because it's still prohibitively expensive to provide the amount of DSP power needed to recreate what's going on inside a 9ft Bösendorfer (even after you've spent a lifetime analysing exactly what that is). I would hesitate to say that it will never happen, but I think we're probably still a few years away from a great physical model of an acoustic piano. (However, the rate of acceleration of technology we're currently experiencing, coupled with the falling price and increasing power of DSP chips, might make it sooner than I think!) + + Think of changing from a tenor sax to a soprano as akin to changing from a hall reverb to a room; changing to a violin is like selecting a phaser effect instead. + +Analysing Analogue + +Roland's DSP-based JP8000 modelling synth (top) offers much of the look and feel of the analogue Jupiter 8 (above). +Roland's DSP-based JP8000 modelling synth (top) offers much of the look and feel of the analogue Jupiter 8 (above). + +The easiest instrument for the programmer to figure out, with a view to recreating what's going on inside it, is the analogue synthesizer. The reason for this is that these instruments were designed by people who knew the physics of what they were creating (unlike Stradivarius, who refined his craft empirically — by observation and experimentation). It's thus easy to break the analogue synthesis system down into components for recreation in software, and cheaper to provide the necessary DSP power to do this. So even if the modelling synth programmer doesn't know how an analogue filter works, he can get a book on filter design and read up on it. He can then recreate this with a fairly limited amount of DSP. This explains why we currently have more affordable modelling analogue synths on the market, but also why their polyphony is fairly restricted (at least in comparison to today's PCM-based synths, if not to the original analogue machines on which they are 'modelled'!). Once you move into the recreation of acoustic instruments such as brass and strings, however, as with Korg's MOSS system (Prophecy/Z1) and Yamaha's VL multi-modelling synths, things get a lot more complicated and therefore a lot more expensive (or a lot less polyphonic, to save money). + +I'm going to leave the modelling of acoustic instruments until next time, and concentrate this month on the advantages that the modelling of analogue synthesis gives. First, I'll make sure that everyone has understood exactly how the model works. The designer starts by analysing how the analogue synth breaks down into its component sections — oscillators, filters, envelopes, and so on. If you don't know this stuff by now, you've clearly not been paying attention. But worry not — you can re-enrol in Synth School simply by contacting our back issues department and re-ordering the June and August 1997 issues of SOS, which dealt with the components of an analogue synth. + +Once the designer has a block diagram of an analogue synth in his head, he simply goes about replacing each component section with a software engine to accomplish the same task. In fact, this has been happening to analogue-style synthesizers over the last 20 years anyway. First, synths like the EDP Wasp, the OSC OSCar, the Elka Synthex and the Korg Poly 61 replaced analogue oscillators with digital ones (with greater or lesser success). Instead of the waveform being produced by analogue components, it was read out through a D-A (Digital-to-Analogue) converter as a string of numbers which acted in roughly the same way (the degree of roughness tended to determine how good the machine sounded), before being fed through an analogue filter. Many envelopes were generated digitally from right back in the early 1980s, but it took until the end of the '80s before analogue filters were replaced with digital ones, Roland and Emu being amongst the first to achieve respectable sounding digital versions of this central component of analogue synthesis. + +However, these digital replacements still tended to be implemented in 'discrete' circuitry. You could still point to the bit of the circuit board where the filtering was done or the waveforms generated (if you were a suitably-trained engineer with a circuit diagram, of course). Often the signals were passed around the board in the analogue domain between these sections (less and less often as time went by, of course) and from them to the increasingly present DSP effects chips. +From Real To Virtual + +Synth School, Part 9: The Imitation Of Analogue + +Even though by the time we reach the modern S&S synth almost everything inside is done digitally, it is not a virtual synth, as parts of the process still take place in the physical world. The transition to virtual synthesis takes place when all these elements are replaced in code which runs on general-purpose DSP hardware chips, and when it is no longer possible to say just where the filtering or enveloping takes place (except in a particular line or lines of code). The true virtual synth may look like its analogue or digital equivalent when represented as a block diagram, but look inside the case and all you will see is a bunch of (usually identical) DSP chips, with a very simple circuit board layout that allows them all to be harnessed together as one mass of DSP horsepower. + +Of course, many of today's DSP-based modelling synths look almost more like analogue synths than analogue synths do! The Roland JP8000 modelling synth lovingly creates the front panel of the analogue Jupiter 8 (JP8), even down to the sliders I never liked the first time around. Clavia's Nord Leads (I & II) give you a knob for every parameter, so you can twist again like you did last decade but two (if you were born then), and even a synth like the Korg Z1, which doesn't have room on its entire surface to provide a knob for every parameter (it takes 17 Mac windows to fit them all in), offers you the most commonly tweaked ones as dedicated hardware knobs. + +Dedicated these knobs may be (and should be, in my opinion — there's nothing worse than a knob with an identity crisis when you're stood performing in front of a crowd of people), but don't think this means that there's any physical connection with the parameter they control. The pot is simply read, and the value derived applied to the appropriate software parameter. A new operating system could very quickly make nonsense of the parameters printed on the front panel (perhaps this is how DSP engineers play practical jokes on mere mortals, who see a label and believe it). The Yamaha AN1x makes this point pretty forcefully, as you need to check which of the colour-coded modes is selected and then look for the parameter name in the matching colour. This does enormously reduce the number of knobs required, but it makes use on a darkened stage a bit exciting! +Unique Attributes + +Mac editing software for Korg's Z1, showing the sub-oscillator being used as the sync source. +Mac editing software for Korg's Z1, showing the sub-oscillator being used as the sync source. + +Apart from the return of knobs, what other advantage does the modelling of analogue synths offer, especially over the original machines, which tended to have knobs aplenty? Well, let's start with the mundane but very important quality which digital synths have been offering for a while: stability, especially in tuning and in the accurate recreation and recall of sounds. The younger members of my audience may not value this very highly, but they've probably never played a Minimoog or Prophet 5 in a hot club. With modelling, you could emulate the tuning inconsistencies of analogue machines, though there's little artistic use for such things (unless you are going for the nostalgia vote), but there are some modelling systems which can introduce the slight random changes in pitch which fatten up a multi-oscillator analogue synth sound. + +The exact matching of filter settings is something else which digital technology has brought, and physical modelling makes the exact polyphonic reproduction of the same sound more precise, as well as allowing the recall of timbres and their porting from instrument to instrument. Again, though, this is old news for anyone who owns a synth made in the last 10 years. + + The designer attempts to work out what happens in the real world, and then uses mathematical calculations to attempt to recreate this in software. + +So what are the advantages of physical modelling of analogue which we have never seen (or should that be heard?) before? Put simply, the synthesizer can be reconfigured for different ways of combining components in a way which compares to a modular synth, although new components can be created with less cost than in a modular system. The most obvious example is on the Korg Z1. Instead of having one model for analogue synthesis, it actually has six different models, with different configurations. + +Let's look at the Sync Osc model as a case in point. This model runs on a single oscillator (so, for example, you can have a different model on the Z1's second oscillator). Those of you who were paying attention to the instalment of Synth School which covered oscillator sync (SOS August '97), should be raising one eyebrow, Spock-like, by now, wondering how you can sync an oscillator if you haven't got a second oscillator to sync it to. Well, fear not. The Z1's designers have made it so that you can use the sub-oscillator as the sync source (see the accompanying screen dump from the Mac Z1 software). You then don't need to actually listen to what this oscillator is doing. In fact, the other oscillator can have a completely different model on it (in the patch shown in the screen dump, the second oscillator is set to the VPM model, Korg's equivalent to FM). The real advantage of this is that when you take the pitch of the sub-oscillator which is controlling the sync right up, the sound of the sync'ed oscillator, while very interesting, becomes very thin. Because the second oscillator is still available for playing another waveform, you can keep a solid basis to the sound, even when you making the sync'ed oscillator squeal by taking the control oscillator pitch right up. + +The Z1 has different models for Cross Modulation and Ring Modulation, which (as I pointed out when we originally covered these techniques in the August 1997 issue of SOS, as above) was previously often only possible on modular synths which allowed you to patch any source to any control point — techniques developed from what the original designer might have seen as 'mis-patching.' Of course, there were analogue synth keyboards which started to bring in these routings as standard, but they offered nothing like the complexity of reconfiguration of the standard analogue setup which is possible with Korg's MOSS physical modelling system. As the 'components' are only DSP software routines linked by more software, re-routing is not as difficult as when one had to switch control voltages coming from one part of the system to a completely different part of the system, often where the original designer had not expected them to go. Back then, a physical wire was needed to connect the source to the destination, but in the virtual world of physical modelling the designer only has to think it there, change a line of code for the address a datastream is sent to, and hey presto, it's done. Of course, you're still limited by the imagination of the designer and his fixed ideas on what you might want to do (the machines with a knob for every parameter tend to limit you in much the same way as the original synths did), but with the advent of software editors for machines like the Z1 and the AN1x, the possibilities really open up. +Modelling The Future + +Seer Systems Reality software synth. +Seer Systems Reality software synth. + +I've only really scratched the surface of physical modelling in the imitation of analogue here: while analogue imitation may be the most widesprad use of modelling at the moment, and brings certain advantages even over the original classics, it is but the visible tenth of the modelling iceberg. As time goes by and DSP chips become cheaper than the cholesterol-filled variety, we'll see physical modelling expand to take over some of the market share currently dominated by S&S machines. As I said earlier, the acoustic grand piano may be some way off, but there are already great woodwind and brass, bowed and plucked string, electric piano and organ models out there. Currently it's Yamaha and Korg who have the 'virtual' monopoly, and it is their models of these instruments which we'll be looking at next time, as well as an early 'close but no cigar' attempt by Technics, whose WSA1 synth is very close to this writer's heart. But who knows — at any moment, any of the other major manufacturers (or even a brand-new name) may burst onto the market with a revolutionary modelling system which will replace the entire orchestra. + +In the meantime, see if you can get access to one of the analogue modelling instruments described here, as they are particularly rewarding for those of an experimental frame of mind. I've gone from being a sceptic to a total convert in less than 18 months (but then my favourite 'analogue' synths all had well-programmed digital oscillators anyway). The authenticity of the sound quality is, of course, purely a matter of opinion, but most people seem to find one of the current crop of analogue imitators which they can live with. +Computer Love + +With the advent of the powerful CPU (Central Processing Unit) chips in personal computers, there are now also physical modelling programs which actually run on the main processors of Macs and PCs. The first of these that I became aware of a few years back was by Seer Systems, for the Pentium. Those of a Sherlock Holmes mentality may be able to guess the identity of the synth guru behind Seer (another word for Prophet). It was the brainchild of Dave Smith, who left Korg's R&D facility in San José some years back (where he had set them on the track that would lead to the Prophecy and Z1) to develop the same kind of technology as software-only programs running on PCs. I'm afraid that my admiration for Dave, great though it is, was not enough to make me buy a PC to run his software on, but the demonstrations I heard (and played) at several NAMM shows in succession were enough to convince me of the validity of Seer's code, if not their choice of computer platform. Those of you who have the patience to install a soundcard (because, of course, you need its D-A converters to listen to the sound created in the digital domain) into a PC (something for which my life is definitely not long enough) can check this software out. + +I was cheered, on Apple's own stand at this year's NAMM show, to find a company called BitHeadz, who have produced a very similar product for the Macintosh, called the Retro AS1. I wasn't able to spend long with this program, but the authenticity of the analogue sound was certainly there, even through the basic Apple Sound Manager (greater fidelity is available through PCI digital audio cards). Have a look at this product on the company's web site (www.bitheadz.com) and see if they have any audio examples to download. In the course of writing this piece, I spoke with BitHeadz, who have been shipping Retro AS1 for a little while now. PC people (if they haven't stopped reading already, because of my partisan copy!) will be pleased to know that the PC version will ship this summer, although it will apparently need much faster Pentiums to produce the same results as on the PowerPC chips. + +While no proper analysis of either of these programs is possible here, this is developing technology, and anyone really interested in synthesis should watch this space as it looks as though cyberspace is probably where the exciting development in physical modelling will come from. Something common to both the Seer and BitHeadz products is the fact that polyphony and numbers of oscillators per voice are fluid and entirely dependent on how much CPU power you have and how much of it you want to dedicate to synthesis. This means, with the accelerating pace of CPU speeds and MIPS capacities, that the 6-oscillator-per-voice, 1000-voice multitimbral analogue synth is only a matter of time. I can't wait! diff --git a/Books/Music/Books/Strange Beautiful Music - Joe Satriani.txt b/Books/Music/Books/Strange Beautiful Music - Joe Satriani.txt deleted file mode 100644 index 2df53f2..0000000 --- a/Books/Music/Books/Strange Beautiful Music - Joe Satriani.txt +++ /dev/null @@ -1,2590 +0,0 @@ -# IGNORE -Praise for - -STRANGE BEAUTIFUL MUSIC - -"I have known Joe since I was 12 years old, and every time Joe puts his fingers on a guitar what comes out sounds like inspired music, even if it’s just a finger exercise. He created and branded a niche with his own voice and in so doing he wielded an entire genre, and he continues to do so with no excuses. He paved the way for many others!" - -—STEVE VAI - -"Joe Satriani’s my favorite guitar player." - -—SAMMY HAGAR - -"Joe Satriani is in and surf’s up, y'all! It’s all about the wickedness of the wave and when the sand is shakin', you know Satch be earthquakin', makin' loud of his superbly satisfying signature sound. And when I say surf, think, 'The Silver Surfer' who stands out. . . shiny and showy . . . instant connectivity with Satch when his chome-plated silver 6-string thing is strap'd up, ready to slang, bang, and tang-the-tang. Ya' gotta dig on some Joe, now. A pleasantry in the purest with performance and power to please the most particularly picky of palettes. Jang on with Joe Satch, Brothers and Sisters. Surf’s up." - -—BILLY F. GIBBONS - -"After all the times I had been on stages with Joe, been on the side of stages watching and listening to Joe, and all the times I have been in the audience cheering for Joe, I continue to have no idea how Joe does what he does. How does he do it? In 52 years of playing with others in public, very few have given me the personal and professional support that Joe has. It is exceptionally rare that a player of this standard is also this generous." - -—ROBERT FRIPP - - - - - -Copyright © 2014 by Joe Satriani and Jake Brown - -All rights reserved. No part of this book may be used or reproduced in any manner whatsoever without written permission except in the case of brief quotations embodied in critical articles or reviews. - - - -BenBella Books, Inc. - -10300 N. Central Expressway, Suite #530 - -Dallas, TX 75231 - -www.benbellabooks.com - -Send feedback to feedback@benbellabooks.com. - -First e-book edition: April 2014 - -Library of Congress Cataloging-in-Publication Data - -Satriani, Joe. - -Strange beautiful music : a musical memoir / by Joe Satriani and Jake Brown. - -pages cm - -Includes bibliographical references and index. - -ISBN 978-1-939529-64-0 (trade cloth : alk. paper)—ISBN 978-1-939529-65-7 (electronic) 1. Satriani, Joe. 2. Rock musicians—United States—Biography. 3. Guitarists—United States—Biography. I. Brown, Jake. II. Title. - -ML419.S227A3 2014 - -782.42166092—dc23 - -[B] 2014000811 - -Editing by Erin Kelley - -Copyediting by James Fraleigh - -Proofreading by Cape Cod Compositors, Inc. and Laura Cherkas - -Cover design by Ty Nowicki - -Cover photo by Chapman Baehler - -Text design and composition by Silver Feather Design - -Printed by Bang Printing - -Distributed by Perseus Distribution | www.perseusdistribution.com - -To place orders through Perseus Distribution: - -Tel: (800) 343-4499 | Fax: (800) 351-5073 - -E-mail: orderentry@perseusbooks.com - -Significant discounts for bulk sales are available. Please contact Glenn Yeffeth at glenn@benbellabooks.com or (214) 750-3628. - - - - - -I would like to dedicate this book to the visitor from outer space who saw fit one night so many years ago, out on a distant lonely road, to beam me up to his spaceship, teach me how to play electric guitar, and return me to Earth, just to see what would happen next. Seriously now . . . This book is dedicated to all my wonderful fans around the world. - -—JOE SATRIANI - - - -This book is dedicated to my beautiful fiancĂ©e, Carrie Brock (Brown by the time this book is in stores!), for being so patient with my creative process and so loving to me personally throughout the journey that was writing this book. - -—JAKE BROWN - - - - - -Contents - -Foreword - -Chapter 1: The Hendrix Experience - -Chapter 2: High School Confidential - -Chapter 3: Learning Curves - -Chapter 4: Satch Goes West - -Chapter 5: Twists of Fate—The Joe Satriani EP, 1983–1984 - -Chapter 6: Not of This Earth—1985–1986 - -Chapter 7: Relativity - -Chapter 8: Surfing with the Alien—1987 - -Chapter 9: Launching the Silver Surfer - -Chapter 10: Flying in a Blue Dream—1989 - -Chapter 11: The Bearsville Experiment - -Chapter 12: The Extremist—1992 - -Chapter 13: Eponymous—1995 - -Chapter 14: G3/Crystal Planet—1997 - -Chapter 15: Engines of Creation—2000 - -Chapter 16: Strange Beautiful Music—2002 - -Chapter 17: Is There Love in Space?—2004 - -Chapter 18: Super Colossal—2006 - -Chapter 19: Professor Satchafunkilus and the Musterion of Rock—2008 - -Chapter 20: Chickenfoot I—2009 - -Chapter 21: Black Swans and Wormhole Wizards—2010 - -Chapter 22: Chickenfoot III—2011/2012 - -Chapter 23: Unstoppable Momentum—2013 - -Conclusion: 2013 and Beyond - -The Gear: Album by Album - -Acknowledgments - -Index - - - - - -Foreword - -Queen used to work in Munich a lot, in a studio called Musicland, well known for its output of rock recordings. Our producer/engineer was called Mack—who notably made a song called "Crazy Little Thing Called Love" into a record in a matter of hours (with a little help from Freddie and us boys). One day Mack phoned me up and said, "I'm working with a young lad called Joe Satriani, who is an admirer of your playing. He wants me to send you the material we're working on so you can hear it." Just a young lad. Well, that first Satriani album arrived in the form of a cassette tape, and it’s now one of my most treasured possessions. The content, as you all know, was spectacular, and the Man Who Surfed with the Alien has never looked back since. - -A few years later, I was the musical director of a one-night stand in a set of shows in Seville, Spain, called Guitar Legends. Ours was the Rock Night. It was an amazing opportunity to put a set of brilliant guitarists together on one stage—including Steve Vai, Joe Walsh, Nuno Bettencourt, and, of course, Joe. I asked Paul Rodgers to come and galvanize us all—a smart choice, as it worked out; no matter how technically adept a guitarist is, I have never met one who didn't rate playing "All Right Now" with Paul as one of the great moments of his life! We all turned up for early rehearsals, so we were actually able to work together to make some unique collaborations. Joe was already a mighty star by that time, but he and his band jumped at the offer of going on first. I remember wondering if I was mad allowing this to happen, but I was backstage watching a TV monitor when Joe hit the stage smack on the dot of showtime, live on Spanish national TV It was one of the most spine-chilling moments I can ever remember. It was as if the TV screen caught fire. - -I'm proud to say that Joe became a great friend and we have played together a few times over the years. He’s one of the most modest men I have ever met, and always makes me feel like I'm special, but I never get over the feeling of awe standing next to him on a stage. Joe has refined his own style of playing to a point where he’s forever up there in the stratosphere of excellence that is reached by very few musicians. His technique is flawless, dazzling, and peppered with so many special bits of magic that few can even try to emulate. But over and above his technical skills, Joe has a burning passion in his playing that clinches his mastery and makes him one of the great guitar heroes of all time. - -Among all the fireworks, Joe never lost his earthy edge. One of my great delights recently was playing the debut Chickenfoot album for the first time. I just couldn't stop smiling all the way through— especially in "Sexy Little Thing"; hearing Joe get back to ground level and lay down a riff as part of a great big hard-rock band outing was, to me, the greatest joy. I keep it in my car as the best pick-me-up I know for when I feel down. Yeeeeouch! - - -—BRIAN MAY - -June 2013 - - - - - -CHAPTER 1 * * - -The Hendrix Experience - -Jimi Hendrix was my biggest influence growing up, and on September 18, 1970, the day that Jimi died, I was crushed, for reasons I can't fully explain. It’s impossible to go back in my mind to that moment as a teenager. Even now I can't quite say what happened in my head, but I know that because he died, I decided to become a guitar player. That moment of decision was immediate and profound. It changed my life and everything about me. - -That same day, I quit the football team and announced to my coach that I was going to become a musician. At home that night, I told my family I had decided what I was going to do with my life: be a Professional Guitar Player. - -After all the dust settled at the dinner table, my sister Carol offered to donate her first paycheck from working as an art teacher at the local high school to buy me an electric guitar, which speaks to the extremely supportive and musically inclined family I came from. - -When I was growing up, my mom would spin classical music records as we played, with the intent of educating us, but the music she and my dad listened to was jazz. Mom would play the most popular classics, so we heard Mozart, Beethoven, Wagner, Puccini—all the usual suspects. Then we would hear Miles Davis and John Coltrane, all the way to Dave Brubeck and, later on, Stanley Turrentine and Freddie Hubbard when the seventies began. She was also a big Wes Montgomery fan (I think she had all his records), so we listened to him, too. My dad was a bit more big band-ish, but he listened to all styles of music throughout his life. He would tell me great stories about going to see all the great swing bands for a nickel as a kid growing up in New York City. He said he'd walk into these places, and it would be free half the time—you could get a beer for a nickel and watch the greatest big bands of all time. When my parents hosted parties they would spin all kinds of music and dance to all of it. They were both very open-minded and progressive in their appreciation of music. - - - -Me at 15 with my first electric, a Hagstrom III - -PHOTO BY SATRIANI FAMILY ARCHIVES - - - -Being the youngest kid in the house, I grew up listening to what my older sisters and brother listened to, so that’s how I heard early rock 'n' roll, Motown, and all the pop music that was around. Then, during the mid-sixties, when rock really started to become a thing, they brought that home, and as a little kid I was exposed to all of it. In 1966, when the first straight-ahead rock albums were being released by the bands who used to play pop, I was on the verge of turning ten, and being ten years old in the mid-sixties was a lot younger than being ten years old today. There was no Internet or anything like it, so my only new-music influences were what was on the radio and the music my siblings were bringing home. - -I think the first time I connected with music was when we were on a summer vacation up in Vermont, and my sisters were going to a dance. So they let me stand inside the door of the dance hall for, like, half a minute, and I'm maybe eight or nine years old, and when I heard this band playing "(I Can't Get No) Satisfaction," by the Rolling Stones, it was a life-changing moment. It was the best-feeling and best-sounding thing I'd ever experienced in my life. That feeling never left me. - -I think when I started to see the Beatles and the Stones on The Ed Sullivan Show, that sort of awakened my desire to play drums, so that’s how I started out on drums. There was a piano in the house that my mom played jazz standards on. My three sisters struggled unsuccessfully with piano lessons, but my brother and I were somehow given a free pass—we never had to suffer through that. I think they had just given up on forcing us to take music lessons. Once I started playing drums at nine, I took lessons for a year or so, but that was really my whole musical education at that point. I was basically left to my own devices. - -I remember quite clearly the first time I heard Jimi Hendrix, the Who, Led Zeppelin—these were the bands that my sisters were listening to. Their boyfriends would bring albums over, and they would get a kick out of the fact that I, just this little kid, had an appetite for this new music. I guess they thought it was cool, so they would say, "Hey, look at this, Jimi Hendrix, when he plays this part"—I think it was on Electric Ladyland—"no one knows how he does it." I'd listen to it obsessively. As my sisters would stop listening to their old 45s and LPs, they would pass them on to me. I also inherited a portable record player, the little suitcase kind. I would go to a quiet corner of the house, plug it into an outlet, put on the records, and listen to them constantly. So I assume my family witnessed this—me, just hanging out with the record player, listening to records over and over again and not playing with my toys while the music was on. I would just sit there staring at the record player and the LP jackets. - -The conflict early on with that was that every time I would try to participate in making my own music, it was a bit of a failure. I couldn't play the piano as well as my mother; I could never get my brain around the left-hand/right-hand thing. Then I had my year of drum lessons, but I reached a wall where I recognized that I wasn't really progressing. So then I moved on to guitar, which was also a struggle, but I saw hope because I made these small, incremental steps forward every time I would play. I'd love to say that in 1970 I knew I was going to be an amazing guitar player, but I think it was more of a desire than a confirmation of any talent I recognized in myself. - -My older sister Marian was a folk guitarist, so as a kid I got to hear her play, write songs, and even perform at her high school. Her acoustic guitar was the first one I started playing—she told me that I could play it whenever I wanted. She also showed me the chord chart she had in her guitar case, and explained it to me by telling me to just put my fingers where the dots were and to follow the numbers. That was it. She was very encouraging and just left me alone with the guitar, so I taught myself the first basic ten or twenty chords based on that chart. The next step came when a friend of mine told me about a guy he knew who could teach me barre chords. So I went over to this kid’s house and he wrote them out on a piece of loose-leaf paper. I took them home and taught myself how to play those chords. - -By that point, my parents had decided that if I was determined to play the guitar, I was going to have to take lessons. They were not adverse to one of their kids becoming a musician, because they knew that it could be done, that not everyone needed to go the conservative route of getting a college degree in order to survive. But they did have a hard-knock attitude toward it, sort of like, "If you're gonna do it, you're gonna do it." So I took three lessons from a guy in town. He was the epitome of what you would call a square guy who was quickly being left behind by the current generation. He looked square, he played square, and he was teaching guitar as a secondary thing while he studied to become a chiropractor. So after three lessons where he tried to teach me to read the sheet music to "Jingle Bells" while I was bringing him Jimi Hendrix’s first album, asking to learn "Purple Haze," we parted ways. - -For the next three years, I just taught myself. My parents had no interest in spending a lot of money on a guitar (especially since I'd just washed out on the drums!), so, with my sister Carol’s offer to buy me my first electric, I was on my way. There was this white Hagstrom guitar at a local music store that looked like Jimi's—I was so naĂŻve at the time that I didn't even really know what a Fender Stratocaster was!—and it was only $125, so I thought it would do. Once I got home and sat down with it for the first time, I quickly realized it was a completely different animal from my sister’s acoustic. The art of electric rock guitar is really learning how to play all over the neck. I quickly started to realize how difficult it was to get the sound right, too, because I didn't have an amp back then. This was due to the understandable fact that there was no way my parents were going to buy me an amplifier just yet, because they were waiting to see if I was going to progress musically and stick with the guitar. - -As a substitute, I managed to fashion my first guitar amp out of this old Wollensak reel-to-reel tape recorder my parents had at home. I don't know how I figured out that I could plug my guitar into it, but it made a cool little amp. I also found the only way I could hear the sound come out of its small, built-in speaker was to put on a reel of tape and push the RECORD button. So by the nature of the process, after I would play for fifteen minutes, I could listen back to what I had just played. - -This discovery had a very big impact on me. It was really funny how it worked out, because once I started listening to myself play, I remember thinking how horrible I sounded, so I started to work on trying to "sound" good. The tape recorder also had a function that allowed you to play on top of what you had just recorded, essentially giving me my first exposure to multitrack recording. Once I discovered that, it also helped me work out this idea of playing solos on top of a rhythm, so that was what I did for about six months or so. After listening to me work like that for a few months, my dad broke down and bought me a small Univox amplifier. I'd turn it up to 10 and it sounded all distorted and I remember feeling like I was in heaven! My first effects pedal was an Electro-Harmonix Big Muff Pie fuzz box that I bought through the mail after seeing an advertisement in Circus magazine, and it was the biggest, fattest fuzz ever created. This was the first of many pedals to come. - -It was very confusing when I first played with these pedals because I had no idea how to use them, or how to make myself sound like Hendrix! There was no YouTube back then to instantly instruct you on how to set things up, or on what sounds you could get out of a new piece of gear—you were pretty much on your own. After starting with the Big Muff, the next thing I got was a Maestro Phaser unit with the three buttons on it, and then the MXR, another phaser unit, and then a wah-wah pedal showed up eventually. I really didn't have a whole bunch of pedals back then. I was still trying to get my amps—which were small—to sound really big, and so I would turn them all the way up. Besides the Univox, I eventually used a few small Fender amps that I would borrow from friends. I wish I still had those amps from the early days . . . - - - - - -CHAPTER 2 * * - -High School Confidential - -Almost as soon as I got that Univox amp and my electric guitar, I started playing with some older guys in school. I was in a few no-name, no-gig bands before I joined a group called Mihchuacan. This was a band of guys who were a year or two ahead of me in high school. I'm not even sure how I got in the band, but somehow I wound up playing with these guys. - -I learned A LOT from the guitar player, John Riccio, who could not only play a lot of different styles of music, jam, and improvise, but he could also play rock very well, either with a pick or by Travis picking. He was a very versatile player, and I was not; I was just a straight-ahead electric guitar player who used a pick. We had a lot of great times playing together, just the two of us, as he would instruct me with the band’s material before we got together with the whole band for practice. - -I remember the first show I ever did was a high school dance in the gym. I had extreme butterflies, so to help with that, I brought my Hendrix candle to the show. It was a very small, empty bottle of cheap champagne with a multicolored candle stuck in it. I would burn this candle and several candles like it every time I practiced. It was like a confidence booster to get me in touch with the spirit of Hendrix, to increase my talent, I guess. I don't know what I was thinking at the time—I just wanted some Hendrix mojo. So I brought it to the gig, and we played on these little risers that the school had provided for us. I was kind of in the middle by the drums. I remember feeling exhilarated the first time I stepped onstage to perform before a real rock 'n' roll crowd, but at the same time, I had my back turned to the audience, and I was petrified. I remember thinking it was the greatest thing ever, even though I don't think I really faced the audience throughout the whole performance! - -After that, I went from being a kid on the football team to being a kid who just wanted to play music all the time. At the time I must have been responding to Jimi’s pure genius, tempered with his sound, which was completely unconventional. In other words, he sounded like a virtuoso who never practiced a day in his life. He just sounded like a totally natural guitar player. Of course, years later, I'd learn that wasn't the case. I toured with Billy Cox, Hendrix’s bass player, who told me that Hendrix practiced all day long. He said, "You hear those silly stories about someone sleeping with a guitar, that’s the way he did it. He always had the guitar on, he was always working on his rhythm-and-blues guitar playing. That was his love, and he would practice it over and over again. He wouldn't practice scales; he would practice rhythm." - -Once I'd caught the fever, I became obsessed with practicing, to the point that I was relentless about it: I had to do it every weekday, and then on the weekends. When I got to be sixteen and seventeen, I would stretch it longer when the summers came. I would just stay in and practice all day long. My friends would always call me on a Saturday night, asking, "Where are you?" or saying, "We're going to this big party," and I would say, "I'll meet you there after eleven. I'm busy practicing." I had to prove to myself that I could play as well as I had the day before, as well or better. - -As I continued to grow more and more into myself as a guitar player, I started playing with a group called Tarsus, which featured Tom Garr on drums, Steve Muller on bass, and Danny Calvagna on vocals. Pete Maher replaced Tom on drums when Tom went to college, and we added a second vocalist, Paul Lancaster. It was a lot of fun. I did a lot of growing up through crazy rock 'n' roll experiences, the kind you have when you're young and in a band! - - -Steve Vai: Joe and I went to high school together. He was three or four years older than me, so his social group was very different from mine. He was part of the older cool kids. When you're twelve years old, a sixteen-year-old that plays the guitar can seem like a god. But there was no mistaking that he was very well known in our school and town as a great guitar player. He was the only one in our town, or many surrounding towns, who could really play. He was in a very cool band called Tarsus and they did rock covers from Led Zeppelin. I was in a band with the younger brother of the singer who was in Joe’s band. We tried to emulate them in every way—we even named our band "Susrat," which is Tarsus backward. - -Joe was different from anyone else in our school. He exuded a cool that permeated the vicinity he was in. He had the longest hair of anyone and everything he did or said just seemed cool to us. We all looked up to him and talked about him all the time. We would wait in the hallways that we knew he was going to pass through just to say hi to him. My standard presentation was a nervous smile, a little wave of my hand, and a "Hi, Joe." Any elicited response from him was fetishized and discussed among our group. - -It was really great having someone like that in our fold that we could worship. I mean, this was a guy who could actually play the solo to Led Zeppelin’s "Heartbreaker"! Although I was listening to guys like Jimmy Page, Jimi Hendrix, and Ritchie Blackmore while growing up, in all honesty, I thought Joe was better than any of them. I couldn't figure out how someone who was living in my town, who was sitting in front of me, could be so good. Better than my so-called heroes. Joe was my hero. Even when I was becoming successful with folks like Zappa and Roth, I would talk to the press about this guy who was leagues above us all. I thought that if the idea of a person becoming successful was based on their talent, then Joe would be an icon one day. I discovered this to be true because I can count on one crippled hand the number of people I have felt this way about, and Joe is one of them. - - - -As soon as I started playing high school dances, kids started to ask me to give them guitar lessons. So when I was still fifteen, I started giving guitar lessons in my bedroom! My parents thought it was the greatest thing ever, mostly because it gave me money to buy my own guitar strings. It was mostly kids, but I had a few grown-up students as well. That’s where I wound up teaching Steve Vai, and that’s how we started our long friendship. - - -Steve Vai: There’s no way to quantify the importance my lessons with Joe had for me. From the first time I ever laid eyes on a guitar I was enamored with it. I never felt I was good enough to own one or play it, perhaps because of self-esteem issues. Finally, when I was thirteen years old, I got ahold of a guitar but never told anyone I played it. A friend of mine who lived a few houses down was taking lessons from Joe and he gave me Joe’s number. Joe’s a great teacher for many reasons, firstly because he could really play! He knew all the cool songs that I wanted to learn and his rock playing sounded authentic. Every time he touched the guitar something musical came out. he had a vast understanding of music theory and how it could apply to the guitar, and was very strict and demanded that I understand and memorize any theory he taught me. - - - -When you're a teacher, you realize that you have to clearly encapsulate some unrelated technical ideas that you take for granted and understand and put them into words so someone else will understand them. That process crystallizes the lesson not only for the student, but for the teacher as well. So, I found the process of having to organize my thoughts about music helped me crystallize them for myself, and maybe understand them just a little more. - -I got a kick out of sitting across from a thirteen-year-old Steve Vai and realizing, "This kid is going to be playing better than me." I knew it, I just instinctively knew it. One thing was for sure: When I suddenly saw talent in front of me, like I did with Steve just innocently playing, it instantly made sense to me that there was no other way to be a teacher than to simply surrender everything that you knew. It was amazing to watch him take something that I figured out maybe just months ago, and watch him learn it and come back and play it better than I could. I thought, "Well then, if you're a teacher, you have to do it, surrender everything you know." You're bound by some sort of moral compass to do it that way. - - -Steve Vai: He set an amazingly high standard and pulled me up to it. I'm sure he gave freely to all of his students. He was a selfless teacher, meaning he gave you everything he had. But most importantly he inspired you to find yourself within it. He taught me to think independently and to find my own voice on the instrument. He always seemed to have a warehouse of information that never stopped flowing. He was very effective when teaching things such as form, style, exercises, scales, chords, theory, and so forth, because he was an example. I was able to see with my own eyes that what he was teaching he had mastered. That’s the richest kind of inspiration. Along with that, he did not skimp on the academics. I was a subpar student in school and struggled terribly to comprehend and retain anything I learned in academic studies, but when Joe told me to learn something I committed it to memory unconditionally. It’s amazing what you are capable of doing when someone you deeply respect has great expectations of you. - -There was no time more exciting than 4:00 P.M. Thursday afternoons when I would walk across town to his house and sit in his room for my lesson. Even his room was the coolest. He had rock 'n' roll posters covering every wall, a stack of exceptional records, amplifiers, guitars—the works. My lessons were the most important thing in my life. They were treasures. They were my escape from some of the personal challenges I was going through. My lessons were my sanctuary and were all I cared about and focused on. My entire goal in life at the time was to make sure that Joe would approve of how I learned and grew from the previous week’s lesson. Just being in his room was glorious. There’s a psychological exercise that people do if they are experiencing a difficult time in their life. They focus on a "happy place," a time or place in their life where they felt safe, content, happy, and secure. For me, one of those places is Joe’s teenage bedroom and my guitar lessons. - - - - - -CHAPTER 3 * * - -Learning Curves - -During this time, when I was sixteen and seventeen, I would turn on the radio and be mesmerized by what I was hearing. But every time I played the guitar, even though I loved it, there was always that frustration of wishing I could play better. I think for every musician, that’s a daily reality where, if you're lucky, you can say, "Wow, I am a little better today than yesterday. I do remember this. I'm not in the dark with this concept." Even with that, I always ended every session thinking, "I wish I was better—maybe tomorrow." - -Back then, influences were flying at me from all sides of the music spectrum. Growing up in the seventies exposed me to a crazy variety of musical styles. The radio was playing the Beatles; Led Zeppelin; America; Steve Miller; Steely Dan; Crosby, Stills & Nash; the Stones; Queen; Humble Pie; all that classic rock. So from 1970 to 1974, my formative years of learning how to play electric guitar while in high school, I heard all that music, everything from James Taylor through Black Sabbath, and I loved all of it. So I kept thinking, "I want to be able to play acoustic like James Taylor; I want to be able to make this dark, incredible music like Tony Iommi." I was still chasing Hendrix, but I was curious about all these other artists like John McLaughlin and Allan Holdsworth, and what they were doing. To me, it seemed like I needed time to stand still, so I could have another couple decades to work this all out. That’s why I was staying in on Friday and Saturday nights practicing: because I was overwhelmed by the amount of talent out there. I would ask myself, "How do I get to the point where I sound as good as Jimmy Page and Jeff Beck? How do I play this Black Sabbath song and really sound like I'm where Tony Iommi is?" I was totally driven at that early age, from fourteen on through my later teens. - -In high school, I had this brilliant music theory teacher, Bill Westcott, who really unlocked the power of the musical brain to me. His message was, "Your fingers may fail you, you may not turn out to be as physically talented as you think, but your mind can keep going, and the musician in your head is the one who’s going to instruct your body how to best use your physical talent or lack thereof." This was a very important lesson to learn, and a very tough one when you're a punky teenager playing Black Sabbath and Led Zeppelin in a band and getting the adulation of your peers. To have some guy say, "Hey, you may suck when you turn twenty-two, and it may turn out everybody’s better than you." So teaching me music theory, music history, ear training, learning how to sight-read better—all those things were invaluable. I really count that as the most important instruction of my whole life, those two years taking advanced music theory at Carle Place High School. - - - -Me and high school music teacher Bill Westcott at Carle Place High School in '73 - -PHOTO BY SATRIANI FAMILY ARCHIVES - - - -I remember very clearly back in New York—when I was already playing guitar at a point where I thought I was pretty good—sitting on my bed and turning on the radio, and on came a song by Yes. I remember sitting there listening to it, thinking, "I don't know what they're doing—what is that? How does a band create a piece of music so easy to listen to, and yet it’s made up of parts I can't even recognize. How are they building that? How are they putting that together? How do they understand music rhythmically and harmonically and melodically, and make it all fit together?" And then of course the sound was fantastic as well. That’s when I realized that I wasn't really that good after all, and that I could benefit from some music theory. - -As a beginner, I would learn some chords, I would hit one chord I really liked, and then play another chord. I started playing them back and forth, and I would think to myself, "That sounds like a song," like I could hear somebody singing on top of that. So I would write the names of the chords down, and then I would say, "What does it sound like?" So I'd come up with a name for the song, and maybe write a description, like, "This song is about a bluebird." So every time that I would pick up the guitar to practice, that’s what I would do, play my made-up little two- or three-chord song. This was before I took lessons, before I started playing with any other friends who played guitar. So I was left to my own compositional devices for material to play. As time went on, what I found was that it was more interesting, more compelling, and more artistically satisfying for me when I would play or work on music that came from an inner vision. Every time I went back to a song like that, I said, "This is where it’s at; this is what makes the world go 'round for me. Not playing this other song that’s popular in my school at the moment." - -Early on, I experienced the emptiness of simply playing other people’s music, even when it went over well. I realized that it wasn't like playing my own music, that I didn't have that insight into the composition process like I did with my own music. I learned in my music theory classes how conductors would really have to learn and understand a piece of music. They'd have to get into the heart and soul of the composer to properly direct the orchestra. And I thought, that’s what it is—when I'm in a band playing a Black Sabbath song for a high school dance, I don't know why the guys in Black Sabbath wrote it. Well, no wonder I liked playing my own music, because this is a very long, accepted tradition in music, to be emotionally connected to what you're playing. That’s the mark of a true artist. - -What I started to understand was that the whole thing was a musical statement, that I couldn't just break it down and listen to the guitar part and say, "He’s not doing much." That’s when I started to understand that "technical perfection" had very little to do with it. So, for instance, when you hear John Lee Hooker singing "I'm in the Mood," you really can't find any way to dissect it, because what he’s playing is such a beautiful, unique, and original statement that you have to figure out how to classify it in a way that doesn't break it down to its technical elements. It’s selling the music short to say, "Well, he’s playing the E chord, and then he’s singing this note on top of it . . ." Because that’s really not what’s happening. If that’s what was happening, then everybody who knew how to play a guitar could do it. - -As I felt myself continuing to develop as a player, I applied my new listening lesson to Hendrix, and from there, I applied it to other players. Jeff Beck is so different from Hendrix; as players they're two different people. That’s what we hear when we hear these guys: we hear them. Music gets filtered through their fingers and the technique they've picked up along the way, but their talent is really getting their unique personalities to come through their music. And that to me was the most important musical quest. I knew that’s what I should be practicing at that age. I learned theory and fingering; I learned how to Travis pick, the details. But those are just little things in comparison to the real lesson: how to bring "yourself" out and represent it musically. - -Jimi remained my greatest teacher throughout it all, directly influencing my use of feedback within melodies, solos, and even as harmonic beds. All that probably comes from him directly, from his recordings, both in the studio and live. He could use feedback to be musical—in other words, he would play with the notes melodically, just the way a horn player would. Before Jimi, people didn't really do that. They would use the noise simply to be a noise. I picked up on what Jimi did and it became part of my style. My blues style of playing is really based on his blues style; I know that his style is based on Buddy Guy and Albert King and a host of others, but I started with him. Then, as I got better at playing blues, I looked to Jimi’s influences and educated myself all the way back. Today I know that every time I play blues, I'm pacing myself and looking for the same end result that I heard when I was listening to Hendrix’s "Red House" back as a teenager. - -By the time I was seventeen, I was so focused on mastering my craft and pursuing my dream that I actually graduated high school half a year early. I was a disruptive element and the school was happy to see me go. Hard to believe now, but back then, a rock 'n' roll playing, longhaired guy was just someone they didn't want in the school. It was a public high school in a small town on Long Island, and in retrospect, it’s laughable, because that group of us who were musicians were actually the good guys, the harmless ones. The real troublemakers were the ones who didn't look like it, but society back then still did not like longhaired rock musicians, so we were vilified for wanting to do what we wanted to do. So they didn't want those of us who were good students but looked like rockers around. Maybe by getting a few of us who were musicians out of there, they were thinking, "They may not be playing at the high school dances anymore, but they won't be influencing the other kids to grow their hair," or whatever. They also probably thought we were doing drugs all the time, which we weren't. What I was doing all the time was practicing music. - -When you're young, you don't realize you're being observed every day by your parents, and they're worrying about you. But that’s what was happening with mine, and they must have thought that I was really crazy about music, but I just needed a little bit of help. My parents let us rehearse in our basement, which was crazy, and I don't know what possessed them to let us do that. I remember being very proud of them when they would talk down the police, who would come over to try to stop us for making too much noise. Once in a while, my mother would be concerned about the kind of songs we were singing, if she heard sexual connotations or demonic verses or something. We were just acting out, I suppose, trying to be like the bands that inspired us. But the neighbors hated us, and they would call the police, and I'd see my parents arguing our case and think they were really cool. They earned the respect of all my friends as well because they would stand up to the square neighborhood. - -I still felt like I was going nowhere, mostly because the musical ambitions of the other guys in the band were different from mine. I still felt like I needed to understand the secrets of music, and I wasn't getting it from being in a rock 'n' roll band, and I didn't know what to do. I didn't know how I was going to understand what Mozart understood, or Miles Davis, or Jimi Hendrix, and no one was offering up any hints to me. The other big problem our band had was the lack of money. It was very difficult to make enough, and I didn't want to have to get a regular job. I was trying to figure out how musicians really made a living so they could take care of themselves. - -Back on the academic front, I didn't get into Juilliard, which broke my heart. After that, I was accepted to the Berklee College of Music and went up to Boston to check it out, and I was horrified that it really was more like Animal House! I wanted the secrets of the musical universe unveiled to me, but it was so disappointing. My parents helped me look for a college, and we found this place on Long Island just starting up in their first year, Five Towns College. I attended that college for one semester, and that did not go well, because to me it was a joke being in classes with kids who knew one-sixteenth of what I knew. It was just a waste of time. So after a while, I told my dad I was ready to drop out and go pro. He said, "Go for it." - -During this transition, I was fortunate to take two months of intense music lessons from bebop genius and father of cool jazz Lennie Tristano. He taught me what true musical discipline was. His ideas on improvisation as a way of life were eye-opening to me. However, his most important lesson was this: Don't live in the "subjunctive mood." Never worry about what you should have, would have, or could have played. Only play what you want to play. That’s a lesson I still work on to this day. - -I soon wound up in this disco band before it was called disco— they called it "progressive dance" back then, but it was really disco. For almost a year, I was in this band, and it was like being in hell, but I was working, playing music, and making money. The band was like this little corporation: The guys in the band were much older than I was, and they had it all worked out. Although I thought the music was horrible and didn't want to do it for the rest of my life, I really admired these guys who had figured out a way to be musicians and make a living. One guy was a music teacher but he played sax in the band. Another guy, all he did was this: He was the band leader, wrote the charts, and figured out how to get a loan to buy a van we could use to travel on these short tours around the East Coast. That was the first time I went on tour, the summer of 1975, and the whole thing was pretty interesting. Ultimately, that’s also when I learned that I would never do that again, and that I should avoid it if at all possible, as if my survival depended upon it. It was a soul killer, something where you would slowly die as you stood on a bandstand playing popular music for people who didn't really care about you or what you had to say. - - - - - -CHAPTER 4 * * - -Satch Goes west - -In the winter of 1976, when I was nineteen, I made my way out west and moved into an apartment with one of my sisters in Berkeley. When I arrived in the Bay Area, I realized that everybody out here was an oddball, so I figured I'd fit in, too! It seemed like there was very little conformity going on. Even the number of famous artists who lived here did nothing to try to be like one another, and that was just something I liked. - -To be honest, when I think back on what drew me out to the Bay Area, I have to say the weather was an obvious factor, because in Berkeley it was mild and gorgeous, compared to where I grew up in New York! No more suffering through freezing winters and humid 100-degree summers. It was also a lot cheaper to live out on the West Coast if you were at the bottom of the financial ladder. Since I was young and penniless, it seemed like a lot of fun. - -I wound up renting a house in Berkeley right across from a music store called Second Hand Guitars, right next to Fat Albert’s restaurant. I'd go across the street and play guitar all day long. One day the owner, Jim Larson, asked me, "Hey, you're not going to buy anything, are you?" I told him I wasn't, so he offered me a deal. I could come in and play as often as I wanted, so long as I also gave guitar lessons. I said straight out, "I don't want to get into that again," but he ended up convincing me. - -"Let’s just try it," he said. "I'll put an ad in the paper, and you can teach in the back room or during off-hours." - -We worked out a deal where he got something like $2 off the top of what I was charging per lesson. It was very equitable, and it was fun to teach in a store that had fantastic vintage guitars on the wall and an overall cool environment. - - -Larry LaLonde, Primus lead guitarist: Within my age group around town, which was thirteen to fifteen, some of the other guitar players I knew had guitar teachers they were taking lessons from around the Bay Area, and it turned out in a short time we all learned that, ironically, OUR guitar teachers were all taking lessons from this guy Joe Satriani. And we were like, "Whoa, who’s this guy?" And the buzz on Joe at that time, just locally, was that "this guy is better than Eddie Van Halen." As far as kids my age who played guitar were concerned, there was Eddie Van Halen and Randy Rhoads. So when we heard about this guy Joe, who at the time was also in this new band called the Squares, the question among my peers was, "How can we hear this guy?" because most of us were still too young to get in the clubs where his band played. So as fate would have it, I had around that time saved up enough money to go in and buy this Marshall cabinet at a place in Berkeley called Second Hand Guitars. And the day I went in to buy it, I saw this advertisement on the wall for "Guitar Lessons with Joe Satriani"! I couldn't believe it was him, so I immediately signed up for a lesson and he wound up becoming my teacher. - - - -My teaching had to be flexible, because each student was so different. In one day, I might see Alex Skolnick, Larry LaLonde, David Bryson, and Charlie Hunter. Everyone who took lessons from me had to know the name of every note on the guitar and of every chord. I insisted on it, because otherwise we'd have no basis from which to move in whatever direction a particular student wanted to head. - - -Larry LaLonde: Joe was very good at assessing what your level as a player was right off, which for me at that time was still very low. The way it worked was: He would give you an assignment to learn over the next week, which was some form of exercise, a scale, for instance. When you came back in for the next lesson, he would also have you bring in a song you really wanted to learn, which he would figure out in two seconds. And the deal was, if you could pull off whatever technical lesson he'd given you to learn the week before, he would show you how to play whatever Van Halen or Randy Rhoads riff. So it was kind of a motivation to practice and learn the things he wanted you to, and it really made me want to practice, practice, practice whatever the technical lesson was that week. It would often be something repetitive and not that exciting from a playing point of view, but it was really fundamental exercise as far as getting your fingers together. It was the kind of routine where you would go up and down the neck of the guitar and if you'd miss even one note, he'd make you start over. So I would sit there and do these things that were hard exercises week after week, so even when I was practicing on my own, he had ingrained a discipline into me in which if I missed even one note, I would have to go back and start over. That turned out to be a really good method of practicing, and it helped when he started teaching me theory and how notes, scales, and chords went together, which at the time made no sense to me. So, for the first couple of months, he would explain these things to me, and I'd nod my head, secretly confused. Then I remember one day it all clicked and I was like, "Oh my God." It was a pretty amazing moment for me as a player. - - - -Along with Larry, I was also teaching guys like Kirk Hammett and Alex Skolnick, who had gigs already where people were depending on them not only to write music, but also to shred. So part of the lesson always had to be about lead guitar, which would always involve more hard-core practicing. They had a real desire to get some work done fast. So if a guitar player like Alex came in and wanted to know how Allan Holdsworth, Hendrix, and Michael Schenker did what they did, then I'd tell them, and that’s what we'd work on. That was our deal, and they happily took abuse from me because they said they wanted to be the greatest, and I'd always be very up front with them: "You want to be the greatest, and you want to be the greatest by next week? Then this is what it takes . . ." - - -Kirk Hammett, Metallica lead guitarist: Even back then he sounded like he does now. I mean, all the components of his guitar style were in place back then. I was just so totally blown away by his technique and his style. The first thing he said to me is, "Okay, if you're going to take lessons from me I expect you to learn your lessons. If you come in next week without learning the lessons, you're just going to be wasting our time and there’s no real reason for you to be taking lessons." So he basically told me to have my act together when I came in the next week. So I had the lesson, learned everything over the week, and came back the next week. It just totally grew from there . . . I learned a lot of things from Joe, a lot of things about technique especially. I also learned that feel is better than anything and everything. So I've always strived be a player with a lot of feeling rather than a player with a lot of technique. I was always aware of the fact that you can say just as much with five notes as you can with five thousand notes. Learning that was very, very important to me.1 - - - -As I got more popular, I wound up with sixty students, and I could teach seven days a week, eight hours a day. I had a long waiting list, so that’s how I made my living while I was playing with my band. - -The Squares, my West Coast band, got together in late '79. When I first moved out to California, I had hung out with my sister’s soon-to-be ex-husband, Neil Sheehan, a guy I'd written music with back when I was fourteen years old. He was a very smart guy and an engineer, but he'd also had a short stint playing with a pop band called the Critters that had some marginal success before my time on the East Coast. He was also a creative songwriter. He and I decided to try to put a band together where he could be a manager and a songwriter, and we both could find really cool guys to play with. He knew a little bit more about the local scene than I did; I was still quite young and not old enough to go to a lot of the clubs. So the Squares were born one night after my brother-in-law and I went down to the Old Waldorf club to see a local performer, Jane Dornacker, play. Her backup band was these two guys, Jeff Campitelli on drums and Andy Milton on bass. After the show, we went up to them and said, "You know, we're thinking of putting a band together from scratch, and want it to be this kind of a band. Would you be interested in doing it?" - - - -The Squares playing in Sproul Plaza at UC Berkeley circa '80 - -PHOTO BY RUBINA SATRIANI - - -Jeff Campitelli, drummer: I remember Joe had come down to one of our shows to check out the band I happened to be playing in with one of his students, and we just hit it off backstage. We started talking and quickly found we had very similar interests in music, and he said he was putting together something, and he really liked my drumming and our bass player. So we got together at Joe’s apartment the very next night and he started playing some demo ideas he had, and, of course, just listening to his playing, I immediately thought, "Wow, this guy’s really good. He can actually play!" And at that time, I was coming from more of a school of playing with a lot of punk-type bands, just real fast three-chord stuff, and I remember being impressed by the fact that Joe could rock, but that he also had this incredible technical ability. So it struck me right away that it was pretty amazing. We all decided that night to get together and play. Within a couple days after that, we got together in my parents' garage—I was still living at home at the time—and played some Beatles tunes and a couple of Joe’s tunes he'd been writing with his brother-in-law, and we just hit it off musically. It was one of those things you don't question; it just felt right. So we just started the band right there—we all said, "Hey, this is pretty cool," and started rehearsing. Andy had star quality without a doubt, and was one of those very strong yet extremely vulnerable, beautifully gifted singers. He was a fun bass player; he wasn't a guy who would ever consider trying toward any kind of virtuosity. He just wanted to rock 'n' roll; that was his thing. He had a beautiful voice, and the combination of being big, tall, and handsome and really sensitive was just this thing that made you want to watch him. - - - -I could sense that Jeff liked the same drummers that I did, and although he was a lot younger than I was, he had elements of Ringo Starr, Charlie Watts, Mitch Mitchell, John Bonham, and Keith Moon. These were drummers who were all part of my foundation—they played in the bands that I thought wrote and played the greatest music, yet they were all different from each other. So it turned out that Jeff and I had this mutual appreciation for how different these drummers were and how they were at the core of the bands' ways of expressing themselves. If you had tried to switch their drummers out, they would kind of fall flat, so we knew it was more than just the technical ability: It was their feel, and that’s what attracted me to Jeff’s playing. I just thought he had a great feel on his own, and then when you presented him with music, he would seek out what he thought was the best feel for that piece of music, as compared to other drummers, who might simply take whatever you had and filter it through their "thing." - - -Jeff Campitelli: I remember Joe had a really great Marshallamp rock tone, and at that time, he came into the group playing what was—and I don't want to pigeonhole him—a style that was a little more Van Halen-esque, because at the time they were huge. Back then, Joe was also playing through this Roland JC-120, which gave him a nice clean, chorus-y sound, and he could blend them together. I was coming from a more John Bonham, heavy-rock background. Back then, the Police were breaking, too, and New Wave was becoming more commonplace and breaking on a larger scale, and we were all three drawn to that. Once I heard Stewart Copeland, I thought, "Ooh, I can do a little fancy hi-hat thing," and Andy was definitely into Sting and trying to sing a little more like that. So we had a few ska-influenced beats and vocal parts coming in there, and collectively, along with my style of playing, I thought we stood out because we had this great pop vocalist and this heavy, great guitar player who really rocked. When we started rockin', it just felt right—an interesting combination of heavy but good melodies and some great background vocals, with some pop in there, too. So we thought, "All right, it’s different," because nobody else was really doing anything like it at the time. - - - -What made the Squares stand out from our Bay Area peers began with our very unique approach. For some reason, we decided right away that the band wasn't going to be about shredding at all—that was the part of the Squares that reflected New Wave music. It was guitar, bass, and drums, and a lot of the lead vocals were sung harmonized all the time, sort of like the Everly Brothers. - - -Jeff Campitelli: It was a really great music scene, with lots of clubs, lots of gigs, and lots of bands, and we immediately jumped right in. We had local management that came through Joe’s brother-in-law—he did all the schmoozing with club managers so we didn't have to, because Joe and I didn't hang out a lot at these places. Andy was more social than me and Joe, but we were able to open up for some of the larger bands in the area. So for instance, our very first gig was opening for Greg Kihn at Keystone in Palo Alto, which was probably a 500- or 600-seat club. Then we found ourselves opening for Huey Lewis, and the Go-Go’s would come through town and we'd open for them, and Squeeze, just all these great, larger touring bands! - -We worked because we were different enough but still could fit in with some of the more punky, New Wave bands, so we played a ton of shows with bands like that. Then, when the metal stuff started to happen, some of those bands would open for us. So in a short time we built up a nice following, which allowed us to start headlining on the weekdays because we got to know all the club managers. We could just kind of keep up with everybody. We were all pretty good players, and I still get compliments to this day, like, "Man, you guys were the best band 'cause you guys could all play. We were all trying to write 'My Sharona,' and you guys would just come out and just jam for ten minutes on a song." Joe would stretch out on a solo, but we would hold the audience’s attention throughout our shows. So quickly we also found ourselves headlining on weekends, and before long, we were selling 300, 400, or 500 tickets a show on Friday and Saturday nights. - - - - -John Cuniberti, producer/sound engineer: The first time I met Joe was when the Squares were playing their very first gig. I was actively involved in mixing live sound and hadn't really done a lot of studio work up to that point (although I was building a studio with a friend of mine at the time). I was mixing at the time for the Greg Kihn Band. They were local and had a hit record called Jeopardy, and they were packing them in, so I was mixing front-of-house for them. I remember one night, this band from Berkeley called the Squares was opening for Greg, and their manager came up to me and said, "Hey, it’s our first gig, we're really nervous, the house sound guy here isn't very good, we like what you're doing with Greg, these guys are all from Berkeley, you may even know some of them—would you be willing to mix for them?' And I said, "I'd be happy to." And when they walked out onstage and started playing, I was instantly blown away! I said, "Who are these guys?" and specifically that guitar player—"Who is that?!" - -I remember there was the general feeling that the band was unstoppable, and it was really going to be a big thing. There were bands at the time like the Knack who had clever, hooky little tunes, but they couldn't play like these guys. It was like the Squares were on another plane. I think their audiences would be divided between the musicians who saw them and would go, "Holy cow, these guys are on another level, and that guitar player is definitely someone to reckon with," and then there was the female side of the audience who just loved the lead singer because he looked a little like Elvis and sang like a bird. They were a very good-looking band, so people knew the Squares were doing something different and were going to go places. - - - - - -Me onstage with the Squares in '81 - -PHOTO BY CATHERINE ANDERSON - - - -We first met John while I was playing in the Squares and we were in desperate need of a sound guy. We were learning what you needed to be a good band, and that was the first realization: "Oh, the guy behind the mixing board, he’s the Wizard of Oz! We need to find our own Wizard of Oz." We had heard John mix other bands, and we just thought, "If we could get that guy, that would be amazing." Whenever John mixed live, you heard the power of the punch in everybody’s part, but you could still hear everybody’s part. That’s the key, because there’s nothing worse than when you're watching a band and you see somebody do something, but you can't hear what they're doing. With John it sounded to us like how our instruments sounded when we played standing next to each other, so this guy must get it. After meeting him, we realized he was a musician himself—he was a drummer and had a history of making records—so he had been through several stages of his music life and brought with him that experience. - - -John Cuniberti: I think the sound and the presentation of the guitar in the band was definitely going to be an element, not unlike Andy Summers in the police. The sound of his guitar in those early records was definitely instrumental in the sound of the band. The Squares also had a sound, and Joe’s playing and sound and technique were definitely in effect; I think he even borrowed a little bit from Andy Summers. Because it was a three-piece, there was always this dilemma of, "How do you fill it out?" When you go to a solo, what kind of solo do you play when there’s only a bass player playing? So Joe would rely on chorus and delay and reverbs to try to help fill out the sound. He was experimenting even then. - -I just felt that Joe was serious. Up until then, I'd worked with a lot of people who weren't so serious, and I just knew Joe was going to be famous, from day one. I thought he'd be famous in the Squares—of course, it didn't work out that way, but I always knew Joe Satriani was going to be a famous musician. - -I knew that first night hearing him play that I wanted to work with him. Two things really grabbed me about Joe. First, his command of the instrument, his authority. I'd worked with a lot of bands, all of which had lead guitar players, but those players were always looking at the necks of their guitars and struggling, trying to work to make their thing happen. By contrast, when Joe walked out, he just played things that were interesting and made it look effortless. His fingers would just flow across the fretboard. He would do things in one song that most of the guitar players I'd worked with up until then could barely make happen on a whole album. So his prowess and command of the instrument was the first thing. The other was that his solos weren't just typical blues-based phrasing and stuff. They were very melodic and singer-songwriter-like—in other words, thought-out. You could tell that he probably played the same solo every night the same way; everything was very structured and sculpted. But the whole band had a lot of energy and looked great, and I was immediately attracted to their music. So after they got done that night, I went backstage, found Joe, went up to him, and said, "Hey, man, I'm building a recording studio, and I want you guys to come in and record." - -These guys were exceptionally well rehearsed. In comparison to bands I had been in and had worked with, which might rehearse two or three times a week if we were lucky, the Squares got together practically five nights a week. They were hell-bent on being the next big thing, and they knew that took a tremendous amount of practice. You could just tell by Joe’s playing that he really practiced; he really made this a full-time job. I think he raised the bar for the other two guys in the band to also see it that seriously, because they had an attitude like, "This isn't for kids. If you really want to be successful, this is what you have to do: practice four to five hours a day," and Joe was a music teacher and came from that ethic of, "If you really want to learn how to do something, you're going to actually have to sit down and practice it— otherwise, don't waste my time." - -He had no tolerance whatsoever for slackers. It’s always been that way. You could hear it in his playing; every night those guitar solos were basically the same. There'd sometimes be some changes—sometimes he would change them completely, but only because they were still in development— but he played everything pretty much note for note, night after night after night after night. There was no jamming, the arrangements were super-tight, and the other two guys in the band had to get with the program. They had to learn their parts, and they had to play it exactly the same way, and Joe absolutely had no tolerance for "F-ing around." The lead singer/bassist, Andy, was a little looser, more old-school rock 'n' roll, you do it a little different every night, you drink a little too much, you have fun with it. Joe just couldn't tolerate that at all. - - - -It was definitely insane, because we would practice five days a week, even if we didn't have any gigs during that period, for at least four hours a night, and we would just work it to death. - - -Jeff Campitelli: Four shows a month, easy, and we'd rehearse five nights a week, because we just loved to play, that was our thing. Joe would teach till eight o'clock, and then we'd start rehearsals at about nine and go until two in the morning. We did that Monday through the end of the week till our next gig. We'd take maybe one day off, and then do it all over again. We never really burned out because we really loved playing that much, and had a good time—it was our entire scene. - - - -Compositionally, I was the group’s leader. Andy was not as prolific, and that was a bit of a sore point because we couldn't get him to really take over in the role that we assumed he would. It’s a funny thing: What he brought to the band, his voice, was so unique, none of us could even compare to it. It was a band where everybody had strengths and weaknesses. If I had one strength, it’s that I was prolific, and if Andy said, "Oh, I'd love to write a song about this," I could write six songs about that for him, and that would be our starting point. Andy also was just a player by ear; he had no formal musical training and didn't understand chords or anything, so even with his own songs, he had to sit down with you and say, "You've got to help me figure this out. What am I trying to do here?" So a lot of musical work wound up on my lap, and I had to dictate how things were going to go, which turned me into musical leader. - - -Jeff Campitelli: We all played our part and shared in the writing credits because we all felt we brought something to the table that the other guys might not have come up with. Joe took the lead because he was definitely the most prolific. Joe knew music inside and out. He was a master of theory and of which notes went together and which didn't. How that worked was, Joe might come in with a riff or some cool chord changes, start playing them, and I would come up with a beat, and then either Andy would start working on a bass line and humming a melody or Joe would have an idea for a melody. Then we would give the melody to Neil, the manager, and he would write all the lyrics. So it was four of us who were contributing and sharing in the songwriting credits, but again I would say Joe was definitely the most prolific because he was bringing in the most stuff, and he knew the most about music theory. - - - - -John Cuniberti: Jeff, the drummer, was laid back, and was the youngest, and was just going along with the proceedings, and Andy was a bit of a loose cannon. He was a little unpredictable as far as his behavior, and he wasn't the musician Joe was. He tried, but he certainly wasn't going to be able to play the bass as well as Joe played the guitar. So I don't think there was any question that Joe was the musical leader of the band. - - - -John understood us, and he allowed us to be ourselves during the recording process. It was great to be back in the studio with my own band. We had a sound; we had our own songs; and we had a lot of energy and momentum going because we'd already played in front of club audiences that really liked us. - - -John Cuniberti: At the time, my friend and I had just built our studio and had a 16-track, and because my background was in live sound, it was a fairly straightforward process to bring a band in, set them up, throw some mics up, and get the stuff recorded. Those first recordings we made were a good documentation of what the Squares were doing live, because in those days, in the very late 1970s, people made demos—you didn't make a record. Back then, only artists who had record contracts got to make records, so there was a real clear division between a demo tape, which meant cassettes, and a record contract where you had a real producer, worked in a real studio, and ended up with a final record that sounded like a vinyl album. There weren't a whole lot of overdubs done. There was one song where we put some acoustic guitars on it, and then there were some background vocals and double-tracking of vocals—stuff like that. But it was pretty straight ahead, and I liked the songs the Squares played, and the sound we made in the studio. I was doing other records with other musicians, but a lot of them—as much as I enjoyed the process of recording—weren't bands I went home and listened to at night. But with Joe and the Squares, they were actually making music I wanted to listen to, so that made it a whole lot easier. - -Between Joe and me, I believe Joe saw that I was as passionate about recording music as he was about playing guitar. We both saw each other as allies in becoming famous recording artists. At the time, and still I guess to some degree now, recording engineers needed a band as a vehicle to become famous. You couldn't just be the house engineer and build a reputation by doing little bits of this and that. You really needed to be the guy responsible for a band becoming famous, and then you would be tied to that, and other bands would seek you out based on that reputation. So I was hellbent and seriously focused on having a career as a recording engineer, and I think Joe saw that, saw my seriousness, when he showed up at the studio and noticed I'd been there an hour before and had everything set up. I'm a bit anal when it comes to everything—the gear, making sure everything’s working all the time—and I think he was, too, and appreciated it. - - - -That first demo John recorded and mixed for us is the way we like to remember ourselves. He captured the moment perfectly. Ultimately, the later demos led to the band falling apart for me because it didn't seem like we had the right ingredients to compare with the fantastic singers and writers who were ultimately going to be our competition. We got more prolific, we got more detailed, but we never quite captured that "moment" again, and we never really got any better. - - -John Cuniberti: The first set of recordings I did with the Squares were the most spirited. They were very "ruckus," very straightforward, and just filled with life. Even back then, it was absolutely an ambition of Joe’s from day one to get signed, so the next time we were back in the studio, that was when we started making more "serious" recordings. By then, I had moved to another studio in San Francisco, and we were recording on a 24-track in nicer rooms and stuff, so the management and people who were representing the band and trying to get them a recording contract had a lot of say in the direction of the band and the material. People were saying, "You don't have a hit song," et cetera, and I think their influence on the proceedings really kind of made it awkward for Joe. I think after the first set of demos, the band got steered in a direction that was uncomfortable for Joe, and he didn't like it. From my observations, there was way too much emphasis on trying to get a hit single and be really pop, and he didn't really have as much of a voice as he had before. He could only control it so much, but he wanted to be successful and was willing to make compromises. I just think those compromises that required him to be a pop star were really beginning to rub him the wrong way, and I think it showed in the material and the performances and ultimately led to the demise of the Squares. - - - -As things with the Squares came to a close, it was complicated because I definitely felt musically like it was not satisfying anymore, that the band could not really grow how I wanted it to grow. That meant that as a team, we weren't writing songs that I liked anymore. The Squares was a power-pop band— how would I be able to express the elements that I put into Surfing with the Alien with that band? In a band that did not like long guitar solos, that was a thing we just didn't do. - - -Jeff Campitelli: Near the end, it got to be a little more trying for Joe because Andy didn't want to become a bass player with lots of chops; he wanted to be the singer. In fact, there was actually a time toward the end of the band when we were auditioning bass players, and Andy was fine with that. - - - -Because Andy was not an improviser, you couldn't just wink at him and say, "We're going to do this for five minutes." He just couldn't do it, and didn't want to. It just naturally was not something he was into. It was one of several real problems with that band. One of our big challenges was we were not making enough money to survive, even as well as we were doing live. We had been turned down every time we tried to get a record deal, and our demos were getting technically better, but musically worse. The energy was not there anymore, and even though we all may have hoped we'd grow together in the same direction, we were actually splitting up over what we really wanted to do. - - -Jeff Campitelli: Our decision as a group to split up was mutual. What was happening at the time, in truth, is we were maxed out. We were headlining every club, to where I remember walking out onstage on any given Friday night to do our hour-and-a-half set, and the show would be sold out, and we were each making around $500 cash, but after a while it became a ceiling to us. We'd reached one level of success that was satisfying locally, but we all had bigger ambitions, and the groupthink near the end of the band was, "Man, we gotta get signed!" We were making a living just playing original music in clubs throughout the Bay Area, and it was a wonderful period. - -As this was all happening and the buzz was going on around our band, we were starting to get offers from other, more established acts to join. For instance, I got an offer around that time to leave and join Eddie Money’s band. Also, during all of that going on around the band, internally Joe and Andy weren't getting along all that well, and I felt after a while like I was just the nice guy in between trying to hold it all together. That in time would prove distracting to our focus compositionally, because near the end, if you listen to our demos, the music was just all over the place. One song would be more this direction, and another would be in the opposite direction, which translated to us scaring away ALL the big recording companies who were checking us out at the time. From all that it was just obvious that things were coming to a close. I remember talking to Joe one night and telling him about the offer from Eddie Money to play much bigger venues—2,000- to 3,000-seaters—and I just told him, "This is a good opportunity and I think I'm going to take it," and he was cool with it, because I think he was heading at that point in his own direction musically. - - - - -John Cuniberti: For a while after the Squares broke up, I got the sense Joe was really discouraged by the whole process, and I would venture as far as to say he was maybe even second-guessing whether the whole thing was going to be possible or not. I think that led him to take more direct control of his music from that point on and focus on becoming a solo artist. - - - -I felt the artistic drive to strike out on my own, and I thought, I've got to do it in a way where maybe I'm not using it to make money or to be a career; it has to be a purely artistic venture. That’s why I got so into playing, and to accomplish this, I was going to need to control it. I couldn't ruin it by trying to bring it into my reality as a working musician. I had to keep it as a new thing where I could control every element, where trying to make it go commercial never entered into it. I knew instinctively if I got the people I knew involved in it, that it would be compromised. Therefore, if I wasn't expecting to make money off of it, I didn't have to include anybody. It could be like sitting at home and painting weird pictures for yourself without worrying about the outside world and how people will review them or if they'll buy them or not. So once I'd crossed that threshold, I realized, "Wow, I can do whatever I want." So that was a great leap for me, intellectually and emotionally. - - - - - -1. Courtesy of: www.GibsonGuitar.in, The Gibson Interview, May 6, 2011. - - - - - -CHAPTER 5 * * - -Twists of Fate — The Joe Satriani EP, 1983-1984 - - -"Though it’s packed in a plain white cover with the artist’s name in black block letters, this is anything but generic rock and roll. The much-needed clarification that 'every sound on this record was made on an electric guitar' is still hard to believe, especially with the sound effects that begin 'Talk to Me' and the popping 'bass' in 'Dreaming Number Eleven.' Satriani comes highly recommended by guitar wizard Steve Vai. Spacey but melodic and soulful." - -—Guitar Player magazine - - - -There was a place where we used to rehearse, next to this small publishing operation that did how-to books on just about everything— starting a business, getting a divorce, all kinds of things. We'd stand outside our barn door and have a smoke and drink and check out their Dumpster, which was overflowing with misprinted books. So we'd be standing there laughing at the books with titles like How to Get a Divorce and How to Run a Juice Stand and so forth. One day I spotted a book about starting your own business, so I took it home, read it, and realized I could start my own record company if I wanted to. I thought, "Why am I not doing this?" - -At the time, I remember, I was trading phone calls, letters, and cassettes with Steve Vai, who had been living out in L.A. and working with Frank Zappa. He was obviously having the time of his life working with a genius who understood everything about how to use recording as a medium unto itself. Steve started experimenting with multitrack recording, and those early recordings were so wonderfully bizarre, I just loved them. There were tracks made of vocals sped up and slowed down, unbelievable guitar harmonies, unusual time changes—and of course he was recording with musicians who were absolutely incredible. - - -Steve Vai: Back then, I was completely enamored with the idea of sound-on-sound recording, and the moment I had enough money to purchase a 4-track sound-on-sound recorder, I would record stuff all day long. Hanging out with Frank Zappa and watching the way he made his music was paramount. He taught me how to edit analog tape. The entire recording and editing process held infinite possibilities and I would experiment constantly. Recording things backward, sped up, slowed down, overdubs on top of overdubs, using EQs and any effects I could find, building guitar and vocal harmonies that were previously impossible, recording conversations, events, TV commercials, cats screaming— you name it and I'd figure out a way to use it! Then taking that stuff and cutting it up and recording over it, streams of consciousness, bizarre guitar riffs with beautiful and disturbing harmonies, et cetera, et cetera. I could have been the sixth Beatle! It was like every day was Christmas. - - - -Toward the end of high school, I had inherited another Sony 2-track reel-to-reel tape recorder, and not only would I be making 2-track guitar recordings, demos, and things like that for the band, but my friends and I would also make these goofy comedy recordings that were like the Fireside Theatre. So I remember playing that stuff for Steve when he was a young kid taking lessons, and he of course was fascinated with it. I think Steve has a recording from that machine of the two of us improvising at a guitar lesson. When I left New York and moved to California, I no longer had this tape recorder, but I did take with me all those hours of experience playing with tape recorders, and I kept thinking, "I've got to get back to that one of these days." So fast-forward five years, and I'm in the studio with Jeff Holt (an engineer I'll introduce you to in a moment), thinking, "I remember doing this, and I know you can create fantasies with a tape recorder." Even though we'd made all these demos for the Squares in professional studios, they left me feeling flat. They still just sounded like really great recordings of the band, and I already wasn't really happy with the band, so obviously these recordings didn't mean much to me. But the recordings that I had from my previous life in New York meant much more to me, even though they were really weird sounding. So I had these tapes, and I'd listen to them and think, "That’s just so much more satisfying because it’s so odd," and that brought me to the realization that I needed to make what became the Joe Satriani EP. - -It all started to crystallize: knowing Jeff, taking in Steve’s recordings, listening to stuff by Robert Fripp, Adrian Belew, and the like . . . Plus living in Berkeley, where there certainly were a lot of oddballs that I identified with, exposed me to artists who were producing their own music and going against the commercial trends of the time. All these elements came together and made me realize, "Wow, this is something that’s been part of me since I left New York, and maybe I want to go back to how I started out." - -So I took three or four weeks off from practicing incessantly with the band, and during that break I decided that I would start my own company and record an album. My experience with the Squares was winding down because the conflict in the band was winding up, so it was almost like a knee-jerk reaction: "I'm going to make a record, and I don't want to deal with band politics, so how do I make a record by myself?" - -Musically thinking, I knew there were many artists like Brian Eno, Fripp, and Belew who were all making music that engaged me. I realized I had all this odd music that I suspected would get spoiled by a band, because the drummer would want to rock, the bass player would want to create his or her own riffs, and the "unusualness" of my music would be compromised by being made accessible. I didn't want to be accessible. I knew I had to do something to catch this odd approach to music, but I wasn't sure exactly what that something should be. That’s when I started making phone calls and hooked up with Jeff Holt. - -I'd first met Jeff because he was volunteering to record the Squares. I got to know him and I thought, "I like this guy. I think he’s very talented as an engineer, and he seems to be at the right place at the right time with the right kind of ideas." I felt Jeff fell into this rare category of someone who understood that different bands need to be recorded in different ways. He had his own studio, Likewise Productions, which meant he could do whatever he wanted because he wasn't answering to a studio owner. So I got to know him better when I called him back years later with the idea of doing this solo EP, and he was not only receptive but he also had the inclination to try to pursue it with me. Neither of us knew exactly what we were doing, or how it was going to turn out. But he had a very positive attitude and the engineering chops to improvise with me. - - -Jeff Holt: When I was working with a local San Francisco FM rock radio station, "Rockin' the Bay KMEL," I was also writing and recording seven-second sound clips at my studio, Likewise Productions in Oakland, California. The radio station was celebrating its fifth birthday and asked me if I knew any local band that wanted to record a version of "Happy Birthday" to be played at a concert at the Greek Theatre in Berkeley. I figured it'd be a great chance to record my favorite local band. So I had Joe, Jeff, and Andy come in on Thursday, December 8, 1983. We came out of the session with a slick, quick version of "Happy Birthday." Kind of like the Squares meet Van Halen. I remember Joe playing through a Marshall half stack with great tone. Jeff had that fresh pop on the snare and bright cymbals, with Andy through a Countryman direct box. Once we had the sound dialed in we did about seven takes. It was a blast! So when Joe called me up, I was excited about the chance to work with him individually, which stemmed from an admiration standpoint, too, because by that point I was very familiar with his live performance and just really dug his sound. There weren't many guys doing what he was doing, and I definitely knew he was going to be "the guy," so to speak. Joe definitely had that aura about him, so it was all exciting, especially with his concept for the EP because he wanted to create these songs using just the guitar, which meant tapping on his pickups for the kick drum and above the neck for the snare. - - - -I remember arranging the songs for the EP while sitting on the front stoop of my Ward Street apartment, notebook in hand, asking myself, "Okay, I'm going to produce this album, so what do I want to happen? How does a producer do this? How do they write a script or a storyboard, a musical timeline that is more than a musical manuscript?" I would write out these particular chord progressions with a note for scraping technique, and then I would write, "Kick drum will be Allen wrench on neck pickup for the whole piece," with a note to myself: "When do I record this?"—that would be a note I would write to ask Jeff. Next thing would be, "What do I do for cymbal-type activity?" because I knew I was going to need quarter, eighth, or sixteenth notes to replace the typical hi-hat/ride cymbal pattern. So I'd write a note saying, "Scraping strings over the peghead," or "Cymbal hi-hat simulation." And I would write these little things where they would go for a certain amount of time and stop, and then it would come to a point where I might say, "Guitars coming from reverb abyss to the forefront totally dry and in your face. How do I do that?" You can see how personal this music was. It wasn't like the Squares' stuff where we were aiming toward an idea of a band—this was really strange music that came from inside of me, that I wasn't compromising at all for any reason. So I was ready to lose myself in bringing this sound to life. - - -Jeff Holt: On the first day of recording, Joe came in with a notebook full of ideas, and I could see he was just ready for it. It was all new territory for him, being his first one-on-one experience recording in the studio. Still, with Joe, you're dealing with a very adept solo artist. I could see that in the eighties, there was an unwritten law that the engineers and producers should keep the musicians on the other side of the glass, if you will, so that they held the mystique and control of getting musicians to get their sound. Being a musician myself, my theory was that if I can teach these guys about faders and panning knobs, stuff like that, really try to get them involved in their own sound, they would come back to work with me again. And especially with a guy like Joe, he definitely was a sponge, soaking it all in, and he was really interested in knowing what made the transmission of his sound to tape. I felt that was one of the reasons he chose to work with me on this first thing: I gave him total access. I don't know if I was really breaking any unwritten rule, but I felt that by going about it how I did, we had a good working relationship. Even though we were working in a really small studio, there weren't other people around, because this place was in the basement of my house, so it was definitely a private situation where Joe could focus without distraction on his vision for the record. - -It proved a very conducive atmosphere to getting him behind the controls and showing him as much as I knew. It’s amazing how in instances where you work with people of Joe’s talent they wind up teaching you, because they're asking all these questions. Some musicians don't want to know about recording—they get really uncomfortable—but Joe fit right into that role. I know in my case it helped me out a lot because, as an engineer, you're able to perform what an artist wants right there while they're sitting next to you. So I was getting the immediate response of the effect I was putting on because Joe was sitting right there with me in the control room, which was important. He definitely wanted to know as much as he could, and he was the guy listening in the middle of the speakers to the stereo pan, to make sure that imaging was there. - - - -As we started recording, I remember being really fascinated from day one with the recording process itself, and there were so many times when Jeff would show me something, and I would look at him like a little kid and say, "You mean I can do that?" - -All of this was important because I was learning a lot about how to make some of my crazy ideas a reality based on his experience, and Jeff was open enough to teach me how to do it as if he were teaching another engineer. I think it was necessary for him to understand what it was that I was trying to achieve, and for me to be happy artistically. Likewise, I needed to feel that I could gain control of those engineering elements. So he was there to enlighten me on how to use the studio to complete what I started on the guitar. How could we get the vision from my brain to the guitar to the tape? So as I would come into the studio with these notes, Jeff and I would talk about the song. - - -Jeff Holt: From the first day of recording, those conversations were wild. I remember Joe instructing me that the first thing we were going to do was go into the reel of tape, advance it, and flip the reels over. We recorded the backward intro that can be heard on "I Am Become Death." "Wow," I thought, "this is going to be a crazy set of studio sessions!" The record had no live drums or drum machines—the whole idea was Joe would tap with an Allen wrench on his pickup to get the kick drum. - - - -A word on how an Allen wrench became my drummer: When I worked on music in my apartment, I'd have to play with headphones, so I was sitting there using that 4-track tape recorder. The Kramer Pacer I was playing would go out of tune if you just looked at it, so I was endlessly tuning it with an Allen wrench. Ultimately I'd be sitting there with the headphones on, changing strings or something, and the magnetic pull of the pickup would pull the Allen wrench against it, and I would hear a thump. And I guess that just registered in my head as a cool sound. So I started to play around with that, and it crossed my mind, well, if I've got a thump, how would I make a snare sound? So I'd go looking for some other part of the pickup or something else on the guitar to hit with the wrench. It really started from that. - -When I brought it to Jeff, I said, "Listen to this! I'd like to use it for the kick drum." He said, "Well, okay, how do I control this sound that’s got this huge transient? How do we get it to fit in?" So he looked at it as if it were a guy on the other side of the glass stepping on a kick drum. That’s when I was introduced to how we could use limiting, adjust attack time and threshold, and manipulate equalization so we could carve the sound that we wanted. By muting the high end so the listener would hear the thump of it, and with the right limiting, it would always come in at the right volume. That was the genesis. Accidents sometimes create innovation. Maybe Johnny Cash’s famous dollar bill flew between his guitar strings one day, and he said, "Wow, that sounds cool . . ." - -Like all good engineers, Jeff knew the relationship between the pitch of a note and what frequencies were its most fundamental, and so we were able to get that two-note bom-bom on "Banana Mango" to sound like it was some kind of a Taiko drum or something, but it was actually just me playing a detuned guitar string. That same guitar is on that track playing these beautiful harmonics, a '54 Fender Stratocaster. And as I mentioned earlier, a lot of it came about when Jeff would ask, "What do you want to do next?" I would tell him, but I would also end with a question, like "This is what I wanna do. How do you think we should do it? Should we play it loud? Should we do it quietly?" And he would have to make that decision, because I didn't know anything about microphones, which mics to use, and I'm sure he was thinking, "Well, Joe wants this to eventually be a very low-sounding piece, where there’s a lot of low-end being accentuated from it," so he might suggest to me a different volume level so that he could use a different mic that was better at picking up low frequencies. If it was a really biting, typical lead guitar thing, he might suggest the traditional setup with an SM57 and just go out there and turn it all the way up. Those were the things he had to interpret for me. - -By that point, I also had two guitars for which I had gathered all the pieces from scratch. They were mostly made from Boogie Bodies; one of the guitar necks was an ESP, and the other may have been a Boogie Body neck. As far as the parts I bought, I think I had Seymour Duncan pickups. Bill Knapf did all the wiring, and a local guy did the finishing. Those guitars looked beautiful. Also, toward the last year of the Squares, I bought the Kramer Pacer, which had the very first version of a Floyd Rose vibrato bar. This was a big deal, because in trying to extricate myself from the late sixties and early seventies and really embrace the eighties, I'd gotten rid of playing with a vibrato bar, just as I'd sworn off ever using a wah-wah pedal again. But at this point, I noticed that everyone around me was using this Floyd Rose bar, and I started thinking that maybe there was a way I could use the bar and not just sound like someone who wanted to play like Eddie Van Halen. So Jeff Campitelli and I hit the Guitar Center in S.F. for one of their "midnight madness" sales, and I picked up the Kramer for about $400. It had all the wrong hardware on it, but I loved the guitar. It really did have a beautiful tone, and I just totally got into the vibrato bar it had. After I'd avoided using the bar for years, it revolutionized my playing style, so obviously that’s all over that first EP. - -Another thing I loved about that guitar was it allowed me to indulge in being the Hendrix freak that I was. I worked on depressing the bar, getting the strings to be slack, bringing notes up, and then connecting them to a fretted note. This was something I'd picked up from Hendrix, who had used it a lot on Electric Lady-land, and specifically on "Machine Gun," so there are little things like that where I'd be paying homage to Hendrix. I noticed that I started trying to make some unusual noises, like taking the bar and pressing it against the strings itself, which would give me all sorts of strange clanking and metallic noises—that was something that I didn't hear anyone else doing at the time and I worked that into different songs. - - -Jeff Holt: On the EP, it was very impressive because Joe came in with everything together gear-wise on his end. He came in with a notebook full of ideas and some crazy stomp boxes. We experimented with mic placement on the speaker cabinets to get different tones. I remember he was definitely using a Marshall, and Randy Stapman, the local guitar tech, worked on Joe’s amps and was able to change the bias on the tubes, and it was all about getting the combination of the tubes. So early on, Joe was into maintaining his gear, and he would usually use a couple of half stacks—he never went for the double stack. He had a lot of little stomp boxes—the DS-1, the MXR, stuff like that. He didn't have a tech that set any of that stuff up; it was all me and Joe. He had a van he'd pull into the driveway, and we'd set all his gear up together. - - - -At that time, I believe I only owned two Marshall half stacks, because that’s what I had been using in the Squares, and I didn't have any extra equipment. So I had the two Marshall slant-bottoms and the two Marshall heads. One was a late-sixties 100-watt, slightly modified, and the other was the MKII Lead, but I didn't own any small amps. I believe I had an MXR Flanger. In different moments on that record, I definitely needed distortion, and I think I had my original Big Muff Pi by Electro-Harmonix, which was still working at the time, and DS-1 and OD-1 Boss pedals. I used my two Echoplex tape delays as well. Every time Jeff and I would start recording, it was a brand-new experience for me. - -Jeff would always come in with a good word of caution. For instance, on "I Am Become Death," after the backward stuff, the song is a bunch of single lines and harmony, and I was using the pick to scrape the strings down by the bridge to create a violin-bow effect. And I'm describing to him how I want it to sound, and he, of course, being the voice of reason, is saying, "Let’s record these things flat and dry, and then we can add the stuff later." - -I realized he was right, that I didn't want to commit too early to certain things, just in case they didn't work with the other things I wanted to try out. Jeff never knew exactly where I was going to take everything, because I wasn't clear in my own head—there was always 10 or 20 percent where I was going to wait to see how it developed. But we had to start somewhere. - -I'd first come across the Maxon Digital Delay rack mount when they'd just started putting out consumer-level, rack-mounted digital delays, in '83 or '84. Jim Larson, the owner of Second Hand Guitars, where I was teaching, was importing some of these things, and I realized they had this hold-and-repeat function. You could set it at 1,000 milliseconds, you'd play a figure, push the button, and it would just simply repeat that figure. It was trial and error, but Jeff and I were able to create the end of "Banana Mango" with a set of hold-and-repeat figures that would go left channel/right channel, left channel/right channel. When we were recording that ending, to me it sounded like something no one had ever done before. It was just so unique, and I remember being so excited at how much it sounded like I had imagined it. Sampling is one of those things that maybe goes past people today, but back then it was just being born because of this technology. We were fascinated that a unit could capture a short burst of something, manipulate its time, and use it as a rhythmic figure, as if it were a recording of somebody doing something over and over again perfectly. Plus it had a little bit of distortion, just a certain tone, slightly degrading as it repeated. It was something that we found beautiful, and it finished that song so wonderfully. - - -Jeff Holt: Joe had been using digital delay live at the time as an outboard effect, because a lot of the live clubs back then just had basic reverb and delay. It was a real high-end piece of gear, and it was rare for a player to walk into a club with his own outboard gear. So both onstage and when he brought it into the studio, I thought that was a really cool example of his natural desire to push the boundaries of what other people were doing in context of his own sound. We came up with this thing on one song where the old machines had this VSO feature where you could slow the tape down, so we played around with that, and also with panning, and I had this really cool Lexicon Prime Time, which had different outputs, so we were able to throw the sound around in different delay lines. - - - - - -Control room at Jeff Holt’s Likewise Productions, '84 - -PHOTO BY JEFF HOLT - -As we finished the part of the record-making process that I greatly enjoyed—creating and playing—we arrived at a part I wasn't so crazy about, where we might be almost finished with a song, everything’s perfect, and then something would suddenly go wrong. A piece of equipment might make a noise, or a knob was acting funny, or when you made that one little fader move, maybe you went a little bit too far. For instance, when you pushed a fader up it might react a little differently each time, and you've got two people leaning over each other with their arms on the board making moves. Jeff would say, "I'm going to do tracks one to seven, and when we get to here, do me a favor, reach over and turn this knob like that, and then I'll move over to that part of the board." It was like a four-handed organ performance, and one of us would always do something a little different. - -When we were dealing with nonautomated mixes, the good side of it was you had to make a decision, and then you moved on. Those were things I learned again later on, from Andy Johns, who said that in the old days of multitrack recording, they had to commit on the spot to effects and submixing of vocals and guitars. He would tell me, "The idea was: If you had a guitar part that was in reverb, you just recorded the guitar part with the reverb—done." You never went back and said, "Oh, is it too much reverb; is it too little reverb?" You'd just say, "I made that decision, and now we're living with it," and that’s how you made records. That’s why, when we go back and listen to the records made in the sixties, what we're hearing is bold decisions made by people who knew how to make decisions with the attitude of "Damn the torpedoes, full speed ahead!" They got good at cutting tape, too, which John Cuniberti would introduce to me later during the making of Not of This Earth. His idea was that if we couldn't get through the mix in one pass, we would mix only those sections we could get through. Then we would mix the next section, and so forth, and then we would splice all the sections together and have a final mix. I thought he was nuts, but when I heard the result I just couldn't believe it, because it sounded like one beautiful mix. - -From that experience I gained a new respect for working with another person. Every time Jeff would say, "I think we have it," or "I think we should do it again," or that it should be brighter or less bright, I trusted him, and when we went back to it, I realized he was always right. When you're the one actually playing the music, you can't truly evaluate the performance. Certainly the way that I play, I lose perspective. I go headfirst all-the-way emotionally into a performance, but that’s the only way I can get the whole "Joe" into the music. But the lesson was that I needed somebody to tap me on the shoulder and say, "Do it again," or "I'm not going to let you do that again because it’s so unusual." That’s another way Jeff helped me—by telling me when I got it right—because he would say from time to time about a particular performance, "I really think you have it. That’s so unique, please don't make me erase that," and he was correct each time. So you've not only got to find that person you can work with, but you have to learn to trust them. You have to be open to when they give you very interesting comments, be they technical or emotional. They might say, "We've got to change the mic," or "You've got to go outside and walk around the block"— you never know what it might be. That was the most important thing I learned while working with Jeff, and I remind myself of those lessons every time I make a record with anybody. - - -Jeff Holt: I think making that first record was something Joe needed to get out of his system—doing an instrumental, all-guitar record. This was a very different approach, which is why it falls in the category of experimental, because when the EP was done, it wasn't a traditional record, more of a sound-effects type of situation. That record was a big breakout moment for Joe from the band construct, and he proved to me he was a very deep musician and composer, because he was coming up with stuff that wasn't consistent with the power pop of the time. From a production standpoint, Joe has a great ear for tone and I could tell he was taking it all in. I'm sure these early experiences behind the board helped him with ideas for future projects. - - - -At that point in the mid-eighties, we were doing things on that EP that other people hadn't done before. For instance, on "Banana Mango," I tuned the guitar to a D7 with an added 4th, and I put the guitar in my lap, and with both index fingers I tapped the guitar on the twelfth fret—almost like I was tapping a dulcimer. After you hear the initial rhythm guitar come in, which is just a single-performance figure, when you hear these other dulcimer-sounding harmonics come in, that’s me tapping the guitar as it’s sitting on my lap in the open tuning. And to this day, whenever I listen to those three guitars, I think, "I have never heard anything with that sound, ever." It’s a dream. It sounds so un-guitarlike, and yet Jeff and I just did it on a Stratocaster with some interesting tuning. - -After the record was finished, I showed up with the recording at the next series of Squares rehearsals and said, "Look what I did, guys! We should be doing this, we should be going our own route." And it was a very interesting moment, because the manager hated it, the bass player hated it, but Jeff Campitelli said, "This is cool." That was unusual because the record had no drums on it, so you'd think a drummer would say, "I hate this," but he said, "This is really cool. You did this on your own?" Those reactions were a big part of what started to make me think, "This band is going nowhere," because, besides Jeff, I didn't think they understood what was happening in the world. I knew in my heart that was the real end of my days with the Squares. - - - - - -CHAPTER 6 * * - -Not of This Earth —1985-1986 - -When the EP was done, I was excited because I was so pleased with how Jeff Holt and I were able to capture all these unusual moments. The record was a funky little EP that most people played at the wrong speed (I'd manufactured it as a 12-inch EP at 45 RPM, and most people played it at 33 RPM) and thought I was on heroin or something. But artistically, I thought it was fantastic. I couldn't believe that I'd made all those sounds. I was so happy because I thought I had been captured completely without compromise, being as weird as I could be, combining R&B phrasing with all the odd recording techniques and scraping and all the other odd things I had done. But as pleased as I was with it, I realized that for people to really get into my style, I needed to record an album with bass and drums. - -Leading up to that time in the mid-eighties, I was always thinking that I would be lucky to be like a Jimmy Page-type figure in a four-piece rock 'n' roll band, with the singer being one of the quartet. That classic rock-band model had always made sense to me, and as I got older and more honest with myself about my abilities, I began thinking that that’s where I could thrive the best. I knew I could write—I was prolific—and I liked working with vocals-oriented rock music. The music I listened to over and over again, year after year, was made by bands pretty much like that: these three-, four-, and five-piece bands, guitar/bass/drums/singer, maybe a keyboard. So that’s what I kept working on. It really wasn't until after I did the record with Jeff Holt that I started thinking there was any hope of playing instrumental music professionally. - - -John Cuniberti: With Joe, we've always seen that he has a rhythm section, then a melody guitar—and it can have harmonies or not, usually a harmony to the melody would happen at some point. And that could be a two-part, three-part, or even five-part in some cases. Then there’s what we'd call the solo sections, and we always saw those three things separately. It’s not unlike a pop song where you have your rhythm section, you have your lead singer, and then your soloist. So the records have always been constructed in a very similar manner. In other words, when Joe says to me, "I'm going to do a rhythm guitar part," I know what that means—it doesn't mean a solo or melody part. And when he says he’s going to do his melody, I know it doesn't mean a solo; it’s what someone would sing if there were a singer. It’s what’s played during the verse and what is played during the chorus, and what might be played during the bridge—it’s the melody line. So he could take his guitar and make a full band out of it. - - - -I arrived at that evolution in my sound after I recorded the EP, which I felt was more of an experimental calling card. In other words, I had to make that record just to show people how artistically odd I was, that I wasn't just the professional pop-rock guitar player that had been gigging around town with the Squares. And because there was no outlet where I could do that music, the only way I could do it was to record it, send it out, and see if there was someone out there who would respond to it. Even then, I wasn't thinking about replacing vocals with my guitar playing—I was writing serious, original guitar music. It really wasn't until I saw a review of the EP in Guitar Player magazine that I caught a glimpse of my musical future. - -This was when I was selling the EP out of the trunk of my car, and there were maybe fifty copies floating around, so I had no real idea who it was reaching. That changed one day when I was at a rehearsal with a band I'd been playing with following my exit from the Squares, and I remember our bass player, Bobby Vega, came in with a copy of Guitar Player, handed it to me, and said, "Hey, you're in this magazine," which was a little surreal. I remember as I read the review, they were talking about this guy, Joe Satriani, who they thought was one of the strangest, most avant-garde guitar players they'd ever heard. Once I read it, I realized they didn't know who I really was. They thought I was some obscure musician, somebody new on the scene. They had no idea I was Joe, formerly of the Squares and now struggling to find another band to play with. - - - -Promo shot for NOTE - -PHOTO BY PAT JOHNSON - -That’s when I knew I wanted to be that guy they were talking about. I wanted to be that odd, new guitar player. I saw a glimpse of my future, and said to myself, "You've got to figure out a way to be 'that guy.'" So I quickly left that group I was playing with and decided I had to figure out a way to make a record with real bass and drums, because my EP could only get me so far. That really was the next step in putting together what would become Not of This Earth. The challenge was how to maintain my odd sense of tone, harmony, and melody, while bringing in the elements that people relate to—drums, bass, guitars, and keyboards, playing together like a band. - -Before I recorded the EP, Steve Vai and I had been communicating with each other regularly. He was still sending me these odd tapes, just some of the most bizarre recordings of the stuff he was making in L.A., where he was becoming a composer, learning all about recording on his own, and actually becoming the Steve Vai that we all know. He'd been up to see the Squares, and thought it was fascinating and yet strange that I would be in a band like that, because he knew my other self. - - -Steve Vai: I would send much of this stuff to Joe. Stuff that I would not dream of letting anyone else hear. Tons of stuff that, to this day, he may be the only one who has. It was all obviously very crudely recorded with little real production value or time spent on things to make it actually sound good. - - - -I had all this unusual music in me, and now there’s this magazine review, and they have no idea that I'm this struggling guitar player here in San Francisco. They think I'm a successful nut job who’s at home in his studio creating this odd music, and the outside world actually thinks that’s who I am, because it’s written down in this magazine. And the review was actually quite favorable, too! - - -John Cuniberti: Honestly, at first, I'd been terribly disappointed when the band broke up. It was like, "God, after all that work . . ." Because we had recorded nearly two albums' worth of material, and there were a couple of trips to L.A. for showcases, but they could never get themselves a record contract, so after a while everything just dissolved. So when Joe’s band broke up, he went about his way and I went about mine. I was making records with other people, and I didn't see Joe again for at least a year and a half to two years, and he was teaching and did his first solo EP with Jeff Holt, which was an all-guitar-based recording. - - - -Once I had John in place as engineer/coproducer, I realized I needed to bump up the budget. After I'd formulated this idea for the record, I assumed that I could get what they used to call a "spec deal," where you go into a studio, they front you the time to record, and then—and this is right out of the film Boogie Nights—when you get a recording deal, you pay everybody back. That was a very naĂŻve way of looking at things, but I had so much confidence in it, even though John was of course the first guy to tell me, "Are you out of your mind? Nobody is going to front you money for instrumental rock, it’s not even a genre anymore!" And he was right. - -I remember returning home from that discussion feeling quite deflated, worrying that I'd never get this project off the ground. By some stroke of fate, the next day I got a credit card in the mail, preapproved with a $5,000 credit limit. This was the eighties, when banks all over the country were sending out preapproved credit cards to total strangers. I probably qualified because I'd been successfully paying off the van we'd purchased so I could drive the Squares around. They didn't know that in reality I was a broke musician. The letter said something like, "Joseph Satriani, because of your good standing in the community, we're giving you this credit card and it comes with $5,000 worth of checks." So I took that checkbook to John and said, "What if I paid you up front, what kind of a deal would you make for me?" So John worked out this deal where I would pay him and the studio up front, and I wrote $4,700 worth of checks to the studio that day so I could get Not of This Earth recorded. - - -John Cuniberti: I was managing the studio at the time, so I had a little bit of leeway with what Joe’s rates were. We'd worked a thing out where he'd come in some days after a session had ended at seven or eight at night, and we'd work till three, four, or five in the morning at some ridiculously low rate, and we did that a lot for that record. - - - -As a player by this point, stylistically, I was a weird combination of a guy who would listen to Prince and Van Halen and would tune in to dance music stations, but also would still be into Weather Report, John McLaughlin, and Alan Holdsworth. I've always been the kind of person who listens to a wide variety of music and really identifies with all of it. Along with that, there was a lot of music at that time, in the early eighties, that was drum machine driven—a lot of new rock from the UK and Europe. I was also a fan of bands like Kraftwerk, and there were very few bands like Kraftwerk. But you either responded to that music or you didn't. Part of me really loved that strange, drum machine style of music, with humans overdubbing on top of repeating drum machine patterns. When I started to hear the way the new bands were getting a drum machine to sound like a drummer in a big club, I started to get more excited about it. I realized that the music I was writing didn't really have that sort of verse-verse-chorus-bridge thing where we really needed typical drum fills. What I was really writing was stuff that had more of a "stream of consciousness" approach to it. That was the phrase we used a lot. - - -John Cuniberti: He'd done demos at home with a drum machine, and he'd basically write and build his parts and create his sound in a song with these relentless, perfect-time drum machines. But when we first got into a studio and attempted to use a real drummer, the whole thing would fall apart. Joe would say, "Those parts that I'm playing—that picking during my rhythm guitar parts—they don't make sense now when you've got a drummer out there thrashing around. They don't work anymore." So when we started Not of This Earth, I just assumed we were going to use Jeff or some other drummer to play the stuff, but we learned early on that absolutely wasn't going to work. So Joe had basically developed his whole sound style around the fact that everything was more or less locked. - - - -The decision to go with drum machines was also a sonic decision. John and I had worked together in the studio for five years previous to this with the Squares, and we both had a bad taste in our mouths from trying to get these modern drum sounds. So we thought, to hell with it. Let’s listen to all these bands that are using drum machines. If you remember the New Romantic era, music was coming over from the UK around this time made by bands playing New Wave pop using drum machines, but they had drummers playing along with them as well, playing cymbals and overdubbed percussion. John was well aware of that, and he had produced other bands this way, so he said, "We can do this. We can have Jeff come in and only do the snare drum and the hi-hat for Not of This Earth, and we'll use the kick drum from the machine because it’s very dependable and we can use that as the element that’s always perfect." So we were going into it thinking we wanted part of this to sound like modern rock, as we called it, which was the sound of machines and synths together with guitars. So it was an artistic decision, and it worked with the budget, too! - - -John Cuniberti: We soon discovered that these drum machines actually weren't perfectly in time. They would drift, and that became quite problematic. We started to realize it during Surfing, when we started actually using MIDI and computers. We started to realize, "Man, these things just don't feel right. There’s something funny about the feel of this thing." So we really, really, really struggled with it. For Not of This Earth it was a little more straight ahead. - -The drum machine we used for the broader album was an Oberheim DX, and this particular one had chips in it that you could pull out and replace with different kick and snare chips. We had a couple of different snare and kick drums we could use, so we would mostly do kick and snare with the DX. Joe and I (and sometimes Jeff) would write the drum parts, we would record it, and that was it. Then we'd unplug it and put the thing away, and then Joe would play everything against that machine. There was no time code, no MIDI, nothing. - - - -I remember very clearly one very embarrassing moment when a friend of ours, who went on to be a successful songwriter, came into Studio D at Hyde Street, after we had just done all the bed work for the song "Rubina," and he’s listening to it, and he said, "Wow, that’s really beautiful. How did you do this . . ." I explained how John had engineered some really great stereo recording of Jeff, with John and myself playing random percussion instruments on top of the harmonics guitars, the synth bass, and the drum machine pattern. "That’s really great!" he says. Then he asks, "So you put down time code so you can replace and reprogram the drums later?" And I realized I didn't know what he was saying, and I was kind of embarrassed and just answered, "Oh yeah, yeah yeah . . ." When he left, I asked John, "What’s time code?" And he looked at me like, "I can't believe you don't know what time code is!" - -I realized how naive I was about recording with these machines, because I literally did not know that these machines spit out a code that you could record, and that later you could reprogram the machine, and the time code would instruct the machine to play it in synch with everything else. So when John explained it to me, I asked, "Why didn't we do that?" - -And he said, "Well, there’s two reasons. One, you didn't tell me you wanted to do it because I thought Jeff was going to come in and replace everything, and two, there are some problems with time code." So he advised, "If we're doing these quiet guitar things, we can't have time code sitting on an adjacent track, because you'll hear it." - - -John Cuniberti: Another challenge within this process came with the fact that, in those days, drum machines had really terrible cymbals, because a lot of them were just 8-bit. Joe and I recognized very quickly that the cymbals sucked, so Jeff played cymbals on everything. Every song that had a hi-hat or a cymbal crash on it, Jeff played it. We would set up the cymbals, and he would sit there like he was sitting at a drum kit and just whack those cymbals. - - - - -Jeff Campitelli: When we were doing NOTE, Joe had a budget, a tight, tight budget, and of course this was Joe’s baby, and he had for any given number of songs, four, five, or even six guitar overdubs with every little part worked out. So he would work for hours and hours and hours and hours to get the guitar parts just right for each song. Well, when it came time to head in to record, originally the plan was: "Okay, on Thursday night from midnight to 8 A.M., we're going to record the drums for the entire album." And I was thinking, "Oh yeah, Joe and I have been playing together forever. I'll just sit down and start playing drums and we'll play ten songs in a row and the thing will be done." - -That was NOT AT ALL how it wound up working out. I remember one of my drum students had just invested $5,000 in this brand-new Simmons kit, and didn't even know how to use the damn thing, so we borrowed it, brought it in, and originally I didn't even bring a regular drum kit. Joe and I were both thinking we could just use the electric drum sound for something new and exciting. Well, as it worked out, it was like playing on a Formica tabletop: hard, plastic, and no one had any idea how to run the thing, so we couldn't get the sounds right, and the outputs were all plugged in wrong. After a while tensions were running pretty high in the studio. I remember by 2 or 3 A.M., we didn't have anything recorded, and Joe was freaking out because we only had the budget at that point to go on for another day recording drums. So we raided a closet, found a little twenty-inch kick drum without a front head, I threw my jacket inside the drum, and we found a bass pedal, and luckily I'd brought a really good snare drum. So we cranked that up and found a couple of cymbals, and we just basically put together this makeshift kit on the spot! We didn't have any toms, so we tracked the song "Memories." It was just whatever we could do to finish a song that night. - - - -That full set of Simmons electronic drums was another thing that went wrong with the percussion on Not of This Earth. We brought them in because we had some songs that would use drum machines; we wanted the whole album to have this sort of semisynthetic drum sound, and we couldn't afford to spend all this time miking drums. We needed to be able to plug something in and go with it. But it was such a disaster. I remember the evening Jeff came in to work on the song "Memories," and after hours of trying to get these things to work, we had to abandon it. But I had to record Jeff that day— we had to get it done. So we literally put a drum kit together with drums that were in the building from various different studios, and Jeff somehow—by two or three in the morning—was able to perform on this totally held-together-with-rubber-bands drum kit made up of all different drums and cymbals, and we recorded this beautiful performance for that song. We were so wiped out after that, that we were all like, "Oh, the hell with that, no more live drums!" - -I had the Oberheim drum machine at home, so I wrote as much as I could from the drum machine patterns. Jeff would then "play" the drum machine in the studio. It had dynamically sensitive pads, so a really good drummer like Jeff could become comfortable with it and create cool performances. - - -Jeff Campitelli: That experience basically made up the blueprint that Joe decided to follow from there for the rest of the album’s rhythm tracks. It was a real shocker because I didn't want to record that way, but we didn't know how to do it any other way. It wasn't like, "Oh man, we're heading in this amazing direction: We're gonna have the kick drum from the DX, and then Jeff, you're gonna play live snare and overdub some hi-hat. Then you'll do the tom fills and crashes." So we were just really winging it, and while I was thinking, "Well, of course, I'd rather be playing live drums all at the same time and really giving a good performance," as we went along, the songs were taking on this kind of eerie quality and a life of their own that—being a musician first, and a drummer second—I thought was kind of nice, and inspiring, too. That process defined the sound of the album. - - - -Once we turned to recording guitar tracks, I think John was fascinated with the fact that he could elicit performances out of me by creating the proper environment in the control room. He was very good at that, from a producer and engineer’s point of view. He was very sensitive to my moods and would try to get me as comfortable as possible to create the proper performance. That’s why I liked being in the control room. - - -John Cuniberti: In setting up at Hyde Street Studios to record the album, it made sense, because I'd recorded there a lot with the Squares. So it’s not like it was new to me; I'd been there a lot. I was comfortable working there because I thought it sounded great. Every room sounded like a real recording studio. It had been the original Wally Heider Studios, and great, great records had been recorded there. So when I walked in there I realized, "It’s totally my fault if I can't make this place sound good, because there’s been so many classic albums made here." And I think at the time, coming into the city had sort of bumped up my energy level as well. I was still living in Berkeley then, which was a lot more laid back, so when I'd come into San Francisco—and Hyde Street is in the middle of the Tenderloin, a horrible neighborhood in the city—I enjoyed it. That whole grittiness of interfacing with the city and coming into this building that had four studios running in it. There were a lot of people coming in and out of there, and the next client would always be standing by the door looking at you, wanting you to get out. The attitude there was exciting, and everything that Joe played always sounded amazing and wasn't like anything I'd ever heard before. That was always very exciting to me, too. So when Joe started playing that stuff, I thought, "Oh my God, I've really got my work cut out for me." - - - -The first solo we were going to do was "Memories," and I remember John was thinking, "I've recorded Joe before: We do a solo, it takes twenty minutes, we're done." So we go to the section, and the song has a long guitar solo, and three and a half hours later, John asks, "Oh my God, Joe, is every solo going to take this long? 'Cause we're going to have a problem with the budget." So this was John’s brain really working very well, while mine was not because I was just completely emotionally involved in the music. All I kept thinking was, "The guitar solo is like the ultimate expression of the song, and that’s what I'm going to put into this record." And of course, John was thinking, "If Joe’s going to take three and a half hours for every one of these guitar solos, then that’s thirty hours or more!"—and I'd given him my checks, so he knew how many hours I had paid for. So once he informed me of this potential problem, I said, "Look, I don't know, sometimes the solos will go quickly, but the guitar solo for each song is going to be the most important statement of the song. So if we have a problem, then we'll deal with it, but I'm not going to skimp on this." - -That was a very important day, because a lot of things happened during the recording of the "Memories" solo where I learned about how John could punch me in to fix certain sections. Then, when I started to hear the artifacts that were created from punch-ins, I liked them, and started to ask John to punch me in to places where I hadn't made mistakes but where I just wanted the sound of the artifact to be part of the solo. He thought I was nuts, but I really loved the effect, so I had him punch me in in all these different places for the effect. I drove him crazy, the poor guy, because I had him punching me in and out in 32nd notes, 64th notes, so he had to sit there and we'd have to go over it dozens of times before I could explain to him exactly where I wanted him to punch. It was pretty nerve-racking for him to have to punch somebody in so precisely. We became quite a team after that record because of his ability to adapt to what I was learning about the studio, how you could punch in and out to create very compelling musical statements. - - -John Cuniberti: There were things that would evolve in the studio that would bring something to the song that we didn't expect, and it was a pleasant surprise. Joe always came into the studio very organized and prepared for the day’s events. During the recording process, every night when we finished, he would bring a cassette home with him of what we'd done that day. Joe would then come back the following day with an idea about a new part, or possibly a change to something he had done the day before, or wanting to completely redo something—you would never know. It was always a surprise. - - - -John, Jeff, and I often reminisce about how we would leave that studio at 3:30 in the morning with the worst indigestion from drinking the studio coffee, which had been burning in the pot for five hours. We were always there between midnight and 8 A.M., because that was when the time was cheap, but it was very stressful working on that schedule. It was also exciting, and even felt musically dangerous at times, because anyone who might have stuck their head in the studio and listened to what we were doing would have said, "Why are you guys wasting your time with this?" None of our music sounded like anything that was popular at the time, so anybody listening from the outside would give us that sort of dismissive look. I think that emboldened us even more and made us feel we were doing something quite unique, and that in the end, we would show everybody because we were doing something quite artistic. That played into how we used all the effects that we had, and made sure we got them recorded, because the guy who ran the studio liked to move equipment around and sell it, so you never knew if the cool gear was going to be there next week. - - -John Cuniberti: When Joe first played me what he had in mind, I remember thinking, "I've got to do something now with the sound of everything else to make that work." How do you play something like that, which is truly not of this earth, and just have it go along with a silly little drum machine? How’s that going to work? So I spent a day looking for that drum sound, and we found it on a reverb by EMT, the 251, which looks like R2-D2, it’s a little rolling thing that was fairly rare and stupidly expensive. Dan Alexander, who co-owned the studio and was an audio dealer, just happened to have one in the studio. So this EMT 251 reverb had a switch on it called "Non Linear," and that’s what those drums are on Not of This Earth—it's the kick and snare run through the EMT 251 switched to "Non Linear." Well, Joe and I loved the sound so much, and wanted to feature it, but I was so afraid Dan was going to sell that unit before we were done with the record. Sure enough, when Joe and I came back a week later, the thing was gone! And he said, "Oh man, the reverb’s gone," and I told him, to his relief, "Don't worry, I printed it on two tracks, we still have it." Because that really made the difference. That track would never be as cool if it didn't have that on there. - - - -The EMT 251 was definitely one of my favorite pieces of outboard gear, first of all because it looked really cool; it had these funny robotic arms with little rubber things around them. It was just the funkiest-looking thing ever. We did a lot of crazy things with that machine. For instance, on "The Enigmatic," where the snare drum comes out of a deep reverb and then is suddenly in front of your face, John manipulated the 251 live while tracking! He was so comfortable with the EMT that he would play it like an instrument. The studio was truly his realm. - - -John Cuniberti: "The Enigmatic" was my personal favorite of all the Satriani recordings I have made. We were using the DX drum machine, and Jeff was playing crash cymbals and a huge artillery shell. The song starts with me starting the MTR-90 tape recorder at the same time Jeff hits the brass artillery shell. Because the machine takes time to get up to speed you hear it slide down to pitch. It took me and Jeff a long time to make it work, with Joe wondering what the hell we were doing. - - - -The progression of guitars I had used through that point began with the Hagstrom guitar. Then I bought a Telecaster that John Riccio found for me in the local classifieds. I believe it was a 1968 maple-neck model that somebody had refinished black, and it had a Bigsby vibrato bar on it. I later went into Manhattan and had Charles LoBue and Larry DiMarzio put in a humbucker in the neck position. That became my main guitar through all of those high school bands. Then right at the tail end, I traded it for a Les Paul Deluxe in a private trade, and that became my main guitar until I had more money from all the work I was doing with the disco band. At that point I bought a refinished '54 Fender Stratocaster, and that became my go-to guitar for quite a while. So during that period, from the start of that twelve-year run, I had this Les Paul Deluxe and this Strat. Eventually I got rid of the Les Paul and started building my own Stratocasters with humbuckers in them, because Boogie Bodies had come into existence, so for the first time you could buy separate body parts. I was teaching at Second Hand Guitars then, and through being in that store, I realized I could buy every component and screw together my own guitars. - -So many guitar players of my generation—the easiest one to point to is Eddie Van Halen—grew up loving Hendrix and Jimmy Page, Jeff Beck and Eric Clapton, all of whom had their Fender period and their Gibson period. And so what did we all do? We wound up creating guitars that were Fenders with Gibson electronics. When Van Halen came out, I felt vindicated, like, "Yeah, here’s someone doing what I've been trying to do, and he’s going to legitimize it for all of us," and that’s what Eddie did. I think that first Van Halen record shocked people because they didn't realize there were thousands upon thousands of guitar players around the world who felt the same way that Eddie did. We wanted a Strat guitar but we also wanted the Gibson sound; we wanted a bar but we also wanted it to be in tune. We had these desires because we'd grown up on the classic rock records, which were a combination of the Fender and Gibson scenes. We were products of all those third-generation electric blues players and we wanted to propel their sound into a new era, but we needed a new piece of gear. And that’s what it was: it was the 25½-inch-scale guitar with the Gibson sound. For me, it just let the melody speak. It gave me the fatter sound I needed because I was playing in the Squares, which was a trio. So I built these two guitars that were sort of retro-looking, because part of our scene was New Wave. I was playing stereo into two Marshalls, a Wall of Sound kind of approach, so I needed that humbucker fatness but I wanted the snappiness of the Fender scale. - -For the '85 studio sessions, I started plugging my guitars into a Tom Scholz Rockman, which I really liked as a direct amplifier, primarily because my record didn't sound like traditional rock music at the time. I had played through 100-watt Marshalls for a good five years already, and I was getting kind of tired of the straight-ahead guitar-into-a-Marshall approach. My competitors were all doing that—they were in studios with their Marshalls turned all the way up, trying to continue the dream of the late sixties and early seventies. And I thought what would really sound more modern to me, especially if I had some drum tracks that were drum machines, would be to get the guitar into that space as well. So if I've got a drum machine and a synthesizer, how could I get the guitar to sound like it’s coming from the same space as them? - -That’s where the Rockman came in. It sounded like it was coming from the same aural space as the Prophet-5 synthesizer and the Oberheim DX we were using. It made them more mix-able, to my ear, and they presented a more unified sonic sound. We rarely used big amps—we were using very small one- and two-speaker Fender amps for this stuff. The sound seemed to be more easy to place; I liked the fact that it was somewhat compressed, and the drums were very much like that as well, because they were coming from a drum machine and already had a sort of recorded sound. - - -John Cuniberti: Throughout the album’s recording, there would be occasions where Joe would need to get close to his amplifier for a particular sound, but it was very rare. Even then, he was using foot pedals for distortion and setting his amp up clean. He never really took to the loud amplifier-standing-in-the-room kind of approach. - - - -John wasn't always a fan of me using small amps, and I remember there were moments when we would definitely argue back and forth about it, because John had a long history of getting great guitar sounds out of amps, so he was pushing for using mics. I remember I showed up for that record without an amp, and John asked, "What do you mean?" And I said, "I want to use whatever the smallest little amp is you've got," because I was really Mr. Antithesis, and I just didn't want to waste time getting a big rock sound because I thought it would never fit. As we got deeper into recording for the record, I think he understood that sometimes the part would sound better technically if it was played through the Rockman. But other times he would provide me a more upscale path and say, "I know what you want. Let me show you how to do it better," and we'd go direct. He introduced me to going into a vintage mic pre, directly to tape, and then using very expensive signal processors to recreate stereo chorus and delay. So we wound up using that instead of the Rockman. It was a balance, back and forth. - -Along with the Rockman, my go-to traditional amplifier was the Roland JC-120. We used it quite a bit, and I still have that amp; it’s fantastic. It wasn't really great at distorted guitar sounds, because it had this high end that revealed itself as being a transistor amp. But for clean sounds it was excellent, because it had a quick, snappy, transient response in the high end, and it had that unusual, wide stereo chorus effect. It’s a unique acoustic phenomenon, and recording it is tricky, but we got good at it. I found some small silver-faced Fender amps in the closets at Hyde Street that I would borrow sometimes, and if I needed a Marshall, I still had my half stacks. - - -John Cuniberti: As far as effects pedals, Joe was primarily playing through his orange Boss DS-1 Distortion pedal and CE-2 Chorus and that was pretty much it. All the echo-delay types of effects—reverbs, chorusing—we did with outboard gear. Typically, I would use a Universal Audio 1176 limiter for rhythm guitars and bass, and a Universal Audio LA-2A limiter for melodies and occasionally solos. Because again, those were limiters you would use for a singer, and since Joe’s phrasing and playing and arranging were that way, I tended to use the same processors as I would if there were people singing. An LA-2A’s not unusual for lead vocals, so of course that’s what I'd use on Joe’s melodies. - - - -Along with all the guitars, I decided to play all the bass guitars and keyboards on the record. I've played bass for as long as I've played guitar, so composing bass lines has always come naturally. I've written quite a few songs on bass, too. While we were tracking, I remember that recording DI, direct-input, was a new thing for me. Because I'd never been a bass player in the studio, I really didn't know how bass recording was done, so John was saying, "We gotta do DI. We'll get more control over everything, and it’s more mixable." And then for some songs where we needed some sort of distorted element on the bass, we would send another signal out to a bass amp we would borrow and use that Boss OD-1, and then blend the upper frequencies of the distorted bass with the solid, low frequencies of the DI bass. - - -John Cuniberti: One really interesting thing I remember about this stage of recording was that there was a lot of experimenting going on with miking. I was a big fan of the AKG C-12A, a really great-sounding microphone. I used that exclusively on Surfing and quite a bit on Not of This Earth. The mic had a very smooth but extended top end; it didn't have the high-frequency bump that an SM57 would, but it also had a really remarkable low frequency. In other words, it had an extended range both on the highs and lows, and was a very wide microphone, but it could also handle the dynamic range of a guitar. It could handle the sound pressure level like a 57 does, but it has a wider dynamic range than that mic, and didn't have that ugly presence peak. That mic could handle anything Joe would be throwing at it from the playing side. The C-12A and the Shure SM57 were the two microphones I used 80 percent of the time. - - - -Among the many techniques I employed on Not of This Earth was pitch axis theory, which I learned in high school from my music teacher Bill Westcott. It is a compositional technique that was actually developed at the turn of the last century, so this is something that had been around for a long time. I remember Bill saying, "I'm going to teach you this very cool compositional technique," and he sat me down at the piano, and he went, "Watch this: I'll hold this C bass note, and then I play these chords, and each chord will put me in a different key, but it will sound like C 'something' to you . . ." I was fascinated by it, because I thought, "That is the sound I'm hearing in my head." To me it sounded very "rock," because rock songs don't travel around in too many keys, and it was the antithesis of the modern pop music that had been around for fifty years. It was the total opposite of most commercial jazz, but not all jazz, as I learned when I started really listening closely to modern jazz. I realized, "Wow, John Coltrane is using pitch axis theory. Not only is he doing that, but he’s going beyond it with his 'sheets of sound' approach," where in addition to building modes in different keys off of one bass note, he was building modes off of notes outside the key structure as well. He had taken it a step further. - -But that’s not what I was looking for, except for in a song like "The Enigmatic," which has that sort of complete atonal-meetspsycho melodic approach. I was more interested in using the pitch axis where you really could identify with one key bass note, in a rock and R&B sort of fashion. Then all the chords that you put on top would basically put you in different keys. So on Not of This Earth, you have these pounding E eighth notes on the bass, and your audience says, "Okay, we're in the key of E." But the chords on top are saying, "E Lydian, E Minor, E Lydian, E Mixolydian in cyclical form." And I thought, "Well, this gives me great melodic opportunities, I'm not stuck with just the seven notes of one key. I've got seven notes for every different key that I apply on top of this bass note." And I just love that sound, so I applied it to quite a lot of my music. - -With the title track’s sequence of angular, dreamlike chords bouncing back and forth, I knew I wanted sort of a stream-of-consciousness rhythm section behind it. I wanted the rhythm section to sound and feel like it was on its own unstoppable trajectory, with the melodies and solos trading off and embellishing the track at different times. The song, after all, was about someone who was "not of this earth," so everything about the song and the recording had to reflect that. - -As I readied my experimental concepts and techniques for the studio, I knew that I would need help getting them on tape. During the sessions I would present them to John and he would help me brainstorm a recording plan. He might suggest, "Well, maybe we should change the guitar sound dramatically when we get to this point, go from a faraway to a close-up, or a close-up to a faraway, change the microphones . . ." He would come up with all sorts of ways to answer my desires that were more on the artistic side of things. - -The recording of Not of This Earth had kind of a dramatic ending, too. John’s car had been broken into behind the studio, and while we were mixing the last song, he went out to take a look at it. As he was trying to get the thing in shape so he could drive it, he wound up cutting his hand. So he came back into the studio, his hand was bleeding, he had a Band-Aid on it, and he said, "We need tape." This literally sent us into the garbage pail! We had to pull tape out of the garbage, because we had no more mix tape and needed a long fade-out, and John had to splice it all together with his hand all bloody. It was crazy watching the mix go by, made up of tape of all varying lengths, covered in blood. I was just trying to get the record done, but at the same time I was fascinated that you could make a record with bloody pieces of tape from a garbage pail and still have it sound great! And that’s to John’s credit. I don't know how he pulled it off technically. It was funny because he would always work hard to answer my musical questions, like "How do I get a train noise to go into a double hammer-on whammy thing?" He would just work out how to record and mix it. So when I informed him, "I don't have any more money for another reel of mix tape," he figured out a way to pull tape out of the trash and splice it together. - -The drama continued through the very last song we recorded. I remember we had almost finished the album, and there was a song called "The Last Jam" that was part of that disaster night when the Simmons drums didn't work out. We had a performance from Jeff, but the drums were all distorted, and John refused to put it on the record. I agreed with him—the whole thing just didn't work out. So I said, "We'll do another song," and I went home and wrote this other song. When I brought it in, John said, "Well, we need another reel of tape, or we have to erase that other song." Well, I didn't have any money to buy another reel of tape, which was $150, so I said, "Erase the song, the hell with it." It was a big deal to do that, but these were the decisions you made in the old days with tape. So we simply rolled over that piece of music, recorded this new piece of music that went down pretty easily, and Jeff came in and helped program the drum machine for me, the Oberheim DX. - -We had to do that really fast, because I was late in ending the session, and people were standing at the door with their arms folded, fuming. It was like four o'clock in the afternoon, and I was still trying to do these arpeggios, because I'd told John after we did the main guitar that I wanted to double it, and he was like, "Are you kidding me? How are you going to double that?" And I said, "I know I can do it." Meanwhile the clients are standing there looking at their watches, saying, "Will you guys get out of here?" because they were booked to start at four. So I finished that track, "Driving at Night," with people breathing down my neck. - -Mixing was equally as pressured because, first, from the technical side, we only had so many tracks within a given mix to work with. In those days, it wasn't like Pro Tools, where you have unlimited space for tracking and mixing. When you were dealing with analog tape like we were, you had to have plans. It wasn't like you could just keep going, because you'd run out of tracks very quickly, so everything had to be thought out. Every step of the way, if you got an idea, you had to deal with the problem of space. "Where does it go? How’s it going to be mixed? Is there another way to achieve this idea?" So you always had to be planning. - -We were constantly aware throughout recording that we would be battling the clock right up until the end, so from very early on, if we started going creatively to a place John knew would be unmixable later on, he would say, "We have to pause and make a decision." So if he asked me, "Is there anything else?" and I'd say, "I want to add two more guitar parts," then he would tell me, "Well, then we're going to have to take some of what’s recorded and mix it now into a submix," which meant we had to make a mixing decision because once the tracks were submixed, they couldn't be unmixed and broken out again. That was a dangerous decision, so we didn't do that very often. - -Looking back, I was grateful for John’s ability to get me to economize, and I was very impressed with that from the start of recording all the way through the end of tracking. Instead of saying, "Oh, it would be great to have six guitars," he'd ask, "Why? Let’s figure out a way to get two guitars to do it. Is it the way that you're playing it, or is it the sound, because if we can do it in two that will leave us so much more room." It got me to focus more on how to make each performance on each track really count. I learned from John that if you just fill things up, every new thing you put on may cover the tracks of the previous thing. Again, being the guitar player and the writer, I'm really focused on that main instrument sometimes, but I had to learn how to pull back and pay as much attention to the drum kit as a unit, and the keyboard as a section, and the bass as what it needs—just the way an engineer would look at everything and try to get the whole band to sound good. Since we had no band, the danger was that we'd just start piling one thing on top of another. So, for instance, if we wanted the drums to sound like we were in a big room, that meant we had to hear the room, so we couldn't cover it up. And if I came with a guitar part that on my demo had lots of echo on it, John might say, "You know, if there’s all that echo and delay and stuff on it, it’s going to cover the performances by these other instruments, so let’s start flat and see where we go." So as the track would get built up, I'd begin to see his wisdom about leaving room for the other instruments so the audience could hear their performance, too. - -I have to admit that in those early days, beginning with NOTE and for the first couple of records, it was just so emotionally traumatic to listen to a record when it was done, because I had to really let go. I realized I couldn't mix it anymore, so I had to come to grips with my disappointment in, say, my performance or my writing, or the way I thought the album was going to come out. And I didn't have sophisticated listening gear at home, just average consumer-grade stereo systems, so it was hard for me to know if what we were doing was right. John would call and say, "It sounds great in the studio. I've got this gear at home, and it sounds great." And I'd go, "I can't hear the guitar," or "The guitar’s too loud," and he'd ask what I was listening on, and I'd describe it to him, and he'd say, "You can't evaluate your record if you're listening to it on that crap." - - -John Cuniberti: Amazingly, for as much work as it feels like, looking back on it, I would say we probably didn't spend more than two weeks of studio time making Not of This Earth. That was spread out over maybe two or three months because of Joe’s teaching and studio availability, and my schedule, but it went very, very quickly. We only had so much money. Joe had gotten this credit card in the mail with a $5,000 limit on it, and he went, "We're going to keep recording till this thing is full." And I was working for $20 an hour, and getting him studio time for $25 an hour, so we got a lot of studio time for his $5,000, but once the money was gone, the record was done. - - - - - -CHAPTER 7 * * - -Relativity - -At the end of recording Not of This Earth, I was $5,000 in debt, the maxed-out limit on my credit card. I couldn't make the payment on it, and I had the credit card company telling me they were handing me over to a collection agency by Friday—and this was a Monday. I remember being at Second Hand Guitars, giving lessons, thinking, "This is really bad, how did I get myself into this?" - -Unbelievably, a lightning bolt of luck struck about a half hour later in the form of a phone call from Steve Wright from the Greg Kihn Band. He sounded panicked. "Joe, it’s Steve. We're recording at Fantasy Studios and our guitar player’s strung out. Would you please help us out? We'll pay you to finish the record, and if you agree to be with the band for the next year, this is how much more we'll pay you just so we can get this record and tour off the ground." That call was my saving grace. - -After hanging up, I canceled the rest of my lessons for the day, went right over, and by the end of the afternoon, we had recorded three songs. The manager gave me a couple thousand dollars cash, and then laid out terms for a salary if I decided to join the Greg Kihn Band. I couldn't believe it! The very first thing I did the next morning was call the credit card company and tell them, "I'm sending a check and paying my balance off." Once I paid them, I suddenly found I had a completed album, recorded on my own label, published by my own publishing company, and I was in a band, making a salary, and I didn't have any more credit card debt. In a matter of weeks, my life had totally changed! - - - -Me and Greg Kihn live at a UC Berkeley outdoors show in '86 - -PHOTO BY ZAK WILSON - -When I got into the band, it was clearly falling apart. Back when I was in the Squares, we'd done a lot of shows opening for Greg Kihn, and I just knew them as a really great local live band. But as I drifted away from pop music, I had paid less attention to them. Still, from having played with Greg, there were several things that I immediately found very impressive about the band. For one, Greg himself was a fantastic front person. He had the gift. I think he was the first lead vocalist I ever worked with who had it and was comfortable with his position. He could walk out onstage with very little planned, talk to people, and get them to have fun. He was a great talker, he had a good voice, and the other guys in the band were very much what you would expect for their positions in the band. Especially Steve Wright, with his personality as a bass player and his great bass technique: how he played, how he tuned his amp, how he used compression live—I'd never known a bass player at the time to use a dbx compressor in his rig. I was so surprised that someone would do that, but he got this big fat sound and it was fantastic. - -Once I started playing with the band, I remember standing behind Greg Kihn every night, saying to myself, "This is what a lead singer is supposed to be doing." I thought Greg and Steve were just so unique. Everybody else in the band was new; we had a new drummer and keyboard player, and me, the newest of the three guys, so it was more like a gig to us. But Greg and Steve were the original guys, and I just thought they were exhibiting the sort of great rock 'n' roll musician traits that I should be paying attention to. It came to a tragic ending—I was with those guys from the end of '85 to the end of '86, and it was like being on a 747 that was on fire, slowly crashing into the ocean. It was kind of sad in a way, but at the same time, during the better gigs and moments when they were very good at what they did, I was able to learn from that professional side of them. The other benefit of the tour was that I had started writing "Surfing with the Alien," "Ice 9," and other songs for what would become the Surfing album, and recording demos in various hotel rooms between shows. I wrote many of the album’s songs that year. - -While I was out on the road, Steve Vai and I had been talking on the phone, and I told him that I'd decided to release Not of This Earth as the second record on my own label, which at the time was called Rubina Records, after my wife. Steve told me about this label in New York that had agreed to manufacture and distribute Flex-Able, Steve’s first solo record. That piqued my interest a little because Steve’s record was much stranger than mine, and so he said, "You know what, if this guy is going to put out Flex-Able, I bet he'd put out your record. Can I give him a copy of the cassette?" I agreed, but I wasn't expecting anything to come of it. - - -Steve Vai: Once I moved out of Carle Place, Joe and I always stayed in touch, exchanging tapes and stories and marathon phone calls. That’s when I was able to shed much of that high-school-kid bewilderment and teacher-student dynamic and allow our bond as true friends to grow. We obviously had a great bond, though, and shared some personal moments in those early days. There was this huge field between the schools, and now and then Joe and I would drive there in his Volkswagen and sit and stare out into the field and just talk for hours about everything. We called that area the "Sea of Emotion." Those were treasured moments. But the greatest moments were when my lessons evolved into these long jams in his backyard, up to six hours at a pop. We would just sit back to back and play. There’s a very intimate place you can go with someone you are sharing music with, if they have the ears to listen and respond creatively and without prejudice. And to this day, those backyard moments of pure sharing and expressing musical ideas with Joe are my favorite musical memories. There is nobody I have ever played with who can listen and respond like Joe. - -There has been, and still is, amazing synergy in our careers together. After I recorded my first solo record, Flex-Able, I tried to find a record deal. It was difficult, and the one label that offered me a deal presented something that was a music-business eye-opener. Conventional record deals at the time seemed completely lopsided (and still do today). From working with Frank Zappa, I learned to never get emotional about a deal or sell myself short. If it doesn't feel right, just don't do it. Do something else. So I set off to get my music out on my own and studied the infrastructure of the music business. I discovered that I could start my own little label and go directly to a distributor instead of a label, thus cutting out the middleman that would usually take ownership and control of your music and pay you a mere pittance for it. What I didn't realize was that finding a distributor was more difficult than finding a label that would sign you. I sent my stuff to everyone, and the only person who responded was Cliff Cultreri at a distribution company called Important Records. Cliff actually knew some of my work with Frank and saw that I had some kind of a built-in audience because of that. He gave me a distribution deal that was much more lucrative than a record deal. Because Joe and I were trading tapes all the time, I sent some of his stuff to Cliff and hooked them up. It was a good pairing. - - - - -Cliff Cultreri: I had known Steve Vai for a while, and one day in early 1986, he stopped by my office and was hanging out for a bit, and I remember he kind of nervously pulled this ragged-looking cassette out of his pocket and said, "I usually don't like doing this, but you really have to hear this guy, I've taken some lessons from him and he’s really something special." So I put it in the cassette player and a minute or two in I stopped the tape and looked at Steve to ask, "WHY did you wait so long to give me this. What the hell is wrong with you?" I listened to that tape over and over. Well, Steve had Joe’s phone number on the tape, and so the very next day I cold-called him, introduced myself, and he started firing away questions at me. - - - -During that first conversation, Cliff let me know that he really liked my compositions. It was a real boost of confidence, and a recognition that my approach to strike out on a different path from everybody else was perhaps worthwhile artistically. When you do something different from the popular crowd, you really feel you're out on your own. You realize, "I don't fit anywhere. Nobody’s doing this like me." When people hear your music for the first time, you're afraid they won't know how to categorize it, or how or when to listen to it. And all it takes is one person to say, "I get it, I know what you're doing, DON'T COMPROMISE. Keep being yourself." For me, Cliff was that guy. - - -Cliff Cultreri: As we began talking back and forth about a P&D [pressing and distribution] deal for Not of This Earth, Joe was really sensible about it all—that’s the best word I could use. Among his concerns were the guitar lessons he was giving at the time, which was how he made his living, and his questions were things like: What does he do to replace that? How does he support his wife? How does he support himself? What becomes of his students? How soon does all this happen if it does happen? He was very smart about it, and certainly expressed interest in wanting to do it, and he explained what his situation was and what his needs along the latter lines were going to be to make it happen, so I tried to put a deal together that worked for him and protected him. That was no problem for me because I already knew I wanted to sign him before I called him. - -One thing I knew was that for instrumental guitar rock to be successful in that era, it had to take the place of the lead vocalist, and it needed to be lyrical. Those guitar riffs and lines had to put the listener in a place where they're sort of making up their own words to the music, and Joe was completely about that. Every song, all the way through each song, was just so incredibly lyrical and memorable, so you could just let your mind wander with the music. I thought if anybody was going to break through as an instrumental artist, he was the one. - -If you sort of look at history, there was a big instrumental hit with the Miami Vice theme a year or so before I started talking to Joe, and ten years prior to that, there was a huge hit over in Europe with Jeff Beck's Blow by Blow. So it seemed like every so often, the cycle repeated where instrumental music sort of got its foot back in the door and got some of the attention it deserved. So to me, hearing Joe’s album was perfect timing in that context, because the guitar was back dominating again, and you had the new wave of British metal bands, you had a new wave of American hard rock and metal bands, and even the alternative rock that was popular at the time was shifting from synthpop to more guitar-driven pop music. So the guitar was certainly in the limelight. - - - -After my first phone call with Cliff, Rubina and I drove down to L.A. one weekend to meet him. It took almost the whole year to get the deal done, but Cliff really wanted to get it released. So I thought, "Okay, I'll hold off on putting it out myself." In the interim, I had the gig with the Greg Kihn Band, so that sort of tided me over until Cliff was able to work out my deal with Relativity Records to get the album released, which finally came in November of 1986. - - -John Cuniberti: I thought the album was pretty amazing when it was done, but honestly, I didn't ever think anything was going to come of it really, for the simple fact that Not of This Earth began as essentially a vanity record. It wasn't for a label, but rather I think something Joe had to do musically for himself. He had all this music in him, and all these frustrations from the Squares, and he really needed to prove to himself that he really could do something remarkable and special. I never remembered a time when we were together making that record where we thought to ourselves, "Man, this is gonna be a fucking hit." Remember, this was an instrumental record, and was way before there was any progressive music movement, so there were no record labels dedicated to this type of thing. Everything happened for a reason—it’s quirky, it’s weird, you can shoot holes through it, or take exception to it, but as far as I'm concerned, it’s a perfect little piece of art and I couldn't have done it better. I just felt it was something Joe had to do to show the rest of the world that he was a guitar player who was going somewhere. - - - -Along with the support I received from John and Steve along this journey toward getting signed, Cliff Cultreri was now providing me all kinds of energy—catalytic, creative, and supportive—which is what makes a great A&R guy. He really made things happen for people. Very often, artists just need that one person to help them with the creative connections that make an album happen, which was absolutely the case with my next record, Surfing with the Alien. Cliff was the one who really pushed Relativity Records president Barry Kobrin to bring me to New York for a showcase so everyone at the label could see me do it in the flesh. He knew what kind of record we were making, and no one had really made a record like that before for Relativity, so they were in virgin territory as well. - -Cliff really believed in me, partly because he and I thought alike. I liked him, I liked his taste in music, he understood where I wanted to go with my album, and he was very encouraging all the time. After I got off the road from touring with Greg Kihn, Cliff hooked me up with this Swedish bass player named Jonas Hellborg, and I was off on this crazy tour of Scandinavia for about a month. It was a very interesting time, where a lot happened in a period of two months, as I continued to lay the foundation for my future as a solo artist, finishing with a make-or-break showcase that Cliff had set up for me at the China Club in New York. - -I remember this clearly: The first time I met Barry Kobrin, he shook my hand and in front of everybody from the label, said, "You don't look like a rock star." He was sort of laughing when he said it, but I think he was nervous, because I think he was looking for someone that looked more like Steve Vai: somebody tall, handsome, with long hair, wearing leather and chains, doing what rock stars did during the mid-eighties. I was not that guy at all. - -I remember the afternoon before the show, I'd brought bassist Mark Egan and drummer Danny Gottlieb down and showed them the songs literally about an hour before we were going to play. They were really cramming. The executives at Relativity were basically checking me out to see if they wanted to go beyond the P&D deal that we had for Not of This Earth. So when everyone from the label got there, we played some of the new pieces, and I think it was "Satch Boogie" that convinced them of my direction and style. I'd told them I wanted to make a guitar record that celebrated all the aspects of rock guitar, from Chuck Berry to Hendrix and everything else. Relativity was primarily a thrash metal label at the time; that’s what they were really putting out, so this was a test, a showcase of sorts. When Barry heard "Satch Boogie" and saw me play it, he was completely knocked out and finally "got it." He shook my hand and said, "This idea you have"—which was going to become Surfing with the Alien, although it didn't have a title at the time—"I get it. I understand you now, and I want you to go do it. Let’s make a deal." - - - - - -CHAPTER 8 * * - -Surfing with the Alien — 1987 - - -"In 1987, with the release of his multi-Platinum album Surfing with the Alien, Joe Satriani rose from obscurity to worldwide prominence." - -—Guitar World magazine - - - -Surfing was an important album for me, partly because every single song on it contained elements of what collectively crystallized into my signature style. The writing process was different for each song as well. Sometimes I would start composing a melody and immediately have a full grasp of its primary inspiration and how I wanted its message to unfold. From there, I might ask myself, "What kind of band could play behind this?" Other times, it would just be a groove, along with a mental image, and I would write a musical story to go with that image. The inspiration for the compositions always came first, straight from the heart. - -When we started Surfing with the Alien, we were all excited because we felt we were going to make a record that hadn't yet been made by other guitarists in my field—we felt we were on our own cutting edge. At the same time, I also wanted the album to be a celebration of all the styles that made up my musical roots. There were things I really loved about the records that made up my foundation as a young musician: the guitar playing of the mid-sixties through the early seventies, that was my foundation and how I learned to play. The late-sixties guitar sound is really what woke me up to wanting to be a player, and I wanted to put a modernized celebration of that into the record. I didn't want to make a self-promotional shred record where it was just me playing fast and furious all over the place. The songs had to be "classic" high-quality compositions, not simply vehicles for improvisation. I wanted each song to be very different from the next, with variety not only in the way I played and composed them, but also in the way we recorded them. Equally, I didn't want to come in with such a preconceived idea of a song that I would shut myself off from the spirit of the moment. - -As a guitar player, I was excited to make the kind of record that showcased some of the new ideas I was working on, both compositionally and technically. For example, Surfing with the Alien's first solo is announced by an unexpected high-register trill. What’s different there is the way that I used it and how I did it. I used the edge of the pick instead of my fingers to execute the trill, which gave it a pronounced, almost glassy tone. Compositionally, I'm using it to announce the first solo section in its new key, using the root and flat 9th of the Phrygian dominant scale. It’s a very dramatic shift of key signatures and the pick-trill is a signature moment. It’s brought to life with a wah-wah, a Chandler Tube Driver, and a Marshall 100-watt half stack. - -Quite a few guitar players over the years have mentioned to me the opening phrase of the solo in "Echo" as another signature moment. It announces itself boldly and then has a way of just "tumbling down" and ending on a low tone, then taking a breath. Players would say, "I never thought that you could do that, build a guitar solo by making an opening statement, then waiting, using silence, then continuing on, and building the solo with a variety of phrases." I didn't even notice what I'd done while recording it. I was just following my muse, channeling the great saxophonist Lester Young, I think. But it opened other players' eyes up to the possibility of what you could do with an electric guitar solo. We used a DS-1 into a Roland JC-120 for the melodies and solos, miked with an AKG C-12A, I think. - -"Echo" turned out so cinematic-sounding partly because it had a traditional-style melody utilizing big intervals over lush chords, and it was in an odd time signature, too. The chorus’s chord sequence is very unusual, moving through a few different keys, but the way it resolves is quite traditional. I was really trying to subvert that sort of chord journey that you hear in almost every commercial song when they go into their B-section, or when they're leading into their chorus. My style of playing over multiple key changes and in odd time signatures focuses more on smoothing things out, making the listener feel more comfortable, and delivering the song’s resolution gracefully after a long melodic journey. - -On the whole record you hear me using feedback, using the whammy bar, picking a lot, or using legato. I'm throwing in about everything that you would consider the history of guitar techniques for the last 100 years, by players like Jimi Hendrix, Jeff Beck, Jimmy Page, Billy Gibbons, Eric Clapton, Brian May, Tony Iommi, Alan Holdsworth, and John McLaughlin—to name a few! - - - -From Left: Jeff, John, me, and Bongo Bob Smith at Bill Graham’s house in Mill Valley - - - -When I wrote Surfing with the Alien’s title track, I was inspired by the thought of being visited by an alien, but with a twist: The alien would want to do something fun while visiting Earth, and so we all go surfing. That was really it, just a little daydream that popped into my head. - -"Always with Me, Always with You" began as a love song for my wife, Rubina. I remember composing most of it in my Berkeley apartment one afternoon. The chord sequence uses suspended triads arpeggiated over a major-key bass line. On top of that, a lyrical melody in counterpoint with the arpeggios, and a little pitch axis B-section. There’s even some two-handed tapping in there as well! John, Jeff, and Bongo Bob Smith helped me keep the end result sweet and as light as a feather by adding the perfect accompaniment and a unique final mix. All the guitars were recorded using a Rockman, and then straight into mic pres on that song—no amps! - -With a song like "Circles," I'm using dyads to create a harmonized melody against an exotic rhythm section that shifts gears suddenly with Jeff Campitelli’s amazing footwork on the kick drum. It’s a crazy arrangement that was a lot of fun to work out in the studio. DI guitars for the main melody, amped-up rhythm guitars combined with the Rockman for the solo. For me, it was a new way of combining melody, rhythm, and harmony to create a memorable hook. The trippy ending with all the swirling percussion and sound effects completes the song’s fantasy. - -I was sixteen or seventeen years old when I came up with the two opening chords for "Lords of Karma." I had returned home from partying on a Saturday night and couldn't sleep. It was an hour before dawn, and I was sitting on my bed playing the guitar when I wrote those two chords, repeating back to back. Two things happened: I was writing down everything I was feeling at that moment about what those chords represented to me, and night was fading—you could tell the sun was going to rise in about an hour or so. So my young musical brain at the time was saying, "I think no one’s ever put these two chords together before." I sorted through my musical mind but couldn't recall borrowing those chords from anybody or find them in my memory of any rock, jazz, or classical compositions. - -"Wow," I thought, "you've just created something nobody’s done before, those two chords as a cyclical chord progression." It represented my take on the pitch-axis style, where each chord changes the key, but I was still using A as my bass note, my main key note. The chords: A (no 3rd) add +4 to A 13 sus4 (no 9th). The keys I built off of the chords were A Lydian and A Mixolydian, respectively. That fascination stayed with me for over a decade, but I couldn't write a song around these chords to save my life, so when I was getting ready to record Surfing with the Alien, I said, "You're finally going to finish this song!" It just flowed out. That song is very special to me. Every time I play that chord sequence it brings me back to that place— being home, the sun coming up, guitar in hand, having a profoundly creative moment. - -Back then, critics would really focus their energy on the lead player, who had all the chops. What I wanted on Surfing with the Alien was a record that had the instruments sounding as if they were played by an actual band with a unified vision, so you didn't have everyone trying to show off their fusion chops, or whatever school of playing they were coming from. When I look at the techniques on the record, I feel like I made a conscious effort to pull back, to tell you the truth. On the title track, for example, the rhythm guitars are very straight-ahead rock 'n' roll rhythm guitars, and I'm doing Chuck Berry licks and Hendrix-y things. They wanted you to do that "over the top" rock guitar thing at that time, but I wanted to be different. I wanted to use more space, stronger phrasing. That’s what I heard in the music I grew up with. Jimi Hendrix and Keith Richards are masters of that. They came up with these great riffs and solos that you remember forever. It’s not a matter of filling every space; it’s picking your moments. That was an important lesson I put into making Surfing. - -I also worked hard trying to innovate song structure. Take "Satch Boogie" with its pitch-axis-meets-two-hand-tapping chord sequence. From a compositional point of view, the song starts off as a swing piece, turns into a rock boogie jam, then breaks down to a half-time beat with a pitch axis composition stuck in the middle of it. It’s got the weirdest bridge ever, too! I started with what was very popular at the time, a very Van Halen-like two-hand tapping technique, but I did something very different with it by playing a chord sequence that veers way outside the rock idiom. - - - -The visionary Cliff Cultreri and me at a platinum award presentation dinner - - - -There were things on Surfing that we thought were really groundbreaking for its time. John’s use of nonlinear reverb and the FS-1 Cyclosonic Panner for 3-D imaging of sound I thought was quite unique. The way we used sampled instruments to enhance sections of songs like "Hill of the Skull," "Circles," "Lords of Karma," "Midnight," and "Surfing." These were things you wouldn't normally find on a rock 'n' roll guitar album. We were trying to make this something extremely fresh and artistic, and I suppose that’s the best way to explain it in the fewest words. - - -John Cuniberti: Every time Joe picked up the guitar and started playing it, I heard something new. I don't think I ever took it for granted, but it was absolutely stunning how he could just continually pick up a guitar, play it, and produce music that you'd never heard played like that before. The chord changes he would pick and the way he would construct music was unlike anything I'd ever heard. So I was always excited to hear what he had to play; everything was always a surprise, especially with the material he brought in for this new LP. I've never known where he gets that stuff from—what are those chord changes he’s playing, what key is that in? I was always mystified by him musically. - - - -There was a lot of planning when it came to how each song on the album was supposed to sound. John Cuniberti wanted to make sure that everything sounded unique and specific for each song. He was great at finding the sweet spot out of any amp’s speaker, too. "Crushing Day" and its triple-tracked rhythm guitar sound is a good example of that. A song like "Hill of the Skull" has at least six electric guitars on it, using one Marshall head daisy-chained into another, really loud, very distorted. There was literally nothing else on the album that was recorded like that. Similarly, if you take the first three songs, "Surfing," "Ice 9," and "Crushing Day," each of those was recorded quite differently in terms of what amps and stomp boxes were used. Back in those days, "the team" was me, John Cuniberti, Jeff Campitelli, and Bongo Bob Smith. John and I were the principals, but Jeff and Bongo had a big influence on Surfing as well. - - -John Cuniberti: Joe was comfortable with the strict time of the drum machine, because up till then he always worked in a band with a drummer and wrote and played music that worked in a band-type scenario. Once he found a drum machine and started playing to that, he completely changed the way he wrote music. It opened up the door for him to do all sorts of very interesting things rhythmically, where if the guy was throwing a big fill in or changing the pattern on the hi-hat, it kind of made Joe compositionally change what he would have to play. - - - -Bongo Bob’s musicianship had accelerated and gone into this new era of programming where he could play an SP-12 drum machine with his fingers and make it sound like it had more feel than a real drummer! His body was very musical, and yet his head could also get into the programming aspect of music, which was great. He had a university degree in ethnic percussion, but he also knew his way around the latest technology, either synthesizers or drum machines or the latest cutting-edge samplers. He could come in and program the drum machine with great feel, and then add some African percussion on top of that. - - -Bongo Bob Smith: At the time, I was working as a drum programmer for the biggest producer in the world, Narada Michael Walden, and we were doing what I call the crap of the eighties, but doing it very well, from Whitney Houston to Lionel Richie. I wouldn't say it was crap so much as it was not a musician’s kind of music. I was doing that by day, so when Joe came to me saying, "I have this idea for this record . . ." to me, it was like, "Oh my God, I would just LoVE to be a part of that," because it just sounded really interesting. I'm a percussionist, so I had studied African, Cuban, Brazilian percussion, the migration of rhythms out of Africa into the Americas, and that was my life. So the idea of what sound could do and what rhythm could do to a particular song was very, very important to me. I think my biggest contribution was, "How far can I go to stay out of the way? To what depths can I go here to stay out of the way?" Because NOBODY has ever said, "Wow, those drums on Surfing with the Alien, those are amazing." [laughs] - -They've never been spoken, those words, and I applaud that, because the idea with what Joe had set out to do with the drums was to have them support what the guitar was doing. The simplicity was very important because it really propels the guitar. It made his guitar bigger than life because everything else—the keyboards, the bass and drums—are just so simple around it. So as we recorded, we were thinking, "How are we going to make this stuff really speak and how can we contribute when there’s no singer?" Because up until that point, I had always been taught, "You're here to support the singer," and in the world of production—from back then until now—any great producer’s going to sit there and ask, "How am I going to get this piece of music to fit around the singer? How do I sculpt this?" And in our case, the singer was the lead melody, so we were trying to always inspire that. - - - -I wasn't playing perfectly to the machines. I was dancing around them. Bob pointed that out to me one day. The curious effect it created was a "hook"—it drew you into the music. The drum machine "performances" actually had this very interesting quality that made the music more listenable in a modern, cinematic way, and when you removed them, there was some sort of charm that evaporated. I couldn't figure that out at first, because all of our instincts were to have a live guy playing drums, but the live kit would somehow make the music sound less special. At the same time, there were other songs where it was so obviously better, like with "Satch Boogie" or "Circles." For the songs on Surfing where Jeff did wind up playing live drums, it sounded amazing. So what we wound up with was a lot of songs where the drum parts were essentially a hybrid of live and programmed. - - -John Cuniberti: Initially, Joe and I would get together with Bob, play him the demo, and then talk about what a real drummer might play, and where the fill might be. And if there was going to be a fill, what kind of fill is it, and when does he come off the hi-hat, when does he hit a cymbal, all that stuff. Joe approved all the drum parts, but he wasn't a drummer, and so was happy to have the assistance of a real drummer who could come in and program the machine to play like a real drummer would play it, but with this real strict groove and time that was necessary for him to be able to play these songs the way he envisioned them being played. We'd made what was, in my opinion, the brave decision to dive headfirst into MIDI and computer-generated drum machines. - -So what we did was Joe and I would huddle with Bob around his computer, and we'd lay out what we believed to be the drum performance, and that was based off Joe’s demo, what he heard for the song, and how complicated he wanted to be. I would decide on the samples we were gonna use and what Jeff was ultimately going to have to play, because again, I never liked the cymbal sound and wanted Jeff to play hi-hat and smash cymbals to get a sense of fidelity. Once that was done, we would book the studio, and Bob and I would go in there, and I would take all these outputs from our tape drum machine samplers and plug them into mic pres and EQs and get them printed, and get the whole drum performance printed. It wouldn't include Jeff’s performances, as those would come later, but we would have computer-generated brass for guide tracks for Jeff to hear later and know where to put them. - - - - - -John Cuniberti and me at Hyde Street in '87. . . shirts tucked in! - -PHOTO BY JON SIEVERT - - -Bongo Bob: Alongside Joe and John Cuniberti, Jeff Campitelli and I worked together in the studio in kind of a backward way from what was traditional to the times in that it wasn't, let’s say, him playing a drum set and then me playing, let’s say, percussion or bringing in the drum loop. The way we worked, he actually came in and laid down his live drum parts as overdubs on top of the drum machine part, from drum fills to whatever he wanted to add to the groove, and then together we would both spice it up with cymbal hits to different other little percussion bits where we were trying to add to the collective. - - - - -John Cuniberti: Because the drums back then were being generated by computer, we were always given eight or ten tracks, then other tracks were set aside for rhythms, others for melodies and solos. So when we started a song, I would pull out a track sheet, and go, "Okay, give me an idea of what you hear in this song, how many tracks you're thinking about, et cetera, so I can start laying this thing out." Because I didn't want to run out of tracks and get to a point where I had to say, "We don't have any tracks for that because I did those last two guitars in stereo." I kind of needed to know ahead of time what he had in mind track-wise—how many guitar parts he heard, if he was going to add a keyboard, if the harmonies were going to be one- or three-part—and the track sheets would be laid out more or less the same. So as we'd work through the project, there would always be a couple of empty tracks until there weren't any, and there were times when we'd get to a point where we were filled up, and I had to start moving some things around. Then I would print all these drum parts. Once it was all printed, then Joe would start to build the project. He oftentimes would pull out a bass and play a bass track. More times than not he would lay a guitar track and just to be sure the thing was feeling right—if he got through the thing and it still felt good to him, and he liked the way it sounded—then we would move on to other tracks till we'd finally built the song up. That process could take a day or it could take a week; it just kind of depended on the song and how evolved it was by the time he arrived at the studio, and then what happened as we recorded the song. - - - -I knew that I had to be flexible, because there were some great ideas that John would have after listening to me play for a bit. Also, we would work on the parts of these songs—the bass part, the drum part, the first rhythm, the second rhythm, the keyboard—for hours before we would get to any kind of solo part. - - -John Cuniberti: Joe was always in the control room when he recorded, and from then on throughout his career, he spent most of his time in the control room with just him and the engineer, one on one, just layering his guitar tracks. As he tracked, we'd lay a drum machine down first, and then he'd play either a rhythm guitar part of some kind or bass, and then we'd build the tracks up like you would any rhythm section. He'd do rhythms, then bass, then melody, and then there might be some clean guitars that come in during the bridges or choruses, and we'd build it all up until it got to the point where it was time for the lead singer, so to speak, which in Joe’s case would be the melody guitar. I would say he’s stayed loyal to that structure throughout his career. When Joe and I worked on guitar overdubs, generally the rhythms pretty much stayed what they were in the demo. If the arrangement called for a solo, he would have worked on something at least stylistically ahead of time, so that he knew where on the neck he wanted to play and what technique he wanted to showcase for a particular solo, and he basically would know more or less how he wanted it to end up. - - - -We wanted every song to have its own vibe and unique juxtaposition of instruments. It wasn't going to be about Joe and his guitar technique. It was going to be about the songs, their melodies and their arrangements, the guitar tones, the use of outboard gear, and the technique of recording—bringing the art of engineering and mixing to a higher level, making a record that you could listen to top to bottom and walk away from with a feeling that you'd just been blown away. - - -John Cuniberti: When we would listen to his demos, or when we would start recording a track, a lot of times I would be inspired by what I heard. So for instance, with "Always with Me, Always with You," I thought, "The simplest we can make this, the better," so let’s not have a drummer playing a drum part; let’s just keep it super simple. Other songs might have a vibe to them, a sound that would inspire us to do more reverbs or delays. So a lot of times the music Joe would play would inspire me to do studio tricks, and then the studio tricks would in turn inspire him to play differently. So it was kind of a circular, organic process we would go through. So from Not of This Earth through Surfing and really all the way up through Flying in a Blue Dream, it was highly experimental. Joe didn't really know what these records were going to sound like till they were done, and neither did I. I had a lot of free rein to do a lot of screwy things to the sound, and Joe allowed me the freedom to try anything I wanted. He may not have always liked it, and if he didn't, I would dump it and try something else. But I had a lot of latitude. - -Once we laid a rhythm track down, and maybe he had played a melody or a solo, he might say, "Something’s missing. It would be nice maybe if there were these other guitars playing this other part. Give me a track, let me try something." A lot of times, he would come in and start playing, and I would make suggestions like, "It’s too bright or too muddy, maybe we should make it more ambient. Let’s put this delay on it . . ." Then he would start playing a solo a little differently because he was actually playing now to the sound that we then created in the studio, which of course was something he couldn't do at home. - - - -My ideas would build a song over the course of a couple of weeks. If we were spending a week on the rhythm section, the next week we would do rhythm guitars, and then we'd rent a keyboard for a couple of days. The solos didn't get on the album until maybe a month or two later. By then, I'd had a lot of time to both think about what I wanted to play and to just react. So as I was listening to a rough mix of the guitar, bass, and drums, no melody or solo, I'd start to imagine, "Wouldn't it be great if the solo did something like this?" So I'd go into the session and maybe say, "John, this solo is going to be very in time, very structured," like "Crushing Day." For the solo on "Echo," I might have said, "I don't know what I'm going to do here, but it’s going to have me starting and stopping, playing long phrases and using some open spaces." - -With "Echo," I was looking for a very emotional sound out of the melody and solo guitars, and John thought he could record the guitar coming out of the JC-120 and limit it "before" it went to tape. I was getting really into the tone he was getting by limiting the guitar this way, but it was a dangerous thing to do because we had delays running through the amp as well. Once recorded, we'd be stuck with those repeats, so if we'd wanted to do a punch-in or something, it might get problematic. But that’s a good example of me reacting to how the sound was evolving, and to what John was suggesting as he listened to me play. - -Prior to working with John on these records, I just assumed you put a microphone in front of an amp and its cable went into the wall and then it made its way to the desk and the tape machine. John would flat-out say, "Let’s NOT put your guitar through the desk. I want people to hear your guitar just like it sounds when I stand in front of your amp." I gave him carte blanche to figure out the most direct way to get my guitar onto the tape. He had these Neve mic pres, and other ones from old recording desks that were used on classic records, and we would use them religiously. Since we were doing single tracks, one at a time, we could use the same mic pres for all the guitars, all the bass guitars, and so forth. I really loved the sound I heard coming out of the speakers so much that it helped with my performance. - - -John Cuniberti: When we'd started Surfing, I had gotten a hold of a pair of Neve 1073 mic pres, which at the time was unheard of. I wanted to record a record on a Neve console, but we didn't have one—in fact, there wasn't one in the Bay Area, particularly not an old one. My friend who owned Hyde Street Studios had gotten a hold of an old Neve and had pulled out all the modules, and when I saw them, I asked him, "Can we put these in a box, so I can use all these mic pres and EQs?" I went to a woodworker right here in town, said, "See these modules? I want these in a box and upright, and an aluminum back panel, etc. . . ." and the guy built me a box, and I had those for years after that. Relative to Joe’s sound, we primarily used that one on every track. Because we were recording one track at a time, I got to record the album on a Neve. So my plan was to record it on a Neve and mix it on an API. That was my game plan for Surfing. - - - -I recorded the album on just a few guitars: my home-built black Boogie Bodies "Strat" thing, another similar guitar that my wife had painted for me, my two Kramer Pacers, a borrowed Coral Sitar, and a Fender P-Bass. I was very comfortable using the Kramer’s Floyd Rose bar, which by now was a tunable Floyd Rose. I had one on my white Kramer Pacer, but the body’s wood was so soft the bar would eventually fall right out of the guitar. Back then, luthier Gary Brawer had to put hard wood dowels into the guitar body so we could screw the Floyd Rose unit in again and again. My Boogie Bodies Strat from way back in the Squares days had two different pick guards: one with humbuckers, one with the three single-coil Stratocaster-type pickups. So sometimes, like with "Circles," I took the humbuckers out, put in the single coils, and recorded the song’s main melody, and then did the same thing for all of "Midnight." When I wanted a crunchier sound, I'd put in the humbucking pick guard configuration. - - -John Cuniberti: Even as we were making all this amazing progress, it was definitely difficult for us to complete that record, both because of the timing and the money. I think the mix process produces high anxiety, because as long as you're recording, there’s hope. There’s always this sense of, "Well, the rough mixes don't sound right, or the song isn't really working yet, but when we mix it will be fine." When you start mixing is when you realize what you have or in some cases don't have. It can be devastating. You can spend a lot time of recording, thinking that you've really got something, but when it’s done and you push up the faders you say, "What happened?" By then it’s too late because the money’s gone. - - - -It was difficult for me to complete the record because of scheduling and budget issues. Sometimes I'd wind up with three hours at one studio and four hours in another studio but only between eight and midnight or midnight and four in the morning. I couldn't always get John when I needed him, so the recording schedule dragged a bit. We couldn't afford lockout time, so I had to just book hours here and there that were sometimes separated by days, weeks, things like that. We were also working on different equipment, so we literally would finish two hours of recording in Studio C at the Hyde Street building, pack everything up and move to Studio D, set up all over again, and record some other part of some other song. It was crazy. - -Relativity originally set the recording fund at $13,000, which was ridiculously low. We reached that $13,000 limit pretty fast, so I kept having conversations with Cliff Cultreri, my A&R guy, asking for a doubling of the fund. Cliff was an inspirational guy who really believed in me and argued my case every time I called the label asking for more money. We eventually spent $29,000, which is still a tiny amount to make a record. - -What was never reflected in the budget, however, was that I was trading studio work, hour for hour, for studio time to finish the album. John did everything he could to find a way for me to get free time or trade my services at any studio that was functioning at the Hyde Street building. I was working with Sandy Pearlman, the producer who was working on the Blue Ă–yster Cult album Imaginos, and instead of getting cash, I said, "Just give me studio time." So I'd do a session midnight to 4 A.M., then show up the next day at noon and use those "earned" hours myself! I did other sessions in the building for the Hyde Street studio co-owner, Michael Ward, and some other clients that John had arranged. With Surfing we really needed a lot of extra studio time because it was just a few guys making the record, one small step at a time. It wasn't a rehearsed band where you could go in and play your whole set in a couple of days. Every once in a while we'd have Jeff come in to do percussion, or Bongo Bob, and even John got in on the action sometimes, but I was doing 99 percent of the playing. - -The biggest stress of that final schedule was going back to Hyde Street, working hard hours, day after day. Having a home studio in later years helped me tremendously because I could put a song to bed, then two days later, come back to exactly the same spot on my Pro Tools session, capture better performances, and get a better handle on what I was really recording. - -But back then, my schedule had me teaching, playing, and performing ten hours a day, and it took a heavy toll. Good things can come of it if you've got a good team with you, but you can wear your hands out that way, too! I would be playing a lot of different instruments as well, going from guitar to bass to keyboards. On top of that, if the song wasn't working out, I'd have to rewrite that part right there in the moment, which was definitely stressful. Remember, we recorded the album on only three reels of 2-inch tape! The only performances saved were the final ones. No outtakes left behind. - -By the time we were finally ready to mix Surfing, I remember not liking anything I'd done! I really felt I needed another ten years to work on the album. Mixing meant you were finished playing, so I came into the process with a lot of anxiety. Of course, John, having mixed so many records before, thankfully knew what mixing was really about. I was using it as an extension of making the record, but John had other, more practical things to get to first. Balancing in the days before automated recall, for instance, took a long time, and engineers need to be given the space and time to get that balance right, and that's before you'd start to get crazy with mixes and things like that. John was meticulous in making sure the album sounded gorgeous, and he somehow always found a way to make cool ideas we came up with work. - - -John Cuniberti: Some of the songs were easier to mix than others—as always. In those days, I would start a mix, and then Joe would come in and sit down and we would finish it together. That was pretty much how we did it. Sometimes Joe had working titles for his songs that stuck, but often-times the titles came much later, after the songs were finished. He would come up with an order during mixing and run it by me, and I might like it or make suggestions, but the track order and the song titles usually evolved after the mixes. For Surfing, I think we'd gotten $25,000 to do that record, and by the end of recording, we did wind up going a little over budget, because after the first round of mastering, we decided to remix at least one or two songs, and then had to go back and remaster again. But $30,000, even in those days, wasn't a lot of money for making a record. So oftentimes, by the point where we'd gotten to the mix stage, we were either almost out of money or damn near, so it wasn't a situation where if we didn't like a mix, we could come back the next day and do it again. - - - -One morning, returning to the studio to finish mixing "Lords of Karma," we found that the cleaning staff had removed our "magical" mix of the song’s bridge, which was hanging on the coat rack, and thrown it in the Dumpster! It couldn't be saved, so we had to mix it again, using more precious mix tape, which was getting harder to pay for. And the drama didn't end there. - -When we first heard the final album mixes at Bernie Grundman’s mastering studio, it was a shock. Side one had a noticeable left/right balance discrepancy. It turned out to be a recording-desk issue back at Studio C where it was mixed. After a few angry phone calls to the studio manager, we packed up and returned to S.F. to remix side one. The label thought I was nuts, but I insisted. We had to get this right. We returned a week later with properly balanced new mixes and mastered the record using the new Dolby SR system. It sounded beautiful, and Bernie did a wonderful job cutting the album to disc and preparing it for CD. - -I should have been overjoyed. I wasn't. I was so emotionally distraught after the album was finished that I could only listen to it—I kid you not—slowed down and distorted. I'd put a cassette of the mastering on my 4-track and slow it down and turn it up. It was the only way I could get through it without having a heart attack. I thought it wasn't good enough. I'd put everything I had into it and thought it was the last record anyone would ever let me make. I loved Not of this Earth, but I knew it was a little weird, so I didn't think it had too much broad appeal. Surfing was the first record that was sanctioned by and paid for by Relativity Records, and they were expecting something great. Surfing really crystallized a moment for me. Why wasn't I satisfied with it? It summed up all the different styles that I related to musically and everything I'd been working on as a guitar player since I was a kid. Yet despite all the trials and tribulations in making it, Surfing turned out to be a real gem after all. - - - - - -CHAPTER 9 * * - -Launching the Silver Surfer - - -"Joe Satriani’s 1987 breakthrough can be seen as the gold standard for guitar playing of the mid-to-late '80s, an album that captures everything that was good about the glory days of shred." - -—Billboard magazine - - - - -Steve Vai: I always knew Joe would be recognized as a musical guitar giant, and it’s easy to say that now, but the truth is that I always saw him that way from when I was twelve years old. But I did not know how things worked in real life, if real talent could be recognized or if it was just luck when someone became successful. In looking back and knowing what I know now, it is unequivocally clear that there was no other way for Joe’s career to have gone but up, up, and up. It’s very comforting to know that true talent can be recognized. - - - -Lords of Karma was the original title of the album before its release, but after a journalist expressed his displeasure about it I started to have second thoughts. I scanned the record’s songs for a new title and thought how could anyone object to Surfing with the Alien? It’s so obviously a title with a sense of humor. So I called the Relativity office in New York and told production manager Jim Kozlowski my new title. He responded with, "Let’s put the Silver Surfer on the cover. It’s my nickname!" I replied, "What’s a Silver Surfer?" Jim sent me a few issues of the comic straightaway and I was blown away. The Silver Surfer was the perfect image for the cover. It was bold, iconic, and positive. I could identify with the Surfer, even though I had never been on a surfboard! - - -Cliff Cultreri: Now that the record was done, we needed a cover concept that was as exciting and original as the music and the record’s new title. We approached Marvel Comics and got the license for using the Silver Surfer art for the cover. - -Our next move made sense because I knew that the odds were definitely against us in terms of, "Can he become a crossover artist to any degree? Can we get MTV? Can these types of things happen for him?" I knew in my gut there was a possibility of it, because there was really nobody like him happening at the time, and again, I felt if anybody had the music to do it, Joe was the one. But in the end, his first big break didn't actually come from radio or TV or any of those traditional venues that record companies use to break new artists and get the momentum behind an artist. - -What happened was the music committee for the Winter Olympics approached us wanting to license the rights to use some of Joe’s songs during some of the winter sporting competitions, and so naturally we said, "Great, what’s the deal?" They said, "We'll give you X amount of dollars and you supply us with a master," and I started sort of kicking and fussing, asking, "Well, is there any way we can turn this into something bigger?" So what we came up with was instead of taking the up-front money that was being offered, we asked if in exchange they would show Joe’s name and the album’s title somewhere at the bottom of the TV screen while the music was being played so viewers would actually know who he was. That was the problem when you had these sporting events that used an artist’s music: Unless you're on a stage playing at halftime and being announced, most people don't know who the artist is performing the music. So they agreed to that, and now we had—just like when an MTV video is playing—in the bottom left corner of the screen, every time one of Joe’s songs came on, something that read to the effect of "Joe Satriani, Surfing with the Alien," the name of the specific song, and "Available on Relativity Records," et cetera. - -It wound up being a boon for us promotionally, because they ended up using a gang of songs from the record. I remember we were getting such great promotion during those Olympic Games that sales started picking up, and pretty soon radio started to come on board. So all the bits and pieces of promotion we were doing culminated in what proved to be a pretty big piece of the puzzle, and I remember feeling Joe’s music was a perfect fit for it. With so many millions of people watching the Olympics, it was better than having a video in rotation on MTV! - - - - -Mick Brigden, Manager: The day Joe came down to S.I.R. Rehearsal Studios to audition for the Mick Jagger gig, we had background singers, all the moving parts of a big stadium show set up that day. When Joe walked in the door, I remember being instantly impressed by the fact that he was not intimidated at all. He still was exactly the way he is to this day, and didn't change from that moment to this moment as the guy I know. He had his guitar in his hands and was comfortable playing whatever anyone threw at him, and they were throwing a bunch of material at him—not just Stones songs, but everything they were going to play onstage. They were just grooving and jamming, so there was a bit of blues going on, and some riffs going on, and Joe was just feeding off people, and Jagger was staying out of sight deliberately, because he didn't want to make it about who was onstage. - -I was watching this all, and Mick just waited, and then at one point came out from behind the amps, blowing a harp on a blues jam, and just fell in with the groove, and Joe didn't bat an eye! There was no change in his state of being, and Joe’s obvious talent came to the fore, and Mick looked around and gave me a thumbs-up, like "We've found him, haven't we?" So that’s all it took—Joe just had to show up and play, and Mick was blown away and everyone in the band thought, "This guy can do anything we want to do," and they didn't even know how much Joe could do at that moment. They'd just had a two-hour taste, but it felt like Joe was born for this moment. - - - -I had managed to get on the covers of a couple of magazines, but the success of the record hadn't really kicked in yet. It was that first Jagger tour of Japan and the following spring and summer solo tours of '88 that made things start to happen. I did two Jagger tours that year, separated by about five months of my own touring. Touring with Mick and the guys was so much fun and very intense, playing the Stones catalog and Mick’s solo music. I was influenced by this historical rock 'n' roll library that I was playing every night, the lifestyle, and Mick’s professionalism in general. I started to understand that it was okay to have fun and do whatever you wanted to do musically—in other words, "Don't be afraid, don't hold back, just do what you want, put your heart into it. If things don't turn out, be a man about it. Take your lumps if people don't like it, but you definitely don't wanna hold back, and you definitely don't want to do it because you think it’s going to make you popular. You've got to love it and live it." - - -Cliff Cultreri: Once Surfing with the Alien really started to click, I knew Joe was definitely writing a new chapter: he was that next great, great musician to take the guitar and bring it to the forefront and really just push the boundaries. There were a lot of great rock-metal players doing their thing, from Eddie Van Halen to Angus Young, and they created a sound, a rhythm, and a feel, but Joe took the instrument and pushed it in every direction. He really just pushed the boundaries like nobody before, and it was a remarkable thing to watch young players listen and start learning from it—that was a tremendously important thing. Not only was Joe entertaining people, but really anybody who was listening to him was getting an education in playing. - - - -The thing is, it’s easy to say—especially with Surfing because the record was a multiplatinum success—that "Everything that happened in the studio was good." But had the record not been a success, it would have been just as easy for us to say that everything that happened was bad. Ultimately, you can only rate the record on its artistic success and how fans embraced it. Playing live onstage and hearing people shout in excitement when you start to play a song, like "Always" or "Memories"—even the first few notes—that’s pretty amazing. I remember when there was none of that, and now all of a sudden, there are millions of fans and they know my music. They put it on at all times during their life—that to me is the most important thing ever, because it’s the thing I've used to connect myself with other artists, too. That’s how we all use music: We put it on when we need it, and it’s extremely important in our lives. You put on a jacket when you're cold, and you put on music when your soul is in need. And when millions of people choose you and your music, nothing gets more profound than that. - - -Cliff Cultreri: The album was such a hit. Did I expect it to be a hit record? No, I was hoping it would get recognition and acclaim, and I think it outperformed everybody’s expectations, which I think turned out to be a tremendously pleasant surprise for everyone. - - - -It was a big deal. I believe we wound up selling more instrumental guitar records than anybody else has in history. That was cool, but personally, the audience knowing the material was the main thing for me—and they loved the material. That was the most striking thing, because before the album really took hold, I'd heard about people playing Surfing on the radio, but it didn't register with me until I was playing it before them live. I just couldn't believe that people knew every song on the album, and quite a few from the previous album, too! To me that was the greatest part. I knew you could win awards, you could get on the cover of magazines, you could be on TV—it didn't matter. Being famous was not the same as being embraced by your fans; it was very different. To actually connect with fans, and have them sing along, clap, and acknowledge full songs or even parts of songs . . . I was overwhelmed that this connection had been made. It was the same one that I had with artists I liked, and I thought, "Wow, that means it’s really happening. People really love the music on the album." This was the most important thing to me, the connection with the audience. - - - -Jonathan Mover, me, and Stuart Hamm after a San Francisco show in '88 - -PHOTO BY PAT JOHNSON - -Postscript: Late in 1987, just before everything was about to "pop," Guitar Player magazine asked me to record an original piece of music for a Soundpage to be included in the February 1988 issue where I was to grace the cover—my first! I jumped into the studio with John and Jeff and recorded two pieces of music: "The Power Cosmic," a solo guitar piece, and what would become a hit for me, "The Crush of Love," a soul song with a lilting wah-wah melody over a funky bass and fat backbeat. With my new Ibanez 540 Radius guitar in hand, Rockman amp, and Casio CZ-101 keyboard, we recorded and mixed the new music in a few hours at Hyde Street Studios. It eventually was added to a live EP called Dreaming #11 that was released about a year later. The live performances, recorded at the California Theatre in San Diego, featured Stuart Hamm on bass and Jonathan Mover on drums, my touring band that year. - - - - - -CHAPTER 10 * * - -Flying in a Blue Dream —1989 - - -"One of Satriani’s most brilliant early strategies: to subvert, re-energize, and recast common blues-rock licks as catchy and memorable instrumental 'verse' melodies played over irresistible rhythmic grooves." - -—Guitar Player magazine - - - -By the end of 1988, Surfing was still on the charts, and I was on the covers of magazines around the world, and I had just finished two tours with Mick and a few of my own as a new solo artist. With the release of the live EP Dreaming #11 coming up, change was in the air. I had lived, celebrated, and survived that whole year, and come off the road thinking, "I've got to do something new and challenging, something to push me into a new artistic space." - -I never intended to go into this genre as though it were going to be my career. I was still a rock guitar player, and I sang in bands my whole life, so I kept thinking, "Don't fall into the trap that many artists do of thinking they have to cater to their past success, because it will kill you in the end." So I said, "Look, I'm going to take a big risk: I'm going to sing and I'm going to play a larger variety of music. Artistically, I'm going to take it more out and more in. This record is going to be big and sprawling." I wanted to take that risk. - -Because ultimately, the people who heard me on the radio only heard three songs at best: "Always with Me, Always with You," "Surfing with the Alien," and "Satch Boogie." They didn't hear "Midnight," they didn't hear "Hill of the Skull" or "Echo"—those things never got played on the radio, so they were thinking, "Joe Satriani is this boogie guy, who also has a fascination with aliens," but that was only a little part of me. So I had to bump it up and say, "No, it’s going to be 'Big Bad Moon,' 'The Mystical Potato Head Groove Thing,' and 'I Believe,' and it’s going to be 'The Forgotten (Parts 1 and 2)'—it’s going to be Flying in a Blue Dream!" - -I knew that John felt the same way—that we should just make a more adventurous, better-sounding album, and try to do things we'd never done before. We wanted to expand on what we'd accomplished with Surfing, and the good news was, in contrast to that record, when we started working on Flying in a Blue Dream my budget was something like $125,000! What that meant was lockout time! This was a gift for any recording artist, because now I could rent a studio for two weeks and no one was going to go in there, from the time I started renting it till the end of that two-week period. So all the amps and microphones, console settings, everything was left set up, which was a great time saver. - - -John Cuniberti: When we got together for preproduction sessions on Flying, there was a pressure I could see mounting on Joe being newly successful. There was now an infrastructure relying on prosperity based on his record making. - - - -Initially, we moved to a new studio, Windham Hill’s Different Fur Studios, and ran into technical difficulties almost immediately, beginning when we went to lay down some chunky rhythm guitar for Flying in a Blue Dream. As we were trying to get this guitar sound in the control room, I noticed that every time I started to turn my volume control up, this radio or TV broadcast would come through. Well, we quickly discovered the studio had a problem with RF interference. We wound up recording and using the RF we were picking up as part of the intro to the title track! - - -John Cuniberti: As a solution, we first tried a Faraday shield, which was basically chicken wire, which this expert said we needed to run around the entire building. This was a two-story building in the middle of San Francisco, so we couldn't do that. Then I tried to build a shield—basically a smaller chicken wire fence—around Joe, and that didn't work either, so we left after a couple days. Following our departure from Different Fur, my plan had been for us to set up shop at Fantasy Studios in Berkeley, but it wasn't available right at that moment. So we wound up back at Hyde Street working out of Studio C, where we'd done Surfing, basically with our tail between our legs because they had been pissed that we weren't going to do the new record there. In those days, when a band decided not to do a record at a studio, that produced a lot of bad blood and a lot of hurt feelings. - - - -To try to alleviate getting bogged down, we picked a schedule that gave me breaks. So we didn't go in for two months straight and finish the record in one shot, with all those songs. We wound up going in for three weeks, and then we would stop and I would have a chance to do rewrites. So it wasn't unusual for me to be continually writing like that. But having the breaks really helped, because physically it was rough. I couldn't maintain a schedule of every day for two full months; I just wouldn't have been able to handle that kind of thing. - - -John Cuniberti: Our work schedule was erratic. We'd work for four or five days, and then I wouldn't see him for two weeks. Then we'd get together, and he'd listen to everything and want to redo it all. He'd come up with new ideas, throw some old songs away, and get some new songs, and then we'd get together for a couple of days and record some more stuff. It went on like that for months, which made it difficult to book studios and try to get a momentum and feel for the album. There was a lot of things going on for Joe, and his life got very complicated very quickly. - - - -At the end of '88 two things happened to me that would drag me down physically for another year. To start, I contracted the intestinal parasite Giardia, which went undiagnosed for twelve months! I must have picked it up in Jakarta while playing a show there with Jagger. I'd have these incredibly painful attacks and have to go to the emergency room, where they would always fail to figure out what was wrong with me. Second, I decided to get a full compliment of dental braces to correct a TMJ problem. I told my orthodontist he had a little less than one year to get the job done. He could put me in as much pain as he needed to, but in eleven months he had to take all the braces off because I was going to be photographed and filmed. I was miserable continually for a year. I lost weight and felt uncomfortable in my own skin while trying to make this big artistic leap forward. And that wasn't all. - -As we started recording Flying, my father suffered a massive stroke. He had suffered a smaller stroke years before, but this one sent him into a coma from which he never recovered. I realized then that he was gone. In my heart I knew that if I stopped working on the record and traveled back to New York to be with him, I'd probably just stay until he passed. I knew that wasn't what he would have wanted, so I stayed in California to finish the record, hoping he would hold on until I was finished. It didn't turn out that way. "Into the Light" was about the situation my dad was in. The song is more a prayer, a spiritual message. That’s the best way to put it. He passed away as we were mixing "I Believe" in July that year. - -I wrote "I Believe" about that whole period. I poured a lot of emotion into the performance, which made it even more difficult for me to sing, because the song was about dealing with hardships in your life. I first had the idea for the song when walking past this painting in the hallway of the Berkeley apartment where Rubina and I were living. It was a large multimedia painting that a friend of my wife's, Nunu Skrimstead, had made, and Rubina was the subject of this painting. Rubina was my emotional rock and the inspiration for the song, so concentrating on her portrait helped me focus on writing a song about hardships in general and how I believe you can turn things around no matter how hard they get. - - - -Me at the mic in Studio C at Hyde Street, getting ready to sing "Strange" in '89 - -PHOTO BY KEN FRIEDMAN - -"The Bells of Lal (Parts 1 and 2)" also came out of this period. My wife came home with these bells that were called Bells of Lal, and she told me they were put around camels' necks when they have a long journey through the desert. The sound distracts them from the hardships of the journey and keeps them moving forward. The bells were on this thin metal harness, almost like a necklace, and because they were very old and rusted, they had a very unique tone. I hadn't heard bells chime like this before. I realized I needed my own Bells of Lal to put around my neck to keep me going so I wouldn't stop and dwell on the harshness of the reality of what was happening in my life. I imagined I was in a vast desert. And I wondered, "If you could fly very close to the surface of the sand, over thousands of miles of desert, what would that sound like?" I thought the idea of a long journey should be represented not by a song that’s got short little parts—versus, bridges, and choruses—but rather one long part. - - -John Cuniberti: We moved over to Fantasy Studios from Hyde Street around this period as well. Our feeling was that it was a better-run studio. It had very professional maintenance staff, it had a better microphone selection, the rooms were bigger, the quality of the assistant engineer was higher. I lived in Oakland, so it was very convenient for me. Most of all, it served our end of being a different venue—we just really needed a different atmosphere, a fresh start all around, and Fantasy definitely gave us that because it was a big step up. First off, when you walked into their huge, multi-story building, there were pictures of Creedence Clearwater Revival and just about everybody else that’s famous on the walls there. It was just a full-time studio that made you feel like you were moving up. That album was recorded in three different rooms, I think; we were definitely in D, where we mixed and did some drum recording; we were in B; and I remember doing something in Studio A. So I think we used almost every room except for the MIDI room. - -When Joe was at the studio recording, he didn't accept anything less than your very, very best from anybody. Throughout my career working with him, if you're not at your best, he can't tolerate it. He hates people fucking around in the studio, and in those days, he really saw himself as the star in the room, and that was true. Everybody else in the room really was working for him. And he was really starting to build an infrastructure of management, family, engineers, assistants, and a guitar tech. They were all relying on Joe and his talents to pay their bills. This was kind of a new thing for him. The pressures on him to make bigger and more successful records were really nearing a pinnacle at that point, so this time Joe basically couldn't suffer fools. - - - -When I'm playing and recording music like that, I'm not really hearing it the way other people do. I'm hearing the music coming a few bars ahead and I'm still listening to the music that I've played a few bars back. It’s just an emotional way that I experience the music, so when I'm sitting in a studio, listening back to something falling flat, it annoys me because it sounds nothing like what I've played. Of course, John will say, "That’s exactly what you played," but I can't get the exact feeling of the experience of how I'm playing onto the tape, so I'll look for effects like backward delays that represent that transcending of time I experience when I play music. I don't feel that I've ever fully been able to represent that properly, but things like backward reverbs and backward delays are my best attempts to convey how the music sounds to me as I'm playing it in my head and my heart. - -The album’s title track actually came to me while I was working on "Big Bad Moon" and was taking a break from trying to write lyrics. I played these two chords and thought, "This is about me having flying dreams as a kid. Wouldn't it be great if there was a melody that was so smooth it would 'fly' over these chords? What’s my guideline for the opposite of what I've been doing for 'Big Bad Moon'?" For some reason, I thought of Frank Sinatra singing these songs where he starts off mellow at a lower register before ramping it up. The lyrics would reveal more of the "story" while his vocal line rose in pitch, and the chorus was the last few lines of his story. I'd always thought that was a beautiful way of playing a melody, because it wasn't an obvious verse-bridge-chorus kind of thing. It was a very elegant, simple way of telling a story and putting it to a beautiful melody, then having it peak. From that flash of inspiration, recalling my flying dreams, I wrote the rest of the song right there in about two to three minutes, all while taking a break from writing another song! - -"The Mystical Potato Head Groove Thing" was another favorite from the Flying record that took a lot of work. I remember telling John I'd written this song and wanted it to be on the record, but it was going to take me two or three weeks to prepare for the recording. I'd come up with this idea to use arpeggios as the song’s chorus, but they were so hard for me to pull off. Up until that point, I don't think I'd ever really experienced any kind of arm pain before, but after three weeks of practicing those arpeggios almost eight hours a day, I had a pain in my left forearm and hand that was unbelievable! When I brought the song to John, I said, "When the chorus comes, it’s actually just this flurry of notes, but we have to create this beautiful tone, and it’s got to be perfect." I played them on my Ibanez "Black Dog" guitar using a DS-1 into a Roland JC-120. I tied a scarf around the neck of the guitar at the 5th fret to keep the string noise down, while muting the strings a bit with my right hand at the bridge. It’s all left-hand hammer-ons performing the arpeggios. - - -John Cuniberti: The success of Surfing allowed Joe to broaden the palette and maybe have a little bit more fun. I think he wanted to branch out and do other types of music and presentations, and there’s a danger in that, of course— there always is. I wasn't surprised that he wanted to sing. I remember he was quite nervous about it, and I think Rubina and I were the only two people who thought he could pull it off! I thought it was great, and in fact, my favorite song is "I Believe," one of the numbers he sang on; it’s one of the highlights of the record for me. The way he sings it is just beautiful, the lyrics were heartfelt, and he really believed in what he was singing. And he really suffered in the studio singing that, and when he nailed it, I just thought it was great. - - - -I really had to follow John’s lead when I sang in the studio. John knew I was a background singer and that I had no knowledge of how to record a voice, nor what microphone was best suited for what kind of song. John had years of experience at this working with singers, so he would just say, "Oh, we're going to use this kind of mic today," and I wouldn't even know what it was. My world was in the headphones, and if it sounded comfortable to me there as I sang, then John could get a good performance out of me. I'm not a real singer, but I feel really good singers have this ability to communicate that supersedes their range or vocal quality. Bob Dylan and Neil Young have unusual voices but are great at being lead vocalists because they have that gift of communication. - -Each of my vocals on Flying is sung "in character," which made the album more interesting for me. The vocals for "Big Bad Moon" weren't working at first, but we figured out a way to make my voice sound more menacing by changing the song’s speed, singing to it at a faster speed, and then returning it to its normal speed—that did the trick. We'd heard a lot of other artists did this, including Prince. Once I heard it back, I thought, "Okay, that’s my character." - - -Cliff Cultreri: Joe would always be sending cassettes and DATs—"What do you think of this?" and "Check that out"— and I remember hearing bits and pieces and knowing it already had become a very different writing process for him by his third LP. So on Flying in a Blue Dream, you can really start to hear tremendous stylistic variation in the makeup of the music and the songs. He always had that going on, but I think not to the degree of Flying, and he did it in a way where he took you along for the ride. It wasn't different for the sake of being different; it was more like a natural evolution where he really took you on a ride on a lot of those songs. In a way, it almost was more of a progressive style of writing on many of the songs on that album, but it still was very listener-friendly— I don't think it put off any of the Surfing audience. I think what it did was take them further out much in the way Hendrix did. Here Joe was doing it his own way. - - - -Just as I was finishing the recording of Flying, Cameron Crowe called me out of the blue and asked me to write a song specifically for his directorial debut, Say Anything . . . He filled me in on what the movie was about, then sent me a very rough cut of the film on VHS. Cameron wanted something rocking that would represent John Cusack’s angst during a kickboxing scene. "Just do what you do," he said. "I don't care what you do, just be Joe Satriani." So I wrote "One Big Rush" and he loved the way it turned out. - -Looking back, for me as a multi-instrumentalist and solo artist, Flying was a lot of work. Making records with Chickenfoot, by comparison, is really easy because you go in as one of four guys, play a song half a dozen times, and that’s it. On Flying, I played all the guitars, basses, and keyboards, and I sang on six of the eighteen songs. Sometimes, after a hard day of recording, I would return home to get some rest and wake up the next morning having dreamed that I was in the studio and would feel like I hadn't slept! I think the biggest stress of having a recording schedule like that was having to go back in day after day. It was fun, it was exhilarating, I loved it, but at the same time the process of making that record was definitely stressful! - - -John Cuniberti: The record was a huge advancement from the first two albums. It was incredibly ambitious. I thought it was going to blow people’s minds and really be well received. The song "Flying in a Blue Dream" was the most beautiful thing he'd ever done. I was really, really proud of the record. - - - - -Mick Brigden: We were lucky in the fact that the success of Surfing opened all these doors, so Joe was a headliner overnight. He didn't go through the phase of being an opening act. He went straight to headliner. Joe’s set obviously had some landmark material, but he didn't have an awful lot of it. That changed very quickly when he promoted Flying in a Blue Dream, because he gave us a broader scope instantly and he brought in vocals. We wanted "Big Bad Moon" as a single. Joe felt the title track was the most important song on the record. Relativity and management knew that if we could get "Big Bad Moon" on the radio and the video on MTV, it would be a hit. We also knew we had "I Believe" in the back pocket. We shot great videos for both of those with a then unknown David Hogan. We put a lot of effort and time into broadening Joe’s audience, as did he, because ultimately it all comes from Joe. He handed in a record with such a wide variety of sound and composition that he opened the door for us to have so many different ways to market this guitar hero beyond just six strings. - - - -My personal take on Flying once we'd completed work on it was that I'd moved to this higher level that was new for me. I'd elevated my technique and was playing new things that you'd never heard on the first two albums. There were stream-of-consciousness clusters of notes, like in "Flying in a Blue Dream"; very worked out, purposeful-sounding arpeggios like on "The Mystical Potato Head Groove Thing"; and crazy out-and-out soloing on "The Bells of Lal (Part 2)." Then there was the personalization of the legato technique, which was a continuation of what I'd just started with "Echo" on Surfing, and I wasn't afraid to use this legato technique as the forefront of my musical statement on Flying, too. It wasn't something I just dashed off with for eight bars for effect, because I knew it was going to be a cornerstone of my technique. - - - -Me and my six-string Deering banjo at Fantasy in '89 - -STILL FROM JOHN CUNIBERTI'S VIDEO - -Looking back on some of the other techniques I had fun with on Flying, I had taken my two-hand tapping style to another sort of extreme compositional level. "Day at the Beach" is a good example in that it was more developed and complex as a song than similar stuff on the first two records. I felt that if I was going to put my own stamp on tapping, I had to move it to some higher level of compositional expression and drop the "wow, look at me" factor. - -Oddly enough, when "Flying in a Blue Dream" was released, the star of the album actually wound up being the title track, so the one that nobody thought anyone would ever play turned out to be the one that got the most airplay. It was the same thing with Surfing with the Alien: The label never picked "Always with Me, Always with You" as the single; instead they picked "Surfing," "Ice 9," "Satch Boogie," but "Always" was the one that everybody wanted. For this album, the record label actually really wanted to use "Can't Slow Down" as the first single, but one of the A&R people at the label just had a real problem with the solo section (I never figured out what it was that she didn't like about it), so eventually they went with "Big Bad Moon" and "I Believe." - -We started out the live shows feeling everybody was going to like the whole album. We always knew "Flying in a Blue Dream" was going to be a great song live—it was just a perfect opener. The lights would dim and then the recording of the RF intro started and those beautiful chords and the feedback would unfold. It just had so much drama to it and was so unique at the time. There really wasn't a song like it. "Big Bad Moon" turned out to be a great live song that has stayed in the set to this day. To our surprise, songs like "The Mystical Potato Head Groove Thing," "I Believe," and "One Big Rush" became fan favorites, too, and stayed in the set for a very long time. - - - - - -CHAPTER 11 * * - -The Bearsville Experiment - -When I decided to begin working on my next album after the Flying in a Blue Dream tour, I wanted a change of studio scenery, and the legendary Bearsville Studios in Woodstock, New York, fit the bill for me because it had a big live room and it wasn't in an urban setting. As far as John was concerned, he felt the studio had the necessary facilities to handle what we were looking to accomplish, and I think I was just attracted to going back to New York because I grew up there. When you say "Woodstock," it just has an allure because of its history, but I had never been there before, so I arrived like a tourist to some extent. I was looking for a musical adventure. - -I think the experience of being a live act for the last three years was the biggest factor in my decision to shift from computers to a live rhythm section in the studio. After touring not only for the first two records, but also with Mick Jagger, I was thinking, "Wow, I've gotta work more of this live energy that I've experienced into the next record." I figured, "I'm just going to trust my instincts, go to Woodstock with John and with the guys from the Jagger band," so I hired Simon Phillips on drums, Phil Ashley on keyboards, and Doug Wimbish on bass. I wanted to introduce more musicianship into the mix, and that sort of creativity you get from having different kinds of players in the band, but I also wanted to make sure I could control it. That concept really blossomed on some songs—"New Blues" and "Rubina’s Blue Sky Happiness," for example—because each of the players felt (I think) he had room to move creatively. - -Unfortunately, everything broke down when I discovered I couldn't get them to follow this disciplined approach to instrumental rock that John and I had pioneered on the first couple of records. So, for instance, trying to get them to play and create the same effect we got on "Flying in a Blue Dream" or "Ice 9" was very difficult because they didn't think or feel that way as players. It was entirely my fault, because I picked these guys and they're amazing at what they do, but, in retrospect, they were the wrong musicians for the project. - - -John Cuniberti: This was ironic to me, because those guys are so creative, and they love music so much, that as soon as they walked in the room and picked up their instruments, they would just play and play and play—and Joe enjoyed that. where I could tell things weren't working for Joe was, traditionally on his prior records, when he would come in for a playback and listen, you could tell when he felt a drum part wasn't working if it was a live player, and he would turn to the drummer and would basically be directing the drummer on what he was looking for. Well, at Bearsville, when he attempted to do that, Simon would either argue with him about it, or say, "Yeah, sure," then go back out in the studio and play whatever the fuck he wanted. Simon played Simon Phillips music, which is like this progressive, showy style. It seemed like Simon felt, "Joe’s been making these weird records with funny drum machines. Now he wants to make a real record with real players in a real room, and that’s why he’s hired us." So that’s exactly what Joe got, and it’s exactly what Joe didn't want. - - - -I remember at one point Phil Ashley taking me aside and saying, "Perhaps you need to be more descriptive, more detailed in what it is you're trying to get out of Simon and Doug." I thought the songs were getting softer and having less of an impact when drums, bass, and keyboards were allowed to wander through the arrangements, and this was a problem because these guys were very expensive! The whole trip out there was very expensive, and suddenly we're running into a problem where I started thinking, "I won't be able to overdub on these performances and get them to really hit hard." So I started to realize after a few weeks—and I think John was pretty shocked when I told him this—"I'm not happy with this. I don't like what my songs are becoming." - -As it had started to build up, I had a few key realizations, the first being that they didn't respect me enough to take my direction seriously. I could understand that because I was the "new guy." The second was that they didn't understand my directions because I couldn't figure out how to be more descriptive. So each morning, I'd go to the studio telling myself, "I'm going to turn it around today. I can try to see where their influences will make the song better, change my approach, and see if I can explore their approach. Maybe they're right." But each day, the opposite would happen, and I'd wind up getting a little bit more discouraged, and I would walk back to my cabin at night, thinking, "That didn't get better, that got worse." - -When we started "Summer Song," that’s when I really knew it wasn't working. There was a small dining room off the kitchen where we used to eat communally, and each morning, John would prepare the previous day’s roughs for us, and we would sit there in the morning and listen to everything. I remember everyone listening to "Summer Song" and feeling really good and excited about it, while I was thinking to myself, "That is weak," because I was used to the hard-edged rhythm sections on the Surfing and Flying records. I felt that was a signature of my sound by then, and I noticed once it was removed that there was something NOT better with what was replacing it. I think my creative faith at the time was that once I removed the rigidity, the music was going to blossom, but I didn't hear that at all. I remember it blindsiding John when I announced, "I'm not happy with the way this is going," because he had originally figured—as I had—that these were the greatest musicians we'd ever worked with, but now it was, "How could it not be working?" He probably was trying to figure out, "What is it that Joe’s not hearing, and what can I do to help him out?" Because he was my partner in this, and to a certain degree, I was not being totally open about what I was disappointed with, because I didn't want to totally spoil the vibe of the sessions. I didn't want to stand up and say, "This sucks!" even though that’s precisely how I was feeling. - -Eventually I had to pull the plug on the Bearsville experiment. That was an even scarier decision because of the money I had spent, and maybe wasted. - - - -Phil Ashley, Doug Wimbish, Simon Phillips, and me at Bearsville in late '90 - -PHOTO BY JOHN CUNIBERTI - - -John Cuniberti: There were times when Joe would walk into the control room for a playback and just stand there like he was pissed off, and I'm sure Joe went back to his cabin every night shaking his head, asking, "What have they done to my song? I came with this idea to have this song that looks like ABC, and instead I have XYZ, and I'm supposed to go into the studio tomorrow at $2,000 a day and record that?" So as the session started to unwind, Joe opted for what I thought at the time was a soft landing of sorts, because he was pretty unhappy and he decided it was time to take a break. We came home the day before Thanksgiving, and after the holidays we talked, and he said, "I want to get back in the studio. We got a lot of good stuff here. Let’s book some studio time in the Bay Area here, and sort of address all the issues." - - - -Following that, when we went home for the holiday, John and I started to plan around the idea that maybe we'd be able to reconvene and do what we did before. John offered, "Let’s go back to San Francisco and you record your guitars just the way you always do it. Then we'll bring in a drummer, or we'll do the drum machine thing." - - -John Cuniberti: Joe had played and we had recorded a lot of great guitar takes, and he was trying to preserve a lot of those performances: rhythm guitars, solos, melodies. So he started replacing Simon Phillips’s drum tracks with drum programming, and trying to manipulate the music the way he wanted, and I remember it was very, very, very difficult. We started to run into tuning issues, and tempo issues, and those guys were much more free-flowing, so Simon was playing all over the click—in front of it, behind it, around it— and everyone’s playing to him, so when you take his drums off and try to lock a drum machine to it, nothing made sense anymore. We struggled and struggled trying to put Band-Aids on it, and got a few nuggets that were pretty nice that ultimately ended up on the record. - - - - - -CHAPTER 12 * * - -The Extremist —1992 - - -"The chugging 'Summer Song,' the warm 'Friends,' the slamming 'Motorcycle Driver,' and the crunching 'The Extremist' show Satriani’s talents as a guitarist are undiminished, while the more traditional neo-folk approach to 'Rubina’s Blue Sky Happiness' and the bluesy 'New Blues' are different from anything he has done before!" - -—Billboard magazine - - - -With The Extremist, I felt like my playing style had really grown and I had sort of reconnected with a lot of guitar playing that I grew up listening to, like Jimi Hendrix and Jimmy Page. My other records were a little more modern for their times, but with this record, I was not holding back from bringing out my roots of the late sixties and early seventies. So that meant I was showing more of what I could play, which was an important part of my growth as a musician. I also think that the range of composition was HUGE on this record. At the time I was wondering, how was I going to get "Tears in the Rain," "New Blues," "Why," "Cryin'," and "The Extremist" to stylistically fit together on one record? How was I going to justify that there was a song like "War" on the same record as "Rubina’s Blue Sky Happiness"? Were people going to like the sort of Celtic country style of "Friends," because it was very much not like "Ice 9"? I also felt that I'd really matured compositionally, and that was something John had felt at the beginning, too. He just thought that the material I'd brought in was really exceptional, and I think his reaction to it also gave me a little bit of courage to see it all the way through. - -Even though I was conceptually excited about this album, starting over after the Bearsville debacle was so difficult for me because there was this incredible sense of guilt that I had spent too much money and had failed to pull the project together. It really affected me in a creative way, and I distinctly remember calling Bill Graham Management from Studio D at Hyde Street one day and telling Kevin Burns that I didn't feel like playing my guitar anymore. I had lost all the necessary drive to continue. - -When I called the office that day, it was to ask Bill and the management team, "Can I stop, again?" Their answer was, "Of course you can, just pack up and stop." My management company was great; they told me to take some time off and not to rush back into it, which was the right advice, so I just shut everything down and took a year off from recording. My wife and I had recently bought a house up in the Sierras at Lake Tahoe, and we finally got to spend some time with each other, because it seemed like we had been working like crazy for years and years. I'd spent a lot of time on the road, and she was working as well, so I think we just needed time to hang out together. I also performed at the Guitar Legends Festival in Spain that year, so by then, early '91, it was the first time Rubina and I had a chance to travel together. - -With the time away, I was starting to reevaluate everything I was doing in the music business. I started to think that it was just a matter of stepping out of it for a while so I could come back with a fresh attitude. That led me to think, "I've got to be more like other musicians. I've got to play around." Bill and the guys at the office were saying the same thing: "Every artist we know eventually works with new musicians, engineers, and producers." - -Months later, on October 25, 1991, we lost Bill in a tragic helicopter accident. It was a staggering loss for his family and all of us who knew and worked with him, and a huge loss for the music world. - -We had to continue on. I had to pick myself up and complete my vision for The Extremist. It was time to find some new collaborators. I'll admit, I found that thought to be frightening at first, because John and I had shared some of the greatest moments, creatively recording and mixing together. We would spend hours in the studio stretching ourselves into areas where we felt we were just walking on the edge, and then we were ultimately rewarded by platinum success, but I wanted to keep pushing myself. By the end of the year I realized this was where we were, so my manager, Mick Brigden, started to field ideas about working with some different producers. - -I traveled down to L.A. and met with a few producers, including Mike Clink (Guns N' Roses) and Dave Jerden (Jane’s Addiction, Alice in Chains), and then I met with Andy Johns at Eddie Van Halen’s studio. I found myself feeling a little starstruck. I couldn't believe that I had a chance to work with somebody like Andy because I'd been listening to his recordings ever since I was a kid. When we first met, Andy was like a total wildcard. He was a very colorful character and very animated in a rock 'n' roll way. An important part of Andy’s talent was that he was extremely musical. He was a musician himself; he may not have been able to play drums, but he could zero in on the delicacies and intricacies of drum patterns and go out there and instruct a drummer. He could help you arrange keyboard parts and harmonize guitar lines—he was that musical. The conversation we had in just the few hours we spent listening to my demos at Eddie’s studio that day reignited my passion for the project. - - -Andy Johns: I invited him to meet me at Eddie Van Halen’s house because I was producing a Van Halen record at the time, and so just for a joke, I said, "Why don't we meet there?" which was a little mean, because Joe was still a little bit starstruck. So he was very happy to meet Ed, and he played me some stuff. Up to that point, Joe was still into using drum machines and playing through boxes, not using proper amplification, and the way I work is very organic—I like to have people play off of each other and use real amps and all that. So that was sort of a condition, that we try doing work that way, and he was more than cool with it. - - - -As excited as I was to be working with Andy, it wasn't the same as starting fresh with a new producer. I had no intention of starting fresh because I'd put so much work into quite a few of the tracks, and thought "New Blues," "Rubina’s Blue Sky Happiness," and "Why" were beautiful tracks that, if anything, just needed some touches on them. With "Summer Song," all we needed were new drum and bass performances, since John and I had finished all the guitars and keyboards earlier in San Francisco. Andy realized that we had a lot of it done, and he loved what John had recorded, so he thought, "How hard can it be?" - -Once I was ready to start working on the album again, I started asking different people for opinions on players. Steve Vai suggested the Bissonette brothers, two guys he'd been playing with, and sure enough when I was down in L.A. actually auditioning a bunch of people, Matt and Gregg turned out to be the best team I played with out of four or five sets of players. No matter what I threw at them, they seemed to rise to the occasion. Since they had worked with Steve before, I knew that they would understand any odd directions they might get from me. They would understand how sometimes you've got to play it really straight. I think maybe some musicians, when they get famous for being themselves, they're rewarded for idiosyncratic behavior, and then that’s all they can play. Other players who naturally take direction well and are versatile develop an attitude and technique that furthers their abilities—and that makes sense. When I would ask Gregg, "Could you reverse that beat, and play it super loose?" he would do it. Then if I said, "Sorry, I changed my mind. Could you play that straight and forward?" he would do it, and he seemed to really relish taking direction and providing me with what I wanted. He never had a negative attitude about trying it again in a completely different manner, and I had never played with anybody like that. - -Matt Bissonette was the same way. They both had this fantastic attitude in the studio of wanting to make the session work. And they were very creative and intuitive, so when I would say things like, "This part really needs to soar. I want it to fly," Gregg and Matt both understood what I wanted them to do, instead of needing concrete examples. I think that’s how we wound up getting keeper takes for "Summer Song," "War," "Motorcycle Driver," "The Extremist," and "Friends." What they did with "Friends" was just so amazing, and it was because they could take direction, not only from me but from Andy as well. - - -Matt Bissonette: We were at Mount Rushmore playing softball, looking at the presidents' heads, and just goofing off, and I'd heard Joe’s name because Steve was always talking about him. I remember all the roadies were listening to Surfing with the Alien on their headphones, and they were all way into it and kept telling me I had to hear it. So I finally heard the album, and of course figured out right away that he was an amazing guitar player. After that, I started listening to him more and more, and then when he called Gregg and me a few days later to come and audition for The Extremist, we showed up and just started jamming really well. - - - -With my new producer and band now complete, we settled on legendary Ocean Way Studios in Los Angeles. Everyone from Ray Charles to the Rolling Stones had recorded there. The first day we got to the studio, I remember we were playing in the big scoring room, and it sounded so beautiful! It’s just one of the most beautiful-sounding rooms I've ever been in. It’s just a magical, magical room where music sounds wonderful, no matter where you put stuff, and just listening to the sound of the drums and bass coming from the room is amazing. Allan Sides had designed the control room’s speakers, and the control room itself was tuned beautifully. And here is this legendary, towering figure in Andy Johns—drinking, smoking, laughing, screaming at the top of his lungs—at the helm of it all. Andy was very rock-star, rock 'n' roll royalty: high energy, lots of emotion, lots of drama. When he was happy, it was infectious, and he got everybody up and the performances were great. It was a lot of fun, because when you did something right and he got it on tape, the experience in the control room with him playing it back at 120 decibels, hugging everybody, smiling and joking, leaning into the speakers, just thoroughly rocking out to the recording, was very inspiring! It was just one of many things that were exciting about that time. - - - -Me and my favorite JS6 in '92 - -PHOTO BY NEIL ZLOZOWER - - - -On top of that, when I arrived in L.A. to start the rehearsals for the record, I remember being pulled into the room with Matt and Gregg and getting a phone call from Rubina telling me the wonderful news that she was pregnant with our son. That was a huge motivator for me, because suddenly the album stuff was not nearly as important as it was before getting the news. All at once, everything was put in perspective, and I think I lightened up a little bit because the most important thing in the world now was that we were starting a family. - - -Andy Johns: My foremost focus heading into work on The Extremist was on getting drum sounds with Gregg to replace those blasted drum machine boxes, which have as much soul as a stamp, perhaps less than a stamp because I collect stamps. I did come up with a theory of using room mics, which in actual fact I had started with Blind Faith on the "Can't Find My Way Home" album [Blind Faith]—it's all done on just two mics. Then when I did "When the Levee Breaks" with Led Zeppelin, I got Bonzo out in the fucking lobby and used two mics, so I was trying to get the drums to sound like they actually sound in the room. Gregg Bissonette, being an experienced cat, had some very good stuff, and I fiddled around with his kit a little bit, and I remember thinking that we got a pretty good drum sound on that one. We had this big live room with that old, sort of '50s linoleum tile, which is just great for drums. I put a couple of room mics in behind the drums—for some reason that seems to work in that room. And I had a 1308 mic pre to run the toms through, so that they showed up in the room mics a little bit more. Then I just found the right drums and tuned them right, and that was the secret, you know—the source of the sound has to be recordable. - -On Gregg’s kit, everything was miked up. When I'm getting a drum sound, what I do is, I listen to the room mics to see how the balance of the kit is in the room, because if one cymbal is really loud, or the toms are dead, you're fucked. So when I started, I added in the bass drum, then added in the snare, and built it up like that. Take "Summer Song," for example. What I did with the kick drum to get that sound is, I liked to have the front head off without a bloody hole in it, cut a piece of foam to size—so it’s just like a quarter of an inch—over the lip of the shell, and then where the air hole was, I got one of the techs to cut a cable and run it through the hole, then solder it back together, and had like a 421 on a mic box or something, so it was not resting on the foam inside. Then I put a FET 47 on the outside, and I tried to get the drummer to use a wooden beater (they always complain, "Man, this thing keeps bouncing back," because they're not used to playing with a proper front head). So I used coated Ambassador heads for the bass drum—none of that rubbish stuff with all the fucking foam going 'round the edge. Then I deadened that down myself so I could adjust it, and of course, you have to have the right drum. That’s the most important thing—because I knew where the mics go, fuck if I didn't know that by then. I had a snare drum that I've used on a couple of number ones, I think, and a bunch of other hits, that I'd tote around with me for insurance; I called it my "Black Beauty," and we used that on The Extremist. - - - -Andy understood when I told him that the problem I had was "swinging versus straight," and that I wanted the album’s sound to be big and heavy and to rock, that I did not want a fusion or jazz album. I didn't want an easy-listening record, and that was my struggle even before recording Surfing with the Alien, explaining that to people. We were not doing "easy-listening background music" or fusion. The songs were rock songs; they had verses and bridges and choruses and solo sections, and everyone had to play specific parts. I think Andy liked that and took the project on because he understood what I was trying to accomplish. - -In a way, working with Andy was a return to the earlier way John had recorded me with the Squares, having me plug straight into my Marshalls and play live in the room with the band—the main difference being Andy was doing his "Andy Johns" thing, which was creating this huge foundation of drums and bass guitar with all this powerful ambience, which was entirely new to me. There was a bass going into an SVT and DI, and there’s drums miked up in a huge room, with the kick drum being put into its own PA and then being pushed out into the room and re-miked. And then with my guitars, I was plugging into a vintage Marshall 100-watt full stack turned up to 10! - - -Andy Johns: Joe had a bunch of Marshalls which sounded really good. He had a nice 100-watt combo that we used, too. Now, when we're doing the record, we had five different amp setups, and about fifteen guitars, so therefore you could find any fucking sound you wanted appropriate for the room. My miking would probably have been a couple of 57s and a 414, my standard setup of a 57 on the speaker, another 57 about 45 degrees so the phase is all cool, and the one that’s angled gives you the bottom end, and the one that’s straight up gives you the top end. The 414 you mount on another speaker on a 4x12 and you get a bit more woof. And now, in the end, it sounds like one of the best rehearsals any band ever did; I was quadruple-tracking rhythms, and doubling them through 4-tracks, but it meant he had to play in time, and he went for it. - - - -A lot of the guitar work on that record was done using my original Black Dog JS and my new JS6 prototype Ibanez guitar. As far as the amps: I had a nice collection of old Marshall heads and cabinets, a Soldano 100-watt head, and a Boogie 4x12 bottom that had two different sets of speakers in it. Part of our aim once the record was in Andy’s hands was to make the guitars a little bit tighter, and to prepare for more overdubs that would complement each other. So, for instance, when you hear the rhythm guitars on "Friends," you're hearing one live electric guitar on the left side, my JS6 going into the Marshalls turned all the way up. On the right side, you're hearing a stack of six-stringed instruments—guitars, banjos, Nashville-tuned guitars, and dobros—all bounced down to one glorious mono track! In the center the main melody is played on my JS6. This was the way Andy would work. He would invent and innovate and tweak and have me play things over and over and over until he felt that we'd arrived at something magical. His studio technique was very unique, and together he and John Cuniberti created the sound that is the Extremist album. - - -Andy Johns: Joe is as close to a genius as [Cream founding member] Jack Bruce. He’s a very clever man, and centered— meaning when he makes his mind up to play, he just leads you from one moment to another, and that is more than admirable. But along with being very soulful, which he definitely is, no question, he also has this technique; his knowledge is bigger, and more than anyone I've ever worked with. And when you ask him, "Why did you play that?" he'll literally answer, "Well, the pentatonic scale leads me to believe this; therefore, when I bend this note I can go back into the fruition of the resolving F . . ." 'cause he actually really knows. With some people, it’s bullshit; with Joe, it’s a fact. - - - -I remember being especially excited when "Summer Song" finally started to come together. Going back in time a bit, the writing of that song is actually a very interesting story. When I was out doing radio promotion with David Counter, a promotion rep from Relativity’s L.A. office, we used to have great conversations about songs and life. And as I was getting ready to start work on The Extremist, he said, "You know, the next record is gonna be huge. It’s gonna be fantastic"—he was talking like a radio guy—and he continued, "All I need is that one song . . . I need a summer song." And as soon as he said it, I thought, "'Summer Song' . . ." I loved the sound of it. I wrote it down on a slip of paper, and later on, sitting in my San Francisco apartment practicing, I'd just stare at that piece of paper as I played. I don't know why. I just thought that torn little piece of paper had some mojo on it, so I just never discarded it. I would go into my little studio room and I would just stare at that thing and play and play, and I kept thinking about all the good times I had over summer vacations growing up in New York. - -Slowly the song started to emerge. When I sense inspiration coming on, I have learned over the years to do whatever I can to clear a path so I can get it written down or recorded as soon as possible before the glorious moment fades and it becomes only an intellectual memory. It’s always good to finish writing it, or at least get most of it down, while you're in the first throes of the inspiration. With "Summer Song," I started out by writing the first two chords, and I would sit there and play that pattern for like three hours a night and just imagine a soundtrack to my summertime memories. Making it a song was going to depend on that melody, and the melody was going to have to be very long because the chord pattern was very short. It’s just a little two chord/four bar pattern, so I'd ask myself, "How am I going to tell my summer story over these two chords? How am I going to make it compelling and have drama?" Slowly I got to the point where I thought, "Okay, here’s this nice, long melody, but I still need more," and I'd never really written a "guitar" song where I could play two verses back to back, and maybe take the second verse an octave higher. I was beginning to wonder, "Wow, how does a guitar instrumental get away with that?" It would be more common to just write one verse, one chorus, one set of solos—that kind of thing. - -I decided "Summer Song" was going to feature one dominant guitar sound from beginning to end playing the melody and solo. This was a new approach for me, and it wasn't like "Surfing," where I'd had all these different guitar sounds trading off. When the song got into Andy’s hands he imagined something entirely different for the rhythm section, and as a result created a very unique canvas for my guitar. I have to say, it’s not pop rock and it’s not heavy metal, but the energy level is so high and sustained that that’s what he achieved. And even though the main guitar parts were recorded a year earlier by me and John in San Francisco, it all turned out great in the end, ultimately producing what became my biggest international radio hit to date. - -Andy was really great at capturing energy, not only sonically, but I think in personal performance. So as we would go out and do takes, he would run out from the control room and tell Gregg, "Try 'boom, boom, bop bop boom' when you get to this part," and he'd say, "Hey, Matt, would you try using this other string when you go to that part?" Then later on, when we were overdubbing guitars, he'd have me play things over and over again until he thought it captured this thing he was after. When he was mixing "Summer Song," it was the same thing: He was trying to create this sound that was a very high-energy sound, which is NOT just turning things up louder or making them sound aggressive. It has to do with the ambience and bringing out the energy of each musician’s performance, which is a very difficult thing to do. We all struggled with it for a very long time, and when we started mixing it was driving Andy crazy, literally driving him crazy! I remember he was getting very frustrated, and a couple of times he'd leave the studio for hours just because he didn't think it was working. - -The breakthrough came in a perfect example of his ability to be totally creative with something by starting from scratch, and he would do that all the time. He would sit there and pull all the faders down, then start from scratch and throw them back up. And it would freak me out to do that because it would be so hard for me to get back to where I was. But I think all good mix engineers, Andy and John included, have no fear of breaking down a mix and starting from scratch and looking at a mix from all different angles. I remember early one morning Andy called me at my hotel to say, "When you get to the studio, press PLAY. I've got a mix up. I don't know if I've totally ruined your career or if this is the greatest mix ever? I've tried something radically different from what we've been trying for the last couple days." So when I got to the studio, I pushed PLAY and turned it up loud and couldn't believe how great it sounded! - -First, the rhythm section was huge and rockin', and there was this delay effect he created for the harmonics in the beginning, which turned that little performance into a true hook and some delicious ear candy, too. He was looking for something more with those harmonics, and I had never heard it that way; I had always heard it just played straight without any of the delays on it. But Andy had made it work with this ping-pong delay effect. And then he got rid of one of the rhythm guitars, too, using only one of the original rhythms with one of the new rhythms, and split them left and right. This was a big deal because we were now in that age where people had started to double, triple, quadruple guitar tracks, playing the exact same thing left and right, and it was something Andy never liked. So he was always looking for smaller-sounding guitars that were playing differently. We had that double-track thing going on from the very beginning and he was just working with it for months until his breakthrough idea was to get rid of it! It made more room for the bass and drums and helped propel the natural rhythm of the track. - -The final thing Andy focused on was my melody guitar line, which he fed into a combination of Prime Time chorusing, reverb, and compression and brought its return back on a separate fader. By creating this unique space for the sound he was able to give it a depth that allowed you to find it instantly without it having to be loud and in your face. He would ride that fader during the mix to create a changing "space" for the main guitar. That solved the problem of placing the wah-wah guitar sound in the mix, and it was a brilliant idea. - - -Andy Johns: Joe came into the control room the next day and listened to what I had in mind, and I remember he turned around to me and gave me a very nice compliment when he said, "I didn't know you were doing all that, man. I've never heard myself sound like that. That’s absolutely fabulous." - - - -One of my other favorite songs from that record is "Friends," which is a difficult one to describe stylistically. I remember the idea for the song came to me one afternoon when my mother and sisters were over visiting us in Berkeley, and we were all going to go to lunch. And I said, "You know what? I'm going to stay home. I feel like I'm gonna write a song, so I'd like to just hang out for a few hours." So they all left me alone in the apartment, and I had a photo book that Rubina had brought home with the smiling faces of children from around the world. I remember looking through the pages, and I came across a page of some six- or eight-year-old kids, maybe somewhere in Africa, just beaming and smiling into the camera. So I left that page open and wrote the song on bass while I was staring at that picture. It was just one of those things that was very easy and fun to write. It’s a celebratory song, and I'll never forget the excitement when we heard our first take of "Friends" played back for us at Ocean Way. Everyone was wondering beforehand, "What’s this going to sound like? Andy’s a crazy guy . . ." He'd called us in and said, "I think you guys should come in and listen to this." I don't think any of us had ever heard anything so big and beautiful, ever! Hearing it made us want to run out there and play all day long, because each one of us was saying, "My instrument sounds bigger than it has ever sounded before. It’s finally captured in all its glory!" We were just so psyched about it. - - - - -Gregg Bissonette: With that song, Joe and Matt and I hit it off because we wanted the same thing: we wanted Joe to have an album that he was proud of. So whether he'd ask me to play a beat forward or backward, if it’s something you want, and you're paying me to play on your record, and we can succeed in getting the sound you want, that’s the greatest gift ever. - - - -I was excited about "New Blues" as well. The melody and chord sequence of the chorus section was new and exciting territory for me, and we had a lot of fun tracking the song back in Bearsville. The rhythm guitar in that song was done live, and it’s all two-hand tapping. Funny thing is, when the album came out, nobody asked me about that, and I realized that no one had ever done that before, working two-hand tapping into the structure of a real song where the technique wasn't the "showboat element" of the song. It wasn't meant to be, "Hey, look at me, I'm tapping!" It was part of the ensemble and it went over everybody’s head, so part of me patted myself on the back and said, "You did your job. That’s what you wanted to do, to show the validity of two-hand tapping as part of the ensemble." But the other part of me said, "How come no one patted me on the back for pulling that off?" Ha! I guess I did it too well, and it just went under the radar. That’s part of the art of arranging and composing: You don't want to reveal the structure and distract people like that all the time. It’s really about the music, not about the technique. And I truly loved that song, as it brought a lot of my jazz roots to the record. - -"Crying" was a difficult song to record because it was about my father’s passing and my grieving process. When writing the song, I guess I was at that point where I was focusing on the good memories and trying to carry on. So each time I would go to work on the song there'd be this emotional intensity, but I would have to be professional about it as I tried to get people to play it. It was also a bit heartbreaking during the sessions when I couldn't get people to play it the way I wanted them to. It was always difficult for me to get into the proper head space, because you either open the floodgates or you keep them closed—you can't just open the door a little bit and think you're going to get a great performance and keep your act together. If you're producing a track, you can't be an emotional wreck. So I arrived at the last sessions with the Bissonette brothers to once again try to do this track. I was thinking, "I've gotta give the definitive performance on this song, get this cathartic thing recorded and carry on." The emotional roller coaster of working on the song was wearing me out. - -I remember being in the control room with Andy while Gregg and Matt were out in the music room, and we did this take that turned out remarkably well. Andy turned around and said to me, "Amazing! That was the take! What are you plugged into?" It wasn't supposed to be "the take" for me; it was supposed to be a guide track for Matt and Gregg. I wanted this to be my ultimate emotive performance on the album, and we recorded it almost by accident! - - -Andy Johns: He actually made me cry because he was playing like a bird. His elegance in the melancholy moment, you can hear the man thinking, and when he was done, and I listened, of course I shed tears. And he has this absolutely astounding technique, which isn't just rich on purpose, it’s to emote. I admire that so very much. I really do think one of the things on that record that blew me away most was the song "Crying," because he did play that through a box, and I thought, "This is a very soulful thing. I'm going to leave the room and let him get it on his own." when I came back in, he played this spectacular thing and it made me cry, and I took it home when the record was finished, and I and my wife got a couple bottles of Champagne—as she does whenever I finish an album—and I put it on my system, which is a pretty good one, and I turned around and one of my kids also had tears running down his face. So Joe’s take definitely had the desired effect upon people. - - - -When I finished playing it, I was relieved, because I had carried that performance in me for years. When I finally heard the playback I thought, "That’s it. That’s what I've been waiting to perform," and I didn't care that I had put my guitar through a Zoom headphone amp and not a "proper" amp. Just, "Thank God we have a recording of it." - -I had an unusual experience writing "War." I was in a local supermarket in San Francisco, where we'd just moved from Berkeley. I remember I was doing some shopping, and the news was on about the war that was getting started in Iraq. And I just remember thinking, "War is hell. People should avoid war at all times. It never turns out good," and I started writing that riff right there in my head. Anytime that happens to me, I get very excited about finishing something—if I've created something that sounds so easy and yet the structure of it is so bizarre, I get very excited by it. When I got home, I picked up the guitar and started to flesh out the song, and there were a lot of things about it that were important to me. Harmonically I thought it was a very interesting way to suspend tension and hold off resolution. This served the meaning of the song well. The chord combination in the chorus was unique, too: D minor to D minor (add) 9 followed by A flat 6/9/Major 7th (#11). I thought to myself that nobody had tried that before. - -It’s one of those things nobody ever noticed or asked me about, but I loved it! I never heard, "Man, what’s up with that chord progression?" and I'm happy I didn't in one respect, because that means I did my job very well. I didn't make them think about the structure, in other words; all they're doing is reacting to the music, which is what I wanted. But at the same time, part of me was saying, "I just wish one musician would come up to me and say, 'Wow, the bass line drops a flatted fifth while the upper partials are suspended second chords dropping by a whole step . . .'" Those are the things that, when I'm composing, I go, "Wow, look at that harmonic structure, and look how I can play a melody on top of it that sounds so powerful and yet is so simple." That’s what creates the tension and resolution. That’s what tells the story. That’s where the art form of harmony can really be put to work. I love that—that’s what I've devoted myself to in part as a composer, to unlock the secrets of compositional harmony. - - -Cliff Cultreri: Joe came up with the title for the album, The Extremist, while he was visiting me down at my house in Hermosa Beach, actually at a cookout at the house of a neighbor friend of mine. He was grilling some fish on the barbecue and doing his wonderful gourmet thing, and we were talking about the concept, batting around different ideas for the title, and Joe was talking about going from the precise drum machine— everything perfect, every beat here and there—to the question of "How do we do live in the studio?" And I always favored that, because I didn't just want a live-in-the-studio album, but I wanted something that was almost a little bit chaotic in a way. I wanted some energy—let’s see what happens when things aren't all mapped out and going by the numbers— because I would always cite certain albums and how they were recorded, and Joe was on the same page. So as we're talking about doing this, my friend Philippe says, "Joe, you're crazy, you're such an extremist." And that’s where the album title came from, my neighbor calling Joe an extremist because of the way he wanted to work and push these new boundaries! I think it allowed him to finish it by using the title as kind of an inspiration. - - - -By the time our focus began to turn toward the mixing stage, we'd been working on "stage three" of the project for almost too long. I had been living in a hotel room in L.A. for four or five months by then, and I was beginning to go crazy. I wanted to go home. I didn't want to hang out in L.A. by myself anymore. The Extremist was very much a throwback record to celebrate classic rock—it just came out at the perfectly wrong time! I really didn't know what was going on outside of my world until I packed up my car in L.A. after mastering and started driving home. And on that seven- or eight-hour drive home, listening to the radio, I thought, "Oh my God, what radio station will play anything off of this record?" - -I realized now they were playing Nirvana and Soundgarden, and there was no room for my record; I was too young to be on the classic rock stations, and I wasn't young and grungy enough to be on the active rock stations. I remember going on MTV's Headbangers Ball and Riki Rachtman saying to me, on television, "Some of this stuff could be very New-Agey," and I almost killed him right there on television. I couldn't figure out where he was coming from . . . It’s a funny thing to think about, because I wasn't thinking of it like that while I was tracking. I was just trying to make the best recording of the best performances of what I thought were my best songs at the time. So I didn't know what we were going to do about it. - -When the record came out, I knew that there was a lot going against it because of the trends at the time. Here in America it met resistance to some degree because it was very straight ahead. Outside of the U.S., it was received more openly, for what it was. Within the U.S., however, we had what was proving to be a bit of a problem . . . until Sony used "Summer Song" in a Walkman commercial, which re-broke the album for us! - - -Mick Brigden: Joe by this point was a star worldwide, and BIG worldwide, because on the Flying tour that preceded Joe’s returning to the studio to make The Extremist. We had toured A LOT of shows in Europe where we were headlining theatres and going to arenas in France. In the U.S., we had gotten to amphitheaters and multiple theater runs. That’s where we were by the early 90s. Now Joe’s touring and record-selling market is the world, not just the U.S. That’s something that I knew from working with Carlos Santana, that a guitar player with great melodic songs can be very successful outside the U.S., and Joe had built a worldwide market and he had toured those markets and had great songs. - - - - -Cliff Cultreri: Once the Extremist album was in stores, we knew we had a lot of momentum behind Joe, and his live performances were just perfection. There are not too many musicians who have done or who could do what Joe does live, and you can probably count them on one hand: Steve Vai is there, Jeff Beck is there, certainly Hendrix, but you're talking about a very elite few who really, really could deliver like that. By that point, he had already reached the status of living legend because he was a cut above the rest—and not in an egotistical way or anything, but his listeners recognized that. He was really something special, a very special artist. - - - -The Extremist tour was fun. I had Gregg and Matt Bissonette on drums and bass, and Phil Ashley on keys. It was a great band and we were able to record some good live shows, too. We all began wondering if it was the right time for a live record, so I began brainstorming this idea to do a live album that would have a retrospective component. We could use the recent live recordings as well as older live stuff along with studio outtakes, and so forth . . . So I started to pull out all of my DATs, listening to everything in my archives. By this time, I knew that I wanted to call this album Time Machine, though I still had to sell the idea to the label, and Cliff was very helpful with that. Thankfully, when we pitched it to Relativity, they were totally behind the idea. - - - -Me and my Ibanez JS "Tele" prototype at a video shoot in '93 - -PHOTO BY JOHN CUNIBERTI - - - -The work that went into the record was extensive, though. John had to compile all the live and studio music, mix it, and get it properly mastered; the art department at Relativity, which was fantastic, worked with photographer Michael Llewellyn, who shot and designed the awesome cover; the label pressed vinyl versions of the album in addition to releasing it on cassette and CD; Matt Resnicoff wrote the extensive bio and liner notes; we had to get permissions from all the photographers, who provided a wonderful batch of photos, and so on . . . Everyone involved pulled together to make it a great project. For an instrumental guitar player to be able to put out a package like that on an independent label was very, very cool. And the fans loved it! - -Ultimately, all these things you do when you release records, they stay around forever—they really do. Your music stays there year after year after year, gaining new audiences, and at the time we were right to push for Time Machine's release, because it turned out to be a hit. The album was essential for my future; it allowed people to better understand what I was all about, where I came from, and where I was headed. In other words, I wanted them to know about all the different kinds of music I was into. I felt that it really was an important artistic statement and that it was going to help my career keep moving forward. - - - - - -CHAPTER 13 * * - -Eponymous — 1995 - - -"Home (is) . . . exactly where we find Satriani on his latest offering, Joe Satriani. On it, visions of the raw, screaming electric blues of Jimi Hendrix, Jeff Beck and Jimmy Page permeate the album, which some have called Satriani's Blow By Blow. Produced by veteran helmsman Glyn Johns (Rolling Stones, Led Zeppelin, The Who), Joe Satriani abandons the guitarist’s trademark overdubbed, highly produced guitar attack in favor of a more honest, jammy, live feel that’s fully entrenched in the magical vibe of the late Sixties/early Seventies. The result is an album that sparkles with some of the most soulful and moving guitar playing of Satch’s career." - -—Guitar World magazine - - - -When I first picked up the guitar, I started with the blues. My primary influences were Jimi Hendrix, Jimmy Page, Jeff Beck, and Eric Clapton, and through them their heroes: Robert Johnson, Buddy Guy, Albert King, and everybody in between. When it came time to record the last installment of the Joe Satriani LP, I wanted to honor those blues roots of mine, but in a new way. - -Something important to remember here is that we were doing this in 1995, so it was not the early 1990s anymore. This was a different era; there had been, I think, a cathartic process happening in the music business, and by the time we got together in 1995 for these sessions, people were running from the late-eighties/early-nineties thing. So the feeling was, "Boy, we gotta do something raw, but different." - -When producer Glyn Johns and I first got together, I was looking for him to guide me during this process by weaning me from my old way of making records and put me in a new position that all of my heroes had been in before. Glyn had recorded many of the guitar players who make up my roots: Keith Richards, Jimmy Page, Eric Clapton, Pete Townshend, and Steve Miller, to name a few. He understood how to put an artist in a situation where he would have to rise to the occasion and create a record that could potentially affect a generation. - - -Mick Brigden: As soon as we put the two of them together and they sat and listened to Joe’s demos, Glyn became an instant fan, which is the way it should be. Glyn is not the kind of guy who you would ever be able to convince to make a record if he didn't like the musician or the music—he’s not that kind of guy. Better than that, he thought, "This is a challenge. I've never made a record like this," and Joe gave him so much support in helping him put together how they were going to make the record, which meant putting an album together in a way Joe was not used to making. - - - - -Glyn Johns: Joe was very respectful to me. I was a rather odd choice because Joe’s normal method of recording is completely different from mine. But he was open to the idea of making a record in the way that I do and went along with it. I just wanted to give him a different environment that allowed him to just play and not have the responsibility of every other aspect of making the record. I definitely wanted to give him a bit of a challenge, though, because it seemed that was what he needed. The record he'd made with my brother Andy, The Extremist, I thought was a phenomenal record; I'd heard that, and thought it was a remarkable album on many levels. I think my brother is probably the finest engineer of that type of music that there is, and I think that record is a really good example of his abilities. But I wanted to put [Joe] in a room with people who would react to music in a positive way and for him not to tell them what to play, basically, so that it would just leave him to play the guitar and be the artist, but not necessarily have the minute control, which apparently he normally had. I'm not knocking that approach—it had been extremely successful for him—but my object was to try to put him in a situation with musicians who were as competent as he was. My understanding had been that he'd already obviously worked with really good guys, but I think his tendency had been to tell them pretty much note for note what to play. - - - -We assembled an all-star backing band that represented the crĂ©me de la crĂ©me of the world’s finest session musicians, including drummer Manu KatchĂ© (who played with Peter Gabriel), bassist Nathan East (Stevie Wonder, Eric Clapton), and rhythm guitarist Andy Fairweather Low (Eric Clapton, Roger Waters). Unfamiliarity might have proved a handicap in the hands of a lesser group of world-class musicians, but this band instead thrived in the face of considerable pressure. - - - -Nathan East, me, Andy Fairweather Low, and Manu KatchĂ© at The Site in '95 - -PHOTO BY MICHAEL KIRK - -These guys were very expensive. I could only afford them for a total of fourteen days, two of which I missed. So we basically had twelve days to make the record and there was no time for preproduction rehearsals. We would gather at The Site studio about eleven in the morning, listen to a track, do about three takes, break for lunch, come back, and listen to see if we could do it any better, and that was it. Sometimes we would come back and listen, and both Glyn and I would be just knocked out by the intensity of the performance. Other times, everybody would learn something, and Andy or Manu would come up with a suggestion and then we would go and see if it worked. Since everybody was learning and developing their parts at the same time, we felt that it was the right thing to do to allow them to come up with ideas of their own. Being the great producer that he is, Glyn was fantastic at managing us. - - -Glyn Johns: My method of recording and producing a record is exactly the same as it was in the late sixties. My approach in setting a band up and recording them is exactly the same. I'm not the least bit interested in doing composites, or changing the tuning on something, or other things you can do with Pro Tools. There was very little overdubbing. Joe might have put an additional guitar on the odd thing, and of course there’s a vocal on one track he overdubbed, but most of it was done live. Pro Tools is totally meaningless to me. I still mix a record without a computer and personally don't see the necessity if you've got really good musicians, and I tend to work with really good musicians. Most of the legendary guitar players I've worked with—Keith Richards, Eric Clapton, Pete Townshend—have been "feel" players, obviously all entirely different from each other and from Joe, and Joe’s style of very fast, fluid, extraordinary bit of gymnastics on the guitar is not my normal listening pleasure. But I was astounded by his ability. He’s an extraordinary musician; there’s no question about it. I think he has two huge assets: He has an extraordinary ability to write very listenable instrumental music, which very few people in that genre do; and technically, he’s a genius. It’s extraordinary what he can physically accomplish. - - - -For this album I had to learn a different way of recording that was completely opposite from my usual method. Glyn wanted everything played live. With John Cuniberti or Andy Johns, we would usually overdub melodies and solos, and would brainstorm guitar sounds after we had our basic tracks. We would work on those tones for hours until we came up with something we thought was really fun and unexpected, and then we would go about overdubbing a performance. Instead, here I am in a live room with a couple of effects pedals plugged into a small amp setup, and Glyn saying, "Do it all live." I tried to explain that wasn't how I did things, but Glyn’s idea was, "Give me the whole Joe, all at once." He didn't want me to sit there and work on it because he felt it didn't need any more work. He felt there was no need to polish anything beyond the first or second take. So, I had to come up with something on the fly for each song. On "S.M.F." I had to play my guitar and harmonica simultaneously, live! That was a first for me. - -Glyn saw what I was going through. Every song that we finished would turn out so different from what I had expected. I kept waiting for that solo moment like in "Surfing" or "Ice 9" or "Summer Song," and it wasn't happening. We were making an entirely different kind of record. - -Glyn took me aside once and said, "It’s not your job to decide what people will like. It’s your job to play your guitar." So while there were times when we would celebrate what we got in the studio, there were definitely other times when he had to pull me aside to keep me motivated. He'd say, "Believe me—it’s going well. You're doing great. It’s going to happen. Just keep moving forward. Don't rely on what you used to do." - -Glyn would encourage me to go even further away from where I'd been, to work further from my comfort zone, because he saw something else in me. He saw the method of me overdubbing, and critiquing myself, then doing another twenty takes on a track as an obstacle to artistic growth. He'd say, "You've done it. You've already done these stunning albums that will be great forever. All these records, why do them again? Now you need to move on and do something else that will be equally outrageous, and the only way to do it is to do it." It’s the most obvious piece of advice, but it is very often the hardest thing for an artist to fully embrace: to do something completely different. No artist wants to stumble, certainly not in front of their audience, but sometimes that’s what it takes. - - -Glyn Johns: Hearing Joe play was jaw-dropping! The one thing that I remembered more than anything is that we would do a take that we would all feel completely stunned and blown away by, and Joe would come in and hear in his own performance—not necessarily in anybody else's—all kinds of things he wasn't happy with, but to me it was all completely stunning. That was a little bit frustrating from my point of view; however, obviously I bowed to his better knowing—it was his record and he was judging his own performance. I might argue with him and point out that we all thought it was really good, but if he wasn't happy with something, of course we'd go and do another take. It wouldn't be a matter of him replacing his part; it would be a matter of everybody going out and doing another take. There’s no problem with that. You never know, and you have nothing to lose. - - - -Each time we played, Glyn got unique performances out of each of us. We were improvising and thinking fast on our feet. We had to react to changes that the other musicians or Glyn would throw at us, which happened a lot. We'd finish a performance, and someone would say, "Are you going to play that? Because if you do, then I'm going to change my part like this," and Glyn would come out sometimes and say, "It sounds great, you've done it, let’s move on," or he'd say, "I'm not happy. Where else can you guys take it?" - -With "Down, Down, Down" for instance, we did three heartbreaking takes, then broke for lunch. It was an emotionally heavy song to dig into and perform repeatedly. When we came back and listened to what we had played, everyone was like, "Wow." That was the first time I turned to Glyn and said, "I had no idea I could ever sound like that." There’s so much personality in the performance, yet it’s so naked and unadorned with effects of any kind. It’s my JS Black Dog going into a Wells amp coming out of a Marshall bottom. That’s it. Originally I was thinking of a more produced version, but Glyn saw the heart and soul of the song and said, "Do it stripped down and at a slower tempo. It will be more emotionally powerful that way." He was right. - -The first ten days of recording, we did "Cool #9," "Down, Down Down," "S.M.F.," "Home," "Moroccan Sunset," "Slow Down Blues," "Sittin' 'Round" and "Killer Bee Bop." They were amazing sessions. As I listened back to the music, I heard some great moments where it felt like I'd grown light-years, right there on the tape. On every song, I heard a new side of my playing, a new facet to my musicianship. - -I had actually started the record a year earlier with engineer/ producer/drummer Eric Valentine. After returning from a tour playing with Deep Purple in the summer of '94, Eric and I recorded the beginnings of "Cool #9," "Look My Way," and "Luminous Flesh Giants," and finished a song called "Time." "Time" was a big, sprawling composition that John Cuniberti and I had started recording during the Surfing sessions back in '87! Eric and I finally finished and mixed it at The Site in 1994, but Glyn wasn't keen on including it on the record because he thought it didn't fit stylistically. I thought it was the best thing I'd ever done! Oh well . . . It eventually found a home on the Crystal Planet album, where it fit perfectly. - -A second set of sessions with John Cuniberti in early '95 would yield "You're My World," "Look My Way," "Z.Z.’s Song," the start of "Home," part one of "Slow Down Blues," melodies and solos for "Luminous Flesh Giants" and "Cool #9" (version one), and some other pieces that would take even more time to mature. So by the time the project landed in Glyn’s lap he had a lot of material to sort out. - -When we started the last set of sessions, Glyn said that when we were done recording, he wanted me to write one last song that summarized my experience making the album. I wrote "If" as I was driving to The Site for the last band session. When I got to the studio I sat down with guitar, pencil, and paper, sketched out the song, showed the band, and then we recorded it on the spot. I'd never done that before! It was all part of Glyn’s plan. - - - -Eric Valentine mixing "Time" at The Site in '94 - -PHOTO BY JOE SATRIANI - -When Glyn was mixing the record, I remember being shocked: only seven or eight active faders on the desk, and none were labeled! Nothing labeled "Kick drum," "Guitar," "Bass," et cetera . . . Only Glyn knew where everything was. Aside from the few faders, he operated a little reverb/delay unit sitting on his lap, and that was it. That’s how he mixed the record! It was both fascinating and frightening. To be honest, mixing that record was one of those things I couldn't be there for. After mixing records with John and Andy, meticulously adjusting tracks and effects for hours, moving things up 2 dB here and 1.5 dB there, I was ready to step outside the studio while Glyn mixed because I was getting a little toasty around the edges. I can see it when I watch Reel Satriani, the documentary we filmed about recording Joe Satriani. By then, I was just beaten down by the whole experience. - -Still, the way that the recording sounded coming through the speakers was a revelation to me. What I had heard from Glyn’s work with all of my guitar heroes was the artist’s performance exploding full of personality, and he brought that to this record. The process of making the broader album was in fact a growing period for me, and that’s exactly what Glyn had promised. He was trying to get me out of my old skin and into a new place, and he was always confident that when I landed there, I was going to want to make that new thing part of who I was. - - -Glyn Johns: I was very happy with the record when it was finished. As far as I remember, he was very pleased with it when it was done. He didn't seem particularly enamored with it while we were doing it, but at the end of the process, when we'd actually finished, he was very pleased. I think Joe liked the record when we finished it, but let’s put it this way—he’s never gone back to that way of recording. - - - -Each time I record, it’s not like I've got a band that I'm always touring with that can just pop into the studio for a week. The process of going in and recording live before we've had a chance to play the music, and before I've played with those musicians, didn't make any sense to me at the time. - -Unfortunately, the documentary Reel Satriani captured only the last two days of recording at The Site. It made for a good, gritty, Let It Be type of film, but it hardly scratched the surface when it came to telling the whole story. The album actually contained work and performances from four different producers and four different rhythm sections, and took a year of recording at three different studios! In the end, though, it was well worth it. - -The week that the Joe Satriani album was released, my longtime label, Relativity, was absorbed and then dismantled by Sony, and we struggled to get the word out on the new record. Retail would call for a box of Joe Satriani records and there was literally no one answering the phone. It was a disaster because it was a very important record for me and I got no support from the label in the States. Still, in places like the United Kingdom, the record was a smash. We played London’s Wembley Arena on the record’s subsequent tour! I think anyone would feel validated playing a place that size. I felt overwhelmed that a record that was such a risk to make was being embraced by a new wave of fans around the world. - -A funny side note: Mick Jagger came to hang out and watch the Wembley show in the fall of '95. While we were playing "Moroccan Sunset," he moved from watching us at the mixing desk to the side of the stage, and during the song’s breakdown I actually got him to strum my guitar a few times, and it rang through the house as we reentered the song. No one saw it. It was a cool, private moment in a very public setting. Mick was strumming my guitar, and it was reverberating through the arena. It was one of those "Oh, wow" moments for me: "Mick Jagger is strumming my guitar on 'Moroccan Sunset.' How did I get here?" - - - - - -CHAPTER 14 * * - -G3/Crystal Planet —1997 - - -"A dream come true for guitar fanatics." - -—Billboard magazine - - - -Even after all the success I was enjoying as a solo artist, I was beginning to feel a bit isolated from my peers. I had to remedy the situation, and from that simple desire to play with other guitarists, G3, my own little mini-festival, was born. In a phone call to my manager, Mick Brigden, I asked, "What if I toured with two other guitarists, then jammed with those two players at the end of each show?" That way I'd get to jam every night with players that I'd handpicked! Why three players together on one bill? If we had seven guitar players, we'd never find a promoter to take on that many guitarists playing on one night, and no artist would sign on to the tour to play for only ten or fifteen minutes, so we had to figure out what length of time would be attractive for the artists. Forty-five minute sets for each band was key to making the show work to everyone’s advantage, especially the fans'. You'd also have to leave time for a jam, because the audience is really waiting for that. That’s the big climax. Mick soon came up with the name G3, and then the real work started. - -Once we'd settled on the concept of three stars, Mick asked me, "Okay, who do you want it to be?" and I instantly said, "It’s got to be Steve Vai and Eric Johnson." The role of getting players to sign on fell to me. I had to call Steve and Eric up directly and talk to them over and over again about why it was a great idea. We worked on them for months. It took a very long time to convince them, their management, and the record labels that competition would not be an issue, but I knew in my gut that the audience would love this show. I'm sure Mick spent just as much time talking to their managers trying to get those guys to agree, because up to that point, there was a very well-organized music machine with rules like "don't play with your competition." - -Concert promoters were a bit reticent to have three headliners play on one night, in one venue. Not only was it expensive, but it put a lot of their eggs in one basket. They felt audiences would prefer to see me in March, Steve Vai in April, and Eric Johnson in May. That way the audience would buy tickets to every show, and if there were a problem, they'd have spread out the risk on three different nights rather than one night. It would have been a dream for me to see Jimi Hendrix, Jeff Beck, and Jimmy Page all on one stage together in a G3-like setting. It would never have changed my mind about who was better or whom I liked more. So we had to convince everyone to forget all the rules about competition and risk, and take a leap of faith. - - - -Me, Steve, and Eric at a photo shoot at the Capitol Records building in L.A., '96 - -PHOTO BY NEIL ZLOZOWER - -The other cool thing about G3 was that we weren't out there just promoting our new albums and playing our new singles. It felt more like a rock 'n' roll victory lap, celebrating our musicianship, our camaraderie, and the genre itself. And at the end of every show, the audience responded so positively to the fact that we were all just standing there on the same stage together and trading solos back and forth, improvising with our guards down. We felt their excitement and it made every show better and better. - - -Steve Vai: G3 is a celebration of the beautiful guitar by people who love the instrument and have devoted their lives to it. Joe has put great care and attention into making sure that the musicians who take part in a G3 tour have something valuable to offer an audience that loves the instrument. I feel tremendously grateful for its success! - - - - -Mick Brigden: There’s no way any of our promoters knew what the results would be; they were going off our energy to tell them to trust us. Plus Joe was strong enough on his own to be able to put numbers down where we weren't going to come out looking bad either way. But its success actually went way beyond what we thought. I absolutely have to say, I would NOT have been able to imagine that what happened that first fall of '96 was going to be as successful as it was. The very first shows of the tour sold out right away, so we were blown away! - - - -Standing next to other guitarists playing really well night after night, you can't help but notice similarities and differences with your own playing. You marvel at what they do and also realize how different you are as a guitarist. I think I began to know more about myself as a player as I was going through those first six weeks of the G3 tour. - -Back in the States, after our G3 Euro Tour, I was now signed to Epic/Sony and had John Kalodner, the legendary A&R man, as part of my team, along with Mike Fraser, my new engineer/producer. Kalodner had worked with Mike quite a bit, and he brought him in for the G3: Live in Concert project. John was very keen on us using Mike for the next studio record, too, and since we already liked working with him, it seemed like a good idea. I was excited to see where this new producer was going to take me. - - - -Digital editor Eric Caudieux checking a mix from the G3 live show - -PHOTO BY JOE SATRIANI - - -Mike Fraser: Joe and I go back to the eighties, when we had first talked about doing a record together. It just didn't work out timing-wise for us. Then we ran into each other again at a live show, and said, "Hey, we should do something together." Joe explained his G3 concert, so I went out and recorded and mixed it, which sort of launched us into working together on Crystal Planet. We just wanted to make a really good band record and bring him back to his instrumental roots. Up to that point, he'd experimented a lot with singing and vocals. CP was one of the first records in a while where he'd returned to the instrumental part of it without worrying about vocals. The focus was on getting a really solid band thing with Jeff Campitelli and Stu Hamm, a three-piece thing, and later on we added the keyboards and all that. But essentially, the nucleus of it was a three-piece. - - - -Although not a musician himself, Mike Fraser is very musical and good at coming up with melodic, harmonic, or rhythmic suggestions. He might say, "Maybe a higher harmony," or "Maybe a more relaxed groove." His ideas are based on his own natural musicality. - -As my new producer, Mike was looking back over my catalog and said, "I'm going to respect what you've done before, but what can we do that will move you into a new territory? Why don't we see what we can do with capturing more energy?" He was really keen on capturing the energy and creativity of the unit—me, Jeff, and Stu—and then bringing in my overdub ideas on top of that. I was trying to create live melody and solo performances that were keepers, too, and the effects were really part of each song’s personality, so I had to treat it like a live show as we were tracking. When we got into the studio, we were able to set up like a live trio, and we would do just six or seven takes at a time. Everyone was encouraged to expand their own performances with each take to see just how interesting we could get. - - - -Playing Chrome Boy at The Plant in '97 - -PHOTO BY NEIL ZLOZOWER - -The influence of my son, ZZ, was everywhere on Crystal Planet, starting with "Z.Z.’s Song." I recorded that particular piece of music back during the previous record’s sessions, which turned out to be the eponymous album. - -On that session I had all of my amps set up in a line in Fantasy’s Studio C. There must have been eight or ten amps set up, and I think I was plugged into a JC-120, a Marshall 6100, and my Wells amp. In the end, John wound up using the Wells amp, and the JC-120 in stereo for ambience. It’s just a live recording of me playing, with John miking everything up. Technically, it was a very delicate but fun piece to perform. I used to play it for ZZ through headphones I would place on my wife’s belly before he was born. I don't know whether he liked it or not, but we used to feel him kicking! - -We moved into our new house on the day ZZ turned four. A few days later we were on the G3 U.S. tour. That was his first time going on tour. My wife was with us, too, so the three of us were traveling together as a family. I shared so many experiences with ZZ on that tour that it was natural his influence would be felt on Crystal Planet. One day we were looking out the window at a series of clouds. ZZ pointed up and said, "It looks like a train of angels." I remember thinking, "That’s just the coolest phrase I have ever heard," and I wrote it down. - -Kids that age say stuff like that every day. One day, when asked if he needed anything to drink, he said, "I just need a piece of liquid." I felt like if I was going to use "A Piece of Liquid," "A Train of Angels," and "Psycho Monkey" (another of his offerings) as song titles on the record, I should give him proper writing credit. It really is like a never-ending muse when you see a child with his or her mind developing in leaps and bounds—it’s fascinating and at times funny the way they put things together as they learn how to express themselves. - -The title track of Crystal Planet came from a book I was reading to him. It was a science book and in the first paragraph, it said something like, "We live on a crystal planet." I remember looking at that phrase and thinking, "That is a great way to express what it is I've been thinking," because this new record was going to be about the underlying structure and the beauty of music, but I just hadn't quite thought of the title yet. I hesitated to use the phrase for a while because I thought people would think it was another album from me about aliens or outer space, but to me, it suggested something much more organic and down-to-earth. - -I started writing more material for the next record after the G3 tour. I keep notebooks from all my previous albums of all the music and production ideas. Everything’s written down, even where to put sound effects. - -One thing I did differently for Crystal Planet was to not make any recorded demos. When I sat down to write, I had my guitar (though it wasn't always plugged in), a metronome to get the tempos and keep me focused, a notepad, and a pencil. Then I'd write out the song and the chord sequence, writing little notes about what I thought the song could sound like. So the first time Mike Fraser and the band heard the songs in full form was when we played them live at rehearsal. I didn't want them to be influenced by a drum machine demo. I thought that maybe that was what had been so difficult on previous sessions, getting musicians to make that leap from the demo to what a song should sound like when a band plays it. - -Mike and I thought it would be a great idea if we rehearsed first, and I wanted to see if he could capture our sound the way he did on the G3 recordings. So for a week, Stu Hamm, Jeff Campitelli, and I rehearsed Crystal Planet, and everybody got to take tapes home. By the time we pulled into The Plant to record the album, we were well rehearsed and ready to rock. - - -Stu Hamm: Making Crystal Planet was a good creative process, I had some great bass tones involved in that, and great grooves, and we'd been on the road for a while, so it was good to get in the studio together. I think it’s great to bring in different musicians to motivate and inspire you, and after a while, Joe knew so many different musicians and what they did that he was able to write for specific players. He knew that in this or that particular song, a musician’s going to be able to come in and add what he was looking for to get a spark, and maybe find something in a song that he hadn't heard initially. We would always record as a band for Crystal Planet—that's the essence of any rock record, because, believe me, in the final product, you can hear when there’s a rhythm section actually playing and working up a sweat and looking at each other and communicating, versus studio musicians trying to play the part effectively and correctly according to the chart. - - - - - -Jeff Campitelli, me, and Stuart Hamm at The Plant in '97 - -PHOTO BY NEIL ZLOZOWER - -For Crystal Planet, my original Peavey 5150 amp got the most use, along with my Marshall 6100, a Zoom headphone amp, and the rack-mounted SansAmp. My Ibanez Chrome Boy, Black Dog, and assorted JS1000s saw the most action in the guitar department. On a few songs we would add a vintage '58 Stratocaster, a '58 Les Paul Jr., my '58 Esquire, or even a Flying V, just to expand the sonics a bit. - - -Mike Fraser: I usually mic each of Joe’s cabinets with a 57 and a 421, and then I'll put a 414 just somewhere nearby the cabinet, but in the room, just to kind of capture some of the room sound. With Joe, I'm working to get sort of silkier guitar sounds as opposed to aggressive, brash, rocky guitar sounds—they have to be a little bit more fluid sounding, which requires a slightly different approach. I still mic him generally the same as everything else, but it comes down ultimately to what Joe’s playing—if he’s running it through some chorusing effects or some delays, we will change his amps up a bit to get his tone singing a little more as opposed to jumping at you. - - - - - -Producer/engineer Mike Fraser at the console, The Plant, '97 - -PHOTO BY NEIL ZLOZOWER - - -With Joe’s sound, you have to take a little bit more care with things, because a lot of that sound we're looking for would come from the amps, so we'd start there and play around with how much distortion he wanted to have on the note. Because obviously, the more gain you have, the better the sustain, but then the note gets a little bit crunchier, so it’s not as silky. So there was a lot of balancing between how much gain to get that sustain, but at the same time we kept the sound smooth and easy and would play around with different levels of mid-range, boost, and all that stuff. And then sometimes I'd have to go and adjust my mic placement a little bit so it’s not right on the cone of the speaker, which would get a harsher sound. Then if you pulled it off the cone, it got kind of a more mellow sound, so it was a matter of finding that combination. But once we found what would work great within a track, depending on how thick that track was with other parts, it went pretty smooth. We knew where we had to go with the amp settings to get this tone, and Joe would add maybe a couple of pedals on to help push that tone to that direction. - -Joe would usually say, "Okay, let’s try this out," and at the end of the first pass, sometimes I'd say, "Hey, in the second verse there, why don't we try doing this?" and he'd give it a try, and as we tried that, we might stop and agree, "Yeah, that didn't work. Let’s go back to how you originally did it." So that process was ongoing as we were working on the album, versus being something that was sort of preplanned. Joe’s open-minded to any suggestions, but he does have an idea of tones and how he wants a particular guitar to speak and what voice it has. He had a pretty good idea of what personality he wanted in there as it related to effects, but he’s always been open to ideas on how to best create that. - -Working with an artist like Joe, who doesn't have a singer, your role as a producer changes in terms of what you pay attention to because there’s a lot more guitar layering. So there will be some rhythm parts put on there, and then the melody/ lead guitar sort of becomes the vocal. We had to make sure with each sound of the guitars that they were not going to keep building up the sound on top of each other. To do that, we had to make sure they left room and space for the other guitar parts to work, and for that melody guitar to come up in the middle, front end of the mix and still really sing. - - - -It is my method to create a unique voice to play the melody. If a singer had a radically different song he was about to sing, an engineer would use a different kind of microphone, or surround the vocal performance with a unique set of equalization, limiting, compression, reverb, delays, and so forth . . . It all creates a vibe that eventually transports the listener and delivers that extra magic. The sound of the vocal also carries with it a message. Since I don't have lyrics, I need to put more emphasis on that sound to create a kind of "voice." Every song’s melody winds up with its own voice that is not duplicated on any other song on the album. I'm searching for that perfect tone that allows me to tell the song’s unique story. - -A good example of that process in play on Crystal Planet would be "Love Thing," because the lengths that we went to just to record that beautiful love song were insane. It took months, four or five different recordings, using different key signatures, and different musicians and instrumentation. We finally ended up using three acoustic guitars for the rhythms, all tuned to an open E. I used my 1948 Martin 000-21 that had had its intonation adjusted by Buzz Feiten, specifically for the open-E tuning. - -Another new approach we explored on Crystal Planet was digital editor Eric Caudieux’s involvement in the tracking. Since I was trying to add "techno" elements to the sound and feel of the record, I asked Eric to work up some techno versions of the songs using loops and that sort of thing. We then would monitor those backing tracks in our headphones as we recorded our "real" performances. Crazy idea, but it worked: We were energized by hearing all that extra musical information in our ears as we explored each take. Eventually, we used a very small amount of those modern textures in the final mixes, but their effect was evident in our performances. The song "Raspberry Jam Delta-V" is a good example of the synergy we accomplished with this approach. - -As we wrapped up tracking on "Crystal Planet," John Cuniberti had just finished refitting the new Coast Recording studio, which was a large facility originally operating as the San Francisco Recording Academy. John put a Neve console in the control room and it sounded so beautiful! Upon returning from our G3 Euro Tour we were able to book time in the studio and commence mixing. The studio itself had a lot to do with the sound of the album—it’s very fat and "Neve" sounding. I told Mike I wanted this album to sound really great on headphones, too, so we were listening to every mix carefully through speakers as well as using the headphone amp in the Neve console, which was a fun way to mix. - -No matter what the techniques I've highlighted on a studio album, I've always done my best to keep them fresh and updated. When I look back on Crystal Planet now, of course, it’s 2014 and I just can't believe we got it done! And I'm so happy we stuck to our artistic guns, so to speak, didn't change anything, and just followed our creative impulses and made the record we wanted to make. Because when all the dust settled and the anxiety of the moment was behind us, the record stood tall on its own artistic integrity. - -I should also mention that in early 1996, I decided to shave my head while we were on the Joe Satriani tour. I'd appeared that way on the subsequent G3 live DVD, but the Crystal Planet album cover was my first studio project to be promoted with that new, bold look. It was a moment of reinvention, and an interesting way to announce the next stage of my career. - - - - - -CHAPTER 15 * * - -Engines of Creation —2000 - - -"Engines of Creation . . . blended electronica with rock guitar elements without losing that characteristic Satriani sound." - -—Premier Guitar magazine - - - -After Crystal Planet, I was coming out of a whole period where there had been a lot of live work, so I was personally feeling, "Okay, after all that, I've been about as live as I want to get for a while. What can I do that’s totally different?" I wanted my next record to represent the ULTIMATE radical shift in terms of how my audience heard my music. - -The millennium was coming and the big question was, "What’s going to happen?" I saw that society was shifting to an online life in a HUGE way, and I wanted to do something where I felt like I was jumping into the future, and part of that had to do with thinking that I shouldn't record in a studio or even with a band. I approached Epic/Sony with three ideas for the next album: a "classical" record with my guitar on top of an orchestra, a straight-ahead rock 'n' roll record, or a techno record. I had enough material written to get moving on any one of those ideas. - -Sony said, "We'd LOVE a techno record," and that felt like the right direction to head in to me as well. My new coproducer/ engineer, Eric Caudieux, and I decided as part of that departure to record this album entirely "in the box." In other words, we'd do it all on Pro Tools in his living room: no studio, no other musicians, we were going to do it all ourselves. It was exciting! First of all, Eric was a fantastic guitar player and a composer himself, so it was really great to work with a musician of his caliber who could understand exactly what I was going through, from my fingertips all the way to what I was aiming for compositionally and conceptually with the technology. - - -Eric Caudieux: When Joe and I started writing together for Engines of Creation, there weren't many loops involved, so I composed the beats that you hear on the record. It was pretty much Joe’s music that dictated what I did, and the ideas for the beats would come when Joe played me his demos or something live in my living room. For instance, with the title track, I remember Joe played me the arpeggio part on the guitar live, and I came up with the rest based off what he played. - - - -A good example of our writing process for that album is the song "Borg Sex." I gave Eric a drum groove with a completely atonal keyboard improvisation on top. There was no guitar on the demo! "This is about a female and a male borg having sex," I said to Eric. "This is like conversation, foreplay." That was all I had. Eric said, "Whoa, how do we get this thing going?" - - -Eric Caudieux: That song became one of my favorites from the record, and was probably one of the first one or two that we did as well. When we started that track, we had no clue where we were going, because it hadn't been done before as far as I can recall, for a rock musician to do a song like that. With "Borg Sex," I remember Joe gave me a melody line, and I remember just taking that and doubling, quadrupling it, putting it out of phase and then putting it back till that melody line opens wide and makes you feel funny in the stomach. I knew I wanted a ton of dynamics, because usually you hear machine music and it’s just one thing that goes from top to finish, and that’s about it. So I wanted basically a machine record that sounded live, and I had so much fun with that one. - -The studio was in a house right in Laurel Canyon. There was a gigantic living room with crazy tall ceilings where I put all my gear and setup. There was a tracking room for the drums upstairs, which we didn't use because everything was machines, and I had a tracking room for the amps, which we didn't use because again it was all in the box, but we worked in the living room primarily. I had set it up that way because I'd always thought the problem with any studio for anybody who collects gear is not having the gear right there: when you can't look at it, you forget about it. I also remember I'd gone out to IKEA and they had a shitload of shoe racks, small ones for small shoes and big ones for big-ass boots. Since we had small pedals and big pedals, I placed them accordingly so you could literally look at them all, grab whatever pedal you wanted, and try it at any time. It worked great, and there were loads of amplifiers used, just no speakers—we had amplifiers galore. - - - -I remember Eric’s living room was completely taken over by every kind of amp and pedal you could think of. He had purchased a couple of hanging shoe racks, except instead of shoes there were effects pedals inside each compartment. I was like a kid in a candy store! This alternative recording environment gave a boost to our creative approach to each song. On "Borg Sex," for example, we put together the strangest combination of effects pedals just to see if we could get the guitar to be the "male borg." Then we'd set up another configuration to be the "female borg." We were making it up as we went along, with Eric encouraging me to just freely improvise. Anything I played was going to be saved and we could manipulate it in any way we wanted. If anything, we had a bit too much freedom, but we were sort of intoxicated with this idea that we were not recording a conventional album. We were fully embracing the idea of recording and mixing "in the box" without any other musicians, in a living room in Laurel Canyon. - -The sessions were so different from the way I usually worked. Sometimes we'd create right in the moment, and with other songs, Eric would ask me to leave him alone for three days so he could construct the drums, bass, keyboards, create original samples— anything we had discussed that was going to be the "band" around my guitar performances. He encouraged me to trust the process because he knew my history was to record in a more conventional manner. He kept telling me, "It’s gonna work, you'll see." - - - -Eric Caudieux’s Studio City living room filled with amps, guitars, and keyboards in '99 - -PHOTO BY JOE SATRIANI - -Because Eric was a musician, he could listen to a demo of a song, then create a version of that song electronically. That’s when he was ready for me to listen. I'd fly down, plug in my guitar, and start to record over his grooves, keyboard pads, and bass lines. We had Neve preamps, a GML mic pre, and a '64 Fender Bassman head that wound up being used 50 percent of the time. My guitar went into an amp, which would then go into a Palmer speaker simulator, and from there into a Neve mic pre, and from there right into Pro Tools. Sometimes we'd use a Hafler Triple Giant, which was a 4-channel guitar preamp. You hear a lot of that on "Borg Sex" in the intensity of the distortion. - -Most of the time, I used my JS Chrome Boy and Black Dog guitars. We also used a '58 Fender Strat quite a bit. As far as pedals, we were using the Electro-Harmonix Micro Synth, Dunlop Cry Baby wah-wah pedals, Fulltone pedals, and the DigiTech Whammy pedal quite often. - -As we started seeing these ideas come to life, I started to realize how much flexibility is inherent in that kind of creative process. It changed my whole approach to tracking. For instance, there was no reason to put down guides like you usually would for a drummer or bass player, just to give them an idea of what’s going on in the song. I realized that I could make it up as I went along. I would come up with twelve different performances in one afternoon and each could be going in a new direction. We could have a Brazilian approach, a techno approach, a heavy rock approach, and a blues approach, and we could just sit back, relax, and pick or combine the ones we thought sounded the most interesting. The difference was, when you have a band in a studio and it’s costing you $4,000 or $5,000 a day, you'd better have your mind made up about what you want people to play. Here we had removed the element of time and money from the recording process, so I wasn't paying to record an album by the hour. I didn't have to settle on a band’s performance each afternoon. We could build the tracks over a period of months, changing them and letting them evolve, which was fantastic. - -Compositionally, each song was built differently. I'd decided to work with a new piece of gear this time around, the Kurzweil K2000, a digital audio workstation (DAW) keyboard with these beautiful sounds in it. I'm not a keyboard player primarily, but whenever the mood struck me, I would turn that keyboard on, push RECORD, and just improvise. The DAW made it so easy and fun, so I started to use the keyboard as a writing tool for some of the songs, especially "Borg Sex," "Until We Say Goodbye," "Champagne?," "Attack," and "Slow and Easy." Some of those keyboard performances wound up on the final recordings, too. Once I realized how simple it was, I could email Eric a MIDI file that he could open up and assign almost any sound to it he wanted. I could also send Eric a little audio file to cue him to the kind of sounds I was looking for. - -The album’s title, Engines of Creation, came from skimming an article in Time magazine. At one point, the writer paraphrased K. Eric Drexler’s book title, Engines of Creation, in his piece. Unaware that it was Drexler’s book title, I wrote it down in one of my production books. Months later I came upon it and realized I had to write a song around it. I just thought it was such a beautiful phrase, and it was the perfect title to represent this trance/techno record I was working on. - - -Eric Caudieux: I composed beats for the record based off the moods of Joe’s original compositions, so if a song was more joyful, then the beat would be more that kind of upbeat thing; if it was a little more mournful, then we'd go more for that kind of vibe. With that album, we did all the little tricks you could do in the box at that time: doubling, tripling, quadrupling, anything you could get to create the thickness, the detuning stuff, sticking it left/right, and creating that weird out-of-phase what-the-hell-is-going-on kind of vibe! - - - -When we were putting beats together for the record, I was experimenting with different ways of getting rhythmically inspired. We were using Eric’s own loops a lot and I was also experimenting with the sequencing software program Reason. We took advantage of digital editing to get away from the sound of just a guy playing his guitar in a studio. Everything had to sound edited to a degree. So if I was going to play rhythm guitar, Eric was not going to ask me to play something for an hour; he would instead ask me to play something for thirty seconds and then we'd go and make our own sample from my performance. That way, the repetition would have an effect on the overall sound and vibe. Then I would perform the solos and the melodies in the traditional way. Those would be the live elements, but we wanted the background tracks to have that sort of cut-and-paste, looped quality to them. - -"Devil’s Slide" was a great example of machine gun-style synergy between the rhythm track and guitars. On a rock record, the ensemble parts would be a lot looser, but I wanted to make it sound completely automated. So Eric would trim and edit each guitar harmony part, so together they would be completely diabolical sounding. We wanted the guitars to be one with the automated loops. That meant everything had to get chopped into pieces so it sounded very robotic. - -With "Attack," the entire track was recorded on my K2000 first, and then the architecture of it and some of the sounds were transferred to the master template in Eric’s Pro Tools session. We'd synched Pro Tools and Logic together on two separate machines. The challenge for us was to see how we could create a guitar sound that could mimic the keyboard sound. We used a Moog Moogerfooger filter pedal for the main effect, then used either the SansAmp, the '64 Fender Bassman, or the Hafler Triple Giant. It was something that was just an entirely different way of saying, "This is a melody—dig this!" The juxtaposition of the song’s sections is quite unusual in that I'd written this dreamy breakdown piece that was used for the solo. I was thinking that in the middle of a fierce battle, there’s a moment when time seems to stop, or go into slow motion, and the warrior is having a moment of clarity, a moment of spiritual searching of some kind. I wanted that breakdown to suggest some sort of dream state. - -In a completely different way, with "The Power Cosmic 2000— Part II," my approach in that solo was something that mystified even Eric at the time. "What are you doing?" he asked me. "I can't follow this." There was a chord progression in my head, but I didn't want anybody to hear it! I kept changing the scales that revolved around the key note of C that had this techno-bass thing going. I was playing five or six different scales but changing them deliberately at certain times. That was something I hadn't heard anybody do before in the context of a trance/techno song, and certainly I hadn't done anything like it on any of my records before. - -The idea behind having "Parts I and II" was to complete something I'd recorded for a Guitar Player Soundpage back in 1987. The original "Part I" contained the main chord progression played as cascading, eleven-note arpeggios, with no melody on top. I updated it and composed a melody to be played over the main chord progression. I wanted to write a more futuristic-sounding "Part II," so I started with a loop on Reason and sent that off to Eric. We then used the loop as the driving force underneath the melody and chord sequence of "Part II." Once Eric had laid out the song’s master template, we "flew in" my cassette demo’s melody, recorded with a Zoom, for the new "Part I," then added melody and solo guitars over the new sections. The new guitar sounds on that were created using a Fulltone Ultimate Octave pedal, and two Whammy pedals as well, one going an octave lower and one an octave higher. It’s one of my favorite guitar tones. It’s just so beautiful and complex. - - -Eric Caudieux: "Power Cosmic Part I" was different from the rest of the album because the melody was on a cassette that Joe gave me. The big challenge with this one was that he told me he could never repeat it, with the sound he'd used. I took the cassette, cleaned it up a little, and just programmed some stuff around it for "Part I." For "Part II," we were working with a different challenge entirely, because the solo was three different parts that he played all at once: one Whammy up, one Whammy down, all going through Neve mic pres, and the guitar going directly distorted through a Neve mic pre. For the solo in "Part II," he played one solo, then another. By the time we got to solo number twenty-five, we wound up listening back to the first solo he'd laid down, and it was beautiful and wound up being the keeper take. - -Throughout the recording of Engines, what we were doing was manipulating in the box all those guitars and whatever sounds we had. That was basically the cleanest path to be able to work with the sounds that Joe was giving me, going DI, or in the case of the amps, we'd go to the load box, into a mic pre, into the computer, and that would give me the cleanest path to basically go either to a synth—the Korg MS-20 or Minimoog—or into the computer to affect it even more with several plug-ins I had to completely change the sound. So that’s why it was so important to have the sound as direct and pure as we could. - - - -I was very happy with the album as we were finishing up. I felt we had really made something "new" and creative. But I knew once we took it out on the road to play for people around the world, a big transformation was going to have to happen. I had no intention of going out with a DJ or something like that, but I thought the album would serve as a springboard for doing something totally different with the songs live, which was eventually captured on Live in San Francisco. We did rock-band versions of the songs "Until We Say Goodbye," "Devil’s Slide," and "Borg Sex," and they became "new" again, and were just fantastically fun to play in front of an audience. - - -Eric Caudieux: Once we hit the road, the transition to the live stage was really, really easy. What we had to decide was: Do we want to recreate the stuff we did in the studio, or do we want to play as a band? And once the decision was made that we wanted to play as a band, it was easy because everybody played their part and that’s just about it. Obviously the bass played the bass line, and Jeff [Campitelli] had to figure out what the vibe of each song was, and since it was just one guitar, bass, piano/keyboards, and drums, we just played the parts that were needed naturally, so it was far easier than you might think or expect. - -One I'll never, ever tire of is "Engines of Creation," because Joe stays—from a musical standpoint—basically on one note that still has so many different melodic and harmonic variations on that one drum-bass note. Also, if you listen to it, you go through the cycle, but there’s never any conclusion to it, you just want it to go on and on and repeat itself. And every time it comes back, it makes you feel happy—you know it’s coming back and you want it to—it grabs me. The music itself really, really grabs me. He plays those arpeggios over and over, and it doesn't resolve—that’s what it is, I LOVE music that doesn't resolve! - - - -When Engines finally came out, there were techno fans who started listening to me for the first time, with this record. When they went back and listened to Surfing or Flying, they'd go, "Ooh, what the hell is that? I like this Engines of Creation guy, whoever he is . . ." And it was very interesting. The same thing happened with the 1995 eponymous release—some people thought, "Finally, he’s made something I can listen to," and others thought, "Hey, it’s not Surfing with the Alien or Flying in a Blue Dream . . ." The Extremist did that to a certain degree as well, in that some people missed the drum machines from the earlier records, and others said, "Finally, a record of Joe’s with real drums on it." - -What I learned from Engines is the same thing I knew other artists had learned when they changed directions: You gain some new fans, you lose some old ones, and there’s a dedicated core that appreciates how cool it is that you tried something they weren't expecting. An artist is not supposed to second-guess his or her audience. It really leads to disaster. Just do what you do. Be happy when they like it and move on when they don’t. - - - - - -CHAPTER 16 * * - -Strange Beautiful Music — 2002 - - -"This album is one of his best." - -—UltimateGuitar.com - - - -Strange Beautiful Music was the first record I made using Pro Tools at home. This allowed me to overcome specific problems I had with demos made on cassettes and laptops, or just writing things on paper. It was a creative renaissance for me. By demoing straight into the computer I could easily pull up and listen to every session I was working on for the record in a matter of seconds. This gave me a clearer understanding of where I was heading with my new music, and it was so much fun! On top of that, each performance could be a potential "keeper" track. - -My producer, John Cuniberti, set me up with the Millennia Media Origin SST-1 mic pre, which included an optical compressor and a parametric EQ. This allowed me the flexibility to record keyboards and bass, along with direct guitar, and to reroute stuff that was done directly. If I wanted to use a real guitar amp, I would run it through a Palmer speaker simulator instead of a speaker cabinet, and sometimes I would run it through the Millennia for effect, too. Other times, I would just go directly into Pro Tools. - -This may sound too technical for some, but for me it’s exciting to share how much more flexibility Pro Tools gave me. I could finally record music all by myself and work without looking at the studio clock, thinking, "Damn, I have to move on to record the bass now." Or not being able to spend any more time on the guitar because the budget won't allow it. The biggest upside of recording at home without a schedule was that if I sat down to do a solo and was not into it, I could just put the guitar down and walk away. - -On another level altogether, my home studio offered an important refuge from all the chaos going on in the music business at that time. I remember a lot of people were fired from Sony during the Strange Beautiful Music sessions, and being able to record whenever I wanted at home helped me focus just on the music itself. Not having to worry about a budget also let me be so much more creative in how I constructed each song. - -I could sit in my studio and keep working on the music, go outside and mow the lawn, go to the market, for a run, or to the beach, then come back and work on the song some more. I could record it in the middle of the night, early in the morning, in the middle of the day; musicians could come by and listen, and I could make my own rough mixes. There was no time and money hanging over my head, and I think that allowed my creativity to be truly unchained. - -While this approach made recording a lot more flexible and freed up money for other things, it also created challenges. My job in the studio was now to function as the record’s producer and engineer as well as the artist. Before, the way it would have worked is I would sit there recording a melody, and maybe John would have said, "Okay, that’s the best you got, Joe. We're done." Then we'd move on to the next song, never to return. Now I could literally record a million performances and never have to throw anything away. - -Digital recording isn't just about making something perfect, though. It encourages spontaneity, which in turn can lead to capturing "once in a lifetime" performances, and it did so throughout Strange Beautiful Music. A great example of that process was "You Saved My Life." I was focusing on my wife and my son, thinking, "Where would I be without these loved ones in my life?" And from there, I was deeply inspired and started composing and tracking right there at home. The end result was an ensemble of guitars playing the melody with changing harmonies. I had never done anything like it before, but it perfectly represented the story I wanted to tell. Having the home studio setup allowed me to be creative on a new, deeper level. - - - -Eric Caudieux explores early VR technology. - -PHOTO BY JON LUINI - -"Oriental Melody" is a song that has an interesting history. Back in the mid-nineties, I had a black-and-white Apple laptop that had a recording feature on it using its own microphone. I wasn't very computer savvy yet at that point, so I thought this feature was pretty unique! So back then, if I was in a hotel room without my recording gear and got an idea, I recorded it on the laptop. One day when I was working on modes, I played one I just loved, and I wondered why I hadn't written anything around it. So I came up with a riff and recorded just the riff by itself on that laptop. It was a small clip, just eleven seconds, but this little file followed me around with every new computer I had for the next six or seven years. I finally heard the clip years later and realized it used the Oriental scale, so I set about writing an entire song around that short piece of music and "Oriental Melody" was born. - - -John Cuniberti: Strange Beautiful Music was the first all-Pro Tools session I had done, and the first time Joe and I had made a record that was entirely in digital. I was faced as an engineer with how to manage twenty tracks of guitars once Joe brought them in. That, I think, was the challenge of this record, managing what he had recorded at home. Once Joe was ready to transition into the live studio, we set up at The Plant in Sausalito and structured the recording like the old days, where we would spend two weeks cutting drums and bass and rhythm guitars, and then Joe and I would spend another two or three weeks together doing whatever guitar overdubs he hadn't recorded at home that were still left to track. - - - -John has always been perceptive enough to notice when I've written a song that’s close to my heart. His approach would be, "What can I do to help enhance this creative experience?" When I'd bring in these unusual performances and tell him, "It may not be the guitar-through-an-amp with a Shure 57 on it in the big room that you want, but it is a performance I will never be able to reproduce," he would understand and respect that. That spirit was on every track of SBM and was part of what made it so different from the records we'd made together up to that point. - - -Matt Bissonette: When Joe called me up to come and play with him and Jeff Campitelli on this record, I of course said "Yes!" right away, and brought all my stuff up in my van from L.A. The day before we started, I remember being in downtown San Francisco, and I had fifteen basses in my van, just loaded up, and I turned to get up to the Golden Gate Bridge and my transmission blew out! So I had to be towed over the bridge and buy a new car the day we started, and I just remember thinking, "You gotta be kidding me . . ." - - - -Before that album, I'd never paired Jeff with Matt before, so I didn't know how it was going to turn out, but once they started jamming together, they discovered they both felt time very much in the same way, which was a great relief. They share a lot of the same influences, too. On Strange Beautiful Music, I gave them the freedom to improvise quite a bit, and that was very important to the feel of the record. I've always found that tapping into a player’s creative nature is where all the good stuff is. A good example of that is "Oriental Melody," where, once again, starting out there were a lot of tracks I'd written and already recorded at home: the keyboards and all the guitars, I believe, and some pretty distorted, funky-sounding guitars. John, Jeff, and Matt really liked the song, though, and really made it shine with their unique ideas and live performances in the studio. - - -John Cuniberti: As well as this process was working overall for Joe, I remember we didn't know if we had the record until we mixed it. Back in the 24-track days, once you got done recording on a song, you could have a rough mix in front of you and everyone could go home with it for the night. Today, if we spent all day recording thirty or forty tracks of guitars on Pro Tools, the last thing any of us wanted to do was sit down and start weeding through all the performances just to get a rough mix. You might get a rough mix of something but not really even know what it was. When we were limited to four or five guitar tracks, at the end of the session we could go, "Let’s just use tracks thirteen and fifteen." By contrast, if you have ten guitar tracks, which two do you want to use? How representative will this be of the final product? It really did create in its own way a whole host of new problems, but I know it gave Joe a lot of benefits as well, having the time to create performances he was really happy with when he brought them in for the band to work on. - - - -Listening back through the songs during mixing, I realized that each represented a special moment in my life. "Starry Night," "What Breaks a Heart," "Mind Storm," "Sleepwalk" with Robert Fripp—all songs very close to my heart. I was also thrilled with songs like "Hill Groove," which had a fresh, funky attitude. It was also the first time I had used a MIDI-guitar interface to record the "organ" performance. It sounds like a funky guy on a B3, but it’s really me improvising on guitar plugged into a Roland MIDI controller with an organ patch dialed up. - - -John Cuniberti: I enjoyed making that record partially because of the fact that Joe had a new air of confidence about him—he was more philosophical in his approach to recording. At that point in his career, it seemed like it was more about expression and having fun, and didn't take on the importance that his earlier records seemed to have. During the earlier records, he was really trying to establish himself, build a career, pay his bills, not be rejected by the music community, and by the time we got around to doing this record, he was a rock star. So it was more fun, it was more relaxed, and I really enjoyed making the record as a result. I think Joe was very happy with the album when we were done—it was very different, very powerful, and I think it was a smart move to make the album he did. - - - - - -CHAPTER 17 * * - -Is There Love in Space? — 2004 - - -"One need not know a thing about guitar to appreciate the man’s sense of melody, and that’s really his biggest gift. He may possess flying fingers of gold, but what grabs most ears is the deft way he handles moving songs forward without vocal accompaniment." - -—BlogCritics.org - - - -Before reuniting with John Cuniberti, Matt Bissonette, and Jeff Campitelli to record Is There Love in Space?, I started recording the new songs at Studio 21, my home studio, trying once again to break my own style down and rebuild it into something new. I was deeper into Pro Tools now and having much more success and fun with it. The new record would feature quite a bit of compositional variety, with lyrical-sounding melodies and more angular-sounding solos— and two vocal tracks! - -At Studio 21, I was using a Korg Triton DAW keyboard, Universal Audio 1176 and LA-2A compressor/limiters, an Empirical Labs EL8S, old API EQs, the Millennia Media STT-1 mic pre, and Palmer speaker simulators. For guitar amps I had an interesting collection: Soldano, Mesa Boogie, Cornford, Vox, Wells, and several vintage Marshalls. Added to that group was my new Peavey JSX prototype head. Everything just started to sound better! - -I was getting into pairing differently tuned or stringed guitars together and creating arrangements that featured the unique nature of those pairings. "Up in Flames," for instance, was a six-string JS1000 with a drop-D tuning, into a Cornford/JS prototype amp, pretty raw and in your face sounding. "Hands in the Air" was a couple of seven-string guitars paired with twelve-string electrics and some slide guitar. "The Souls of Distortion" and "Searching" were also seven-string-based songs. - -With "Souls of Distortion" I wanted to see if I could create a song where the distortion itself had a life of its own. I was trying to imagine a piece of music that when played on piano would sound beautifully simple, but when played on seven-string guitars and plugged into distorted amps would have its sonic message become more mysterious and compelling because of the complex nature of the distortion itself. - -The title track was inspired by a painting that my son, ZZ, had done of what looked like an alien staring straight at you. It was hanging in my studio and I would look at it every time I sat at my keyboard. One day, I was wondering if the concept of love that we know so well here on Earth is recognized elsewhere in the universe. So I looked at ZZ’s alien drawing and wondered how I would describe love to an alien who had no concept of the emotion. - -"Bamboo" was a song I recorded primarily by myself at home, although the idea for the song had first come to me years earlier on the road. I wrote the body of the song while on the Flying in a Blue Dream tour. I was really into doing those two-handed tapping pieces at the time, but the piece never really went anywhere. Years later, I'd come up with this other two-handed tapped arpeggio technique, which you hear as little flourishes in the beginning of the song, but at the time I didn't know what to do with that either. Finally, during the making of this album, I was inspired to take those two elements, put them together, and create a song around them. That included enlisting ZZ one afternoon to use a violin bow on a five-string bass to record the bridge section’s big bass tones. The only thing I didn't record at home was that really strange/beautiful octave-jumping chorus melody. That was done live in the studio using a '64 Fender Bassman amp with my JS1000 going through a Whammy pedal. - -The song still needed the right ending. One morning, when Jeff Campitelli had just come into the studio, I said, "Just go out there and be funky." So next thing you know, he gave us this slinky, funky performance that brought the whole song together and gave it a proper ending, too. After that, we added a backward guitar solo I had recorded at home, and it all just grooved together beautifully. It was the perfect last song for the record. - -At the start of the album, I knew I wanted to sing on "I Like the Rain." Lyrically, this song was inspired by Billy Gibbons of ZZ Top. I imagined myself playing a character who likes what everybody else doesn't. Billy has changed the way people view the composition of rock music. ZZ Top is an institution, its own genre, and Billy’s playing style is likewise unique. He’s really elevated the art of blues-rock songwriting. No one really comes close. When Jimi Hendrix heard Billy Gibbons back in the day, he said Billy was "the future of music." He got that right! - -Every time I bring a vocal song into the studio, there’s always the chance that it’s just not going to work. I need some sort of trick to get me in the mood, so I sang "I Like the Rain" with a sense of humor, and in character, as I did on "Big Bad Moon." One afternoon my tech, Mike Manning, was pulling up to the studio on his Harley, and I thought how great it'd be to record Mike on his bike for the start of the song. We had him ride up to the side door of The Plant and stuck some microphones out there. He started up the bike, revved it up, and pulled away. That’s what you hear at the start of the song. No samples used there! - -"Lifestyle," the other vocal track on the record, goes back to '85 for me. I recorded a demo of the song at Jeff Holt’s Likewise Productions with the idea of "placing" it. Specifically, I thought it would be a great song for Steve Miller. It featured me singing in harmony, imitating Steve’s cool way of triple tracking himself, and a crazy, vibrato-bar, multitrack riff that was the song’s instrumental hook. I never did get it to Steve, but I always thought it was worth a second look. As I write this I'm thinking, "I wonder if Steve would consider doing a version of this now?" - - - -Jeff Campitelli and his drums, The Plant, '03 - -PHOTO BY JON LUINI - -I thought that as an engineer, John would appreciate the creative approach to this album. He liked the variety of stuff I would bring in, such as something live like "Searching" followed by something unusual like "Bamboo." I think he liked the outrageous nature of some of the songs and was really up to trying to capture me getting more and more creative. I knew this was a project he would really enjoy sonically as well. Like all engineers, he would have preferred it if I did everything in the studio, with him in control, but by this point in time most engineers were used to artists bringing in projects where half of the album or more was already recorded. That’s just where the world was going. - - -John Cuniberti: At heart, I wanted to do a live analog record. Instead we ended up doing the record in digital because by this point, Joe was doing a lot of recording himself at home on Pro Tools. This was a new process. On our first day of recording, Joe walked through the front door with a hard drive filled with hundreds of guitar parts! Is There Love in Space? was recorded in digital, but I decided to go retro on Joe for the song "Searching." To try to keep the live vibe going with the band, I rented a 16-track head stack for a Studer 2-inch tape recorder, and we recorded analog. I told them I didn't need more than 16 tracks to record the three of them. Since this was live, I allowed a couple of overdubs. I wanted Joe, Jeff, and Matt to go out there, practice this song, and then I'd record it, and we'd just keep recording it till we had something really wonderful. And that’s what happened. My hands were full just handling the engineering chores and making sure everything was recorded properly. Joe, as a producer, was really guiding Matt and Jeff through the process of getting good takes. When we were done recording the album, Joe decided to bring in Mike Fraser to mix it. There was a trend at that time for records to be recorded by one guy and mixed by another guy. Mike did a perfectly fine job mixing this record. - - - -When principal tracking was over, we decided to bring in Mike Fraser to mix the album. We had a feeling that Mike would add a big, round quality to the sound, along with some new ideas. John and I had talked about bringing in a mix engineer for just about every other record we'd ever done, but we'd avoided it because we didn't want other people to "screw up" our records. Sometimes, though, you want what another mix engineer might add to a project. Such was the case with this record. - -Mike mixed that album at The Plant, in the same room we recorded it in. When it was finished, John and Mike together produced a really beautiful-sounding album for me. - - -Mike Fraser: John and I got along great, and I don't think on either side of us there’s ever any jealousy or competition or anything like that. Joe will do a record with me, then a record or two with John, then be back working with me again. It’s whatever personality is going to help him create what he’s looking for on that specific project. - - - -With some songs, it’s very difficult to unlock their secrets in the studio, while with others it’s like an unlocked door opening up into a whole new world. "Searching" was one of those "whole new world" experiences for us. I had never before presented an opportunity to the band like that: go in with a song in mind, show it to the band, improvise the arrangement on the fly, and record it as a trio, live to 2-inch tape. They all wanted eight more songs like that! I liked the way the material on Is There Love in Space? was balanced. It was similar to Hendrix's Electric Ladyland, where you had some songs that were meticulously worked out, and then you had others that were obviously jams in the studio. I like that kind of variety on a record. From "Gnaahh" to "Lifestyle" to "If I Could Fly" to "Searching" to "Bamboo," we achieved a creative mix of songwriting, recording techniques, and performances that gave the record its own unique balance. - - - -Matt Bissonette and his bass, The Plant, '03 - - -A while after the album’s release, it gained new notice because it contained the song "If I Could Fly." I had started writing that song on 1990's Flying tour, and it had taken me over ten years to finish it! I felt it was the most lyrical-sounding message of love I had ever written up to that point. The recording captured an innocence, too, an honest, straight-from-the-heart quality. The song also achieved quite a bit of attention for an unintended reason, about which I can only say, "No comment." It remains a fan favorite and always brings a smile to my face when I hear it. - - - - - -CHAPTER 18 * * - -Super Colossal— 2006 - - -"Some of the most technically accomplished guitar music ever written." - -—BBC News - - - -When I'm writing for a new record, I write freely without my inner critic getting in the way. For instance, I don't start writing a slow song, then stop myself and say, "This should be an up-tempo number like 'Summer Song.'" I just write until I'm finished with a piece and then I start writing another one. So I keep an artist’s point of view right to the end. There’s usually a month or two where I know that I've got some kind of a deadline to demo up. That’s when I gather together all the new song ideas on little scraps of paper written in hotel rooms, tour buses, backstage, and all around the house. I put those together with the full songs I've written in manuscript, on Pro Tools, on my laptop, or on my phone. I usually take between forty and fifty songs into this review period. Then I decide which songs I'm going to pursue and which I'll save for a future record. I usually end up with twelve to sixteen cuts that I think will be fun, challenging, cohesive, and interesting to work on. - -Once I have those tracks, I look to see if there’s a trend that ties certain songs together. Early on I realized that "A Cool New Way," "One Robot’s Dream," "The Meaning of Love," and "Made of Tears" were a group that could be tied together, almost like their own separate chapter. I approached drummer Simon Phillips with an idea: "I'll send you four tracks, sans drums, and you record yourself at your own studio playing whatever you feel like playing." It turned out great. He gave me memorable performances that swung and grooved just like they needed to, and his recording technique was very hip, too. The rest of the album’s tracks would feature Jeff Campitelli’s drumming, which we recorded up at Armoury Studios in Vancouver, British Columbia. - -Once I had written the title track, it gave me a direction for the album as a whole. I felt like this album’s cornerstone was going to be this daydream about a 100-foot-tall guitar player. The song hinged on a simple riff turned gigantic by way of an Electro-Harmonix POG pedal. I ordered it online from Musictoyz.com, got it in two days, opened the box, plugged it in, and wrote "Super Colossal" in about ten minutes! Sometimes it’s just that easy and fun. - -Writing music for the record, I was getting really excited about using my JS1200, too. It has such a unique sound to it, and there’s a lot of it on the album. We had just put in this new DiMarzio PAF Joe pickup in the neck position, and as for the guitar itself, I could swear that the sound on it was different just based on the candy-apple-red paint job it had! I was really getting into the sound of using the neck pickup and was also getting a good DI sound with Pro Tools. By this time I was using a "real" HD Pro Tools rig, which was a big improvement from my earlier home studio setups. I also had the Marshall SE100 speaker simulator, which improved the signal path from my amp to Pro Tools as well. - -I had a better, more balanced-sounding environment now, so when it came, for instance, to recording "Made of Tears," it inspired me to play harmonics on two electric twelve-strings with delays paired with a bass guitar to create a new atmosphere for my melodies. The tone of the album’s songs, like the title track or "Redshift Riders"—where there have to be about eight guitars—was really big, but the clarity in my studio allowed me to stack those things up and still get a really powerful sound. So when I brought those tracks up to Mike Fraser in Vancouver, it was easy for him to incorporate live drums and make the guitar, bass, and synth tracks all work together. - -Mike’s strength, aside from his being completely unflappable, is that he can be creative and bring all his technical knowledge into play no matter where or when you bring him into a project. It could be something where he’s involved from the ground up, like Chickenfoot III, or something that’s halfway finished, like Super Colossal. Nothing fazes him. He always excels! - - -Mike Fraser: When Joe and I record, there’s not too many outsiders. There may be a weekend where some of his friends come through with his wife to say hi, but they're brief moments. He’s pretty focused in the studio. If somebody else is in doing keyboard overdubs or something like that, Joe will be sitting on the back couch doing his email or whatever, but he’s always kind of got an ear to what’s going on. He'll give his opinion, so he’s always involved. Even when his parts are done, he doesn't leave: he’s there the whole time. He oversees the production from A to Z. - -Joe was always in the control room for his overdubs and solos, but for rhythm tracks Joe’s out with the band because there’s a lot more energy and more of an eye contact thing that you just can't get with him in the control room—especially for endings and stops. It’s hard to do that without looking at each other. We put him off in a little booth out on the floor, because with the drums, you really have to crank your earphones up to hear anything. So he'll sometimes stand in a little iso-booth area, which at least cuts down on the thunder of the drums, and he can keep his headphones down a little quieter. That said, recording Joe is pretty much the same every time: set it up and turn it up! - - - -The kind of songs I was putting on this album were a huge leap forward for me artistically, so making Super Colossal was great fun! With "A Cool New Way" specifically, I thought that song was aptly titled because it was a new side of me that I'd never really showed people. The pacing of the song was much longer and more spread out than other pieces of music I'd done on previous albums. It had this structure that was just so open and groove oriented, while on the melodic side, there were these different melodies on top of repeating chord structures that traded off until the song’s chorus. Then there was the use of the harmonies and the unisons, which were quite different than what I'd done before. There’s also a jazz and R&B element at play there, too. I love that song and I love playing it live. It’s very cathartic playing that piece of music live because I'm going all the way back to my bebop lessons with Lennie Tristano and just pulling out music that I heard from my childhood when I was listening to my parents' jazz records. - - - -My home studio during preproduction in '05 - - -"Redshift Riders" was another song that I had so much fun recording. The idea of it came from my thinking about the property of redshift. As I understand it, around large, celestial bodies, there’s a warping of space-time because of their gravitational force. From that I came up with my own theory that perhaps people traveling through space, with technology we don't yet have, would be able to use this warping of space-time as a kind of slingshot to travel faster and farther. I envisioned that maybe as part of my sci-fi daydream there would be a select few space travelers who had figured this out. My questions were, "What would their adventures be?" and "How do I represent vast distances and warping of time and space musically?" - -When it came time to compose the melody, I knew that I needed to use large spaces between the notes, big intervals to create that feeling of open space and that slingshot effect I imagined. - - -Mike Fraser: Joe’s game for all styles and he’s quite eager to try new things. Even though he’s in a genre and you can tell it’s Joe Satriani right away, he works pretty hard at trying to switch up melodies, do different tones and different effect-y things on his guitars to make each song more interesting, and "Redshift Riders" was a great example of that off of SC. Usually when we're in the studio, we have three or four guitar setups, and once we're finished with drums and everything, you gain a lot of your board back and can use those channels. Among our guitar setups, we had one really loud, rocky setup, one that was sort of a melody-type setup, and a solo sound, and then we'd have cleaner, smaller amp guitar setups. It’s probably about a day’s process for each song to lay some of the overdub guitars down, and maybe even at the end of that day you may or may not have a solo yet. - - - -"It’s So Good" is a great example of one of those songs where the experience in my studio was so wonderful compared to previous records. That’s got to be the most gorgeous-sounding recording on the album. How Mike Fraser mixed it is amazing and how Jeff played on it was just beyond my expectations. It’s not flashy like "Satch Boogie" and there’s nothing on there that would make a list of the top twenty most outrageous guitar performances, but it feels like a huge step over that hurdle that separates guitar-nerd music from the music that everybody else in the world listens to. When that song comes on, I feel like everybody can enjoy this, because it’s not bogged down by guitar-centric ideas and agendas. Everything about that song sounded perfect. The clean guitar sounds were so beautiful, and I can't remember a bass sound I've liked more on any track I've ever done. I feel the same way about "Just Like Lightnin'," which has got one of Jeff Campitelli’s biggest and fattest grooves. - -For many years I've tried doing a call-and-response thing with the audience, but the problem seemed to be that they weren't comfortable improvising. I set out to solve this dilemma with the song "Crowd Chant." Whether you're in Spain, India, Sweden, or the U.S.A., audiences like to participate in the show and sing along with whatever you might ask them to. Sometimes, though, you get a lot of empty, blank-looking faces, or people just randomly yelling. The problem, as I saw it, was that these fans didn't know what to sing. I thought if they knew what they were supposed to sing ahead of time, maybe they would really want to participate. I wanted to put a call-and-response song on an album that wasn't a "live" recording from a show, but asked myself, "Could I really do that? Is that too cheesy?" I decided to try and see. - -When I sat down to do it, I combined the elements of an opening riff, a few call-and-response sections, and a deep, melodic section. I'd been playing with the "Pavane" piece written in 1887 by Gabriel FaurĂ© for a few years, and while I'd already written another song around it, I thought this would be a good counterpoint. My idea was to have a very simple, blues-rock call-and-response thing with a big, heavy riff and then shift to this classical piece in the middle, and you could have people sing this beautiful melody at the end. I imagined it would be like a great juxtaposition of music all behind a big, concert pulse that Jeff was going to provide. - -Next, I mapped out the song in sections, and then recorded the main riff. I then recorded between twenty and thirty "calls," then sat back and listened through them all, asking, "If I was in the audience, what would be fun for me to 'respond' to? Which lick has too many notes? Which lick is too simple? Which are the most inspiring licks?" From there I picked what I thought were the winners, and then arranged them until I got to what I thought was an uplifting and powerful song. This is an example of a song that took a lot of listening back to in different environments, because I kept thinking the song would be unconvincing if it was arranged the wrong way. And I also thought, "If I don't put some humor in there to balance out the seriousness of the Faure classical piece, the audience may not get it." - -When I showed the song to Mike, I said, "I've got this unusual song—here’s what it sounds like with a drum machine, here are all the keyboards and all the guitars, now how are we going to get a group of people in a studio to sound like an arena full of people chanting?" - - -Mike Fraser: I don't think either of us knew if it was going to work until the night we recorded it. That one was a stand¬out and one of the things coming in that Joe really wanted to establish on this record, so that when he played it live, the crowd would sing along. First we had to authentically pull that off on record in the studio. For the big call and re-sponse, I called up a bunch of singer friends of mine, and we all had a good night at the studio there to track that. I used 87s for that song to record the crowd. - - - -I still didn't know if it was going to work until we were there that night. After recording the singers on ten consecutive passes, Mike heard the playback and said, "It’s too big. We don't even need half of what we recorded." When we sat back and listened to it, we realized this was going to work. It wasn't corny. It was really powerful. It’s such an important part of my live performances now, because we put it on the record first. The whole concept of it worked, and Mike brought it to a higher level, higher than I ever thought it could go. - - - -Mike Fraser at Armoury Studios, Vancouver, '05 - - -You can tell if an album really makes a difference when, years later, any songs from it always have to be on the set list. "Flying in a Blue Dream," which was never picked to be a single, wound up being a song we have to do live. The audience decides for you what songs get played from an album long after it’s released. "Crowd Chant" was a song I wrote specifically with a live audience in mind, and the audience has thankfully decided it’s a track we have to play. Now, every time we play somewhere, we've always got one song where everybody in the audience knows exactly what to do. - - - - - -CHAPTER 19 * * - -Professor Satchafunkilus and the Musterion of Rock— 2008 - - -"Satriani shines in his ability to hold back and write tasteful verse/chorus songs with memorable hooks. Like the majority of his songs in his ever growing catalog, most of these are technically impressive numbers that never go overboard with the showboating and rely on a sense of feeling rather than virtuoso technique." - -—MTV/AllMusicGuide.com - - - -For many years I've owned a beautiful-sounding Petrof upright piano made in the Czech Republic, and it’s been very good to me. Whenever I sit down early in the morning and start playing, a song comes out. One day, I sat down and wrote an intriguing chord sequence and quickly jotted it down on a piece of paper with the title "It’s a Mystery." That word mystery kept haunting me, so I looked up the word’s etymology online. The word musterion came up, which led me to a very interesting story about the Apostle Paul traveling to Greece to spread the word of his Messiah, Jesus. According to the story, Paul took the Greek word musterion, which actually had a negative connotation to it, and flipped it around to suit his purposes. He would tell prospective followers, "You can't understand these stories I'm telling you now because you've not yet received the musterion. Once you've received the musterion, then the secret of God’s message will be revealed to you." When the English translation for the King James Bible was done, the translators had no word for musterion, so they translated it as mystery. - - - -Top row: Mike Manning, Jeff Campitelli, Eric Caudieux, Matt Bissonette, and Mike Boden. Bottom row: Me and John Cuniberti. The Plant, '07. - -PHOTO BY JON LUINI - -Today we say, "The mystery of faith," but that’s completely misconstruing what Paul’s original message was. Having grown up Roman Catholic, I thought the story was outrageous. How come I never learned this in Catholic school? But what really interested me was how a word could be so powerful. I knew then that I wanted to use the phrase "Musterion of Rock" in the next album title and, in a humorous way, suggest that you have to receive a musician’s "musterion" to be able to hear the real message behind their music. I was also toying with the idea of using "Professor Satchafunkilus" as the title, but in the end found the two titles together were better than either one alone. - -I saw Professor Satchafunkilus and the Musterion of Rock as an opportunity to try different things. Some of that had to do with performing in different parts of the world on tour. For instance, we wound up in Istanbul for four days and our promoters were so kind as to guide us through the city, showing us the best of what it had to offer. One of the promoters gave me some Ă‚Ĺźik Veysel records because he had a feeling I'd love his music. I'd never heard of him, but when I played those CDs back home, I remember thinking how beautiful this music was. It’s folk music from the Turkish countryside sung in the old Anatolian language. I didn't know what the words meant, but that freed me up to just associate with the songs in a more musical way. I came up with a story imagining that Veysel would have traveled to Spain at some point and would have been influenced by Andalusian music as well as some heavy rock, too. I tried to keep it in the harmonic framework that his music often centers on, the Dorian mode. The guitar performance on the album was recorded in one take at my home studio. Jeff and Matt improvised around it later on when we got together at The Plant studios. - -For "I Just Wanna Rock," I got an idea about a robot that starts to gain consciousness, goes out for a walk, and comes across a small rock concert happening in a park. The robot asks people at the show what their purpose is because he literally doesn't understand what’s happening. Everyone in the audience tells the robot, "I just wanna rock." As he learns more about the process, he finally sings, "I wanna learn how to rock with you," but his voice changes from his distorted robot voice to one with a more humanlike quality. I know that sounds crazy, but it’s just how I think about these things when I'm writing! - -I recorded the vocals using an old 57 microphone I had at home that I put through Low-Fi, Sci-Fi, and SansAmp plug-ins. I recorded myself maybe three times and stacked the vocals so it would sound tight. When I brought it into the studio, the plan was to record it with better equipment so it would sound better. I spent about an hour in front of a great microphone doing the same thing I'd done at home, but we could not get it to sound anywhere near as good, so we went with the takes I'd recorded at home. - -I originally wrote "Out of the Sunrise" years earlier for the Crystal Planet record. It started out on a piece of paper because I didn't demo anything when I wrote for that album. I hadn't written enough of it, but I remember just loving the whole vibe of the piece. It was about trying to capture that moment when you stay up all night and watch the sunrise. Very often it’s a cathartic experience where you gain some sort of insight about who you are and your life in general. - -"Professor Satchafunkilus" came about while I was driving ZZ to a friend’s house. We were listening to the hip-hop artist Mos Def when ZZ said, "You should try doing something like this sometime." From there, we started talking about how interesting it is that some artists like Mos Def have this cool feel that just sounds so musical, even outside of the lyrical message that he’s giving. We talked about how different the song would be if you removed that special personality from the track—it wouldn't really hold up. From there the conversation turned into "How would I, as a guitar instrumentalist, approach this style of song and add some compositional weight to replace that special personality?" In that scenario, you wouldn't have lyrics or the attitude and message of the rapper. So the idea started from a brief conversation as we were driving in the car, listening, and having a good time, but it made a big impression on me, because I immediately drove home after I dropped ZZ off and started to record what became "Professor Satchafunkilus." - -I'd already recorded most of "Professor Satchafunkilus" by the time ZZ got home later that evening. I played some of it for him and then suggested, "I think you should play sax on this." He was just learning how to play the instrument with the high school jazz band, so one night after he finished his homework, I set up a mic in my studio and said, "Just play some random riffs for me, whatever you want, and keep it in this particular kind of a key, and then I'm going to fly it in later." So he just started blowing some licks. I wound up using one or two and placed them at the beginning of the song and put some delays on it, and I had him do it again later in the song. Then he gave me a long, foghorn kind of a tone for the breakdown section. He’s so used to me making music every day that there’s no ceremony around making music at home. He just walked over from his skate ramps, through the door into my studio, picked up his sax, and played. - -After I got ZZ on there, it was interesting because the song itself had a long jam at the end with this electric piano part, and I remember thinking, "Oh, it would be great to have this long improvisation at the end where more of the 'familiar' Joe starts to come out." Then we worked on it for an hour or so, and although I put down a bunch of solos, I remember just not liking it and decided to edit it out of the song entirely. We just cut the whole third solo section out, and suddenly the song really didn't have a solo at all. Instead, it ended with ZZ playing a few riffs, and when he heard it, John thought, "Wow, that’s really weird. He’s got to have a guitar solo in it 'cause it’s Joe," but I was thinking, "No, this is really what Professor Satchafunkilus would do, because he’s already made his statement. His statement is the entire funky-guitar ensemble throughout the song—he doesn't need a solo!" - - -Matt Bissonette: It seems natural that ZZ would be playing on Joe’s albums, and making albums with Joe was really becoming a family affair by this point. We got closer and closer after another record and another tour, and all the drama that comes with the road, and becoming closer friends through dealing together with all the good and bad of that kind of life. So you just kind of realize that you've become a friend where you know somebody’s personality, the good side and bad side, and know what to do. With certain people i've played on records with over the years as a hired gun, you don't really get to know that side of them, but with Joe, as time went on, I kind of knew what he was going after and what was going to work and what wasn't going to work on a record. - - - - -John Cuniberti: Shortly after the Strange Beautiful Music album, the whole atmosphere started changing. Joe started recording more stuff at home and using less and less studio time, which dramatically cut down on his overhead. I would say it was 75 percent for artistic reasons, but if he records 50 percent of his guitars at home, he’s probably saved $20,000. For that kind of money, you can buy some pretty sweet gear, versus coming to the studio and paying a thousand dollars a day. We'd had discussions even before then about how he could take the $20,000 we'd need to record those guitars and go buy three great mic preamps and some EQs, and then sit at home working for a month on the parts, or as long as he needed. When he started to make that pro Tools transition, it was kind of a no-brainer for him. - -I had a guy come in and tune his room with an equalizer to get it more sonically together. In reorienting him in his room, we redid the acoustics of the room and I had the room retuned for him, which was probably the biggest change we made because acoustically, one of the problems in his project room was, first, it wasn't a big room to begin with. He had a lot of gear in there, of course, and he had his platinum and gold records hanging on the walls, photographs, all these highly reflective surfaces. Joe was never really happy with the way the room sounded, and I told him, "We have to really get this room acoustically better, because you're never going to get it right with all these reflective surfaces." - -He asked me to come up with a plan, so I went in and measured the room and came up with a solution for both absorption and reflective types of treatments. We put bass traps into all the corners, and we took down all the reflective surfaces. There was a large window on one side that we covered, and because the room is a rectangle, I changed his orientation so the length of the room was to his back now, and put him one-third of the way into the room—which mathematically is what you're supposed to do for the best acoustics. - - - -When an artist goes into the studio, everything is about time and money. The musicians you hired need direction right then and there, because if you have a band, they want to know what to play. Every hour you're there is more than what seems logical, and every day when you walk out of the studio, you know you've just spent thousands of dollars. You wonder if you got anything that you're actually going to use. Now, things have gotten to the point where you can tweak a room in your home so that it sounds almost as good as an actual recording studio. - -Right before I started the project, I had a local engineer, Leff Lefferts from Cutting Edge Audio Group, come in and tell me what upgrades I needed to make. He’s worked at The Plant, and currently works at Skywalker Sound as a sound designer for Lucasfilm, so he knows his stuff. When Pro Tools made the leap into HD, I changed my system. I also had my studio tweaked by Manny LaCarrubba from Sausalito Audio, who analyzed the room’s sound with computer programs and then adjusted it and made suggestions. I was still using my Genelec speakers, which are highly detailed and polished sounding. They're the opposite of, let’s say, NS10s, which throw out a lot of midrange. - -I was using an old Marshall SE100 as my main speaker simulator, which meant I was going guitar into amplifier into Marshall SE100 into Pro Tools directly, or through the STT-1 if I wanted to shape it with some EQ or optical compressor. Additionally, the SE100 has some really clever ways of simulating a microphone being right at the cone, at a slight angle, or at a big angle. I like using the 30- and 60-degree angles—off axis, they call it—and it worked pretty well. It really does sound like an amp being miked up by a 57, so that setup worked in my room. As far as guitars, I was using the Ibanez JS1200 and the JS1000 most of the time. What mattered more than the equipment by that point was that another two years had gone by where I continued getting more proficient at recording with Pro Tools in general. - - -John Cuniberti: Joe’s become such a competent sound engineer in his own right that there’s a lot less pressure on him during recording. When I go over to Joe’s studio and see how he’s got his system hooked up, it’s an interesting way of doing it because he’s not coming from a technical background. He’s more experimental with the way he goes about it. He can walk into the studio with performances that have been edited and feel and sound the way he envisioned them. Back when the studio clock was running, we could go two or three days and not get a guitar performance and/or sound that he was really happy with. So he’s eliminated all that by doing it at home, and he’s feeling more comfortable and confident about his parts. There’s not this anxiety about it, because the problem was that if he wasn't playing something the way he believed it should be played, the band would be playing to that subpar performance. Then if Joe decided to throw his parts out, what the other guys played with him had to be scrapped, too. So whenever we're making a record, he’s kind of splitting roles, and it’s got to be tough producing your own instrumental guitar record, because that’s a ridiculous amount of pressure that I personally wouldn't want to have. - - - -When you're producing, you've got to make some decisions ahead of time just to try to get things done, but when you're out there with your instrument strapped on, you just feel like it’s more natural to change direction based on what you feel in your gut is the right thing to do at the time. - - -Matt Bissonette: Joe does a lot of the legwork, and like any great producer has always been remarkably composed and relaxed under the circumstances. As we recorded Professor Satch live in the studio, I remember there was more time spent screwing around because we were getting the work done faster. It takes the pressure off when you're on a budget to know the songs are in the bag, and he got more relaxed and was not so much stressing about the little stuff, and just kind of grew like everybody grows, and knew what to sweat and what not to sweat. So toward the end, Jeff and I were just dying laughing half the time about whatever the situation was, and it was just really relaxed. That said, Joe throughout the years has always definitely known what he wants, and he’s got no qualms about telling you if something isn't working. As a producer he'll let you know, and that’s his job. - - - -The lines Matt creates between chord changes are just very unique. He’s a great bass player for all the obvious reasons, but I think the particular thing that always struck me as very unique to Matt Bissonette is his actual creativity in writing connective bass lines. He won't necessarily look at a chord and then put notes in between. That would be your average bass player’s approach. Instead, Matt will somehow look to the third, the fourth, the sixth chord down the line, and he'll make a determination as to what is the real important landing point. Then he'll create a bass line that arcs over a few chords and lands on one you weren't expecting. He continually surprises me as a player. - - -John Cuniberti: The kind of music Joe wants to make is highly technical yet has to have a feeling and soul to it. How do you put soul into something so technical? He’s been able to walk that fine line. When Joe’s working with a band, he wants to know what each of these guys is going to do to make this a better record. - - - -A good example of that interplay was the recording of "Andalusia," where the acoustic rhythm guitars that begin and go all the way through the song were recorded at home via DI. The solo at the beginning was played on a Sexauer Pernambuco acoustic guitar, and was recorded at The Plant. The song’s electric solo required an unusual approach—I already had "Asik Veysel," which was a first take of this total compositional solo kind of thing, and then when I got to "Andalusia," I thought, "Well, okay, this is similar in the way that it’s another long song that’s got another long solo in it, so I need to come up with a different way of doing it." The guys had a demo solo that they were listening to while tracking that gave them the idea of the arc of the piece, how long it would last, and the intensity of it. Then I had an idea. - -When I got to the studio one morning around 11 A.M. , John was already there with assistant Mike Boden and editor Eric Caudieux, and I said, "Here’s my plan: I want to record ten solos. However, the song is seven minutes long, so if you think about it, to do ten solos and tune up in between each one, we're talking an hour and a half of constant playing." So then I suggested, "I'm going to play these ten solos in a row and then I'm going to leave for a few hours. You guys listen to the solos, and if you hear one you like or want to 'comp' a few of them together, you can do that. Just don't tell me what you did." - -So I just went crazy, ten solos: BAM, BAM, BAM, BAM, tuning up in between takes, and when I finished, my left hand and arm felt like they were going to fall off! So I left for a couple hours and when I got back, they were all looking at me funny, like, "Oh, you're going to love this." So they played me the whole solo, and I thought, "That is really great," but I literally did NOT remember what I'd played. So it almost sounded like someone else had played it, some other "Joe." I just knew that I went in there and sort of went crazy ten times in a row. I think they may have comped the solo, but I can't really tell you what bits from which takes they took. In the end, though, it was a successful experiment in producing myself, and we got a very emotional and powerful solo out of it. - -I've never recorded acoustic guitars with microphones at home— I'm always plugged in. There’s a lot of extraneous noise at home: phones, dogs, street noise, and the risk that somebody could walk in right as you're playing your best stuff. Also, to use a mic at home is pointless because I can't hear the sound the way my producer, John, can hear it while standing right in front of me. That’s the way you need to be miked, by someone who’s standing in front of you, not someone who’s leaning over the guitar. Another thing we did differently with this record compared with past band-oriented records was mix the entire record "in the box," not using the studio console. - - -John Cuniberti: The beauty of my home setup by that point was that when Joe called me and said something like, "Hey, can you bring my solo on 'Out of the Sunrise' down a dB?," I could do that for him in ten minutes. Then I could send him back that mix within an hour for him to approve. By contrast, if he'd wanted to do that on a console, I would have had to call The Plant, book a session, be sure that everything was thoroughly documented—all the outboard gear in the room, all the patch points, all the cabling—recall everything in the console, which would take me and the assistant engineer probably an hour to do. Then once we got the mix up, we'd need to compare it to the first mix, then continually work on it until we'd gotten it as close as we could to the original, but in truth, it’s never going to be exactly the same. Only then could I make the change for him. Not only is that a pain, but it costs $2,000. Joe loved this new immediacy, being able to just pick up the phone, and so mixing the whole record here at home for him was an easy sell. When he came to my studio and sat down with me on my system, we were doing just fine-tuning. It was fairly painless and effortless. - - - -Songs like "Asik Veysel," "Andalusia," "Revelation," "I Just Wanna Rock," and "Musterion" all felt fresh to me in terms of how they came together, but there’s one song that brought out the composer nerd in me. The chorus in "Ghosts," which wound up being a digital-exclusive bonus track, was a series of minor keys strung out in a particular order I'd never heard used before. I came up with a melody that used two whole-tone scales over these two minor keys. When I was writing it, I was so excited about how they worked together. It was one of those moments when I was so intrigued by the compositional architecture of it, and later on I couldn't believe no one had picked up on it. It was definitely one of those times when you're reminded that the rest of the world does not hear music like you do. Ultimately, the kind of feeling I get when I'm working on a new record is one I love: I just want everybody to hear it because it’s a new version of my creativity. - - - - - -CHAPTER 20 * * - -Chickenfoot I—2009 - - -"Satriani, rock’s leading instrumentalist and hero of a thousand guitar magazine covers, has joined forces with rock’s most irrepressible front man and his monumental rhythm section." - -—San Francisco Chronicle - - - -I was just getting ready to master Professor Satchafunkilus when I got a call from Sammy Hagar inviting me to Las Vegas for a celebrity jam with Chad Smith and Michael Anthony. I didn't know Sammy that well, but it seemed like a fun thing to do. As it turned out, the twenty minutes we played together was so much fun, we decided to become a band! - - -Sammy Hagar: I’m okay with the “supergroup” label, because we are: We're super players. We're superstars in our own right who got together, but we didn't do it for the supergroup reason. We did it for all the RIGHT reasons. We're doing it because we want to play this kind of music together and with no fame-and-fortune business attached. We just wanted to do it and it’s so unique because this is like Van Halen without the business end for me. - - - - -Chad Smith, drummer, Red Hot Chili Peppers: I’m the founder of Chickenfoot. I’m sure Sam will probably dispute that [laughs]. It started with us both living in Cabo San Lucas. I moved down there in 2002, and Sam of course is like the mayor down there. I first met Sam when I went down to his club one night for a birthday bash concert he was throwing. When I pulled up, there was a line out the door, and on the street there was a big screen with Sammy playing with Jerry Cantrell, Tommy Lee—all these guys are down there, right in the middle of this little weird Mexican town! We hit it off immediately. He loved the Chili Peppers and I was a big Montrose fan growing up. We had a shot of tequila together, and fifteen minutes later he said, "Come on, let’s jam!" We became fast friends and whenever he would go down there, which was a lot, he would call me up. We'd hang out in his club and just play whatever—James Brown, Zeppelin, the Doors—whatever we wanted. It was really fun. - - - - - -Producer/engineer Andy Johns at Sammy’s studio for Chickenfoot I sessions in '08 - -PHOTO BY JOHN CUNIBERTI - - -Michael Anthony, former bassist, Van Halen: Sammy came up with the name Chickenfoot. It’s like the three talons on a chicken’s foot. - - - - -Sammy Hagar: When we were Chickenfoot without Joe, we were jamming and playing other people’s songs: Led Zeppelin, Cream, the Who, whatever. Chad was the one who said, "Let’s get together and make a record." I said I wouldn't do it unless we had a great guitar player because I just wanted to sing. I cannot be a great guitar player and a great singer. Chad’s too good of a drummer, Mikey’s too good of a bass player, and we needed a guitar player as good as those guys. Chad asked, "Who are you thinking?" and my immediate reply was, "Joe Satriani’s my favorite guitar player." - - - - -Chad Smith: In 2007, the Chili Peppers were taking our first real break for at least a year, and we hadn't done that in ten years. I told Sam, "Hey, I got some time off if you want to do something. Let’s do it now." Sammy said, "I'm going to get a real guitar player. I'll call Joe!" I asked, "Joe?" Sammy said, "Yeah, Joe Satriani!" I was a little reluctant to believe Joe would really be into it. A month or so later, Sammy called me up about a Super Bowl party he was playing in Vegas and said, "I called Satriani up and he said he wants to come and jam. Let’s get up for the encore!" - - - - -Michael Anthony: You never really know what to expect when you are live onstage. It could have been, like, five minutes of jamming the blues, then "See you later." There’s a magic and chemistry that can happen, though, and for me, it’s happened three times. Once when I joined Van Halen, the second time when Sammy joined Van Halen, and the third time when Chickenfoot jammed for the first time. We were having such a good time onstage, and it was great because after all the crap you go through— and that I went through in my career in Van Halen—to get together with some guys and not even have to think about anything but purely jamming with some buddies and having fun is the best feeling that there is. That’s basically why we all decided to get together and keep this thing going. There was no talk of, "Hey, let’s get together and form a supergroup." It was more like, "Wow, that was so much fun!" I remember when we were up there at that very first jam, we'd played through two or three songs, and Chad yelled to the crowd, "You want to hear more?" They just went wild, and he started Zeppelin’s "Rock and Roll." Chad wasn't ready to leave the stage that night and neither were the rest of us. - - - - - -At Skywalker for Chickenfoot I sessions - -PHOTO BY BRYAN ADAMS - -I think the central idea for Chickenfoot’s stylistic direction was like an early-seventies rock band. Underneath that, it’s obviously the blues. We were celebrating the very early stage of classic rock. That was a surprise to us, but it just seemed to be where we naturally went. Chad didn't just bring his Chili Peppers stuff to the band, I didn't bring all my solo guitar stuff, and Mike and Sam weren't trying to be Van Halen. I think that’s what surprised us and what’s kept us together as a group. We created a fifth element that we all loved and were surprised by, and that really is the sound of the band. So as a group, as a four-piece, we performed really well, but it was amazing how much bigger we were than just four guys when we got together. There was something extra that came out of us, and that’s what we decided to call "Chickenfoot"—that extra thing. - - -Sammy Hagar: It was very bold because the music we were playing was very unfashionable, and it still is. We're playing brand-new classic rock. We're bringing fresh songs to that format. The only thing we discussed before we started was, "Let’s play the music we like to play." We didn't know what we were doing because we were on the front line, just digging the hole and stepping in it at the same time. We weren't looking to be something else that we're not. - -The only learning curve was being confident around one another and feeling comfortable to show your ass. When you play music—especially when you're writing and nobody knows exactly what they're doing just yet—it can be uncomfortable around people you don't know or trust to really go for it. A lot of guys—mainly singers—will kick everybody out of the room when they're doing vocals or won't sing in front of people. We don't do it that way—we fucking just go for it. I just make HUGE bad notes before I know what I'm singing sometimes. That’s the only learning curve, getting to that point where I could say, "Joe’s not gonna make fun of me, though Chad’s gonna make fun of me," but that’s okay because that’s what he does. If Mikey makes a mistake, he knows we're gonna go, "What the fuck were you playing?" We joke with each other but we're not there to intimidate anyone or make anyone feel like they need to tighten their shit up. We really get loose around one another. - -Joe in his pre-Chickenfoot incarnation wasn't really a jam kind of guy. Joe is a perfectionist. I know he can jam but his songs and his shows were usually ones where every lick was worked out precisely to end at a certain time. That’s kind of how he did things when we started because he wanted it to be perfect every time, and when you jam, things aren't perfect. So me and Chad really turned Joe out because Chad and I had been jamming together for at least five or six years before he came in the picture—Mikey too, but mainly me and Chad. We're brave souls and we're not afraid to show our asses. We're not afraid to make a mistake and go for it and try anything. Joe loved that, and he got so into it that he fell right into the same attitude. So as Chickenfoot started playing more together as a band, I could feel him getting off the hook and loosening up. I'm always telling him that "We turned you out," which is like we took a virgin and made him a whore [laughs]. And he fell in love with it, too, knowing he didn't have to be perfect. - - - -Our chemistry was surprising to us. It didn't feel like something that was manufactured. This was not a record company-brainstormed band, this was just four guys who got together, surprised one another, and just went with it in a natural way. We would write and record, sit back and listen, and if we liked it, we'd release it. Both Chickenfoot albums have been do-it-yourself projects, with no label involved until we were absolutely finished, so artistically it’s our own thing. - - -Chad Smith: Once we knew we wanted to make a full album together, someone said, "Let’s get Andy Johns to produce us!" Joe had worked with Andy on The Extremist and with Sammy and Mike on For Unlawful Carnal Knowledge. I'd never worked with Andy but knew he'd been an engineer on Led Zeppelin IV. Here was a chance to work with a guy who worked on "When the Levee Breaks"! YEAH, I'll work with that guy! - - - - -Sammy Hagar: Andy’s brilliant, and musically, he'll sit and fucking work five hours straight on something with you, trying to get one note right. When you put your drums in a room and Andy starts listening, he starts moving mics around, putting mics here and mics there. He comes up with some great live rockin' sounds! - - - - -Andy Johns: In the studio, we understand each other very well. They know what I'm thinking and I know what they're thinking. When I got the call for Chickenfoot, we worked at Sammy’s first and did some demos, and I had quite a bit to do with how that went. Sammy was all on fire and eager. We continued recording at George Lucas’s Skywalker Ranch and it went really well. - - - - -Chad Smith: The studio was really big—obviously orchestras record in there—and it was very comfortable. We actually didn't really utilize the live room; we used about a quarter of it with baffles during tracking. - - - - -Sammy Hagar: When Joe and I first got together, in one session we wrote "Sexy Little Thing." Within a day or two, we had three or four songs written. "Learning to Fall" and "Turnin' Left" both came out of that and I knew it was working! - - - -With "Sexy Little Thing," I was playing a friend’s '63 Stratocaster in my upstairs music room, looking out into the backyard. When I started writing it, I recorded it on a laptop and called it "Trekking Song." It sounded like an esoteric little instrumental. It had a Celtic feel to it, but I didn't really know what was going to happen with it until I brought it downstairs into the studio and listened to it a few times. I thought it could be a very accessible song. It didn't necessarily have to be some unusual Mixolydian-based instrumental. I think I'd written it before the Chickenfoot thing came together, but once Chickenfoot happened, I realized I had to write a bunch of songs before I went on tour. I started thinking for the first time, "What would I want Sammy Hagar to sound like if I had a chance to point him in a new direction?" My feeling was that he could dip into blues, sing in a lower register, and add elements of the Faces and Humble Pie and the Rolling Stones, and all that early-seventies rock stuff. I just had a sense that he would click with that. Going into our first writing session, all I had was the music and the title "She’s a Sexy Little Thing." It was enough to inspire him to create a story and melody line and a whole arrangement. - - -Sammy Hagar: With all the other songs outside of those we wrote in that first session together, Joe would bring me the music, and I would hear a melody first. Ninety-nine point nine percent of the time, I hear a melody to every piece of music and I just start singing. And 99.9 percent of the time, I end up keeping my first melody idea. I may have to tweak it, change a line, or make a phrase a little better, but that’s it. Then I write lyrics to my melody. My melody is usually what dictates the individual lyrics, but it’s Joe’s music that usually dictates the title. So, for instance, with "Oh Yeah," I just immediately started singing that for the chorus, and knew it was going to be the title. With that song, I didn't know what I was going to talk about in the verses. I could have written that one about a thousand different subjects. So for most of them, I came up with a title based off Joe’s initial idea—like with "Sexy Little Thing"—and then I just started writing the most tongue-in-cheek, dirty, sexy lyrics I could think of. - - - -Sam has a great amount of experience being a successful writer of hits, and because he’s a singer and a really great communicator, he has an innate sense about how to communicate an idea vocally. That’s not my strong point, so when I bring ideas in, I'm always looking for something that’s a little bit left of center and strange, because that’s the kind of stuff I like to listen to over and over again. When Sam gets some of my ideas, I think he tries to figure out "What is Joe getting at?" and he tries to bring it to the people. He tries to make it something you can actually grasp. "Sexy Little Thing" is a good example of where he took something that, if I had written it, I would have made it a little bit odd and not as accessible. Since he’s the guy standing in front of the band holding the mic, looking at everybody in the audience, his thing is to reach the biggest number of people and get them to understand this idea. His gift is to cut through my weird guitar stuff and then figure out what to sing about and how to sing it so that everybody can relate to it. - - -Chad Smith: Joe would come up with the riffs and the basic song ideas and he'd email them to us. We'd say, "Yeah, I like that one. That’s a cool riff," and Sam would say, "I got something for that." It was real relaxed. Then Mike and I flew up one weekend, and we all got in Sam’s studio and demoed six or seven songs. Probably five of them wound up on the album. You know what’s really cool and rare is when you get together and play with someone, and think it sounds cool, and then go in the control room of the studio, listen to a playback, and go, "Fuck, that sounds better than I thought it was when we were playing it!" Microphones don't lie. They're naked and you can't get away with shit. - - - -You can't worry about appearances when you're working on music. You have to go with what ultimately makes the song better. When I'm in Chickenfoot, where I'm playing with other players who are very creative and extremely capable and always ready to deliver, I always remind myself that I haven't hired these guys and they haven't hired me. We're all giving ourselves latitude. No one tells anyone what to play or not play. I love collaborating and I recognize that although it can be difficult when you're in the middle of it, the end result is worth it, and usually far better than you would have done on your own. - - -Chad Smith: It was great in the studio because nobody was telling anybody what to play. Everyone was just doing their thing, just eye contact and "play." It was really free. Of course, everybody’s a songwriting pro with building bridges and choruses and solos and shit, but we didn't want to overthink everything, and I love that, personally. I think that’s lacking in music today because Pro Tools makes it so easy to be so perfect. We just got in a room and played with no clicks, no editing. It was just an old-school band playing like the guys we'd all grown up loving. - - - - -Michael Anthony: I remember Chad and I talking to Andy quite a lot about our desire to really keep this thing fresh and loose and not try to get too precise on takes. In Van Halen, even if there was a little slipup, we'd leave it in. It’s just the energy of it, you know. I've been in so many situations with Van Halen where you beat a song to death, and even though it sounds great, you listen to it and go, "Man, it just wasn't like when we first picked up the instruments." We wanted to keep that excitement there with Chickenfoot because that’s what it was all about! - - - - - -The band in Skywalker’s control room for Chickenfoot I sessions - -PHOTO BY BRYAN ADAMS - -During recording we'd play a song several times and let everybody kind of experiment a bit. Then slowly we'd say, "I liked when you did this more than that." It’s a process of being allowed to experiment, all of us throwing out options, new ideas, and suggestions for how how to improve something. We'd do that from about noon until three o'clock, when we'd decide we were finished with a song and wanted to lock it down. The important thing is that musicians can deliver a performance after taking in criticism. It’s easy to agree with criticism and to acknowledge new ideas, but to actually implement those ideas takes a whole higher level of musician. Sometimes you're in a situation where you say, "Make it funkier," and then the band says, "Yeah, we understand. Let’s do it," and it turns out that they can't. They just don't possess the talent. With Chickenfoot, we always seem to be able to move in the direction that we agree on as a group because we're fortunate that we've got a lot of ability in the band to change direction on a dime and take advantage of any inspiration that pops up out of our unique synergy. - -"My Kinda Girl" was one of those kinds of songs. I had a riff, and when I first played it for everybody, it had more of a metal/heavy rock crunch to it. As Chad, Mike, and I worked on the arrangement, it started to get more Stones-y sounding and we liked it better. Chad is not a fan of metal music at all, so anytime I brought something in that had hints of metal, he would slowly veer in the other direction. Where we wound up was with something we all really liked, so then we just had to come up with another little section where I had to write a solo and riff kind of thing. Then the three of us arranged the whole song as we were going along! - - -Sammy Hagar: "Future in the Past" was something we wrote as the last song for the album, and it is one of the greatest things I've ever been involved in writing in my life. That song in concert has just turned into this special thing. I brought in the first riff for it—believe it or not, that was a musical piece I was working on. Joe took it and made it the greatest thing ever. When that song was done we went in and listened to that vocal. I always let the band pick which track to use, so out of twenty takes, they said, "We like take seventeen." I sang it live every time because I was working out my lyrics and my phrasing. I took that take home, listened to it, and came back the next day and said, "I don't want to re-sing this. I don't want to fix anything or do anything to it. This is the one." Everybody had goose bumps on their arms. That’s a magical thing that only happens once in a while. It happened with "Love Walks In" and "Cabo Wabo" with Van Halen—one take, reading the lyrics, boom, it’s done. No reason to sing that again! - - - -Sammy had this idea of what "Future in the Past" would sound like in the beginning, and then how we would use that chorus at the end to be this big crescendo and big ending. I took those chords and his two verses and shortened them to about a quarter of their length. I then combined the two verses into one, to make it a bit stronger, and presented it to him with the idea being that we would start very quietly with what had been his chorus thing, but then go into my miniaturized version of his original two verses. Then at the end of the song we could bring back his opening thing and play it loud and combine guitar and vocals with it. We needed another part, though, so I came up with this little funky piece with drop-D-tuning on the spot. I asked Mike, "Does that sound cool? Do you want to do that?" Then Chad came in the room, and as a band we arranged it and recorded it. It was that fast. We went from Sammy just strumming the chords to having a finished take in maybe three hours! - - -Chad Smith: I didn't really know how the other guys had worked, but for me, with rock 'n' roll, if everyone can play— and everyone can play in this band—we just get in a room and play off each other. Sam would sing, but a lot of times he didn't have all the words yet, so the vocals weren't kept. He was in there for the vibe, though, which is really important, and we'd keep what was on the bass and guitars. It wasn't like we ever said, "We need to completely redo the bass," or "We need to completely redo a guitar." All the basics were kept. - - - -I remember Glyn Johns used to tell me, "You can never go back to a party that’s over." Back when we were doing the Joe Satriani record in 1995, he wanted me to play all my parts live. I told him I was an overdub guy. He replied, "Now’s the time to change. Once the party’s over, good luck trying to overdub the main parts on this stuff." He was right. It’s very difficult with a live band because it’s not a matter of just being in time. It’s that the swing of the moment is almost impossible to get back to. - -The basis for all Chickenfoot records is the band playing live. Then we add stuff to it. Everything recorded was always with the group, either at Sam’s studio or at Skywalker. The performances are always slightly ragged because they're not layered perfectly with computers. Everything’s done without a click so it’s just raw performances, with overdub bits applied later. We do it this way because those live sessions always pull us in some new direction from where we thought the song was going or where the demo was heading. - - -Sammy Hagar: The sound Joe gets is always WAY beyond me. I would have accepted the first sound he had plugging his guitar directly into the amp. I would have said, "Wow, that sounds great," but he'd always say, "No, no," and then he changes it and changes amps and changes guitars and ends up with this AMAZING sound. THEN he starts playing his parts. His first solo on the live take always sounds incredible. I ask him, "You're gonna keep that, right?" He says, "Oh, I don't know." I come back a few days later and he’s changed it and it’s better, and he says, "I want to do a couple more little things." I mean, he just thinks SO FAR beyond my satisfaction range. That’s why I'm not the lead guitar player in Chickenfoot, because Joe can take it so much further. Why eat a hamburger when there’s a steak sitting there? Joe’s also one of the greatest rhythm guitar players ever. You don't think of Joe Satriani as a rhythm guitar player. When I'm singing a song and he’s playing a rhythm part behind me, oh my God, you don't even need a drummer. I know right where the pocket is. Joe is in the pocket, and I REALLY noticed it right out of the box because I'm a guitar player! He’s so clever and it’s something that people would never know unless they played with him. - - - -When I started playing guitar, along with trying to play like Hendrix, I was intrigued by the blues. My older brother John played blues harp, so I was exposed to John Lee Hooker and players like that during that whole period. I knew Jimi Hendrix was into Buddy Guy and that they all listened to Muddy Waters and Jimmy Reed. I remember as a young player sitting down and playing the blues very slowly, trying to get to that space, and realizing it was something special that I wanted to make part of my playing. When I became a successful solo artist, people defined me by songs like "Surfing with the Alien," "Always with Me, Always with You," "Summer Song," and "Flying in a Blue Dream." They didn't associate me with my blues playing, although it was a big part of my style and background. Chickenfoot was the first band where I had a natural place for all my blues influences, and I think that drew out similar elements from Sammy as well. - - -Andy Johns: I think Joe in Chickenfoot was more confident in his own ability, not that he'd lacked confidence before. He was just a little more experienced and a little more relaxed about stuff. He laughs a lot more than he used to. Joe’s quite aware of how good he is—there’s only one Joe Satriani, like I said before. He can play anything he hears in his head and can fucking do it perfectly. If you ask him to do a certain kind of thing, boom, there it is. He’s very easy to work with. Joe and I got very involved on the overdubs. That’s the fun part because you never quite know what Joe’s going to come up with. Joe had pedals and I got him to use the wah-wah a few times. Joe is just all-around fucking unbelievable and I'm very lucky to have been able to work with him. I'm not just saying that. I really believe that. I'm very lucky to have worked with that man! - - - - -Michael Anthony: Andy would always have a great story at the end of the day. We'd all be sitting around bullshitting and us guys in the band would look like little kids sitting around the campfire. Andy would be telling us stories about Zeppelin or someone else that he'd worked with. He always had a great story about his past that would have us captivated. - - - - -Sammy Hagar: When the album was done we all loved it a lot and were very proud of it. We couldn't WAIT till our generation of rockers and people who like this kind of music heard it. They were gonna freak out! I expected it to be successful because of the name value, because our backgrounds professionally are pretty steady—we'd always delivered something good for our fans, so none of us were trying to make a comeback here, but we weren't expecting to sell out arenas. As it happens, Chickenfoot was one of twelve records to go gold that year. Fuck! - - - - -Michael Anthony: In this day and age, you have people who put together these so-called supergroups, and fans don't really take the supergroup type of thing too seriously. It’s like, "Okay, these guys are getting together to make a bunch of money and get a bunch of publicity, go out and tour, shake hands, say good-bye and that’s it." By contrast, our approach to everything that was happening was rooted around the reason we first got together, which was that we wanted to do something that wasn't ego or money driven. We all had money and had done what we'd done in the past, and so we wanted to do this purely for the sake of playing music and having fun. In Chickenfoot, we knew we had something there, that we all had a connection. And the songs, I thought, were fucking great! But you never know what to expect when you're getting ready to release it. I know going top five was a big surprise to all of us. It was like, "Crack the Champagne," because after Van Halen, you've been in one big band, you realize something like that rarely ever happens again in someone’s career. And here it was happening to us! So all this stuff was happening while we were on the tour. All of a sudden, we're getting gold albums. What a trip! - - - - -Chad Smith: Our decision to go with the Best Buy label was smart of us because they really promoted it a lot at their stores. Gary Arnold loved our band, was out on the road with us, was passionate about the album, and that really made a difference. Also, we're not competing with the Lady Gagas and Rihannas of the world. We're, like, old fucking rock dudes. We did have a certain amount of hype, "supergroup" this and that, and I thought our first record was strong and a good record. Going gold with no hit singles and with MTV gone, I was impressed. - - - - -Sammy Hagar: Once we got out there and started playing in front of people, Joe got really loose playing on the road. I'm telling you, this band’s been so good for Joe, because he plays so different in this band than he does as an instrumentalist. - - - -Just a few months before my mother passed away, Chickenfoot was playing at the Beacon Theatre in New York City. She was a great supporter of mine. Growing up during the Depression in New York, she understood how hard you had to work to get anything out of life. She had a great work ethic and understood why I practiced like crazy and never gave up. When I was a young kid, she never tried to stop me from playing and always encouraged me to keep going. - -My mother had seen me perform at the Beacon at least ten times, but for some reason that night she decided to sit on the side of the stage. She had never done that before. During "Future in the Past," where Sammy and I are doing a very long intro together, Chad walked her out onstage. I knew she was having a hard time walking so I told him, "You cannot let go of her." She LOVED being onstage. My mother and Sammy had a good conversation with the audience for about a minute while I repeated the song’s intro, then Chad came over and very gently led my mother offstage. It was very much a part of my mother’s personality to feel totally comfortable walking out in front of three thousand people and saying, "Hello, I'm Joe’s mother!" - - - - - -CHAPTER 21 * * - -Black Swans and Wormhole Wizards — 2010 - - -"Apparently his time in Chickenfoot made Joe Satriani want to get back to where he once belonged, so he goes retro on 2010’s Black Swans and Wormhole Wizards. About as far away from the heavy-footed party rock of Chickenfoot as possible, Black Swans is pure guitar prog, filled with compressed boogies, sci-fi synths, exotic flourishes, and all of Satch’s phasers and flangers in full-tilt overdrive." - -—Billboard magazine - - - -Between the Chickenfoot record and tour and then the Experience Hendrix tour—where I was playing with quite a few other musicians in a kind of revue—I'd racked up a lot of live and studio experience that was very different from playing solo. I wanted to isolate what was good about those experiences, what would bring me forward artistically, and use it as a positive influence for the next solo record. - - -Mike Fraser: Joe wanted a "band feel" on this record as opposed to a studio-manufactured record. His intent wasn't to make a live record, but he wanted a band-feel record, and that’s done by everybody playing together. Our focus this time around was on getting the takes where we could keep most of the performances without having to come back and redo them. We didn't want to sort of chop it all up, put it on a grid, and make it all proper. He just wanted a little bit more of that ebb and flow that a real band playing gets. - - - - - -Tracking at Skywalker Sound in '10 - -PHOTO BY ARTHUR ROSATO - -When I was writing for this record, one of my favorite memories of that process is of "Littleworth Lane," which is an actual street in Sea Cliff, Long Island, where my mother owned a house up until she passed away. The house had been built in the late 1600s and was very unique by American standards. I wanted to start that cathartic process of writing about my mother’s life and her influence on me and the rest of the family. I thought I needed to write something that reflected the kind of music she would relate to. She was into jazz and soulful music and had expressed to me many times over the years the kind of music she wanted at her funeral. One night, driving away from the house, I wrote this song in my head and I kept it there until one afternoon, backstage after a sound check. There was a piano in the dressing room and I realized I was ready to play this thing, so I took out my iPhone and did a quick recording of it. That wound up being the demo of "Littleworth Lane" that I sent to the band. - -With "Solitude," I was thinking about how I often require time to be alone, much as my parents did, and I coupled that with my mother’s absence from her house once she passed. It was so profound, I couldn't put it into words. I was working on a song called "Heartbeats" at my home studio one afternoon when the inspiration came. I was thinking "Heartbeats" needed some kind of introduction, but instead I started writing a piece that was much bigger. It was a song about my moments of solitude, and the lonely feeling in my mother’s house now that her spirit had moved on. It eventually found a home on the record right before "Littleworth Lane." I played my JS1000 direct into my STT-1 for that recording. - -The idea for the title "Pyrrhic Victoria" came from a story about King Pyrrhus, who defeated the Romans in battle but lost 99 percent of his army doing so. He is quoted as proclaiming, "If we are victorious in one more battle with the Romans, we shall be utterly ruined." That’s where we get the term Pyrrhic victory. This is a tune where the flexibility that I had at home working with Pro Tools and software synthesizers allowed the song to grow. It started in the most organic way: I was in my studio, plugged into a JS customized Two-Rock amplifier, just having fun improvising. My studio room is relatively small, which can overemphasize the low end, but it makes the guitar sound and feel 100 feet tall. I recorded the improv using QuickTime Pro on my laptop before going out to dinner. When I returned home and listened to it, I thought, "That is REALLY cool! Now let’s add an orchestra!" - -"Dream Song" was a song that literally came to me in a dream. When I woke up I had the entire song in my head. I thought for sure I'd been listening to music until I realized I'd been asleep and it was dead quiet in the room. I spent the next three hours recording what I remembered from my dream before the memory of it faded. The organ arpeggios and all the wah-wah guitars were done in my home studio—as a matter of fact, all the guitars on that particular song are from home. They just seemed to tell the story the way it needed to be told. - -With "Wormhole Wizards," I had been reading about black holes and theories about parallel universes and people traveling faster than the speed of light. Around that time I was speaking to Jeff Campitelli about the number of songs that I had finished, their tempos and time signatures, and I mentioned that I had a fast song inside of me ready to come out. Sure enough, that night I got inspired to put something together. Instead of using BFD to start my drum track, I wanted to use another program for the drums that had more of a drum-machine feel to it. I created the bass line on keyboards using a cool Fender Rhodes plug-in, and then I could see where the song was going. It turned into a spacey but driving soundtrack about traveling through wormholes in space. - -I didn't want this record to be a radical departure from the last one because I'd done that before. The Extremist, Joe Satriani, and Engines of Creation were all radical shifts, but I didn't want to rock the boat that much this time. A lot of the record was already tracked, and I was learning how to record myself in a more transparent manner. Ultimately, the vibe of the album would depend on the personality of the musicians and coproducer, so I took a chance that Mike Fraser would click with the other band members: Mike Keneally, Allen Whitman, and Jeff Campitelli. - -Black Swans was all about unique band performances— interactions between Allen, Mike, Jeff, and myself. We needed a studio like Skywalker Sound because I felt both Allen and Mike needed lots of space. Allen’s a big guy with a big personality and I thought he would blossom if he was given not only musical space but physical space. Mike is a super-talented multi-instrumentalist and it was great to offer him two grand pianos, a B3, and a Wurlitzer that we were allowed to keep set up, so he could freely experiment. I wanted the guitar, bass, and drums close enough but not too close, so we could interact with one another while not being bombarded with one another’s sound. - -For this album, the process wasn't about working out every arrangement detail and forcing people to play it. Sometimes that works, but other times you have to throw the music at the musicians, let them explore it on their own, and then capture that exploration. - - -Mike Fraser: For the Black Swans record, I remember I set the drums up in the middle of the room and baffled them off a little bit because it was almost a little bit too roomy. I had Joe’s cabinets off in another little iso booth and Allen Whitman’s bass off in a nice little room, and then Mike Keneally came in and played keyboards on the basic tracking. That’s something new that I've done with Joe, to have the full band tracking. It’s usually just bass and drums. That added a lot to this record, as did the input of keyboardist Mike Keneally. He'd say, "Hey, let’s put a Rhodes in this part" or "Let’s distort this Rhodes and put it through this pedal." He was cool with that kind of stuff, and Joe was open to those suggestions. - - - -It was important to have the time we gave ourselves during tracking because you're looking for unusual performances. You might do seven to ten takes each time and in between each performance, the band’s members are all talking to one another. Someone might say, "Would you mind if I went from the organ to the piano?" Or, "I want to change my entire drum kit." Fraser was also there to guide us along and tell us how the music was popping out in the control room. Because we were all in the studio together, we could change direction on a dime if that’s what felt good. Then we had the luxury of sitting back and listening to all of our performances to see which ones were really making the song most exciting. - -"God Is Crying" was originally supposed to be on Professor Satchafunkilus, but there was a day in the studio when I asked everybody in the band, "What two songs would you like to stop working on?" I was totally shocked when they voted it off, but it turned out to be the right call. When I brought it back, this band was much more excited about playing it, and they brought a whole new feeling to it. Mike Fraser was encouraging us to jam right up until we counted the song off, and we eventually used one of those jams for the intro. I think it was Mike’s design all along to trick us into basically creating a new part for the song! - - -Mike Fraser: With Joe and the band, as we tracked these songs, everybody played off each other a little more, which was the intent all along. So there were times when, for instance, we decided that instead of doing a part of Joe’s as an overdub, we said, "Well, he’s such a great player, let’s just do it live and see what we can grab." Recording Joe’s solos was quite an easy process because he’s so good at coming up with great melodies. With singers, you have to make sure the lyrics are right, and he’s singing in tune and all that, but with Joe, it goes pretty easy. Sometimes you give your opinion on what direction that one run was leading, but Joe always comes in with everything sort of preplanned in his mind, and he knows what he wants and what’s going to work. Sometimes he just needs somebody to bounce ideas off of. When you listen to Black Swans, the tracks are all different, which is amazing because how many instrumental songs can you keep doing and they're still all different and interesting? It’s a process I find quite fascinating because he’s got such a great grasp on his musicality and on what notes are gonna make that song flow. I'm always baffled every time I watch him play. He makes it look so easy. - - - -This time I told Mike Fraser that I wanted to reach people more deeply with my guitar playing. I said, "If you're watching me do a solo over and over again, the one that I want you to keep is the one where you feel I'm really reaching people." - -While recording "The Golden Room," a song about protecting yourself from negative spirits, I wanted it to be as improvisational as possible while working around a basic structure and melody. A prime example of this approach at work is the keyboard introduction, just something Mike Keneally had played at the end of one take. Fraser loved it so much he grabbed it and popped it into the beginning as an intro. He asked us, "What do you guys think?" and we all agreed we had to use it. It’s a good example of how it’s not just the band that is part of the creative process. Your engineer/coproducer is also listening, taking notes in the control room, and keeping track of things that you're just throwing out there but perhaps not remembering. Unless the musicians think they really nailed it, they forget half the gems that they're offering up. - - - -Mike Keneally playing multiple keyboards during the BSWW sessions at Skywalker in '10 - -PHOTO BY JON LUINI - -Mike Keneally pulled the same trick with "Wormhole Wizards." We found a sound on the Korg and started recording. People were coming in and out of the room, there was food out on the table, and we were all joking out loud about it because we weren't recording with microphones. Mike just kept sitting there improvising, riff after riff, arpeggio after arpeggio, and each thing he played was more brilliant than the last. He did that piano part in ONE improvised take from the beginning of the song all the way to the end. When he was done, I said, "Okay, Mike, see you later! Your job’s done!" - - - -Guitar cases lined up at Skywalker, '10 - -PHOTO BY JON LUINI - - - - - -CHAPTER 22 * * - -Chickenfoot III—2011/2012 - - -"Joe Satriani’s imprint on the musical world extends far beyond his own ethereal talents. Now, with Chickenfoot, Satriani fans can see him rip into leads with the same singer as Ronnie Montrose and Eddie Van Halen." - -—Huffington Post - - - -The most exciting part about being in a band with great energy and chemistry is that you're all inspired as performers and writers. When you get an idea about a song with a grand arrangement, you're encouraged to imagine all the possibilities because you know that these guys can make that song a reality. I know Michael Anthony is going to come up with some bass line that’s going to be thunderous behind these chords. I know Sam’s going to come up with some incredible and unique vocal. I know that Chad’s going to exert his influence as an arranger on it and come up with an exciting drum part like he always does. With Chickenfoot, you always feel inspired and encouraged to move forward and bring ideas in. - -There was no preproduction for our second album between when we finished touring for Chickenfoot and the next time I saw the guys again in the studio. It had been over a year, and it was extra rushed because with Chad’s Chili Peppers commitments, we only had him for about ten days. I realized early on in recording that we had to move at a very fast clip, make decisions as we went, and stick with them because there was no going back. - -On the first tour, we'd done a lot of spontaneous writing backstage every night before shows. For instance, the second track on III, "Alright Alright," is from an improv we did backstage. - - - -Chickenfoot with 3-D glasses in Sam’s control room, '11 - -PHOTO BY JON HILL - - -Sammy Hagar: "Alright Alright" was a great example of what can happen in this band when you're goofing off jamming. You'll start doing something stupid like shouting, "Alright, alright, alright, alright!" like I'm yelling at my old lady, "Alright, alright already!" It was just kind of a spoof or joke against this punky kind of Clash-y riff Joe was playing. I remember we were in Atlanta backstage filming our first DVD. It didn't come out good so we did it again in Phoenix, Arizona. We were there all day, so we were getting a little stir-crazy backstage, and that’s when that song came alive. From there we played it all the time, that whole tour, and then it came together in Europe when I finally came up with some lyrics and a verse idea, and all that stuff in Switzerland at the Montreux Jazz Fest. I told Joe, "Just do a jump break, and I'll sing against the doo-doo-gaa-gaah beat," and "I just need a vocal break and a place where I can just yell some belligerent shit, then you can play, then me and the drums." That really came together in Montreux, and the song was done. Joe really came through. - - - -That song is definitely reflective of the kind of stuff that makes its way from tour to a record, because I don't think a song like that would have come about in a planned way. It was just one of those silly things where you start playing some chords, and everybody starts singing a chorus that’s just kind of odd enough to be catchy. So we had lots of moments like that where there were interesting little nuggets, and if they didn't actually suggest a song, they would suggest to one or all of us a kind of style of playing or something we wanted to take advantage of. Once we get started, Mikey, Chad, and I are like a freight train, so I made a note in my musical mind to make sure to write songs that had big, heavy riffs where we played together as an ensemble. - - -Sammy Hagar: Joe and I are the band’s songwriting team, but Joe is the musical foundation of this band. On the second record, I think Joe had the confidence to put his opinion out there and really kind of lead the band musically. I'm the spiritual motivator and front guy, the mouth you might say, but Joe’s really like Jimmy Page in Led Zeppelin. I'm the spark plug, no question about it, but Joe’s music dictates everything. I love writing lyrics and melodies and singing to his music. It’s like when Van Halen was good—I loved it. It was the same thing, before Eddie and I hit rock bottom. Of course, it’s no fun being creative with a guy that you're not getting along with. That’s a hard gig, brother. But Joe and I aren't there and hopefully we'll never get there. - -He’s really a fun guy to create with, and he comes through with his part. For instance, if I say, "Maybe we'll write this song kind of like a midtempo groove, like "Every Breath You Take"—you know, just throwing a title of a song out there that is vibe-y like that, or a Pink Floyd thing—Joe comes through. The next day, he'll come back with a piece of music that’s beyond what I was talking about and is definitely not ripping anybody off. He just goes in his heart, or what I like to call his little safe of music, and comes out with stuff that is ALWAYS great. I just love that. Like I said, he’s the musical dynamic behind this band. - - - -We made a really strong effort on this LP to try to get into some unknown territory. I kept telling Sam, "I know you're powerful in this area. We've just got to write songs to let you get there," and he really delivered! I love the way that Sammy sings on III. - - -Sammy Hagar: Heading into the second record, I remember I told Joe, "I wanna do something different. I want to sing some way I've never sung before," and Joe went, "Wow, that’s really what I want from you." So I said, "Okay, write me some music that makes me want to do that!" He came through, and I came through with "Something Going Wrong," which is a huge stretch for me. Another one I think’s a pretty damn good stretch is "Come Closer." I'm touching on R&B gospel on that bridge, man, but the verses are kind of almost talking. I love it. The hardest thing to do as a singer is to stretch yourself, because it’s so personal, and if you do something stupid, you feel embarrassed. It’s embarrassing to sing, is really what it is, but having Joe around just makes it so much more comfortable. A lot of times I'm real insecure about doing it and so on the edge trying to stay on key, and it’s just hard to do something new. But when I finish it and hear it back and go, "Wow, I'm so proud of that," I look at Joe. We high-fived MANY times because of "Something Going Wrong" and "Closer." They were stretches. - -On this record, I really wanted to capture our power, and with a song like "Something Going Wrong" that captures our creativity, we're able to do things like that. But I think the band is about songs like "Soap on a Rope" and "Oh Yeah" and power. Because for four guys live, we can put off some POWER coming off the stage. So when it’s rockin' like that, from "Turnin' Left" to "Future in the Past," there’s a lot of bands, man, who can't bring that power without a bunch of overdubs and backing tracks. We're raw, straight-up live! - - - - -Michael Anthony: Obviously from all that time playing and hanging out on the first tour we found—I don't know if I'd call it the Chickenfoot sound—but more of the niche of what Chickenfoot really is. - - - -As excited as the band was about the new songs, it was still difficult to get together in one place with our competing schedules, so the challenge as always was that we didn't have much time. We were picking a song in the morning, working on an arrangement, recording it for the album right then and there, then moving on a few hours later before we even knew what the song was going to be about. The plus side is all the spontaneity and energy that you get. That is the benefit of moving at a fast clip in the studio. No one gets bogged down and none of the recordings suffer from being overworked. They were all underworked. - - - -Me and luthier Gary Brawer at Real Guitars, S.F., getting guitars ready for Chickenfoot lll sessions. Gary has worked on my guitars for decades; he’s the best. - -PHOTO BY ALLEN WHITMAN - -The Chickenfoot experience is extreme. There’s always a lot of joking around and a super amount of energy. Personally, though, it was a challenging transition. For my solo records, I take two months to work on my songs, then bring them into the studio with guys who've had the demos and learned their parts, and then we very carefully go about recording stuff. Then we go out on tour and play these meticulously rehearsed arrangements. Then I jump from that right into Chickenfoot, where it’s completely the opposite approach. - - -Michael Anthony: The one thing that I wish we had was more time just to work the songs up. In Van Halen, we'd play a song, God, a hundred times before we decided to record it. With Chickenfoot, when we all got in the studio, and we were all on a pretty heavy time schedule because Chad was getting ready to pick back up with the Chili Peppers, we were recording from the time we picked our guitars up to the time we put our instruments down. We were recording the whole time! - - - -Here’s the way it usually worked: Sam would say, "Let’s cut a verse or add a verse." Then Mikey and Chad would say, "Can we do it a little faster or slower? Can we get rid of, or extend, this part?" All four of us are always exerting that influence and that helps make the band work. Everybody truly respects one another, how they play, and their musicianship. That’s what makes the sessions work. We're all listening to one another and nobody tells the other person what to play. Sometimes all four of us would write something new and record it right away, like with "Down the Drain" or "Alright Alright." - - -Sammy Hagar: Chad’s always fucking around on the drums or on guitar and Joe would be playing drums, or I'd be playing guitar and Joe'd be playing bass. We were always goofing, and when you're goofing, things come out of you that you normally wouldn't do, that you'd keep hidden. - - - - -Chad Smith: All of us are good with ideas on arrangements and what works, but Joe's really good at that. Once Sam gets melody and words on top of it, that really helps. I know at some point that frustrates Joe. He'll say, "I don't know what to put down here because I don't know what Sam’s going to sing yet." Sometimes Sammy would have something halfway but not fleshed out at all, and for Joe, who plays a melodic instrument, you have to know what the singer is doing. You can put down a bonehead riff, but why? Somebody like Joe needs more info, so that was the only thing that kind of held up the second record. But it all worked out. I thought it was great! - - - - -Sammy Hagar: My writing process for the band’s music is unique. In every song there’s usually something different, but it’s the same way I wrote with Eddie, and the same way I'd write with any guitar player, where I say, "You write the music. I'll write the lyrics." We only did it one time differently on Chickenfoot III with "Come Closer." I'd written those lyrics and really liked them, and I said, "Joe, would you take these lyrics and write music to them?" He said, "Absolutely, let me try that," which excited me because that’s what Elton John and Bernie Taupin do. The song is one of my favorites I've ever written. I write lyrics that fit in those holes, and it’s hard and stresses me out. It fucking beats me to death because every word’s got to have rhythmical power first, and then it’s also got to say something, so I paint myself into a real bad corner there, but I can't help it. I was a little embarrassed to sing a song like "Come Closer" because I meant that lyric. It’s about my wife and I—we've been together a long time, and I don't want that to happen, where we start to lose that love, and I spoke about it in that song. - - - -"Come Closer" was really quite unique in how it was written because Sammy sent me lyrics first. There were two pages of lyrics with four verses and a whole bunch of choruses. I sat down at my piano one morning and wrote a very moody piece of music to what I felt was a very dark kind of song coming from Sam. I emailed him a recording of it that very morning before going into the studio, and when I got there, he said he wanted to do it right away. Of course the other guys hadn't heard it yet, so I sat down and played it for them on piano. The consensus right off was, "Let’s do it." The problem was I'd never played it on guitar, and I'm not the greatest piano player, so I was afraid that if we tried to track it with me playing piano we wouldn't get a good take. So while Mike and Chad worked up bass and drum parts, I taught myself how to play the song on guitar. We cut it within about an hour and that was it. - - -Michael Anthony: I was really surprised at how well the second album came together. The music was clicking so well that I remember Sammy coming to the studio, we'd tell him, "Hey, we laid another one down," and he'd say, "Hey, slow down. I don't even have any fucking lyrics for this shit yet!" - - - - -Sammy Hagar: The idea for "Three and a Half Letters" first came to me from a sign I saw on the side of the road. There was a little nine-year-old homeless kid, and it broke my heart. I thought "What the fuck?," so I asked Joe to play the most belligerent music he'd ever played in his life, and I was going to try to talk over it. I get these letters constantly from people with hard-luck stories, so I was going to read four or five letters on the song. We wound up with three. Normally, I don't want to dive into politics. I don't want to be judged for it and I don't want to really say what I think because there’s always somebody who’s going to say, "Fuck you, I feel different." I wanted to do that song and I wanted to make the statement. I'm more of an up-tempo guy. But every now and then, I gotta make my statement. Then I'm done with it and want to make people happy again. - - - -On this album, I had started to make the full transition to playing my twenty-four-fret JS guitar almost exclusively, which was a new model for us, the Ibanez JS2400. Believe it or not, when you suddenly add two frets, you've got to rethink some of your playing. By the time I got to recording Chickenfoot III, I was fully comfortable with it. I had also started developing my own acoustic guitar with Ibanez, which was used on the album and in the Satchurated 3-D movie, too. The amplifier that did 99 percent of the guitar work on this record was the prototype for my signature Marshall amp, the JVM410HJS. - -Wrapping up the first Chickenfoot record had been rather traumatic, because toward the end, our producer, Andy Johns, had to be hospitalized and ultimately couldn't finish the production. So we decided for the second album that Mike Fraser, who mixed the first record for us, was the perfect choice for engineer/coproducer. I wanted someone who knew me and how I worked. That decision not to have any other outside influence turned out to be the best thing because we really clicked on this second record. It turned out to be a remarkable group of sessions. - - -Sammy Hagar: I loved working with Mike Fraser on Chickenfoot III. When you're tracking, he doesn't necessarily interrupt you, but rather he gives you all the space you need and allows you to get your thing together. Then he tries to get the best take from you that he can. That’s a beautiful thing. It’s more comfortable working with a guy like that, but I can't say Andy Johns didn't do a genius job with the first record. It turned out working with Fraser on the second record really did save our ass. We wouldn't have gotten Chickenfoot III made without Mike. Our comanager, John Carter, died in the two months it took us to make that record. That put a dark cloud over the thing, but a producer like Mike kept it together, kept it clean, kept it simple, didn't bring any extra drama. Whatever drama we had was coming from the four of us, which really wasn't any, so it was great, and having Mike really helped matters. He’s a real pro. - - - -We were looking to cut ten really tight songs and to be a heavier band. I think Mike was the right producer for the job. He’s got a great personality that I thought fit in very well with the four of us nutcases. He was the perfect producer to keep us on track, and he’s an awesome engineer. - - -Mike Fraser: One of my main ambitions with III was really wanting to get Michael’s harmonies in there because that was the special part of the Van Halen vibe, having the high harmonies right up front. - - - - -Michael Anthony: In this band, Sammy and I talked about us having this really cool background stuff in Van Halen and how we really wanted to get into that a lot deeper in Chickenfoot. For instance, on the first album, the song "Turnin' Left," the lead vocal is actually a harmony where we're both singing lead and harmony. On Chickenfoot III, Sam and I worked a lot with Joe on structure for some of the vocal harmonies that we did, what notes we're going to sing. Sometimes, you'll just do the basic thing that works all the time, and Joe will go, "Hey, why don't we try this?" and spin a different note in there, which is really cool and really expanded our sound a lot more. - - - -My guitar had never sounded so good. I just couldn't believe the sound Mike captured. It was very thick and full of energy and soul, and so "rock 'n' roll band" sounding. I thought Chickenfoot III was the best I'd ever played and the best I'd ever been recorded. I couldn't wait for people to hear it. - - -Chad Smith: Really the best song that Sammy didn't want to sing because he said it was too fast is a song called "FRYDAY." It’s never been released. Joe, Mike, and I knocked it out one morning. We cut it in two takes and it was done. Sammy didn't want to sing it, so sometimes the best shit is left on the floor. That happens with the Chili Peppers all the time, where we come up with this great music, and Anthony’s like, "Naw, I don't really hear anything for it," and you're like, "Nooo." If you can't get a vocal and melody to it, it just gets left in the bin. I was excited about the new album but I wasn't able to tour. - - - - -Kenny Aronoff: I was up playing with John Fogerty at a winery and Mick Brigden came up to me. He told me John Carter, who managed Sammy Hagar, sadly had died the week before. The news caught me off guard and I was devastated. He said, "Chickenfoot have finished a record and they're going on tour, but Chad has to go out on tour with the Red Hot Chili Peppers for a year and a half. Would you be interested in getting together and jamming to see if it’s a fit?" It’s a hard thing to replace Chad. He’s an integral member and personality, but I jumped at the chance just to go up and play with the guys! The next thing I knew I got a phone call from Sammy, who was the nicest guy in the world. He’s so direct and so present. "Everybody says you're the guy. Chad says you're the guy. I don't want to do it without Chad, but you will be able to keep this thing going. You hit hard and you've got the crazy energy of Chad." I headed up to jam with them for the first time. I had five projects going on at the time but I said, "I'll cancel them to play in this band!" This was the supergroup I'd always dreamed about being in. - - - - -Michael Anthony: I was excited to play with Kenny because he’s played with everybody under the sun! At first, when he came to jam with us in the studio when we were thinking about going out and touring, he'd come in and written out all the drum parts. That’s what he does when he comes in for a session. I remember him and me sitting there before Joe and Sam came in, and I was looking at him, and he had his music stand and was putting all the charts up, and I said, "Kenny, you know as soon as you know all that, you're tearing all that shit up and throwing it out, right? Because that isn't what this band’s about. We want Kenny Aronoff; we don't want a Chad clone. You gotta be you. That’s why we wanted you to come in and jam with us." So as he became more comfortable with us three and hanging out. We made him feel like we wanted him to be part of the band instead of a hired gun on drums. Once he got really comfortable with that, he probably got almost as close to being as crazy as Chad as you can get. It was great then, because it was like, "Alright, Kenny, do your own thing!" - - - - -Kenny Aronoff: We must have sounded pretty good by the end of that first jam because the next day we did the "Big Foot" video and it all just worked. They made me feel so comfortable and they were all the easiest guys to get along with. Sammy decided, "Yeah, let’s go for it," and we hit the road. I've played in great bands, but every single player in Chickenfoot is a virtuoso. Chickenfoot is one of the top three bands I've ever played live with in my life. With Joe, what shocked me when he started playing was his rhythmic feel, which was un-fucking-real! To me, one of the greatest assets of a guitar player is how they play rhythm guitar, and a lot of them don't get it. He gets it. The placement of his 8th notes is so outstanding to me because I try to line my hi-hat up with the rhythm guitar player. If the rhythm guitar player is sitting in the pocket, I put my hi-hat right where his guitar rhythm is and decide then where to put my kick and snare. In that band, Michael was the perfect bass player, but it was Joe who I focused on. It’s not the most typical approach. - - - -I loved the fact that Kenny was a great drummer with super energy. Like Chad, he loves to pick up on the energy of a band and just drive it into the stratosphere, which is a really important part of what Chickenfoot is. Kenny’s a bit different from Chad when it comes to where he places his groove. Kenny lays the snare and propels the band with his hi-hat like nobody else. That’s different from Chad, who propels the band with his kick and brings the band back with the snare, but sort of dances around with the hat. Kenny’s style of drumming is quite unique, actually, and he definitely goes a little bit crazy with us. When he’s playing with John Fogerty, he’s got a very strict set of guidelines that he’s got to stick to, but with us, we've told him, "Go crazy!" - -With Chickenfoot, I'd like to think that we'll be doing the exact same thing ten years from now. I know Sam’s always going to write and record music because that’s just part of who he is. He’s so creative, he’s always writing, he always has energy to sing, and he likes communicating with people. - - -Michael Anthony: We need to keep Chickenfoot on more of the front burner or close to the front of one of the rear burners. When I practice at home, I'll put on old Van Halen songs and jam to a lot of the songs. The other day, I actually put the first Chickenfoot record on and jammed to a couple of the songs. I put my bass down and just cranked it up and sat there listening to it, thinking, "Fuck, what a great album!" As long as everybody in the band does that every once in a while, listens to the music, and then remembers just how great it is, and how much fun we have together, I'm sure they'll remember what a great time we all have when we're all jamming together and we'll do another album. - - - - -Chad Smith: Chickenfoot is something I would love to keep doing. I know I'm the guy who’s been holding it up doing the Chili Peppers the last couple of years. The band started out as me having a break and wanting to go play—then all of a sudden, everybody liked it and we made a second record, and I had to go back out on the road with the Chilis. I'm not going to have another window where I have two years off and can go do another Chickenfoot tour like we did for that first record, but I know we really enjoy playing music with each other, and really love creating music together. To me, even if it was just for that—just to make records, even if I couldn't tour—I would just love to get together and have fun and make new music. I would love to. We are friends and we have a good time together. At this late stage in the game of rock 'n' roll, if you can put that together and have people enjoy each other—not only musically but personally—then I'll look forward to hanging out with them. It’s fun, and if you keep it fun it stays that way! - - - - - -CHAPTER 23 * * - -Unstoppable Momentum —2013 - - -"When it comes to giving every last drop of blood, sweat, tears and soul to your music, Satriani has few equals. He is relentlessly hardworking. . . His 14th studio album to date, it is also one of his most wildly imaginative and stylistically diverse." - -—Guitar World magazine - - - -My musical life has been like a huge snowball rolling down a hill— it just keeps getting bigger and going faster as time goes on, and the more records I put out and the more live performances I do, the more exciting the whole experience becomes. That’s what the song "Unstoppable Momentum" is really about: It’s the soundtrack to that realization. When I start to write a new song, it’s as if time stands still. It’s a uniquely private moment, when I'm alone in my studio and all of a sudden this feeling inside me blossoms and I express it musically. At that point there’s no responsibility to turn it into a full song or a recording, to create an arrangement, to play it in front of anybody, or to see how it does on the radio. The music is still mine— it’s free. It’s pure art, and nothing beats that feeling. As soon as that music leaves the studio, there are expectations. - -With those expectations come hard choices. If you are going to record that music, who’s going to play it? What gear will you use? Which studio are you going to use for tracking? Who is going to help you produce it? How will it do on the radio? Will it be suitable for live performance? How will critics review it? You're no longer in that moment where you've just written something for yourself. During those moments, I sometimes imagine I'm engaging in a pure, solitary pursuit, much like surfing, where it’s just you and Mother Nature. You're not really sharing what you do with anybody. It’s not being diluted by market concerns or any professional expectations. It’s a pure moment in life. I can identify with what painters feel when they finish that last stroke and stand back to look at their painting before anyone else has seen it. It’s a fantastic moment. I feel the same way when I've written something that captures exactly what I'm feeling and crystallizes that moment in musical form. - -In the old days, when I was getting ready to make a new record, I would listen to the demos endlessly. This time around, I kept telling myself I had to get away from that approach. So when I toured with Chickenfoot and then went on the subsequent G3 tours in 2012, I never brought any demos with me. There was a good month or two where I didn't listen to any demos at all. I just kept that music in my head and if I wanted to hear it, I would play it on the guitar. It would be a skeletal version of the song, without any set arrangement. It didn't have the trappings of a demo. This is an important point, because eventually you like what you keep hearing over and over again. They call it "demo-itis"! - -After I got back from the last G3 tour at the end of October 2012, I knew I had to get things together. I didn't know who was going to play on the record, or which songs I was going to record, and I also hadn't yet decided on what kind of album it would be. This was a very different way for me to work, but in the end, it all came together. I wound up using quite a lot of guitar and synth tracks recorded at my home studio from the year’s writing sessions. - -I'm happily blessed with being prolific, so I write constantly. Sometimes they're full pieces, sometimes just little bits. I've got lots of those bits on my phone, on my laptop and my desktop, on scraps of paper, and in my notebooks. At the start of every recording project, the task is to assemble all these bits, see where I'm heading creatively, and make sure there isn't a diamond in the rough that I've forgotten about. Sometimes you come across a complete song, like "Jumpin' Out," or sometimes it’s a little piece of something, like with "Can't Go Back." That was just a little riff I'd recorded on my phone. It came to me one day when there were a bunch of guys doing construction in the house, and the kitchen was the only place for me to hang out. I was sitting there with an acoustic guitar and I wrote that song while thinking about a friend of mine. I wrote maybe six to ten songs that day just sitting in the kitchen, exiled with my guitar. A week later when all the construction was finished, I brought all my notes down to the studio and came across that song. I'd forgotten what it was, but when I played it I instantly remembered the feeling I had when I wrote it, and the rest of the song just flowed. It seems like there’s a constant flow of music in my head. - -When I started writing "A Door into Summer," it had that wonderful feel-good vibe, like summer’s coming and school is ending. It was that same kind of vibe that inspired me to write "Summer Song" back in late 1990. When someone hears a song that resonates with them and some part of their life, that song then becomes a key that unlocks their emotions and memories. I started to think about a new kind of summer song, twenty years later. This time around, I went deeper. - -I brought the first demo into the Chickenfoot III sessions and told Sam, "You don't have to sing the verse. You can talk it." I thought it would be cool to do a song where Sam talked the verses, then sang the choruses. We played it for about fifteen minutes and the band looked at me like I was crazy! I said to myself, "All right, wrong time, wrong band for this song," but I remember going home that day thinking that song had a future with me. I just didn't know how to play it yet. Over the next two years, I would listen to the song over and over again and would sing a kind of guitar melody that I thought would work really well. I kept the melody in my head, vibing on it internally, so that when I finally was ready to record it, the melody would sound natural and relaxed. Ultimately, I wanted it to be about my memories, growing up on the East Coast when winter was over and spring was giving way to summer. School was ending and there were going to be the sort of crazy adventures and new experiences that are so important when you're a young kid. I was celebrating all of those memories. - -I went through a similar experience, on a different emotional level, while writing "Shine On American Dreamer." The imagery I had in my head was that of a battered Cadillac, which is quintessentially American, driving down a road. I could see it just being a great rock 'n' roll rally song, but the song was truthfully about me coming to grips with the economic turmoil that had culminated in market crashes and economic devastation for millions of people around the world in 2008. That really was part of the failure of the American Dream. My grandparents came from Italy, believed in that American Dream, and worked so hard to accomplish it. It wasn't lost on me after reading several books about that economic collapse that a small group of people driven totally by greed would misuse the American Dream and completely destroy the lives of so many people, not only in the U.S.A. but all around the world. In part, what they did was taint that dream for future generations. What I hope the song inspires is a feeling that what we need to do is to keep working and tweaking and fixing our own individual goals and actions to make the American Dream a reality again. - -That’s a really tough subject to write a rock song about, and it’s even tougher without lyrics, but that subject is what got me to play with the emotion I put into it. That’s why the guitar solo is so expressive. It’s not just a straight-electric, hyper-Chuck Berry solo; it’s got a wild, emotional, yet classical sound to it. I wanted to express something heartbreaking during this solo. I also used elements of repetition in the arrangement. It’s the only song on the record that has that kind of intense repetition, the playing of a melodic riff over and over again, and that represented to me how difficult it is to keep a country on course. If you look at the history of the world, nothing lasts. Every country just dissolves and civilizations crumble. - -Keeping the American Dream going will require effort from every American. I asked myself at one point, "Are you crazy, Joe? Can you actually represent this in a song? Will people get it?" Eventually, I get to a point where I just do whatever I have to do to get the music to sound truthful to me. If someone decides later they want to play that song while they're working out, snowboarding, or driving in their car, that’s cool. It’s not my job to force people to think of the song the way I thought of it. Eventually, the artist has to give it away and move on and create more art. - -"Jumpin' In" and "Jumpin' Out" were two songs I wrote and recorded on the same day and then stored in my "Possible Recording Project" folder on my computer. Apparently, after I recorded the demo to "Jumpin' In," I had written an alternate version, "Jumpin' Out." I'd recorded the whole song and totally forgotten about it. I'd even forgotten how to play it! It was in A Hungarian minor and had this kind of swinging guitar-as-tenor-sax kind of thing with the band playing as an ensemble behind me. Upon rediscovering it, I realized that it was a really cool song and that both of these pieces could go together in a yin and yang kind of way—one song about not being afraid to take chances, the other about knowing when not to take chances. - -As the session dates were approaching, I sent Mike Fraser all the songs I was working on and asked, "Which ones do you like, which ones do you think suck, and which ones do you think I'm crazy to even attempt?" because I was at that point where I needed some feedback. - -I hadn't really decided who was going to play on the record until the last minute. I had to go with my gut on which group of guys would be the best to record the album with. It wasn't clear-cut to me this time around because my whole system of not bringing the demos out on the road kind of worked against me in this respect. Had I done so, a lot of that work of deciding who would play on the record would have been figured out. Then, by the time I arrived home, I could have told Mike exactly whom I wanted. It’s dangerous to wait until the last minute because sometimes the players you want aren't available. I can't really explain why I felt that Chris Chaney, Vinnie Colaiuta, and Mike Keneally would work well together. I took a big chance that there would be some unusual chemistry between them. It really did turn out to be a very fruitful decision, because those guys clicked, played so well together, and injected so much life into the material. - - - -Vinnie Colaiuta and Chris Chaney writing charts at Skywalker in '13 - -PHOTO BY ARTHUR ROSATO - -Vinnie Colaiuta has such a different personality and groove from any drummer I've ever played with. His musicianship is awesome, and his timing is the most natural thing you've ever heard in your life. It’s uncanny. My digital editor, Mike Boden, had first suggested Jane’s Addiction’s Chris Chaney on bass. We didn't know if we could get him, but we did, and he wound up being the perfect bassist for the sessions. He was fun, artistic, and had a huge bass sound. Mike Keneally was the last guy I chose. He was quite busy with his producing gigs and his work with Dethklok, and although he plays guitar most of the time, I was hiring him just to play keyboards. He’s a brilliant guitarist and keyboardist, and he can flow between the two. He can see the guitar in his head when he’s playing piano and vice versa. Mike seems to be free of any kind of methodical or didactic keyboard approach. He’s an amazingly pure musician, and extremely creative. - - - -Vinnie Colaiuta at Skywalker in '13 - -PHOTO BY ARTHUR ROSATO - -The level of professionalism with all these guys was really amazing. They came prepared, could change direction at the drop of a hat, and always gave tremendous performances. - - -Mike Fraser: These guys had amazing musicianship. I don't believe they had even heard the songs we were doing until probably an hour before we tracked the song. They'd sit there with their little earbuds on listening to Joe’s demo. Chris would chart the song out, and Vinnie would listen to the song once or twice, and then say, "Okay, let’s try this," and on almost every take, he'd take a different groove until he'd figured out in his mind what he wanted to play. By the time we'd hit take six or seven, he'd know exactly what he wanted to do and nail it. So again, it was a very quick process, and nobody got bogged down and tired of doing the same song all day long. It was a really fresh venture, and they all interplayed off each other, and there was just all this intuitive stuff that was amazing to watch! To see Joe off in his little guitar corner with a big grin on his face the whole time—it was a magical record! - - - -When you make a record, there’s all sorts of things that you're trying to manage: production, the musicians, choosing the right gear, and then there’s your playing and the songs themselves. Then you try to pull everything together and hope that it has that je ne sais quoi that makes it sparkle. What was fun about making this album was that all the elements fell into place in an exciting and natural way. The two weeks we spent in Vancouver mixing the album were emotionally thrilling because I knew I was moving forward into a new creative phase, and I had a great record as proof! - - - - - -Conclusion: 2013 and Beyond - -Once a new record is mixed, I don't spend a lot of time listening to it. I really need to focus on the live performance versions. Just looking at 2012 alone, I had to play "Satch Boogie," "Flying in a Blue Dream," "Crowd Chant," and many other fan favorites hundreds of times. What keeps things interesting is finding new ways to be expressive every night onstage. I try to find ways to apply who I am today to the songs I recorded ten, fifteen, or twenty-five years ago. When I listen to my older material, it’s more confusing than illuminating because it’s not how I experience those songs every night on stage. I do know those versions are what my fans relate to. The studio versions are in their playlists, so that’s what they're relating to day after day. That’s the total opposite of how I experience those songs. I'm living the "live" versions and hardly ever listen to the studio versions once they're done. - -It’s very difficult to say whether I prefer the studio or live versions of songs. One time in 2004, we were playing an outdoor gig in a town square in Wroclaw, which is in southwestern Poland. It was on this weekend where they have live music for almost twenty- four hours straight, all the way until sunrise, in this beautiful square that looks like it must have been built eight hundred years ago. We didn't really know what to expect when we went on. We started doing "Crowd Chant," which was making its first appearance on tour that year, and all of a sudden this crowd of twenty thousand people was synched up with the band and singing this song with us. It was just amazing. I couldn't believe that this little idea I had in my studio was now being chanted by twenty thousand people on this beautiful summer night in Poland! There have been so many nights like that all around the world, where an audience has come to the party with one particular song in their heads, or where they sing the melodies I'm playing on every song. When an audience is with you like that, it’s a very powerful experience. - -Throughout my career, all of my records have been cathartic to a large degree, because I made an unconscious decision way back during my first album that I would concentrate on material that was an expression of my feelings, experiences, and memories. I didn't turn on the radio, listen to the Top 20, and say, "Okay, now write your version of that." I know people who do that and are very good at it, but at the time, I knew this was such a long shot. I was not going to try to break down the door of the music business doing the trendy thing; I knew I had to follow my own path. Whether it sold well or not, I needed to be happy with it artistically. I still feel that way. - -Leonardo da Vinci said, "Art is never finished, only abandoned." I believe this to be true. It’s the letting go of a record, a song, or even a solo that still remains so very difficult for me, and the act is so very cathartic, even after all these years. I still, however, find the process completely exhilarating. I was born to make music in a time when musicianship and originality were celebrated, and they still are— that’s good fortune. - -I wish I could go back and rewrite, rerecord, and replay so much of my music, but I've learned to respect the gift of time over the years. One’s early recordings are like outrageous candid photos taken at a crazy party you wish you could forget, but there they are, reminders of who you were at a specific place and time. They reveal things about yourself that perhaps you missed the first go-round. - -Writing this book has been cathartic enough for me, but not nearly as intense as reviewing John Cuniberti’s wonderful remastering of my studio catalog. He has injected new life into the albums and made them sound more alive and exciting. Even though it’s quite thrilling to undertake such a sweeping retrospective, I still prefer moving forward and not looking back. As I write this passage, I'm only halfway through the Unstoppable Momentum tour, and my fingers are still itching to reinterpret the new material onstage. I want to wrestle with the complexity of "Lies and Truths." And I look forward to being immersed in the emotion of "I'll Put a Stone on Your Cairn" night after night. - -Looking back on almost thirty years of being a "solo artist," I am humbled by and grateful for all the love and support granted me by my fans, fellow musicians, managers, agents, promoters, record companies, press agents, and, most of all, my family. To be able to follow one’s heart and pursue one’s passion in life is truly a gift to be thankful for. Thank you! - - - - - -The Gear: Album by Album - - -The Joe Satriani EP 1984: '54 Fender Stratocaster, '83 Kramer Pacer, homemade Boogie Body and Rubina- painted Strat-type electrics, '67 Marshall Super Lead, '78 Marshall MKII 100 watt-head, Roland JC-120, Boss DS-1, OD-1, and CE-1 pedals, EH Big Muff Pi pedal, Echoplex Tape Delay, MXR Flanger, Maxon Digital Delay - -* * - -Not of This Earth 1986: '83 Kramer Pacer, Boogie Body and Rubina-painted Strat-type electrics, '67 Marshall Super Lead, '78 Marshall MKII 100-watt head, Roland JC-120, Scholz Rockman, silverface Fender Princeton Reverb amp, Boss DS-1, OD-1, BF-2, and CE-2 pedals - -* * - -Surfing with the Alien 1987: two '83 Kramer Pacers, Boogie Body and Rubina-painted Strat-type electrics, vin- tage Coral Sitar, '67 Marshall Super Lead, '78 Marshall MKII 100-watt head, Roland JC-120, Gorilla practice amp, Scholz Rockman, original Chandler Tube Drivers, Cry Baby wahs, Boss DS-1, DD-2, OD-1, and CE-2 pedals - -* * - -Dreaming #11 EP 1988: Ibanez JS1 Prototype "Black Dog," Scholz Rockman, '64 Fender P-Bass; live rig: Ibanez JS1; '67 Marshall Super Lead, '78 Marshall MKII 100-watt - -head, Cry Baby wahs, Boss DS-1, DD-2, and CE-1 pedals - -* * - -Flying in a Blue Dream 1989: Ibanez JS1 Prototype "Black Dog," white Ibanez JS1, '83 Kramer Pacer, Boogie Body Strat-type electric, Fender '63 reissue Stratocaster, '64 Fender P-Bass, '71 Marshall Super Lead, '78 Marshall MKII 100-watt head, Roland JC-120, Gorilla practice amp, Scholz Rockman, Mesa Boogie Mark llc 100-watt head, Deering 6-string banjo, Cry Baby wahs, Boss DS-1, OD-1, and CE-2 pedals - -* * - -The Extremist 1992: Ibanez JS6, JS1, and "Black Dog" guitars, '83 Kramer Pacer, Boogie Body Strat-type electric, Gibson Chet Atkins Nylon String Electric, '69 Marshall full stack, Marshall 6100, Roland JC-120, '64 Fender Vibrolux Reverb, Soldano 100-watt head, Mesa Boogie Dual Rectifier head, Deering 6-string banjo, vintage National dobro, Gibson mandolin, Zoom headphone amp, '65 Gibson Hummingbird, Cry Baby wahs, Boss DS-1, OD-1, and CE-2 pedals - -* * - -Time Machine 1993: Ibanez JS guitars and Marshall 6100s for '90s live rig; '88 live rig: '67 Marshall Super Lead; studio tracks: Boogie Body Strat-type electric, Wells amp, Soldano, Marshall 6100, Roland JC-120, 5150 head, '58 Fender Esquire, Fender custom shop Stratocasters, Cry Baby wahs, Boss DS-1, DD-2, and CE-2 pedals - -* * - -Joe Satriani 1995: Ibanez JS guitars, '58 Fender Esquire, Deering 6-string banjo, vintage National dobro, '58 Gibson Les Paul Jr., '84 Gibson Flying V, Wells amp, Marshall 6100, Roland JC-120, Peavey 5150 head, Peavey Classic combo, vintage Gibson Discover Tremolo amp, '53 Fender Deluxe, vintage Rickenbacker lap steel, Chandler Baritone guitar, Cry Baby wahs, Boss DS-1, OC-2, BF-2, and CE-2 pedals, Fulltone Ultimate Octave, Digitech Whammy - -* * - -Crystal Planet 1998: Ibanez JS guitars, '58 Fender Esquire, '58 Fender Stratocaster, '58 Gibson Les Paul Jr., '84 Gibson Flying V, '83 Kramer Pacer, Wells amp, Marshall 6100, Roland JC-120, Peavey 5150 head, Gibson Lab Series combo, SansAmp rack and plug-in, Cry Baby wahs, Boss DS-1, DD-2, and CE-2 pedals, Fulltone Ultimate Octave, Digitech Whammy - -* * - -Engines of Creation 2000: Ibanez JS guitars, '58 Fender Stratocaster, '64 Fender P-Bass, Wells amp, Marshall 6100, SansAmp rack and plug-in amp, '64 Fender Bassman, Hafler Triple Giant rack-mount head, Cry Baby wahs, Boss DS-1, and CE-2 pedals, Fulltone Ultimate Octave, Digitech Whammy, Moogerfooger pedals, EH Micro Synth - -* * - -Strange Beautiful Music 2002: Ibanez JS guitars, Boogie Body Strat-type electric, '58 Fender Esquire, '58, '60, '61, and '69 Fender Stratocasters, '64 Fender P-Bass, '58 Gibson Les Paul Jr., Martin '48 000-18 acoustic, Deering 6-string banjo, '84 Kramer Pacer, '95 Gibson Les Paul, Wells amp, Marshall 6100, Roland JC-120, Peavey 5150 head, Jerry Jones, Coral Sitar, Chandler Baritone guitar, Cornford prototype heads, Mesa Boogie Dual Rectifier head, Cry Baby wahs, Boss DS-1 and CE-2 pedals, Full- tone Ultimate Octave, Digitech Whammy, Echoplex Tape Delay, RMC wah pedals - -* * - -Is There Love in Space 2004: Ibanez JS guitars, Ibanez JS 7-string prototypes, '66 Fender Electric XII, Ricken- backer 360 12-string electric, '58 Fender Esquire, Fender custom shop Stratocaster, '64 Fender P-Bass, '48 Martin 000-18 acoustic, '50 Martin D-28, Wells amp, Marshall 6100 and '71 Super Lead heads, Roland JC-120, Peavey 5150 head, Peavey JSX head and cabinets, Vox AC30, Chandler Baritone guitar, Peavey Mini Colossal, Corn- ford prototype heads, Mesa Boogie Dual Rectifier head, Cry Baby wahs, Boss DS-1, DM-2, DD-2, and CE-2 pedals, Fulltone Ultimate Octave, Digitech Whammy, Roger Mayer Deja Vibe - -* * - -Super Colossal 2006: Ibanez JS guitars, '58 Fender Esquire, '66 Fender Electric XII, Rickenbacker 360 12-string electric, Fender custom shop Stratocaster, '64 Fender P-Bass, '73 Fender P-Bass, '48 Martin 000-18 acoustic, Wells amp, Marshall 6100, Peavey 5150 head, Wizard 100-watt head, Peavey Mini Colossal, Doctor Z Mini Z, Cry Baby wahs, Boss DS-1 and CE-2 pedals, Full- tone Ultimate Octave, Digitech Whammy, EH POG pedal - -* * - -Professor Satchafunkilus and the Musterion of Rock 2008: Ibanez JS guitars, '58 Fender Esquire, Fender custom shop Stratocaster, '64 Fender P-Bass, '73 Fender P-Bass, '48 Martin 000-18 acoustic, '06 Gibson Gold Top Les Paul, Wells amp, Marshall 6100, JMP, and 800 heads, Roland JC-120, Peavey 5150 head, Wizard 100-watt head, Ben Fargen JS prototype head, Peavey Mini Colossal, Cry Baby wahs, Vox Big Bad Wah and Satchurator prototypes, Fulltone Ultimate Octave, Digitech Whammy, Boss OC-2 pedal, Roger Mayer Octavia - -* * - -Chickenfoot 2009: Ibanez JS guitars, '58 Fender Esquire, Fender custom shop Stratocaster, '48 Martin 000-18 acoustic, Rickenbacker 360 12-string electric, '06 Gibson gold top Les Paul, '06 Gibson JJP #1, Wells amp, Marshall 6100, Peavey 5150 head, Peavey JSX head and cabinets, Peavey JS prototype 100-watt head, Jerry Jones, Coral Sitar, Peavey Mini Colossal, Vox Big Bad Wah and Satchurator, Fulltone Ultimate Octave, Digitech - -Whammy, Roger Mayer Deja Vibe, Way Huge pedals - -* * - -Black Swans and Wormhole Wizards 2010: Ibanez JS guitars, '58 Fender Esquire, '69 Fender Stratocaster, '64 Fender P-Bass, '73 Fender P-Bass, '48 Martin 000-18 acoustic, '06 Gibson JPP #1, Jerry Jones Coral Sitar, '59 Gibson L-5, Wells amp, Marshall 6100 and '73 Super Lead, Peavey 5150 head, Wizard 100-watt head, Marshall JVM410HJS head prototype, '64 Fender Bassman, Two Rock Classic Reverb amp, Vox Big Bad Wah and Satchurator, Fulltone Ultimate Octave, Digitech Whammy, Roger Mayer Deja - -Vibe, Way Huge pedals, Sustainiac pickup system - -* * - -Chickenfoot III 2011: Ibanez JS guitars, '58 Fender Esquire, '06 Gibson JPP #1, '59 Gibson 335, '55 Gibson Les Paul gold top, Rickenbacker 360 12-string electric, Marshall JVM410HJS amps, '59 Fender Twin amp, '53 Fender Deluxe amp, Two Rock Classic Reverb amp, Vox Big Bad Wah and Time Machine pedals, EH POG pedal - -* * - -Unstoppable Momentum 2013: Ibanez JS guitars, Boogie Body Strat-type electric, '58 Fender Esquire, '06 Gibson JPP #1, '83 Gibson 335, '61 Fender Stratocaster, Marshall JVM410HJS amps, '59 Fender Twin amp and assorted '50s Fender amps, Peavey 5150 head, Wizard 100-watt head, Roland JC-120, Fargen Retro Classic, '64 Fender Bassman, Two Rock Classic Reverb and 10th Anniversary amps, Vox Big Bad Wah and Time Machine pedals, Boss DM-2 and OC-2 pedals, Digitech Whammy, Sustainiac pickup system - - - - - -Acknowledgments - -This book started out as a crazy idea from the mind of author Jake Brown. He felt that even after fourteen studio albums much about my creative process was still a mystery to my fans and that they would love to have me shed some light on that process. As we brain- stormed the project it blossomed into something much bigger and more comprehensive than I could have imagined. I'm glad it did, and I thank Jake for coming to me with his idea. - -I actually tried writing an autobiography a few years ago, but found the whole thing to be too cathartic. I felt it was a bit too early in my life to be looking back on everything with such scrutiny, and so it fell by the wayside. This time around, Jake’s idea made more sense to me. We would concentrate on the studio albums, the work that goes into making a record, the creative process, the gear, and the colorful cast of characters who joined me along the way. Jake tirelessly interviewed not only me, but also everyone else who played a major role in helping me record my studio albums. He spoke with the musicians, engineers, producers, record company executives, etc. I must admit, I learned a thing or two about myself reading through the transcripts of those interviews. - -However streamlined Jake’s idea was, I found the whole process cathartic anyway. There was no escaping it in the end. The photographs alone brought back vivid memories both good and bad. Writing this book has proven to be hard work, too, but worthwhile and artistically reaffirming. It seems I've spent my whole life with a guitar strapped around my neck, trying to move forward, not looking back, always jumping into new musical territory. It’s been immensely interesting, artistically satisfying, and fun! Music helps me make sense of the world. I guess it always has. It’s taken a bit of brooding to sort things out along the way, but that process of digging deep into my soul everyday has defined a large part of my life, and has been the method behind my creativity. - -I would like to thank Jake Brown; Glenn Yeffeth and all the good people at BenBella Books; my manager, Mick Brigden; my agent, Wayne Forte; and all my friends and musical cohorts who contributed their precious time and effort into making this book truthful, accurate, and fun to read. - -My parents John and Katherine Satriani must have seen very early in my life that I was crazy about music, and they supported and nurtured me through it all. There is no way to thank them enough. My siblings deserve an apology for all the noise I made growing up, and a big thank-you as well, as they too helped and guided me on my musical adventures. - -Special thanks to my wife, Rubina, and my son, ZZ, for everything they are, the lights of my life. - -—JOE SATRIANI - -* * - -First and foremost, I would like to thank the great Joe Satriani for granting me this once-in-a-lifetime opportunity as a biographer to collaborate on the writing of a book that factually kept me from retiring in 2011 after thirty-three books, took me to another level as a writer creatively, and gave my career a second life. I'll be forever grateful as a fan and author for the honor. - -A million thanks to the indespensible Mick Brigden, the greatest music manager I've ever had the privilege of working with in fifteen years in the business. This book would not have been completed without your steady hand helping to guide the process, from arranging interviews with players and producers to acting as point person with our publisher once the deal was done. It has been a true privilege. - -Thank you to the colorful cast of talented souls who contributed their time and interview commentary to help tell this amazing story, including the awesome Steve Vai, John Cuniberti, Mike Fraser, Glyn Johns, Andy Johns (R.I.P.), Sammy Hagar, Chad Smith, Michael Anthony, Larry LaLonde, Bongo Bob Smith, Jeff Holt, Jeff Campitelli, Gregg and Matt Bissonette, Eric Caudieux, Kenny Aronoff, Brian May, Billy Gibbons, Robert Fripp, and Stu Hamm. - -Many thanks to our amazing publisher, BenBella Books, for giving this book a home, specifically publisher Glenn Yeffeth for first believing in the project, and all of the gifted staff who worked so hard on this book, including our awesome editor Erin Kelley, Adrienne Lang, Alicia Kania, Jennifer Canzoneri, Sarah Dombrowsky, Lindsay Marshall, Jenna Sampson, Monica Lowry, Debbie Harmsen, Adia Herrera, et al. - -On the personal side, first and foremost, a thousand thank- yous to my Carriedoll for giving up two years of Sundays to my workaholism/tolerating my six-day work weeks necessary to undertake the writing of this opus and for inspiring me tirelessly along the way, I love you beyond all words and songs; our devoted pets, Scooter and Hannie; to my wonderful parents, James and Christina Brown, thank you for all your tireless support and love throughout my creative life as a musician and writer; my brother, Josh; the extended Thieme and Brown families. Thank you to my lifelong cast of amazing friends: Alex, Ellen, Jackson, and Willamena Schuchard; Andrew and Sarah McDermott; Sean Fillinich and Lisa Wood; Cris Ellauri; Adam and Shannon Perri; Alexandra Federov and Larry Jiminez; Paul and Helen Watts; Bob and Cyenne O'Brien; Richard, Lisa, and Regan Kendrick; Joe Viers; Aaron C. Harmon; Tony and Yvonne Rose; John Cerullo; Kenny Aronoff; and anyone and everyone else whom I've had the chance to share this wild ride called life with over the past thirty-eight years! - -—JAKE BROWN - - - diff --git a/Books/Music/Synthesis/How to Make a Noise_ Analog Syn - Cann, Simon.txt b/Books/Music/Synthesis/How to Make a Noise_ Analog Syn - Cann, Simon.txt new file mode 100644 index 0000000..6efbe81 --- /dev/null +++ b/Books/Music/Synthesis/How to Make a Noise_ Analog Syn - Cann, Simon.txt @@ -0,0 +1,3615 @@ +Introduction + + + Welcome and thank you for buying this book. + + How to Make a Noise: Analog Synthesis introduces the tools and techniques so you can create and control sounds using analog synthesis. + + Creating and controlling sound—or sound design as it is often called—is not simply about making fun and/or cool sounds. It's about finding a sound that works in context. If you draw a parallel with a symphony orchestra, sound design is about choosing (in other words, programming) the right instrument and ensuring the appropriate playing technique is adopted in order to create the tonal effect the composer (you) wants. In other words, sound design is all about trying to find and create the appropriate medium to express your ideas. + + This book is about analog synthesis techniques—it is not about analog synthesizers. The vast majority of synthesizers available today (including the synthesizers featured in this book) are digital, but still many (probably most) synthesizer sounds are created using traditional analog, subtractive techniques. + + Although they are illustrated in this book with two specific synthesizers, these techniques can be applied to virtually any hardware or software synthesizer. + + And by the way, this book looks at sounds. It is not "the missing manual" for either of the featured synthesizers (since the synths come with very good manuals). It is about how to create and control sounds, and in that context, it doesn't claim to show you how to use every control on every synthesizer. + + Instead, it is intended as a ground-up learning experience, in other words, we'll start creating sounds from first principles rather than deconstructing existing sounds. At all stages I would encourage you to try things out and get your hands dirty: there is no need for precision—get out there and create the sounds that sound good to you! + + + + + +Understanding Synthesis + + + Synthesis and sound creation comes in many forms. + + A key to creating sound with any synthesizer is to understand the strengths and the limitations of your chosen tool (and by implication, the strengths and limitations of the synthesis techniques available on your chosen synthesizer). There's no point in using the wrong tool for a job. + + When it comes to synthesizers, there are three main choices for creating sounds: + + analog synthesis + + frequency modulation synthesis, and + + sample-based synthesis. + + + + Let's briefly look at these in turn. + + + + + +Analog Synthesis + + + This book looks at analog or subtractive synthesis. This is the type of synthesis used in many classic synthesizers such as the Moogs (Mini Moog, Moog Modular, Taurus, Little Phatty), the Oberheim synths (OB-8, OB-X), the Rolands (SH-1000, Juno-6, Jupiter-4, and Jupiter-8), Prophet-5 from Sequential Circuits, and the ARPs (ARP 2500, Arp 2600). + + You will hear people describe analog synthesizer sounds as warm, rich, simple, and powerful. They are all of these and more. + + Analog synthesis works by taking a sound source and shaping it. These techniques are fast and powerful, and if you are prepared to invest the time you will find complexity and delicacy. + + As you will see from this book, analog synthesis techniques are a great place to start when you're developing a firm grasp on creating and controlling sounds. Once you have a grasp of analog synthesis techniques, then you can think about other types of synthesis. + + + + + +Frequency Modulation Synthesis + + + Frequency modulation synthesis (or FM synthesis as it is more often called) adopts a completely different approach to creating sounds when compared with either analog or sample-based synthesis. + + Instead of starting with a bright sound and making it dull and/or shaping it with a filter, FM synthesis starts with a simple wave—usually a sine wave—and distorts it (usually with another sine wave). The interaction between the two (or more) waves creates and shapes the sound over time. + + The sound from FM synthesis is often characterized as being harsh or cold. It can be, but more significantly, FM synthesis is capable of creating a broad, detailed, highly nuanced range of tones which can be controlled with an exceptional level of detail. + + In some ways FM seems complex since it offers an infinite range of possibilities and permutations. However it is this range of choices which offers the broad array of tonal nuances. These different sonic characteristics make FM synthesis an ideal complement to work alongside analog sounds. + + + + + +Sample-Based Synthesis + + + Sample-based synthesis offers the facility to recreate the sound of real instruments with a high degree of sonic fidelity and musical control. It then allows the musician to go further and create super-real instruments in that the sampled instrument never goes out of tune, never has a bad microphone located in the wrong position, and can have effects (such as EQ and compression) built-in to the sound. + + Beyond that, sample-based synthesis can take raw waveforms, then twist and manipulate them in the digital domain and by applying a range of analog-like tools and techniques to create wholly new sounds. And of course, sample-based synthesis can be used to create and control loops as well as other drum and percussion elements. + + Frequency modulation synthesis and sample-based synthesis are covered in separate books which are discussed in greater detail in the Further Resources section. + + + + + +The Featured Synthesizers + + + This book is about creating sounds with analog synthesis. + + To make the link from the page to the synthesizer, the book shows the practical application of the techniques with two synthesizers: Twin 2 and Massive. These synthesizers are used for illustration: you don't need to own them, but it might help. Even if you don't own the synthesizers, the principles set out in this book can be applied to virtually any other (hardware or software) synthesizer. + + + + + +Twin 2 + + + Twin 2 was created by FabFilter Software Instruments, a company founded by Frederik Slijkerman and Floris Klinkert (see Figure 1). + + + + + + Figure 1 Twin. + + It is a powerful three-oscillator, twin filter synthesizer, with an extremely high quality sound and a very flexible modulation system. In many ways, the synthesizer has the feel of a vintage analog machine brought up-to-date and rendered in software. + + + + + +Massive + + + Massive was created by Native Instruments (see Figure 2). + + + + + + Figure 2 Massive. + + It is a huge-sounding three-oscillator, twin filter synthesizer. While its analog synthesis model underlies its architecture, Massive is very much a modern synthesizer with a huge array of sonic options. + + These two synthesizers are used to illustrate specific points. Both synths are capable of much more than I am demonstrating in this book. You can read more about them and their features in the section Architecture of the Featured Synthesizers. + + There are other great synthesizers out there—the techniques set out in this book can be applied equally to many of them, but these two have been chosen to illustrate the techniques covered by this book. They were selected because: (1) they are tools of the highest quality (2) they are popular and widely used (3) they sound great, and (4) they are available in PC and Mac versions. And just to reiterate the disclaimers at the start of this book, the developers of these synthesizers have not been endorsed this book and equally, neither the publisher nor the author endorse or offer any support for any of the products featured in this book. + + While this book is about analog synthesis, these synthesizers are anything but analog. A key benefit of these synths (when compared to analog hardware) is their semi-modular structure—you can build what you want, however you want it, giving you the sound and control you want. + + These synthesizers also add many functions that are not available on conventional analog hardware. For instance: + + Multi-stage envelopes. + + Tempo-synced modulators. + + A wide range of filters (and yes, some of the big modular synths might have a range of filters, but few have the range of these featured synths). + + + + And while I'm in a mood for disclaimers and clarity, this book is about how to make sounds—there is no discussion about the relative merits of the two synthesizers (especially when their features overlap), nor about the fidelity of any hardware that has been modeled in the creation of any of the featured synthesizers. + + + + + +Format of this Book + + + This book is only available in electronic form and has been designed, and optimized, to be read on electronic reading devices such as the Kindle, nook, and iPad, as well as the desktop version of any reading tools. + + The graphics have been have been optimized for the intended reading medium and are in color. These color images render on a grayscale eInk screen without any problems. The layout (including the images) has been designed to work on a wide range of screens including a standard 6" eInk screen, a phone-sized screen, and an iPad-sized screen. + + There are, of course, a few limitations with this format—perhaps the biggest relates to the graphics. Many electronic readers can only deal with graphics of a certain file size. Accordingly the graphics have been squeezed to extremes. This is not a problem for the line drawings (such as the images of the envelopes), but it is more of a challenge for the screenshots (which are reduced in terms of pixel size as well as file size). With this extreme compression, some of the very fine details simply do not render as clearly as I would like on an eInk screen. + + You will also see that I have included clickable links to external websites (which will require an internet connection). To differentiate between the internal and external links, external links have a small image to their right, thus. + + + + + +Navigating this Book + + + Throughout the book there are clickable links to make it easier for you to jump to a specific point. This means that you can go straight to the section you are looking for, and if you don't like the order in which I've put the chapters, then you can read them in the order you want to and hopefully there are links to any earlier material that is necessary to get a full understanding in the later chapters. + + And on the subject of the order that the information is presented, the book is structured as follows: + + Chapter 1: Getting Started with Synthesis. Chapter one introduces you to the basic principles of synthesis and the architecture of the featured synthesizers. + + Chapter 2: Sound Sources. Chapter two looks at the sound sources and how to deploy those sources to create the broadest sonic palette. + + Chapter 3: Filters. Chapter three looks at filters which shape the raw sonic output from the oscillators to create the sound you hear. + + Chapter 4: Making the Sound Dance. Chapter four looks at modulation: the process by which all of the elements are controlled to create the final sound. + + Chapter 5: Envelopes. Chapter five looks at envelopes, the automatic level controls which shape the sound in real time. + + Chapter 6: LFOs and Specialized Modulation Sources. Chapter six looks at low frequency oscillators and other tools to help animate your sound. + + Chapter 7: FX. Chapter seven looks at the effects units that are available to the musician and how they can be used to create and shape sound. + + Chapter 8: Sculpting Sounds with Synthesizers. Chapter eight looks at the practicalities of creating sounds using analog synthesis techniques. + + Further Resources. If you're wondering what to do after you've read this book, then the further resources section will give you some ideas, including directing you to some free books and videos. + + + + OK. That's enough introduction: let's get on with the music. + + + + + +Chapter 1: Getting Started with Synthesis + + + While analog synthesizers are all different, they do essentially the same task: create and shape sound. + + The options to shape a sound are determined by the tools that each synthesizer makes available, the signal flow within the synthesizer, and the level of control over each element that the musician is given. In short, the architecture of the synthesizer is fundamental to a synthesizer's sound creation possibilities, so let's start by looking there. + + + + + +Synthesizer Sound Architecture + + + There are many factors in a sound's design, but in essence a sound will usually have three main elements present in its sound (see Figure 1.1): + + the sound generator (an oscillator) + + the filter (to shape the tone), and + + the volume control (to control the level of the sound over time). + + + + + + Figure 1.1 The basic signal flow in the sound creation process. + + Once the sound has been created, it is then "shaped" over time—both in terms of the tone and the volume—to provide a (hopefully) pleasing tone (and if not a pleasing tone, then hopefully the tone that is created will be one that you want to create). + + This type of synthesis—which is seen in every analog synthesizer and analog-emulating synthesizer—is usually called subtractive synthesis: the sound generator creates a sound and the filter "subtracts" elements to reach the final sound. + + Once the basic sound has been created, a range of control sources are employed to effect tonal changes over time. These control sources include: + + envelopes, and + + oscillators (often low frequency oscillators or LFOs). + + + + The term that is applied when one device controls (or changes) another is modulation. So if an LFO controls a filter, perhaps to create a wah-wah type effect, then we would say that the LFO modulates the filter (or more accurately, the LFO modulates the filter's cut-off frequency). + + Don't worry if this sounds a bit confusing—this is just a brief introduction to the workings of synthesizers; we will discuss the various elements in greater detail as we progress. + + When we start looking at the synthesizers in some detail, it may appear that they have similar features and similar signal flows. You might logically expect that the sounds they produce will be the same. In practice, this is not the case. In synthesizers (both those featured here and the others synthesizers you will come across): + + apparently similar sound sources will create very different sounds + + apparently similar filters will work in different ways, and + + the interaction between various elements will differ giving markedly different sounds. + + + + In short, different synthesizers sound different. I would encourage you not to try to compare and contrast the differences, but to listen to how the synthesizer you are using sounds, and listen to how the tools you have available help you to shape the tone to get the sound you want. + + + + + +Architecture of the Featured Synthesizers + + + Let's look at the architecture of the featured synthesizers and think a bit about what the design means for sound creation possibilities. + + And just to remind you: this book focuses on sound creation, so I'm not intending to tell you about all the features of these synthesizers. + + + + + +Twin Architecture + + + The heart of Twin is three oscillators and two filters. + + Each oscillator has six waveforms (including two noise options). Oscillator one and oscillator two each has its own separate (stereo) audio channel—oscillator three then has its output split between the two oscillators' audio channels. + + There are two filters, which can be set as low-pass, high-pass, or band-pass filters with a curve of 12dB/octave, 24dB/octave, or 48dB/octave (and if this all seems confusing, don't worry—it's a good thing and will be explained in more detail later in this book). + + There are then 11 filter type options—each different filter has a different tonal response. + + The filters can be arranged in parallel (to sculpt two separate tones), in series (so that the output from filter one is then sculpted further by filter two), or on a per-oscillator basis so that the separate outputs from oscillators one and two (with any element of oscillator three) is then processed separately. Each filter works in stereo so you can pan the oscillators across the audio field. + + The output from the filters is mixed, but then split. One feed goes straight to the output and the other goes to the delay section. + + In the delay section, there are two delay units—one is applied to the left audio channel and the other to the right audio channel. While it may seem that Twin doesn't offer much in the way of FX, as you will see when we get to Chapter 7: FX, this delay arrangement offers many options. + + Having passed through the delay lines, each (delayed) signal then passes into another filter bank. Like the main filters, these can be arranged in series (so the delayed signals are mixed and then pass first into filter one after which the output from that filter is then sculpted further by filter two), in parallel (to sculpt two separate tones), or on a per-delay basis so that the separate output from each delay line is then processed separately. + + After passing through the delay line filters, the signal goes to the output. At the output, the dry and processed signals are separately mixed and balanced in the stereo panorama. + + In addition, Twin offers a (seemingly) limitless supply of modulators. If you want to modulate anything, due to the semi-modular design, all you need to do is call up a modulator and assign it to a destination. You can even assign modulators to modulate other modulators (so for instance, you can set an envelope to modulate the extent to which an LFO modulates its destination). + + As well as conventional envelopes and LFOs (which, as you will read later, are both over-specified) Twin offers an X-Y Controller, an Envelope Follower (so you can use external audio signals to control a level), and a wide range of MIDI control and automation options. + + + + + +Massive Architecture + + + Like Twin, the heart of Massive is three oscillators and two filters. But after that, the two start to diverge... + + Each oscillator has a large range of waveforms—some are analog-emulating, but most are digital. The waveforms are not single waves, but a whole range of similar waves (called wavetables)—the advantage of this approach is that you can change your sound by tweaking the source wave in real-time. As the waves are related, you can find a similar, but different, sound. There is a modulation oscillator; however, since this book is about analog synthesis techniques, I won't be looking at the sonic options that it offers. + + There is a separate noise generator which has a range of noise-creating options. + + The output from each wave and the noise generator can then be balanced between the two filters. There is a third option and one of the waves (or the noise generator) can also have its unfiltered signal mixed directly before the master EQ section and then output. + + Like Twin, Massive has two filters which can be set as low-pass, high-pass, or band-pass filters with a curve of 12dB/octave, 24dB/octave, or 48dB/octave. In addition, Massive has a range of other more specialized filters. + + The filters can be arranged in parallel or in series, and the two options can be balanced to give shades of sonic difference. + + After passing through the filters, the signal passes through two FX units, one EQ block, and to the output. + + At various points (before and after the filters, and after the filters output has been mixed) FX units can be inserted into the audio chain. At various points, the signal can also be tapped and fed-back into the audio chain in order to warm-up/roughen-up the sound. + + Massive has four envelopes and four LFOs, and in addition there are a range of other modulation sources and controls that can be applied. The LFOs can also be repurposed for specialized tasks, becoming Performer and Stepper modulation sources (which are essentially highly tweakable LFOs). + + + + + +Examining the Elements + + + In the next few chapters we're going to focus on each element in the sound creation process. + + This is a slightly unnatural approach since you're unlikely to only tweak one parameter when you're creating sounds. In practice, you will probably keep making minor adjustments to all the functions as you fine-tune your sound. However, I want to make sure we have a clear understanding of what every element brings to a sound. Then we can move on and look at how to apply those principles, and how to structure the elements, in order to create sounds + + These next few chapters will therefore be slightly abstract in that we're not looking at completed sounds, but I encourage you to get your hands dirty and try things out with whichever synthesizers you have to hand. + + + + + +Chapter 2: Sound Sources + + + We've looked at synthesizer architecture. Let's now move to the beginning of the audio chain and look at the sound source. + + In analog synthesizers, a sound is created by an oscillator—these are single-cycle waves which keep repeating. In today's digital synthesizers, the sound sources are digital recreations of analog oscillators. Without any treatment, most of these waves (whether digital or analog in origin) sound either harsh or uninteresting. + + + + + +Basic Wave Shapes + + + There are some wave shapes which are common to virtually every synthesizer that has ever been produced. Twin (see Figure 2.1) and Massive both offer all of the basic wave shapes. Massive also offers a much wider range of specialized waves which I will discuss briefly. + + + + + + Figure 2.1 The oscillator block in Twin where the waveforms can be selected. You can see on the left-hand side that the selected waveform is displayed. + + Before we go any further, a quick suggestion: please do not try to make any assumptions about how a wave will sound based on how the wave looks—just because a wave looks spiky on an oscilloscope (or in an image I have drawn), that doesn't mean that it will have a spiky sound (especially after it has been through a filter). There is only one way to really understand how a wave sounds, and that is to listen to it. + + Also, please don't get too hung up with how a wave with the same name will sound different on different synthesizers. Don't concern yourself with labels, but instead, do concern yourself with how individual waves in different synthesizers sound and how you can use each wave in an appropriate context. + + As a side note, as we will read later (in Chapter 6: LFOs and Specialized Modulation Sources), these basic wave shapes are very often used for low frequency oscillators. + + + + + +Sawtooth Wave + + + The sawtooth wave (see Figure 2.2) may be the closest that we will come to a general purpose wave. It is used by both of the synthesizers featured in this book and on virtually every other synthesizer. + + + + + + Figure 2.2 A sawtooth wave. In this case, a rising sawtooth wave. + + The sawtooth wave gives a bright sound which is often used as the basis for brass and string sounds as well as general "fat" synthesizer sounds (such as stabs and basses). It is rare, but not unknown, to hear a raw sawtooth wave. Because of the harsh, bright quality of the wave it is usually filtered. + + While a sawtooth wave is a bright wave, filtering can add warmth and depth to a sound. The sawtooth lends itself well to filtering—its bright character can be easily shaped allowing you to create a unique sound. + + However, even with filtering the wave often tends to dominate a broad proportion of the sound spectrum. This may not be a problem, but if your arrangement contains several patches based on sawtooth waves, you may find your mix starts to get muddy. One solution here is to apply two filters in series when you create a sound—one to shape the sound and the other (a high-pass filter) to cut out some of the muddiness. We'll look at this technique in Chapter 8: Sculpting Sound with Synthesizers. + + + + + +Square and Pulse Waves + + + The square waveform (see Figure 2.3) has a hollow quality and is often used to create "woody" or "reedy" tones such as those found in woodwind instruments. It is also frequently used in bass sounds, either on its own or to fatten up a sound, often acting as a sub-oscillator (in other words, a note pitched below the fundamental which is felt more than it is heard). + + + + + + Figure 2.3 A square wave. + + Unlike the sawtooth wave, when the square wave (and to an extent the pulse wave) is filtered, the underlying character of the wave tends to shine through. Accordingly, filtering will often make the sound thinner or less bright, rather than creating a new sound. However, this is very much dependent on the characteristics of the chosen filter. + + A pulse wave (see Figure 2.4) is like a square wave, but the two sides of the wave are not balanced. The tone varies according to the width of the pulse, giving a range of tones going from sounding similar to square wave, through becoming increasingly thinner and more nasal, to ending with noise. + + + + + + Figure 2.4 A pulse wave. + + Some synthesizers offer a pulse wave option, however, Twin does not. Instead, it offers a square wave where the pulse-width can then be modulated, either manually (by adjusting the middle knob, see Figure 2.1) or by attaching a modulation source (such as a low frequency oscillator) to constantly shift the pulse-width, which often gives a fatter tone. + + Pulse-width modulation (often called PWM) is a technique most associated with square and pulse waves. With a square wave, the positive and the negative phases of the wave are balanced. When the pulse-width is modulated, this balance changes to give a different shaped wave. The different waveforms are not simply different shapes on an oscilloscope, but contain different spectral components, hence their different tone. + + + + + +Sine Wave + + + The sine wave (see Figure 2.5) is perhaps the most basic element in a sound. It is the purest form of tone you can have—it consists of the fundamental note and has no overtones. If you run a sine wave through a filter, there are no overtones to filter out—therefore the only effect that a filter would have would be to reduce the volume of the note itself. If you put any sound through a low-pass filter, as you take out the harmonics it will tend to sound like a sine wave. + + + + + + Figure 2.5 A sine wave. + + On its own a sine wave can sound quite dull and is not often a first choice for programming. However, as a waveform it is often used to thicken up patches. Where a waveform sounds weak on its own adding a sine wave can give a depth to a patch and add a roundness/fullness to the sound. + + Sine waves are also often added to bass patches to give a sub-sonic, foundation shaking, quality. If you are doing this, please check the patch on full range monitors and take care not to blow your speakers. + + In some of the original analog synthesizers, it was difficult to generate a pure sine wave so it was common to implement a triangle wave instead. The triangle wave is easier to generate using analog components and gave a sound which was "close enough". + + + + + +Triangle Wave + + + A triangle wave (see Figure 2.6) gives a sound that is slightly less reedy or perhaps less sharp than a square wave. If you want to stretch a point, you could alternatively think of the triangle wave as being like a sine wave but somewhat sharper in its output. + + + + + + Figure 2.6 A triangle wave. + + A triangle wave is often used in an LFO as a modulation source since it can give smoother results in some contexts. + + + + + +Noise + + + A noise generator (see Figure 2.7) is useful for creating unpitched sounds, for instance, it is often filtered and used for wind effect, to simulate breath (perhaps when emulating a flute), and in percussion sounds. + + + + + + Figure 2.7 Noise. + + Noise comes in different colors (white, pink/red, brown, and gray). The colors denote the balance of harmonics in the wave. The practical effect of this is that white and gray noise are the brightest, then pink/red, and finally brown. + + Twin offers noise (white and pink) as a wave shape option. Massive (see Figure 2.8) has a separate noise generator (in addition to the three oscillators) with a wide range of noise sources which can then be tweaked further. + + + + + + Figure 2.8 The noise generator section in Massive. + + + + + +Complex Wave Shapes and Variations + + + We've now looked at the basic waves. + + One of the reasons for choosing Twin to illustrate some of the principles in this book is that it only has a limited number of waves (indeed, it only has the waves mentioned so far). While this may appear limiting, it does not need to be—as you will see when we reach the next section (Combining Sounds) the three waveforms can be combined to create a broad palette of sounds. + + While Twin has fewer waveforms than many other synthesizers, its approach does have advantages, primarily it is fast—you can always get want you want, quickly, and this speed gives a focus in programming. + + Like virtually every other synthesizer on the market, Massive offers a range of different waves. As well as offering a wide range of waves, each wave is actually a set of waves—when you load one wave, you're actually loading a whole set of waves (a wavetable), each of which is similar but subtly different. By changing the selected wave from the wavetable while the sound is playing you can achieve noticeable tonal shifts. + + To access the different waves in the wavetable, you can spin the Wt-position knob in the oscillator section (see Figure 2.9). + + + + + + Figure 2.9 The oscillator section in Massive. + + Wavetables of this type are comparatively uncommon (and they definitely never appeared in analog synthesizers—they are something of the digital era). However, analog synthesis techniques can be applied when this form of oscillator is used as a sound source. + + + + + +Combining Sounds + + + Apart from one or two synthesizers, every synthesizer (including both synths featured in this book) allows you use more than one waveform at a time. A single oscillator has a limited range of options—if you want a broad tonal palette from which to create your sounds, then you need to start combining oscillators. + + There are many reasons for sound combining (including to create new tones, to augment a weak tone, to get a fatter sound, or simply to get a smoother sound) and there are many ways that sounds are combined, for instance two similar sounds could be doubled or two different sounds can be layered to create a wholly new sound. + + Whatever the reason, sounds created with multiple oscillators will generally fill more of the sound spectrum. Accordingly, care needs to be taken to ensure that these sounds do not come to dominate a mix (unless that is the intention). + + There are many ways that sounds can be combined to provide different sounds: + + Waves can simply be doubled. + + One wave can be set at a different pitch. + + The phase of one wave can be different from another. + + A different waveform can be selected. + + A combination of any of the above. + + + + Let's look at these options in a bit more detail. + + + + + +Doubling Oscillators + + + The simplest way to combine oscillators is to take one oscillator and clone its settings to a second oscillator. Simply cloning the oscillator may not do much more than increase the volume. However, the addition of a second oscillator does give many more sonic opportunities. + + + + + +Oscillator Phase + + + When we talk about the "phase" of an oscillator we generally mean the position in a wave's cycle (see Figure 2.10). With one oscillator, the phase matters little, however with two oscillators the effect of phase can be dramatic. + + + + + + Figure 2.10 The phase of an oscillator. The blue sine wave has reversed polarity (when compared to the red sine wave) and the dotted gray triangle wave is 180 degrees out of phase. + + If you have two waveforms that are totally in phase then you will get reinforcement of the signal. Reinforcement is perceived as an increase in volume. If your waves are out of phase then you will get interference and cancellation. The effect of the cancellation depends on the individual waves: if you have two sine waves that are 180 degrees out of phase, then you will get total cancellation. + + Partial cancellation caused by putting waves out of phase is generally perceived as a change in tone, usually making the sound thinner and sharper. This may be a great result if you are after a plucked sound or a more metallic sound—it may be less impressive if you are after a really fat sound. + + The phase of a wave can be synchronized with the start of a note (in other words, the key strike). This means that phase of every note from each oscillator will be consistent each time a key is struck—so if you have set two waves to be slightly out of phase, the tone this creates will be consistent for each key strike. + + You can synchronize the start point of a wave in Twin by clicking on the MIDI symbol to the right of the waveform selector drop-down in each wave. You will only hear an effect (which you might perceive as a tightening of the sound) if you sync more than one wave. If you do not sync the waves, then their starting phase will drift and you will hear cancellation. + + You can't set the starting phase of a wave in Twin, but you can in Massive by accessing the Osc section in the Center Window (see Figure 2.11). + + + + + + Figure 2.11 The Osc block in the Center Window of Massive where you can set the phase for each wave (in the Oscillator Phases section in the middle). + + Neither of the featured synthesizers allows direct access to tweak the polarity of a wave. + + + + + +Oscillator Detuning + + + Another common technique used with doubled oscillators is to detune one of the oscillators (or to detune each of them but in different directions). Subtle detuning can give a natural chorusing effect which is perfect for creating fullness/roundness/smoothness or just adding fatness to the sound. + + There is a balance to be struck when using this technique—if the detuning goes too far then the resulting sound can become flabby and/or out of tune. This may be a good or bad thing, depending on the effect you're after. + + + + + +Multi-Oscillators + + + So far we have looked at doubling oscillators. However, there is no reason why you shouldn't triple or quadruple oscillators (assuming you have that number available) and separately detune each oscillator. + + Clearly there is a limit to how many oscillators you can call up—for both of the featured synths, that limit is three. However, many synthesizers allow you to get past limitation by using a multi-oscillator. These work by giving a large number of oscillators (for instance Twin allows 32), each slightly detuned. The net result is a massive sound (no pun intended) without using all of your available CPU resources. + + Different synthesizers implement this function (if they offer it) in different ways. In Twin, this functionality is applied to all oscillators (in other words, it's not on a per-oscillator basis). There are four controls (located across the bottom of the interface) that control this sound (see Figure 2.12): + + + + + + Figure 2.12 Implementing multi-oscillators in Twin. By the way, the Spread and Stereo knobs pop-up (as displayed) when you click on them. + + Voices. The Voices drop-down determines the total number of notes that may be played simultaneously. This number is the product of the number of keys held and the number of oscillators (controlled by the Unison knob). + + Unison. The Unison drop-down determines how many oscillators there are in this multi-oscillator, so if you set this to 12 and hold down a key, then you will have twelve slightly detuned oscillators under your finger (provided you have set the number of voices to 12 or more). + + Spread. The Spread control determines the maximum detuning of the most detuned oscillators within the multi-oscillator—the tuning of the other oscillators will then distributed between these two extremes. Set this too low and the sound will be thin and buzzy; too high and it will sound out of tune. Somewhere in the middle and you'll find that fat sound. + + Stereo. The Stereo control doesn't change the sound, but it does allow you to spread the voices across the stereo panorama. + + + + You can access similar functionality in Massive in the Voicing section of the Center Window (see Figure 2.13). + + + + + + Figure 2.13 The Voice block in the Center Window of Massive where you can set the multi-oscillator parameters. + + + + + +Layering Oscillators + + + There is a fine difference between layered and doubled oscillators—I am only using different terms so that I can be clear about the different concepts. + + With layered oscillators, you take two (or more) oscillators acting together. However, the oscillators are different, so for instance, you may combine a saw and a square wave. Alternatively you may combine two square waves, one being an octave higher than the other. + + The combinations may or may not be detuned—that is all a matter of taste, however, if the oscillators are split over octaves, the effect of mild detuning from perfect octaves is not particularly noticeable. + + For a simple practical example of layered oscillators, take a sawtooth wave and a square wave. On their own, both waves have a certain sound: both are quite bright and in certain circumstances this may mean that some richness and some depth of tone is lacking. You could double either of these individual waves to get a richer tone. Alternatively, you could layer these two oscillators. + + Layering gives a new tone that is neither sawtooth nor square—the layered sound still has the brightness of the two components, but perhaps more weight. If you then want to thicken things up considerably, you drop the square by an octave. + + There are many options for layering waves. Take a look at Figure 2.14 which shows a sawtooth wave and a square (both of the same pitch being added together). + + + + + + Figure 2.14 When a sawtooth wave and a square wave are added together, the result looks like a combination of the two. + + Now look at Figure 2.15 which shows two sine waves being added: one being pitched an octave above the second. + + + + + + Figure 2.15 When a sine wave, and a sine wave pitched an octave higher than the first are added together, the result is a wholly new wave. + + Lastly, look at Figure 2.16 which shows two sawtooth waves of the same pitch being added: one is 180 degrees out of phase when compared to the other. As you can see the end result is a sawtooth wave, but that resulting wave is pitched one octave above the two combined waves. + + + + + + Figure 2.16 When two sawtooth waves—one 180 degrees out of phase—are combined, the result is a sawtooth wave, but raised by an octave. + + + + + +Layering Sounds + + + In creating sounds you aren't limited to layering/doubling your oscillators—you can also layer whole sounds. + + If you split your oscillators and process them separately through different filters then you can create two completely different sounds. These two sounds can then be layered to create a new sound. This is a different approach to layering oscillators and will give you another dimension to your sound. + + As you will see when we look at Chapter 4: Making the Sound Dance you can control these sounds in real-time, for instance, you can mix them using an X-Y controller. + + + + + +Hard Syncing Oscillators + + + One other way to layer oscillators is to hard sync them. + + With hard sync, one oscillator is slaved to another oscillator. The slave oscillator will restart its phase each time the master oscillator restarts its phase. + + If the two oscillators are pitched at the same level, the effect is comparatively mild. If the two oscillators are pitched differently, then one oscillator will complete its cycle before the other. This means that the slave will be part way through its phase when it is retriggered. + + This can result in a very hard sound that is often used for creating cutting lead sounds. + + You can engage this function in Twin on a per-oscillator basis. When the oscillator controls are open, the third knob in the oscillator bank controls the pitch of the hard synced oscillator. (When the knob is set to 1 the effect is switched off.) + + + + + +Combining Waves in Practice: Creating New Tones + + + That's enough theory; now it's over to you. Let's me suggest a few first steps and talk about what you might hear. + + Before you can build sounds you need to understand your raw material—in other words, you need to listen to the raw sounds coming out of your synthesizer and be able to hear the sonic nuances when those sounds are combined with other sounds, and when those resulting sounds are filtered. In other words, you need to have your own musical equivalent of paint color charts when you want to redecorate your home. + + If you've ever used these charts, you will know that on their own each color looks fine—it is only when you put the color next to a similar color that you can see the similarities and the differences. And as with color charts, when you have a range of tones, there is a dilemma about choosing the right one. + + So fire up your favorite synthesizer, and let's get going! + + In auditioning the combinations I suggest below, listen for these elements: + + the added weight of combining two oscillators + + whether the combination creates a completely new tone, and + + whether the component parts can be separately identified. + + + + Also pay attention to listen to how the combinations react to filtering, especially when one oscillator is pitched above the other. In this case, with a low-pass filter the higher pitched oscillator will be disproportionately attenuated (which may or may not be a good thing). + + + + + +Raw Waves + + + Before you do anything, first listen to your raw waves with no filtering. Get to hear what a single wave on its own really sounds like and only then listen to how they react to filtering. + + + + + +Doubled/Layered Wave, Same Octave + + + Once you really know how your waves sound: + + double the waves, so you have two of the same waves playing together, and + + layer the waves, so for instance, listen to a sawtooth and a square wave in combination. + + + + When the waves are layered, adjust their relative levels so one is more dominant than the other, then change the levels so the other dominates. + + Listen to the waves with and without filtering, and if your synth has the facility, listen to the waves in and out of sync and with the phase adjusted. + + If you are layering a sawtooth and a square wave, they will usually combine well. When the combination is filtered, to my ear the sawtooth is filtered more heavily. + + If you're able to adjust the phase, notice how the sound becomes thinner as the phase is changed. Pay particular attention when the phase difference is near to—but not exactly—180 degrees. + + + + + +Layered Waves, Different Pitches + + + When you're happy with the sounds from layered waves, start to introduce pitch differences: + + initially split the waves over one or more octave intervals and use the same waveform, then + + use the same intervals but combine different waveforms (square and sawtooth always work well), and finally + + combine waves (the same or different shape) with different pitches (the interval being set in semitones, for instance, seven semitones—a major fifth). + + + + You will hear that some combinations give a single coherent sound. With a bit of level balancing and maybe some gentle filtering, you will often be able to find this coherent sound. + + As the interval becomes greater, it will be harder to find a coherent sound. Very often you will be able to hear two distinct elements to the sound although those elements will not necessarily be the source sounds. And by the way, there's no right or wrong here—it doesn't matter whether you achieve a coherent sound or if there are two clearly audible elements. What matters is that you hear what's going on. + + When you use non-octave intervals, you will probably want to drop the level of the re-pitched oscillator unless you are after a clangorous sound. However, you will also find that some intervals (for instance fifths—in other words seven semitones above, or an octave plus seven semitones) will sound best. + + As I've already mentioned, the other behavior that you will probably notice is that will greater pitch differences, the effect of the filter on the higher pitched oscillator will be much more noticeable. + + + + + +Combining Waves: In Summary + + + As I hope you have heard, combining two waves will create a range new sounds that you can control to broaden your sonic palette. + + To summarize, when mixing two waves together: + + The waves don't need to be the same volume—one can dominate and one can be softer with the combination. Varying the mix of two waves will vary the resulting tone. + + You can have any pitch combination. The easiest pitch combinations are based on octave steps (in other words you can set one wave an octave or two octaves, and so on, above or below the other). However, there's no reason why you shouldn't use other intervals, for instance, a major fifth (seven semitones) difference often works well. + + Some combinations work well and give weight to the sound and/or a new tone. Other combinations don't work so well. Take some time to listen to what sounds right to you. + + Some combinations work together to give a single coherent tone. Others—particularly those based on large pitch differences—give two (or more) clearly identifiable sounds. Very often these separate sounds are distinct from the component waves that are being mixed. + + + + There are no rules, so I would encourage you to play and listen. + + + + + +Starting to Shape + + + This chapter has looked at the raw sounds that are available to you. Let's move on and look at how those sounds can be shaped with filters. + + + + + +Chapter 3: Filters + + + We've looked at synthesizer architecture and the main sound sources. Now we're going to look at how to sculpt your sounds. + + At its most basic you can think of the filter as being a tone control. A low-pass filter is like a treble control—turn it down and the sound gets "duller". However, a filter can do much more for you. + + There are two key differences between a tone control and a filter: + + Filters work on a per-note basis to individually sculpt each note. This is important because... + + Filters can be animated in real time. If you think of a piano—when a note is struck it is bright, but the tone decays over time. By having filters on a per-note basis, you can hold a note and trigger a new note—the new note will have its own filter giving a much brighter sound which would not be possible if the note needed to use the other decaying note's filter settings. + + + + There are many different types of filters, but the most common is a low-pass filter, so we'll look at the workings of that type of filter first. + + + + + +Filter Parameters + + + Filters have two main control parameters: cut-off frequency and resonance, see Figure 3.1. + + + + + + Figure 3.1 A low-pass filter with a resonant peak. + + + + + +Cut-Off Frequency + + + The cut-off frequency is the point at which the filter starts to have effect. So if you have a low-pass filter and set the cut-off frequency to 8kHz, the sound spectrum above 8kHz will be progressively reduced. If you are using a high-pass filter (which is discussed shortly), sounds below the 8kHz cut-off frequency will be reduced. + + + + + +Resonance + + + Resonance adds some bite to a filter. It works by boosting the sound spectrum around the filter cut-off frequency as Figure 3.1 illustrates. + + Used in moderation, the effect is subtle and can make a sound appear brighter and/or slightly thinner (or less fat if you prefer). When used to the extreme the effect is noticeable—most dance records use filter sweeps with high levels of resonance to exaggerate the effect of the filter sweep. + + At very high resonance settings, some filters can exhibit quite extreme behavior, so take care with this parameter and turn down the output if you don't want to burn your ears off. + + As I'll discuss later when we start looking at modulation, turning up the resonance also adds some "squelch" to a sound. + + + + + +Filters on the Featured Synthesizers + + + Twin and Massive both have two filters. + + + + + +Filters in Twin + + + Twin has a gorgeous user interface allowing you to see what is going on (see Figure 3.2). It also has a practical purpose: you can tweak the graphics (as well as twisting the knobs). + + + + + + Figure 3.2 The filter block in Twin. (Ignore the Master Tune and Portamento knobs: they're nothing to do with filters.) + + There are three filter types (low-pass, high-pass, and band-pass, all of which are discussed in this chapter) and there are three selectable cut-off slopes available for each filter. Each filter offers a range of filter models giving different sonic responses and creating a much broader sonic palette. + + + + + +Filters in Massive + + + As you can see from Figure 3.3, the filter block in Massive has a less helpful interface, but as long as you know what you're doing, that's not a problem. + + + + + + Figure 3.3 The filter controls in Massive. + + Massive offers a range of different filter types, including some which are not available on Twin (although Massive does not offer a wide range of sonic responses in the way that Twin does). + + + + + +Signal Flow through the Filters + + + Both synthesizers allow you to arrange your filters in series, in parallel, and on a per-oscillator basis (which can present some challenges since each synth has two filters, but three oscillators). + + When the filters are arranged in parallel (or on a per-oscillator basis), the sound-shaping undertaken by the filters is achieved separately. This mean you can create two distinct tones. + + By contrast, when filters are arranged in series, the output from the first filter is fed into the second where it is shaped further. + + Neither option is better, they simply give different sonic results. + + Massive is slightly unusual and also offers a compromise between series and parallel so that you can: + + mix the parallel and the series sounds together, and + + split the output from the first filter (to mix it with the series/parallel output from filter two). + + + + In other words, as well as having the series and parallel sounds, you can also find all the combinations in between. + + To achieve this level of detail in Massive: + + in each oscillator, the F1/F2 slider should be balanced in order that some signal is sent to both filters, but if you want the filters in series, then the signal should be sent to F1 only + + the F2 slider (to the left of the filter block) selects between series and parallel (check back to Figure 3.3), and + + the Mix slider (to the right of the filter block) selects between the output from each filter. + + + + This level of control is not common on many synthesizers. However, you could readily replicate the signal path with a modular synthesizer. + + + + + +Filter Types + + + Let's have a look at the main filter types that are usually found on synthesizers in a bit more detail. + + + + + +Low-Pass + + + The low-pass filter (or if you prefer, high-cut filter) allows low frequencies to pass through it, see Figure 3.4. + + + + + + Figure 3.4 A low-pass filter. + + When a low-pass filter is fully open, all frequencies can pass through it. + + As the filter is closed, it progressively allows less sound to pass through—you will hear this as the sound becoming duller as the higher frequency elements of the spectrum are filtered out. When the filter is nearly completely closed only the very lowest elements of the frequency spectrum can pass— this sound will be close to the sound of a very low-pitched sine wave. + + The effect that the low-pass filter will have on a sound will vary depending on the source waveform you have selected. If you choose a sine wave, then the effect of the filter will be limited. The sine wave comprises only the fundamental frequency, therefore if the filter cuts this, it cuts the whole sound. However, if you choose a sawtooth wave which has a lot of high frequency information, then the low-pass filter will have a much greater perceived effect on the sound. + + However, don't think that if you're using sine waves you won't want to use a filter. For instance, if you are playing chords with a sine wave patch then the individual sine wave notes will interact to produce frequencies beyond the range of the individual sine waves—the filter will affect these frequencies. + + + + + +High-Pass + + + The high-pass filter (or low-cut filter) is the reverse of the low-pass filter—it allows high frequencies to pass and progressively cuts out the lower frequencies, see Figure 3.5. + + + + + + Figure 3.5 A high-pass filter. + + As well as sound shaping, high-pass filters have another use: to filter out the junk in the lower end of the mix spectrum. How often have you listened to a track and found it sounds muddy or dull? That could be too much unfocused bass. You only get so much dynamic range and without filtering you may be filling your low end needlessly. This means that the key elements—your bass and kick—can't shine. + + While high-pass filtering may be noticeable if you play a patch on its own, in a mix any change to the tone of a sound is unlikely to be noticeable except with more extreme cuts. However, the net result of the low end filtering may be to give a cleaner/fuller low end when the bass elements are allowed to come through. + + One great use for a high-pass filter (with resonance) is to boost the fundamental tone of a patch. You can do this by tuning the resonance to the fundamental frequency of a note and engaging key tracking so that the resonance boost then follows the played note. If you arrange your filters in series, the second filter can then undertake the main sound-shaping duties. + + + + + +Band-Pass + + + The band-pass filter acts like a combination of a low-pass filter and a high-pass filter by cutting the frequency spectrum at both ends to only allow a narrow band of sound to pass, see Figure 3.6. + + + + + + Figure 3.6 A band-pass filter. + + The cut-off frequency control determines the center frequency where the full signal is allowed to pass— from that point outwards, the spectrum of sound is progressively cut. The resonance control has the effect of boosting the signal around the cut-off frequency. + + At extremes of frequency, the band-pass filter will sound similar to either a high-pass or a low-pass filter. + + Band-Pass filters tend to take a lot of energy out of the signal so you may have to boost the level after the filter. + + + + + +Notch + + + If the band-pass filter is the equivalent of burning the candle at each end, then the notch filter equates to burning it in the middle. The notch filter cuts the frequencies at its current value, see Figure 3.7. + + + + + + Figure 3.7 A notch filter. + + The notch filter can be used for effect and it can be used surgically in the mix. If you're trying to mix two sounds and they don't sit well together it may be that they're both trying to operate in the same frequency range. In this case, you can "notch out" one of the sounds to allow the other to sit properly—you can do this in your patch design or, as many mixing engineers do, with EQ in the mix. + + + + + +Comb Filters + + + Comb filters work by adding a slightly delayed version of a signal to itself. This causes phase cancellations and can give a slightly "chorused" or metallic type of sound. + + The spectrum produced by these filters looks like a comb (see Figure 3.8), hence the name. + + + + + + Figure 3.8 A comb filter. + + + + + +Filter Slopes + + + A low-pass filter progressively reduces the volume of a sound above the cut-off point. The rate at which the sound wave is reduced above the cut-off frequency is determined by the slope of the filter. The slope reflects how aggressively the filter attacks the sound it is filtering. + + If you have a 6dB/octave filter (which is quite a subtle filter), it will reduce the level of the sound source by 6dB at one octave above the cut-off point, 12dB at two octaves above the cut-off frequency, 18dB at three octaves above the cut-off. + + A 12dB/octave filter (sometimes called a 2-pole filter) will reduce the level of the sound wave's volume by 12dB for each octave above the cut-off point. + + A 24dB/octave filter (sometimes called a 4-pole filter) will reduce the level of the sound wave's volume by 24dB for each octave above the cut-off point. + + + + You will see some different filter slopes for a fixed cut-off frequency in Figure 3.9. This is an image drawn by hand and so is not to scale, however, you can see the differing result of the filter slopes. As you would expect, high-pass filters cut at the same rate, but below the cut-off frequency. + + + + + + Figure 3.9 Different filter curves (note, these are not drawn to scale). + + Twin and Massive include a range of 12dB/octave, 24dB/octave, and 48dB/octave filters. + + + + + +Using Filters in Practice + + + One of the key issues for making a filter sound realistic is the modulation that is applied to it. + + A filter which is not modulated will be, and will usually sound, static. The human ear is attuned to natural instruments which have a constantly shifting character and will expect similar characteristics in synthesized sound. + + Modulation is discussed in greater detail in the next chapter, but here's a preview of some of the more common filter modulations. + + + + + +Controlling Filter Cut-Off + + + When using a filter to shape tone, the main (but not the only) modulation controls are: + + Envelopes. Envelopes provide an ideal control source to shift the filter over time. + + Velocity. Velocity allows a filter to mimic the properties of natural instruments so that the sound gets brighter with more forceful playing. As well as allowing velocity to directly control the brightness, you can also set velocity to change the extent to which an envelope modulates the brightness (in other words, you can use envelopes and velocity together). + + + + + +Filter as a Volume Control + + + A filter can also act as a volume control—the more a filter closes, the more it attenuates the amplitude of the sound. You can use this to your advantage by setting an envelope to completely close a filter. + + + + + +Key Tracking and Filters + + + You may want to use key tracking when setting the filter to mimic the behavior of real instruments. + + If you are designing a sound to reflect the behavior of an acoustic instrument, a single cut-off point may be unnatural: the high notes would be too dull and the low notes to bright. To remedy this you could use key tracking with the filter: this would open the filter at higher frequencies and close it at lower frequencies giving a more natural response. + + If you want, you can have an unnatural response where the filter closes more at higher pitches. + + + + + +Controlling Resonance + + + Resonance is generally used in four main ways: + + to emphasize the filter cut-off, and in particular, to emphasize a changing filter-cut-off frequency (which can be controlled by an envelope or by tweaking the parameter) + + to give a brighter sound + + to give a "thinner" sounds—this is partly a result of making the sound brighter, and + + to create an effect, whether that be making the filter scream or giving sounds a really squelchy character. + + + + Controlling resonance with an envelope or MIDI velocity will allow for more subtle nuances to be introduced into a sound. + + + + + +Adding Some Animation + + + Now you've got an idea about some of the specific filter modulations you can perform, let's move forward and look at the subject of modulation in greater detail. + + + + + +Chapter 4: Making the Sound Dance + + + We've now looked at oscillators and filters, and briefly touched on how they work together and interact. However, all of the sounds we've made so far have been static (unless you have actively adjusted any control as you held a note). + + In order to create an interesting sound, the parameters shaping the sound need to be automatically adjusted in real-time as a note is played. + + The technique to achieve this movement—which will then animate the sound—is called modulation. Modulation goes to the heart of creating sounds. It is the technique by which a synthesizer creates the varied nuances of sound. Without modulation sounds may be rich, thick, fat, bright or delicate. However modulation will take a basic sound and animate it, giving it life in the hands of a skilled player. + + + + + +Modulation: The Concept + + + The concept of modulation in a synthesizer is simple—something is changed by something else, and usually in real time. + + Conventionally, a "source" will modulate a "destination". So if we think about vibrato, a low frequency oscillator would act as the source and the pitch would be the destination. + + If you then want more detailed expression, then the extent by which the source modulates the destination can be determined by a "control" (which in turn would be another modulation source, but its modulation destination would be the amount of modulation, rather than the destination). + + So staying with our vibrato example, if we have a low frequency oscillator acting as the source to modulate the pitch of a note, then you could set a modulation wheel to control the amount of vibrato in real-time. + + + + + +Modulation in the Real World + + + Before we get to the detail, let's think about modulation in the context of an acoustic instrument such as the piano. Taking an over-simplistic view, the factors that have an effect on the sound are: + + velocity + + pitch, and + + time. + + + + + +Effect of Velocity on a Sound + + + Velocity is another way to describe loudness, which in the case of a piano would be determined by how hard a key is hit. With a piano, the velocity (the loudness) of a note has an effect in three main areas: + + the volume—there is a direct link between how hard a note is struck and its volume + + the tone—the harder a key is hit, the brighter the tone of the resulting note, and + + the sustain time of the note—the louder the note when it is struck, the longer it will sustain. + + + + + +Effect of Pitch on a Sound + + + Clearly the piano keyboard controls the pitch of the note played. However, there are other factors affected by the pitch: + + the tone—the higher the note, the brighter it sounds, and + + the sustain time of the note—the higher the note, the less time that it sustains. + + + + + +Effect of Time on a Sound + + + The length of time that a note is held is also a factor in the tone of a piano. Over time: + + the sound will get duller (however bright it may have been initially), and + + the volume will decay until it finally reaches zero. + + + + + +Combining the Effect of Velocity, Pitch, and Time + + + A piano note is far more complex than may be suggested here, however, in broad terms you can see that: + + The initial volume of the note is affected by one factor only—velocity. After that, the player has no control over the loudness of the note as it decays naturally. + + Tone is affected by three factors—the initial velocity of the note, the pitch of the note, and the length of time it is held. However, the tone increases in line with the increase in pitch (so the higher the note, the brighter it becomes), but the sustain time decreases in line with the increase in the pitch (so the higher the note, the less time it sounds for). + + Sustain time (and also volume over time) is affected by two factors—the starting volume (which is in turn controlled by the initial velocity) and the pitch. + + + + To mimic some of the characteristics of an acoustic instrument, we're going to need to use modulation to control the synthesizer. + + + + + +Modulation Destinations + + + We will approach modulation in a slightly backwards way and look at modulation destinations before we look at modulation sources. Once we understand what can be modulated, we can work back to choose the best source to create the modulation. + + I should point out that the following list of modulation destinations is, of course, not complete: it only covers the main destinations that you are likely to want to control. Different synthesizers will offer different amounts of control, so on any specific synth you may be able to modulate more or fewer functions than are set out here. + + + + + +Volume + + + Volume is likely to be one of the main destinations you modulate. You may want to: + + control the volume of your whole patch—for instance to make the patch touch sensitive or to add a tremolo effect, or + + control the volume of individual oscillators (before or after the signal passes through a filter) so you can cross-fade between two sounds. + + + + + +Filter + + + The two main modulation destinations in the filter block are: + + the cut-off frequency, and + + the resonance. + + + + Often musicians will want to control both in real time—the cut-off frequency to make a sound brighter or duller and the resonance to add some sharpness and bite to the sound (or to add some squelch). + + + + + +Pitch + + + The effects that can be obtained by modulating pitch include vibrato and trills as well as weird special effects. Subtle pitch modulation is also important when trying to mimic the properties of natural instruments—for instance a slight and very short rise in pitch at the start of a note will often help recreate part of the attack of a brass instrument or a plucked string instrument. + + + + + +Vibrato Speed + + + When a musician applies vibrato to a real instrument, both the speed and the depth of the vibrato increase—it therefore makes sense that LFO speed should be a modulation destination (and the depth of the effect should also be controllable). + + + + + +Pulse-Width + + + A fast way to change the tone of an oscillator or to fatten up a sound is to play with the pulse-width modulation. + + + + + +Pan + + + The classic use for panning is auto-pan type effects where the sound moves regularly between the left and right channels. There are however more subtle uses of panning, for instance panning can be related to the pitch of a note with low notes panned towards the left and higher notes towards the right as if you were sitting in front of a piano. + + + + + +FX + + + The level of any FX units can be modulated to give prominence to an effect. If you want to get more complicated, you may want to change FX controls in real time—for instance increasing chorus depth as vibrato increases, or simply tweaking the delay time. + + + + + +Wavetable Position + + + Massive offers a range of wavetables. Instead of single wave source, by using a wavetable and making the wavetable position a modulation destination you can step (or sweep) through a range of different waves in order to create a shifting tone. + + + + + +Envelope Speed + + + I've already talked about key tracking (using pitch as a modulation source) and I'll talk about it in greater detail in the next section (Modulation Sources). One frequent modulation destination for key tracking modulation is the envelope, and in particular, the speed of the envelope (even for entirely synthesized sounds) where key tracking can give the sound a more natural quality. + + As a side note, Massive allows you to apply key tracking to a whole envelope where Twin applies the modulation on a per-parameter basis (so for instance you can modulate the attack time but leave the decay time unaffected). + + + + + +Modulation Sources + + + Most synthesizers offer and array of modulation sources, each of which operates in a different manner. There are also external sources which can act as modulators—such as MIDI velocity, the pitch bend wheel, and the modulation wheel. These sources can then be used directly as modulation sources or as controllers to control the amount by which another modulation source is modulating a destination. + + The modulation sources (or controllers) fall into four main categories: + + Single-shot sources. An example of a single-shot modulation controller is an envelope—it begins, executes its level changes, and then ends (after perhaps sustaining for a while). Envelopes are discussed in greater detail in Chapter 5: Envelopes. + + Continuous sources. An example of a continuous source is a low frequency oscillator—the modulation source repeats its cycle continually modulating the destination. LFOs are discussed in greater detail in Chapter 6: LFOs and Specialized Modulation Sources. + + Fixed. Some modulation sources, while being variable, are fixed once a note has been played. The main example of this is velocity—once a note has been struck, the velocity is fixed. + + Variable. Other modulation sources are constantly variable after the note has been struck. One example of a variable source is the modulation wheel which can be continuously tweaked in real-time. + + + + A second aspect to think about in relation to modulation sources is polarity: + + Unipolar. Some sources (for instance velocity, the modulation wheel, and conventional envelopes) are unipolar. This means that their output within a single cycle is either positive or negative. + + Bipolar. By contrast, bipolar sources (such as LFOs and the pitch wheel) are capable of generating both positive and negative signals within the same cycle. + + + + Let's have a look at some of the modulation sources in a bit more depth (as already noted, envelopes and LFOs, including more specialized modulation sources, are discussed in subsequent chapters). + + + + + +Velocity + + + When creating sounds, velocity is often used to control: + + the loudness of a note + + the tone of a note by modulating the filter cut-off, and + + the (volume or filter) envelope attack time (if the synthesizer allows you direct control over this parameter, which both of the featured synthesizers do). + + + + Velocity can either be applied directly to modulate the destination, or it can be used as a modulation source controller to control another source (for instance, an envelope parameter) which, in turn, is modulating the destination. + + + + + +Pitch Bender + + + The pitch bender is often hardwired to the pitch bend function. However, most synthesizers also allow the pitch bend signal to be assigned to control other functions. + + + + + +Modulation Wheel + + + Conventionally the modulation wheel is wired to the vibrato depth and so acts as a modulation controller. + + However, it doesn't have to be so—the modulation wheel can also be used as a modulation source (for instance, to control the filter cut-off frequency). + + + + + +Key Tracking + + + Key tracking (or key scaling) is the process where changes are made according to the pitch of a note. + + For example, if you pluck the bottom E string of an acoustic guitar, the sound will last for over 10 seconds. However, if you play the top E string at the highest fret, the sound will barely last for 3 seconds. With key tracking we can seamlessly control the length of an envelope to reflect the behavior of the acoustic instrument. + + Key tracking can be applied in many ways—for instance, the cut-off point of a filter can be controlled by key tracking so that higher notes are brighter than lower notes. + + Most synths allow you to set pitch as a modulation source. This will then apply the modulation in a linear fashion across the keyboard. Some synths (Massive is one example) allow you much finer grained control. Continuing with Massive as an example, it allows you to manage the key tracking response by creating up to 16 breakpoints across the keyboard (see Figure 4.1). Where simple pitch-to-destination key tracking provides a linear response, with Massive you can create and control the exact response you want. + + + + + + Figure 4.1 A unique key tracking response controlling the filter cut-off in Massive. + + If you're looking for a quick, but slightly more practical, example of key tracking, then call up a noise source and run it through a low-pass filter. Put the cut-off frequency to a level that the noise is just heard and push the resonance amount to about halfway. Then set pitch as the modulation source and the filter's cut-off as the destination—as you increase the modulation depth, you will reach a position where the cut-off frequency follows the played note. When you reach this point, you will be able to play tuned noise. + + The most obvious use for key tracking is to get the pitch of notes right—in other words, you want to know that when you hit a C key that a C note will sound or when you hit an E key that an E note will sound, and so on. This implementation of key tracking is so obvious that we often don't think about it. However, you can override this default assignment by setting key pitch as the modulation source and oscillator pitch as the modulation depth. + + As with the filter, Massive also allows you to get away from the linear pitch response and tailor the pitch across the keyboard by creating up to 16 breakpoints across the keyboard. + + + + + +X-Y Controllers + + + X-Y Controllers (see Figure 4.2) allow you to control two destinations from one controller—for instance, you could control a filter's cut-off frequency and the filter's resonance simultaneously. + + + + + + Figure 4.2 Two of Twin's X-Y controllers (the one on the right is being adjusted—the one on the left has been set and continues to have effect). + + Twin allows you any number of X-Y controllers. + + X-Y pads can work as a modulation source or as a modulation source controller. + + + + + +Aftertouch + + + If your keyboard (or other MIDI controller) gives aftertouch messages, then the pressure on the keys while a note is sustained can be used to control your patch. You could, for instance, use aftertouch to control volume to give a swell to a held string chord. + + Aftertouch can either be applied directly to modulate the destination, or it can be used as a modulation source controller to control another source which is modulating the destination. + + + + + +Expression Pedal + + + Often the expression controller is hardwired to a synthesizer's volume. As with the modulation wheel, it can also be used as a modulation controller. + + + + + +MIDI Control Change + + + Lastly, MIDI Control Change messages (which are generated by external sources) can be used as a source or as a source controller. + + + + + +Setting Up Modulations + + + Every synthesizer will set up its modulations in a different way. While the individual knobs to be clicked will change, the basic process is usually similar: select the modulator, connect it to the destination, adjust the amount of modulation, and then add a control (if necessary). + + By way of illustration, let me show you the process in Twin to modulate the cut-off frequency in filter one with an envelope, and further to control the extent to which that envelope modulates the cut-off with MIDI velocity. The process goes something like this: + + First, engage the filter and set its basic parameters (filter type, cut-off frequency, and so on). Clearly until the modulation is set up, any settings here will only be temporary. + + With the filter set, the next step is to call up a modulator—in this case an envelope generator—by clicking on the large plus sign on the source bar (the central bar running across Twin's interface) and selecting New Envelope Generator from the pop-up menu. The envelope will then appear in the modulators section at the bottom of the interface. + + To connect the modulation source (the envelope) to its destination (filter one's cut-off frequency) there are two options. You can click the large plus sign above the envelope to add a modulation slot—this slot can then be attached to the destination by clicking to the right of the slot to open the drop-down menu from which the appropriate destination can be selected. However, there is a much swifter and more intuitive option—click on the target (top-left of the envelope) and drag to the destination (the cut-off frequency knob) as Figure 4.3 shows. + + + + + + Figure 4.3 Attaching a modulation source to a modulation destination by drag-and-drop in Twin. + + Once you have attached the modulator you can set the envelope parameters. The depth of modulation—in other words, the amount by which the envelope modulates the cut-off frequency—is set by the slot slider above the envelope (labeled Filter 1 Freq in Figure 4.4). This slider and the filter's cut-off frequency should be balanced to create the desired sound. If you look at the cut-off knob in Figure 4.4, you will see that there is now a letter M to the top-right of the knob. This indicates that the parameter is being modulated. If you click on the letter M it will highlight the modulation sources. + + + + + + Figure 4.4 Adjusting the modulation parameters in Twin. + + If you want to remove the modulation, click on the cross at the end of the depth adjuster slot. + + This modulation assumes a positive polarity (in other words, it assumes that you want to open up the filter with the envelope). If you want to close the filter (so that the sound gets duller rather than brighter) click on the plus sign on the left of the depth slot. This will change to a negative sign indicating that the output is negative. + + The final step is to add velocity control. This will control the depth of the modulation by the envelope—at low velocities the envelope will have little effect, but at high velocities, the envelope will have a significant effect on the filter's cut-off. As before, to call up a modulator—in this case a MIDI source—click on the large plus sign on the source bar and select New MIDI from the pop-up menu. The new modulator will then appear. + + In the MIDI source modulator, there are two drop-down menus—we're interested in the top one—from which we select Velocity. As a side issue, the bottom drop-down selects the curve—in other words the rate at which this modulator affects its destination. + + The process to connect this MIDI source is the same as for connecting the envelope: drag-and-drop. However, is this instance, the destination is the envelope generator depth slot (in other words the slot above the envelope labeled Filter 1 Freq). Once attached, the interface should look like Figure 4.5. + + + + + + Figure 4.5 Velocity set to control the depth by which EG2 modulates the filter cut-off. + + All that is left is to tweak and play. + + + + + +Controlling the Parameters with Hardware and Automation + + + You can also control your synthesizer—both to adjust individual parameters and to control the extent of any modulation—with other tools. The most common tools are hardware (for instance, a set of control knobs on your keyboard) and automation through your sequencer host. + + The precise procedure to set up these linkages will depend on many factors (specifically, your host, your hardware, and your synthesizer), but let me quickly introduce the main issues. + + + + + +MIDI Learn + + + The easiest way to control your synthesizer with your hardware is to use MIDI learn (provided your synthesizer offers this functionality). The process to engage MIDI learn differs for each synthesizer, but it usually goes something like this: + + Click on the MIDI learn button (in Twin this is located on the left-hand side of the bottom bar). + + Move the target parameter with your mouse. + + Move the control knob on your hardware. + + Switch off MIDI learn (which is usually a case of clicking the MIDI learn button for a second time). + + Move the hardware to confirm that the routing has been learned. As you move your hardware control, the corresponding software control should move—if it doesn't, then you probably have a problem. + + + + + +Automation + + + Most synthesizers expose their automatable parameters. Assigning the parameter to be automated shouldn't be any more difficult than finding the right parameter (often there's a long list) and drawing an automation curve. + + + + + +More Modulation Sources + + + Now we've looked at the principles of modulation, let's move on and look at one of the most common modulation sources in more detail: envelopes. + + + + + +Chapter 5: Envelopes + + + It's very easy to miss the importance of envelopes—they aren't very interesting and they don't make a noise. However, an envelope can have a more dramatic effect on a sound than a simple waveform tweak. Not only that, but an envelope can have a huge impact on a sound's character, and fundamentally, sound design is all about creating character. + + So what is an envelope— Well, in short, it is a level that changes over time. Envelopes don't make any sound, but what they do is to change other parameters that affect the sound—such as the pitch, the filter, and the volume—as the note is played. This in turn animates the sound. + + Envelopes are a one-shot modulation source. When triggered, the envelope begins, executes its level changes, and then ends. If you want continuous modulation, then rather than choose an envelope, an LFO (LFOs are discussed in the next chapter), may be a better choice of tool. + + + + + +Volume Envelopes + + + The most immediate use for envelopes is controlling volume. + + Think of a note played on a piano. When a key is struck, the note goes from silence to the maximum volume instantaneously. From this peak, there is an immediate reduction in the volume and then the note reaches a level from which it gradually fades to nothing. A picture of the volume of a piano note over time is set out in Figure 5.1. + + + + + + Figure 5.1 A (simplified) volume envelope of a piano note. + + Now if you think about a violin note which slowly fades in, stays at its maximum volume until the note ends, and then gently decays, this volume level may look like the image in Figure 5.2. + + + + + + Figure 5.2 A typical sustained string envelope. + + + + + +What Else Can Envelopes Do? + + + An envelope changes a level over time, but its effect will depend on how it is applied. For instance: + + An envelope could control volume. Depending on the architecture of the sound, the envelope may control the level of an individual oscillator or the level of a whole patch. + + An envelope may control a filter. If an envelope controls a filter, it will (usually) control the cut-off frequency and so change the brightness over time (usually making the sound duller over time, in other words, the sound will start bright and then get duller). + + An envelope can also modulate pitch. A common use for this would be to impart a short (and subtle) pitch wobble at the start of a note to give the sound more emphasis. This technique can be used to create drum and percussion sounds. + + + + As we saw in Chapter 4: Making the Sound Dance, these are not the only uses for envelopes. + + Different synthesizers are designed in different ways and have different envelope options. Let's look at some of the more common types of envelope. + + + + + +AD Envelopes + + + The simplest form of envelope is the attack-decay (or AD) envelope, see Figure 5.3. + + + + + + Figure 5.3 The AD envelope. + + There are two controls in the AD envelope: + + A: Attack time. The attack time is the time it takes for the level to reach its maximum after the note is triggered. Using the example of a piano volume, the attack time would be zero—in other words it would take no time for the level to go from nothing to the maximum volume. For a string-type swell the attack may be slower. + + D: Decay time. The decay time controls how quickly the level drops (to zero) after it has reached its maximum at the end of the attack phase). Again, using the example of the piano, the decay time would be comparatively slow (although with a piano, the decay of the level would not be linear). + + + + When this envelope is used as a volume envelope, once attack phase and the decay phase have finished, the note dies. The note does not sustain in the manner that an organ note can sustain. This can make the envelope useful for percussion sounds but it may have limitations when trying to create string-like timbres. + + Massive uses an AD envelope (which it calls an Internal Envelope) in its Osc section (see Figure 5.4) and LFO section. These envelopes have limited applications and are separate from the four main envelopes in Massive (which are more flexible and are discussed in greater detail later in this chapter). + + + + + + Figure 5.4 The Osc section in Massive with its AD envelope (to the right). + + + + + +ADSR Envelopes + + + The ADSR envelope (see Figure 5.5) is the classic envelope. A variant of this envelope is used in both Twin and Massive (and we will get onto the details of the differences shortly). + + + + + + Figure 5.5 The ADSR envelope. + + There are four main controls in the ADSR envelope: + + A: Attack time. The attack time governs the time it takes for the level to reach its maximum after the note is triggered. Using the example of a piano, the attack time would be zero—in other words it would take no time for the level to go from nothing to the maximum volume. For a string type sound the attack may be slower. + + D: Decay time. The decay time controls how quickly the level drops (to the sustain level) after it has reached its maximum at the end of the attack phase. Again, using the example of the piano, the decay time would be fast, but it would be longer than the attack time. + + S: Sustain level. The sustain level is the level of the envelope while a key is held. This level stays constant until the key is released. + + R: Release time. The release time is the time it takes the level to decay to zero after a key is released. + + + + You will notice that with this envelope: + + once the sustain part of the envelope has been reached the note sustains indefinitely—it does not decay to zero until the key is released, and + + there is no function in the envelope to determine for how long the note sustains (the only control over this is by releasing the key). + + + + Another weakness with this type of envelope (and this applies to all envelopes) is that real sounds do not necessarily increase or decrease in a linear manner. Take the example of a slow swelling violin—in practice the attack of the note is likely to have two phases: + + first the note will go from nothing to a very quiet level very quickly, then + + the note volume may increase more slowly. + + + + This behavior is not easy to replicate with a synthesizer envelope. + + + + + +Twin Envelopes + + + Twin has a (virtually) unlimited supply of envelope generators (see Figure 5.6)—if you want an envelope, all you have to do is call one up and assign its function. + + + + + + Figure 5.6 An envelope generator in Twin. + + There are six main envelope controls in Twin (see Figure 5.7) which are adjusted by dragging the six corresponding handles: + + + + + + Figure 5.7 The DADSHR envelope. + + D: Delay time. The delay time is the time after the note is triggered for which the level of the envelope remains at zero, in other words, the time for which the envelope has no effect. At the end of the delay time, the attack phase begins immediately. The delay time control does not appear on the main envelope generator in Twin. + + A: Attack time. The attack time is the time it takes for the level to reach its maximum after the delay phase has ended. + + D: Decay time. The decay time controls how quickly the level drops (to the sustain level) after it has reached its maximum (at the end of the attack phase). + + S: Sustain level. The sustain level is the level of the envelope while a key is held. This level stays constant while the key is held and through the hold time. + + H: Hold time. The hold time is the time after the key is released that the level remains at the sustain level before it enters the release stage. If the delay time and hold time are set to zero, then the envelope performs in the same manner as a conventional ADSR envelope. + + R: Release time. The release time is the time it takes the level to decay to zero after the key is released and the hold time stage has completed. + + + + You may also notice that there are some other controls in the envelope beyond the DADSHR handles: + + On the top left corner is a target. You can drag-and-drop from here to set the modulation destination. Alternatively, hit the plus sign above the envelope generator which will bring up a depth slider from which you can manually select the modulation destination. + + On the left-hand side are two buttons MIDI and side-chain—this is an either/or choice. Either the envelope is triggered when a key is hit (in other words, when there is a MIDI event) or it is triggered when an external audio signal is fed into the envelope. If this side-chain option is selected, then a threshold knob appears to adjust the level of the incoming signal. + + On the right-hand side are the range buttons. When the top option is selected, the envelope behaves in a conventional manner and outputs positive level changes. When the lower option is selected, the envelope outputs positive and negative level changes—the sustain level is then set to zero. + + + + + +Massive Envelopes + + + Massive has four main envelopes (see Figure 5.8). + + + + + + Figure 5.8 An envelope in Massive. + + While these envelopes can mimic the behavior of a conventional ADSR envelope, there are far more knobs (see Figure 5.9) giving detailed levels of control over your sound: + + + + + + Figure 5.9 Massive's DADSR envelope. + + D: Delay time. The delay time is the time after the note is triggered for which the level of the envelope remains at zero, in other words, the time for which the envelope has no effect. At the end of the delay time, the attack phase begins immediately. + + A: Attack time. The attack time is the time it takes for the level to reach the level set by the (attack) level knob after the delay phase ends. + + D: Decay time. The decay time controls how quickly the level drops to the (decay) level, (which is equivalent to the sustain level in an ADSR envelope) after it has reached its maximum at the end of the attack phase. + + R: Release time. The release time is the time it takes the level to decay to zero after the key is released. + + + + So far, the envelope is fairly conventional—the key difference from a conventional envelope, beyond the delay stage, is that the attack level can be manually adjusted. But there is a lot more that the envelope can do during its sustain period—instead of simply holding a note, it can behave in a manner akin to an LFO. Figure 5.10 shows the controls; let's have a look at what these do: + + + + + + Figure 5.10 The sustain loop controls in Massive's envelope. + + Loop. Under the two Morph drop-downs, there is a Loop control. When this is set to Off, the envelope behaves like a conventional ADSR envelope (in other words, when the envelope reaches this point and the key is held, the level remains constant). When set to Inf, the loop will continue indefinitely. When set to a number, the loop will play that number of times. + + Level. The end level of the loop is set by the level control. This means that the level of the loop may increase or decrease between the decay level and this level. Since these two levels may be different, the loop does not cycle in the conventional manner, instead, it plays forwards and then backwards, and then repeats. Accordingly, when the loop number is set, the envelope may end at either point, depending on whether the loop is set to an even or an odd amount. + + SLoop. The SLoop control adjusts the time over which the sustain loop plays. + + Morph. At its most basic, the sustain loop will adjust its level between the decay level and the sustain loop level. However, that transition between the two points does not need to be linear. The two Morph drop-downs offer a range of different varying level paths—you can select one or both. If you select both, then the Morph knob will morph between the two (and if you only select one, this knob will morph between the chosen path and the linear path. + + + + + +Key Tracking and Envelopes + + + I want to mention key tracking again, briefly. This concept is used in several areas. Essentially key tracking means dynamically changing an element of the sound depending on the pitch. So if we think about the volume envelope of a piano, as the notes get higher they sustain for a shorter period and conversely, as the notes get lower they sustain for longer. + + If we want to replicate this behavior on a synthesizer we would use key tracking. + + You can manually set this function in Twin by modulating each step of the envelope generator (in particular, the attack time, decay time, and release time). In Massive it is more straightforward—the KTR slider which is to the left of the envelope (check back to Figure 5.8) controls this function. + + + + + +More Specialized Modulation Sources + + + A lot of nonsense is talked about sound sources—and don't get me wrong, sound sources are important—however, if you use your ears, I think you will find an envelope can change a sound just as much as changing an oscillator. + + Now we've looked at envelopes let's move on and look at a more complicated source in more detail: LFOs and the specialized modulators. + + + + + +Chapter 6: LFOs and Specialized Modulation Sources + + + A low frequency oscillator (or LFO as it is more frequently called) is a level that changes over time. As with envelopes, LFOs don't make any sound, but what they do is to change other parameters that affect the sound—such as the pitch, the filter, and the volume—as the note is played. This in turn animates the sound. + + A low frequency oscillator is an oscillator which oscillates at a low frequency—for our purposes it usually oscillates below the audio threshold. In addition to working as a vibrato source, the LFO is also often used to modulate: + + volume, to give tremolo effects, and + + the filter cut-off, to give wah-wah or gating/stuttering type effects—especially when a square or pulse wave is selected as the modulation source. + + + + You can, of course, modulate many other destinations with an LFO. + + Envelopes are a one-shot modulation source. When triggered, the envelope begins, executes its level changes, and then ends. An LFO is an oscillator and so repeats its cycle continually modulating the destination. Because of this repetition, the effect of LFO modulation is often more prominent in sounds. + + + + + +Main LFO Controls + + + The main controls on any LFO are wave shape and depth. + + + + + +Wave Shape + + + Most synthesizers offer several LFO shapes; these are usually the same basic wave shapes that are available for audio oscillators. + + The most frequently used LFO shapes are: + + Sine. The sine wave produces an even, rounded modulation source. + + Triangle. The triangle wave has virtually the same effect as the sine wave, but the changes are constant. This may give a crisper sound when compared to the sine wave. Both the sine and triangle are ideal waves for vibrato, tremolo, or wah-wah effects. + + Sawtooth. Depending on the polarity of the wave, the sawtooth provides either a rising modulation source which drops abruptly after reaching the maximum value or a falling modulation source, rising to a peak and then gently falling. The wave is often used for modulating the filter cut-off. + + Square. The square wave is either at its maximum or its minimum. This wave tends to be used as an LFO to give rhythmic effects. It can also be used to modulate the pitch to give trill type effects. + + Random. Some synths offer a random or more commonly, a sample-and-hold wave (see Figure 6.1). The output from the a random wave is a random value, and for a sample-and-hold wave, the level of the wave steps from level to level—there is no smooth transition meaning that this is an excellent choice for creating rhythmic effects. + + + + + + Figure 6.1 A sample-and-hold oscillator which is especially useful for creating rhythmic effects. + + These are the most common shapes—many synthesizers offer a much wider range of options, and as we'll read, many allow you to manipulate the wave to create even more sonic effects. + + + + + +Frequency + + + The frequency control affects the speed of the LFO. If an LFO is used as a vibrato source, then the frequency control will affect the speed of the vibrato. Most LFOs have a range of around 0.1 cycles per second to about 20 cycles per second. + + It is also very common to allow an LFO frequency to be synchronized with the tempo of a track so that the time it takes the LFO to complete a whole cycle is a subdivision of the track's tempo. This option is often used in conjunction with rhythmic effects. Both Twin and Massive offer this functionality. + + + + + +Depth + + + The depth setting of an LFO controls the extent to which the LFO affects the modulation destination. + + When using an LFO to introduce vibrato you will probably have to apply less vibrato than a player would apply to a natural instrument. LFO vibrato usually has a fixed frequency (but this too can be modulated) and so the effect will quickly sound mechanical. Reducing the depth of the effect helps to stop some of the mechanical feel becoming too prominent. + + This setting needs to be carefully balanced so that an appropriate range of its effect is controlled. For instance, if you are using an LFO to give some vibrato, you probably want a range which is less than (plus or minus) one semitone. + + + + + +Sync + + + When a note is triggered, any LFO that is applied to that note could be at any stage of its cycle. Usually that's not a problem—indeed, this random element (with a free running LFO) may be desirable for ensemble type sounds—however, there will be times when you want to control where the LFO is in its cycle at the point when a note is triggered. For instance, if the LFO is modulating pitch, then you are likely to want to know—with certainty—the starting pitch when the note is triggered. + + Sync is also an issue when you start adjusting the phase of an LFO. + + + + + +Phase + + + For any control over an LFO's phase to be meaningful, you will want to synchronize your LFO (otherwise you're simply adjusting something that is random in order to create something that is still random, but random in a different way). + + By combining sync and phase, you can set an LFO to start playing at any specific point in its cycle when a note is triggered. + + + + + +Monophonic/Polyphonic LFOs + + + LFOs can be monophonic or polyphonic. + + + + + +Monophonic LFOs + + + With monophonic LFOs, a single oscillator is used whenever that LFO is invoked. So if you are using an LFO to add some vibrato to a pad, when you play a chord all of the notes will have the rise and fall of their pitch synchronized. The effect may not be particularly natural in this instance. + + + + + +Polyphonic LFOs + + + With a polyphonic LFO, each separate note has its own LFO which will start its cycle at a different time from any other LFO (assuming that you haven't engaged the sync function, which would defeat the purpose of using a polyphonic LFO). + + Using our pad example again, using a polyphonic LFO to modulate a chord will mean that some notes will have their pitch raised while others are having their pitch flattened. This may give a more desirable result for a pad, but is less use for rhythmic sounds. + + + + + +Wacky Waveforms + + + We've looked at the basic waveforms. Let's move on and have a look at some of the more unusual waveforms, or more importantly, some of the more interesting implementations of LFOs. + + All synthesizers have their own unique approach to implementing waveforms, so for this section, I will use Twin and Massive as examples of some of the interesting implementations. + + + + + +Twin LFO Balance + + + In Twin, around the LFO frequency control is the balance control ring—this affects the shape of the LFO. + + Turned fully to the left and a falling sawtooth wave is output as a modulator; in the center, a triangle wave is output; and fully to the right, a rising sawtooth is output. In between these extremes the shape morphs between the three points. + + This arrangement gives both a falling and a rising sawtooth as well as offering many options between these two extremes. + + The Glide knob can further mess with the LFO shape, adjusting the sharpness of the transition from maximum to minimum. In practice this can give the LFO waveform more of a square wave character. + + The Glide knob will also affect transitions in hand-drawn LFOs. On which subject... + + + + + +Twin Hand-Drawn LFOs + + + Twin allows you to draw your own LFOs. + + On the right of the LFO block is a plus tab (see Figure 6.2). Click on this to add node points (up to 16). Once the nodes have been added, they can be tweaked (either dragged-and-dropped or the value knob controls the selected node). + + + + + + Figure 6.2 A hand-drawn LFO in Twin. + + The balance knob continues to work—emphasizing one side or the other of the wave, and the glide knob behaves as expected to control the transition. In addition, the glide knob to the right of the hand-drawn LFO acts in a similar manner to the master glide knob, except that it applies to individual transitions, not all transitions. + + The small button with the image of a keyboard is the LFO snap button. If you engage it, the value of each node is snapped to the nearest position on the keyboard. This allows you to use the LFO as a sequencer—each note will then be correctly tuned. + + By the way, if you want to remove a node point, select it (click on it) and click on the minus tab to the right of the LFO. + + + + + +Morphing LFOs in Massive + + + Massive, as you might expect, has a rather unique take on LFOs. + + It has the usual range of LFOs (sine, sawtooth, square, and triangle), and you can play the usual games (sync, mess with phase, polyphonic LFOs, and so on). And of course, it has a range of other LFO shapes to give some really interesting sonic textures. + + But it doesn't stop there... Instead of offering a single LFO (monophonic or polyphonic), each LFO has two LFO sections (see Figure 6.3) and you can cross-fade between these two waves to create an even broader range of effects. + + + + + + Figure 6.3 The LFO block in Massive with two cross-faded LFO waves selected. + + + + + +Specialized Modulation Sources + + + Beyond the LFOs, Massive offers two specialized modulation sources intended for rhythmic effects: Stepper and Performer. To access either of these, open an LFO and from the drop-down under the top row of green LFO buttons, you can select the appropriate tool. + + + + + +Stepper + + + The stepper (see Figure 6.4) is a modulation source with a number of steps (up to 16). Each step is evenly spaced (which makes this tool particularly effective when the steps are synchronized to the beats of a bar. + + + + + + Figure 6.4 The stepper in Massive. + + The level in each step can be set individually (hence each beat can have an individual level reinforcing the rhythmic element). The stepper is then attached to a modulation destination (typically a filter cut-off or a volume amplifier) and off you go. + + A similar effect can be achieved in Twin using the LFO (check back to Twin Hand-Drawn LFOs). Indeed, Twin has more flexibility in some ways since you can control the level changes between each step. However, Twin's LFOs do not offer the same flexibility that is available in Massive's performer. + + + + + +Performer + + + The performer (see Figure 6.5) is similar to the stepper in that there are a number of steps (again up to 16) which can be assigned to a range of modulation destinations. + + + + + + Figure 6.5 The performer in Massive (with the Load Curve option selected—this is used to select the curve at each step). + + The key differences between the two are: + + With performer the level of each step is a curve (in other words, the level can change during the step). + + There are two rows, so you can set up two completely different patterns and morph between the two. + + + + + +Now Polish!! + + + The LFO is the last basic element that I'm going to look at. In the next chapter we'll move on and look at how to add some polish with effects. + + + + + +Chapter 7: FX + + + We've looked at the elements used to create a sound using analog synthesis techniques. Now we'll look at how to polish those sounds and how to extend your sonic palette further using effects units. + + The FX units you find on today's synthesizers are generally used in two ways: + + as an integral part of the sound for instance, a distortion unit, or + + to enhance a sound, for instance, reverb to give a sound some space and depth. + + + + We are going to look at both options for shaping your sound. + + + + + +Deployment of FX + + + FX units are deployed in one of two ways: as insert FX units or as send FX units. There is a practical difference between the two. + + + + + +Insert FX + + + With insert FX the whole of the audio signal passes through the FX unit (see Figure 7.1). + + + + + + Figure 7.1 The signal flow through an insert FX unit. + + If you want to add a distortion effect, then you are likely to want the whole signal to be distorted by the fuzz box. EQ and compression are other typical examples of insert FX. + + + + + +Master FX + + + Some synths (for instance, Massive) offer master FX units. There is nothing intrinsically different about these units or the signal architecture: they are insert FX units located immediately before the synth output so that the processing is applied to the whole signal. + + + + + +Send FX + + + With send FX, you send part of your signal to the FX unit and then mix an effected signal back with the dry sound (see Figure 7.2). + + + + + + Figure 7.2 The signal flow with a send FX unit. + + Examples of FX units that are grouped under the send FX heading are modulation effects (chorus and so on), delays, and reverbs. + + + + + +Distortion + + + Most people are used to hearing distortion used in an extreme way. However, depending on the amount of control you are given over the distortion, it can be used in a much more subtle manner. + + Distortion units also come in different flavors—in broad terms, digital distortion and analog-emulating distortion. + + + + + +Old School Overdrive + + + If you've looked at Twin, you'll notice that it doesn't have a distortion unit. Indeed, it only has one FX unit, the delay. However, like many other synths, it is capable of creating a very broad range of overdrive and distortion sounds. + + Twin has 11 different filter models, each of which reacts differently to the signal output from the oscillator section. Some of those filters will mimic the behavior of overdriven analog gear. So, for instance, if you push a sawtooth wave into the Extreme or Raw filter, you will hear an overdriven sound. This is a light, subtle distortion, but is highly effective for creating a spectrum of warmer, richer tones but stopping short of creating the effect heard with a highly driven distortion unit. + + The effect is very much dependent on a number of interacting factors, specifically: + + the output from the oscillators (the waves chosen, whether the waves are synced, and the output level of the waves) + + the filter type, and + + the settings on the filter. + + + + While this approach gives a much less obvious distortion sound, it is more subtle and gives a more controllable tone that dedicated distortion units struggle to achieve. + + + + + +Analog-Emulating Distortion + + + Analog-emulating distortion is (usually) designed to give a gentle overdrive (usually a level of distortion beyond filter overdrive, but not reaching out-and-out shredding distortion). At lower levels its effect is heard as a warming/fattening of the sound, rather than as distortion. + + Most distortion units have fairly simple controls, usually with only a drive control and occasionally with a tone control. + + Massive has a number of overdrive/distortion units, each has a different character distortion. In addition to the drive knob, Massive also has a dry/wet mix knob so that the clean and distorted signals can be mixed. + + + + + +Digital Distortion + + + By contrast to analog-emulating distortion, digital distortion is (often) quite harsh and cold, lacking the warmth/fattening of digital distortion. You will find these units with a number of labels; typically they are called digital distortions, decimators, lo-fi, bit crushers, and sometimes alias units. + + To understand what these units are trying to achieve, you need to understand digital audio. There are two factors that determine the audio fidelity of a waveform generated by a synthesizer (or any other digitally generated sound for that matter): + + the bit rate—the number of times that the signal is generated per second, and + + the sampling rate—the number of levels of loudness that are allowed. + + + + The two factors in combination affect the quality of a digital waveform. Take audio on a CD as a practical example of this: the sound you hear has 65,536 (2^16) levels of loudness and each level of loudness is recalibrated 44,100 times per second. If you reduce the bit rate and the sampling rate of a CD, then the quality would fall as Figure 7.3 shows. + + + + + + Figure 7.3 As the bit rate and/or sample rate are cut, the resolution of the wave—in other words, its audio fidelity—will fall. This drop in fidelity is perceived as distortion which, with care, can be controlled for creative effect. + + Digital distortion units will allow you to control (within the FX unit) either or both of the bit rate and the sampling rate, and sometimes also the tone of the output. Generally the distortion that these units create is pretty harsh and hard to control, but if you want a really brash overdrive, these are the units to head for. + + If you do want more control (and your synth allows you to move the effect within the signal chain in the way that Massive does) then put the digital distortion unit before a filter, so that the filter can smooth off some of the rough edges. + + + + + +Compression + + + Compressors were originally used to prevent an analog signal overloading an analog input, and indeed, compressors still are used for this purpose. + + In essence, a compressor is an automatic gain control: when a signal gets to a certain level the compressor restricts how much louder the signal can get (see Figure 7.4). + + + + + + Figure 7.4 A compressor controlling an input signal. + + Most compressors allow you to control: + + Threshold. The threshold is the level above which a signal is attenuated. + + Ratio. The compression ratio controls the extent to which a signal above the threshold is allowed to increase in level. So for instance, with a 4:1 ratio if the input signal increases by 4dB above the threshold, the output signal will only increase by 1dB above the threshold. + + Gain. When a signal has been compressed, it will be quieter than the input signal. The make-up gain allows the output level to be rebalanced to an appropriate volume. + + + + In practice, you're quite unlikely to want to use the compressor as a volume control and instead will use it as an effect where it can help to: + + make a sound fatter and/or smoother + + enhance the perceived loudness of the sound, and + + give the sound more punch. + + + + The disadvantage of using a compressor is that the resulting sound can tend to dominate a mix. With more extreme compressor settings, the sound will usually have a more uniform level and will fill a broader frequency range. Both of these factors can make it harder to mix a highly compressed synthesizer sound. Another downside of compressor abuse is that the resulting sound tends to be less interesting—the delicate harmonic shifts of a patch tend to get covered up as all of the harmonics take a similar level. + + + + + +EQ + + + The purpose of equalization is to make certain elements of the sound spectrum louder and other elements quieter. You can use EQ creatively or surgically. However, remember that you still need to get your sound to sit in a mix, so go carefully with the EQ, and try not to use the effect to cover the faults of poor programming. Also, remember that you may not hear the full effect of any EQ tweaks unless you are using full-range speakers. + + The most flexible form of EQ is the parametric EQ where you can set: + + the frequency to be boosted or cut, + + the amount of boost or cut, and + + the bandwidth (or Q) of the boost or cut. The bandwidth determines how wide the boost or cut is, much like a constantly variable slope control for a filter. + + + + A simplified form of EQ is the shelf EQ. A shelf EQ will cut or boost: + + the whole signal above a specified frequency in the case of a high shelf, or + + the whole signal below a specified frequency in the case of a low shelf. + + + + Take a look at Figure 7.5 which shows a low shelf EQ (on the left), a high shelf EQ (on the right), and a parametric EQ in the middle. + + + + + + Figure 7.5 A low shelf, parametric, and high shelf EQ. + + Some more simple EQ controls allow you to tweak what is labeled as tone. These are usually high shelf EQ units and the tone control allows you to set the amount by which the signal is cut. It is rare in a simple tone control, but occasionally some units also allow you to boost the signal. + + + + + +Filter + + + We looked at filters in Chapter 3: Filters. + + Many synthesizers include filters in the FX sections (as one example, Twin includes filters). These usually operate in the same manner as those described in Chapter 3, except often (but not always) they apply to the whole sound, not to individual notes (meaning that, for instance, you may not be able to apply individual modulations). + + The other issue about filters as FX units is their location in the signal chain. Often you can place them at a more appropriate point than the main filters, for instance, you can place the FX filter immediately after a distortion effect. + + + + + +Modulated Delay Effects + + + Modulated delay effects came to the fore around the time that analog synthesizers moved to the mainstream. + + These units take many different forms (chorus/flanger/phaser, and so on) but they all do a similar thing: in essence they mix a delayed, pitch-modulated signal with the original signal to give a fuller/warmer/richer/whooshier (insert whatever description you want) sound. The delay time for the delayed signal is so short that you don't hear it as an echo, simply as a cohesive changed tone. + + While the operating principles are the same, the sound the different units produce can be markedly different. Although the delays are so short the delayed signal cannot be separately identified, the delay time has a major effect on the sound. + + Used sparingly, these effects can give an element of spark or richness to a sound. Used to excess and you will create a sound that quickly becomes passĂ©. + + + + + +Phaser/Flanger + + + Words cannot readily describe the difference between the sound produced by a phaser and the sound produced by a flanger, however, to my mind a phaser gives a more nasal sound where a flanger gives a more whooshy type sound. One of the reasons for the phaser sounding more nasal is that the delayed signal passes through a notch filter (which has its frequency modulated). + + Flangers and phasers are often used on percussion sounds and with plucked-type sounds (such as guitars and electric pianos). The sound is very distinctive and is hard to use in a subtle way, so you are likely not to want to use the effect too frequently. The sound also has a 1970s retro quality to it—whether you love or hate that era is likely to have an influence on how you feel about phasing and flanging. + + The main controls you are likely to find on a phaser or a flanger may include: + + Delay. The delay control will adjust the time of the delayed signal. + + Feedback. The feedback control sets the number of times the delayed signal is repeated. This has an effect on the perception of depth of the effect. + + Rate. The rate control adjusts the frequency of the low frequency oscillator modulating the pitch of the delayed signal. + + Depth. The depth control adjusts the extent to which the low frequency oscillator modulates the pitch of the delayed signal. + + + + + +Chorus + + + Chorus units also mix a delayed signal with the original signal, however, they use a longer delay than would be typical with a phaser or flanger. This delayed signal is then modulated by a low frequency oscillator. + + The result can be a much more lush/smooth sound—at extremes however, it can sound like vibrato played too fast or just bad tuning. + + Used in moderation, the effect can either add sparkle or thicken up a sound without noticeably changing the sound's characteristics. + + The main controls you are likely to find on a chorus are similar to those on a phaser or a flanger and may include: + + Delay. The delay control will adjust the time of the delayed signal. + + Feedback. The feedback control sets the number of times the delayed signal is repeated. This has an effect on the perception of depth (or out-of-tuneness) of the effect. + + Rate. The rate control adjusts the frequency of the low frequency oscillator modulating the pitch of the delayed signal. + + Depth. The depth control adjusts the extent to which the low frequency oscillator modulates the pitch of the delayed signal. + + Tone. The tone control will adjust the tone of the delayed, modulated signal to take away any harshness or metallic ringing. + + + + + +Modulation Effects with Twin + + + Twin does not offer any sort of modulated delay effects: it has a "plain" delay. However, it is quite possible to create an array of modulation effects with Twin. + + Twin has a number of delay options—if you select ultra short and modulate the delay time with a low frequency oscillator, then you will create a chorus-like effect. While there is no way to directly modulate the pitch of the delayed signal, modulating the delay time has a similar sonic effect. + + As Twin offers two delays, you can set a separate LFO to modulate the time of the second delay to create a richer sound. + + + + + +A General Word of Caution about all Modulation Effects + + + All modulation effects tend to have both a brightening and a thickening effect on a sound. This means that the effected sound can dominate the sound spectrum to a greater extent than the dry sound. Be judicious in your use of these effects if you are applying them to a sound that is intended to be used in the background—it may become more of a feature than you intended. If you are applying modulation effects to a background sound, then look at your arrangement and consider thinning out the arrangement to ensure the modulation effect does not become dominant. + + + + + +Delay + + + Virtually every synthesizer with built-in effects will offer some sort of delay. + + Usually there will be two ways to set the delay time: + + The delay may be set as an absolute amount, usually defined in milliseconds. + + Alternatively, the delay time may be linked to the tempo of the track, being defined as a fraction of the beat (for instance, with delay of 1/4, the signal is delayed by a quarter note). + + + + Often several different types of delay unit are available—the most common are mono, stereo, and cross delay. + + + + + +Mono Delay + + + A mono delay adds a simple delay to the input signal. A mono delay can be achieved in a stereo delay unit if the delay time is equal for both channels. + + Twin offers two mono delay lines (although there is the facility to cross feedback, see Cross Delay below). + + + + + +Stereo Delay + + + With a stereo delay, there are two separate delay lines which may (or may not) have different delay times. Conventionally these delay lines are hardwired left and right. + + + + + +Cross Delay + + + Like a stereo delay, a cross delay has two channels. However, the output from the first delay is fed into the second and the output from the second is fed into the first. This can give the effect of spreading the delays across the stereo spectrum or ping-ponging the delays between the two channels. + + + + + +Common Delay Controls + + + The most common controls that all delay units have are: + + Delay time. As noted, delay time is often (but not always) synchronized to the host's tempo and expressed in terms of beats. + + Feedback. Feedback controls how many times each delay repeats (quite literally, it controls how much of the delayed signal is sent back to the input). + + EQ, damping or a filter. EQ, damping, and a filter may be used to control the sound of the echo. Typically these controls will be used to cut the high frequency elements of the delayed signal to make the sound duller, resulting in a more natural sounding echo. + + + + + +Using Delay Lines + + + When adding delay, you need to consider what you are trying to achieve. If you are adding the slightest touch of slap-back just to give a bit of spark and a bit of space, then make sure you have done that. If you want to add a bit of echo, make sure that the delays are duller than the original source. If you are after an effect, then, as with the modulation effects, moderation is key. + + Like the modulation delay effects (and reverb), you also need to be cautious about how much space in the sound spectrum an echo will fill. There are several ways to tame the echo so that the sound doesn't dominate. The two most common are by reducing the feedback and cutting the volume of the echo, and filtering (both high-pass and low-pass) the delayed signal so that the echo fills a narrower portion of the sound spectrum. + + While an echo may dominate the sound spectrum, I often find that it dominates less than reverb while giving more character to the sound than reverb. I also find echo brighter and less mushy. For this reason I will often use echo rather than reverb when building patches. However, this is very much just a preference of mine. + + + + + +Reverb + + + Reverb can give a sound some spatial context. + + With reverb units, there is significant interaction between the controls, so even more than normal it is necessary to balance several parameters when shaping the sound. The most common controls offered by reverb units are: + + Pre Delay. This controls the time between the original signal and the reverb taking effect. Smaller values give the perception of a smaller room while longer delays give the perception of larger rooms. + + Size (or Room Size). This controls the size of the room being simulated by the reverb unit and has a direct effect on the decay time of the reverb (in other words, the time for which the reverberation effect sounds). Occasionally some units will offer a separate decay control to adjust the decay time. + + Damp. Damping works by cutting the higher frequencies in the reverb signal. One of the reasons why electronic reverb sounds artificial (that is clangy and metallic) is because it has too much high frequency information. The damping control can help to create a more realistic simulation. + + Width. If a width control is present, it will adjust the stereo width of the reverb. + + + + + +Using FX in Your Own Sounds + + + We've now looked at the sonic elements and the FX units to polish and enhance our sounds. It's time to move on and start creating sounds. + + + + + +Chapter 8: Sculpting Sounds with Synthesizers + + + When it comes to creating sounds using analog synthesis techniques, there are no hard-and-fast rules. Taste is more important than theory and your taste will almost certainly be different to mine. Accordingly, this chapter is intended only as an introduction, a starting point, to synthesizer sound design. You will notice that there are no patches accompanying this book—that is intentional, this chapter is all about using your ears and finding what sounds right to you rather than replicating what sounds good to me. + + There is no magic formula to creating a sound. However, I would suggest a few basic steps before you jump in: + + Understand what each knob does. + + Understand the signal flow in your synthesizer and how each element acts and interacts with the other elements. + + Have a definite aim about the sound you're trying to create—don't just fiddle with the knobs and hope something useful comes along. + + + + Once you have these basics sorted, I suggest a two stage approach: + + Get something that is "alright". In other words, create a sound that is functional and is reasonably close to where you want to end up—you should be able to get to this point quickly. + + Then undertake the detailed tweaking. This is the time to make sure the sound is exactly right for your needs—and will be the time consuming part of the programming. + + + + Now you know how your synthesizer works and you have a grasp of what all the knobs do, so how do you get the basic sound together— For me, I then tend to think in terms of the main food groups. + + + + + +Main Food Groups + + + Most sounds can be characterized by two key elements—their brightness and the envelope (primarily the attack of the envelope, but often you need the decay and sustain level to be right for the contrast of the attack to be clear). Once these two elements have been addressed, any tonal nuances after that may be affected by a range of factors. + + + + + +Brightness + + + If you are trying to categorize the brightness of a sound, it will generally fall within one of four descriptions: + + very bright + + bright + + dull, or + + very dull. + + + + You can try to subdivide further, but realistically, it is already quite difficult to try to find the line between these four categories. + + + + + +Attack + + + If you try hard, you can find four categories of attack time: + + fast—percussive (for instance a xylophone hit or a guitar string being plucked) + + fast—but not percussive, for instance an organ + + medium, and + + slow + + + + Again, you can try to subdivide the categories further, but it is a fairly pointless exercise. + + + + + +Getting the Combination Right + + + Once you understand what you want in the way of brightness and envelope, getting the right sound is dependent on the right elements being drawn together. For instance, here are some combinations may want to look at: + + + + + +To Get Brightness + + + To get brightness, look at the oscillator (or oscillators) and filter combination. If they don't work together, you will either get a shrill sound, or a thin sound, or a dull sound, but never a bright sound. For instance, if you are creating a sound based on a square wave, you may find it preferable to choose a 12dB filter. A 24dB filter may work, but to my ear the steeper filter can rob the square wave of much of its character which you may want to keep if you are trying to create a bright patch. + + + + + +To Get Richness + + + One of the key elements to a rich sound is its movement. You can achieve this with careful selection of your sound source (which will usually involve several slightly detuned oscillators and perhaps some delicate use of a sub-oscillator). Alternatively, you can just slap on loads of chorus. My preference is for the former option. + + + + + +To Get Attack + + + Most obviously, it is important that the envelope opens quickly to get some attack in a note. Depending on the tonal quality you are after, it is often important that the note then decays quickly to the sustain level—this will give you a percussive envelope reminiscent of a plucked guitar string or similar. + + However, to ensure that the attack is emphasized, another significant factor is the waveform. Some waves can sound slower than others. For instance, all other factors being equal, a square wave can sound like it has a faster attack than a sawtooth wave. In general bright sounds (especially aggressive, distorted bright sounds) are perceived as having more attack. + + + + + +To Get Warmth + + + A warm sound is subtly different from a rich sound: often it is much less bright. Warmth is also a comparative term—if a colder sound starts a patch and is then washed over by a warm sound, the contrast can give the listener the illusion of even deeper (hotter?) warmth. + + Any warm sound will probably have a slow attack and a slow release. There must be thickness to the sound which will often come from detuned oscillators. + + + + + +To Get Punch + + + It is hard to get some punch into a sound without adding too much brightness. First you need a fat sound source, then you need a fast attack and finally you need a hefty filter. The filter can be modulated with the envelope so that the attack is emphasized but the brightness is controlled. + + + + + +Building Patches + + + Before we look at how to create sounds, let me offer a few last considerations. + + + + + +Designed For Purpose + + + Any sounds you create should be created for a specific purpose (even if that purpose is just to have fun or to hear how something sounds). If you are creating sounds for a specific purpose—for instance, to work within the context of other parts—you stand a far better chance of getting the right sound which then fits in the mix. + + Although you might have designed a sound for a specific purpose, that does not prevent you from using it in another context. Indeed, you may find that, for instance, a bass sound is a good start point for creating a stab sound, and so rather than starting from a plain sound you can simply tweak an existing sound. + + + + + +Context of a Mix + + + It doesn't matter whether the sound you create is good or bad when you listen to it in isolation—it matters whether the sound works when you deploy it in context. In other words, it only matters how it sounds in the mix. + + When you are looking at how sounds work within the context of a mix, ideally each sound will have its own place in the frequency spectrum, and will be clear and distinct. You may not always want that clarity, however, you will be more likely to have your mixes criticized for being "muddy" than for being "too sparse". + + + + + +Choose the Right Tools + + + When you are programming take some time to make sure you choose the right tool. + + While I would never discourage you from trying, there are some tools that are better suited to certain jobs, and sometimes, analog synthesis is not the right answer. For instance, although it is quite possible to create bell-like tones using analog synthesis, I think you will get better and more consistent results by using frequency modulation synthesis. Equally, if you want to recreate the sound of a piano, don't waste your time trying to choose the right oscillator/filter combination and tweaking envelopes—use a set of piano samples. + + More importantly, choosing the right tool is also a function of having the knowledge to control that instrument. The only way to learn how to use an instrument is to keep using it over a long time—don't keep buying new instruments, pick one synth and learn every aspect of its character. + + + + + +Emulating Real Instruments + + + When it comes to creating sounds, a first step for many people is to attempt to recreate the sonic textures of real instruments. + + I don't like recreating real instruments with analog synthesis techniques for a simple reason: there are better options. If you want to create a piece that uses real instruments, then there are two options if you want to something that will not be noticeable to the listener: + + Use real instruments. If you want the nuance of a piano, then using a piano will give you the best sound—there's no way that a synthesizer will sound better than the real thing. + + If the real thing is impractical, then use a set of high quality samples. + + + + Another reason for not trying to replicate real instruments with analog synthesis is that it is impractically difficult. With a real instrument the musician has a virtually limitless tone palette. While synthesizers have an incredibly wide tone palette, you can realistically only create one sound at any one time (or if you use some modulation, a limited range of sounds). What you cannot readily do with a synthesizer is replicate the choices that are open to a player—for instance, you cannot replicate a simple change from a bowed note to a plucked note as a violin player may make. The only way to create these ranges of tones is to synthesize each one separately... and that is where using a synthesizer becomes less practical, especially if you are trying to synthesize a whole performance. + + A correlation to the range of tones that any one instrument creates is that real sounds are usually created by a range of instruments. If you look at an orchestra, there isn't a single "string" instrument. Instead, there are a range of violins, violas, cellos, and basses, each one of which has its own unique range of tones. It is the combination of these tones that gives the final sound that we hear as "strings". + + That being said, some synthetic sounds can work where a real instrument (or group of instruments) would usually be heard. For instance, a string section or a brass grouping can be synthesized. This approach will work, provided the sound is used with some care—if you are creating a string sound then you will often be able to create pads (in other words, chord sections which don't move too much). Trying to create a fast moving string section is less likely to be successful. + + While I'm not an advocate of reproducing real instruments, for descriptive purposes, it's often very useful to reference real instruments, and the characteristics of real instruments, when trying to describe sounds, and so I will make these references (as you will read). + + + + + +Playability + + + Finally, any sound has to be highly playable. The playability of the sound is one aspect that separates the average sound from the professional. Use your knowledge of how the sound will be deployed to set the modulation sources. + + For instance, if the sound is going to be played by a live musician, then you might ensure that velocity has an effect and that the modulation wheel and expression pedal both offer a wide range of control. However, if the MIDI track controlling the sound is going to be programmed, then you might want to make sure that external controllers, such as track envelopes may have a significant effect, so for instance, you may add an additional filter which has little effect in the normal course but can be readily controlled by a track envelope. + + + + + +Building Basses + + + Let's start by looking at some bass sounds. + + + + + +Simple Bass Sounds + + + The simplest—and in some ways the most effective—bass sounds can be created with a single oscillator, one filter, and an envelope. With these three elements it is virtually impossible to fail to create an effective bass sound, however, the sound that is created might not necessarily be the sound that you are after, so we'll look at other options in a moment. + + For simple bass sounds, I usually start with a basic wave and build, but there are a wide range of factors which will affect the sound: + + Waveform. There are two obvious waveform choices: a sawtooth wave and a square wave. A sawtooth wave will usually give you a thicker sound and a square wave will give you a more hollow sound—choose whichever is right for the sound you're after. + + Cut-off frequency. The cut-off frequency affects the brightness of the sound, and as you turn down this control, it also thickens up the sound. + + Filter slope. The filter slope will have an effect on the character of the sounds. In broad terms, a shallower slope (for instance a 12dB/octave filter) will have a brighter/snappier character where a steeper slope (such as a 48dB/octave filter) will have a thicker sounds. However, these general characteristics are very much dependent on the interaction with the other factors. + + Resonance. The resonance control can make the sound thinner, but it can also make it brighter giving more emphasis to each note, particularly when coupled with a filter envelope. At extremes, resonance can get rather annoying. + + Envelope destination. When building a basic bass sound, the logical destination for the first envelope is the filter's cut-off frequency. However, this is not the only choice, for instance, you can attach the envelope to control the volume of the patch, but if you do this, then the sound will be far more static (as there will be no movement in the filter). + + Envelope depth. Assuming the (only) envelope controls the filter's cut-off frequency, then the envelope depth will have a major effect on the tone. This will give sonic results in two areas. First, each note will be articulated more clearly as the depth increases, and second, if the resonance control is set at a reasonable level, then the envelope depth will control the amount of "squelch" that the sound gives. + + Envelope attack time. Assuming the envelope is controlling the filter's cut-off frequency and the envelope depth is set at a moderate level, then the envelope attack time can have a significant effect on the character of the note. A few milliseconds here or that at the start of the envelope can make a significant change to the attack of the note. + + Envelope decay time. This control is quite subtle and only has any real effect when the envelope depth and the resonance is at a reasonable level, when its effect is more of a gentle tonal shift controlling how the squelch decays. As the sustain level is cut, the envelope decay time will have more significance (since the change between the peak and the sustain level will be greater). + + + + Simply jumping in and twisting the knobs may not be the best way to design a sound, but for a basic bass sound, it's not necessarily a bad approach if you're trying to increase your understanding of how your synthesizer sounds and how the elements interact. + + Once you have a basic sound, then you can work to refine it. As well as tweaking the filter and the envelope parameters, you might also want to add some portamento—set the synth to monophonic mode (so that it only plays one note at a time) and play with the portamento so that the pitch of each note slides from the previous. + + + + + +Fat Bass Sounds + + + Once you have a single oscillator/single filter bass sound, you might want to think about something with more complexity and greater weight. + + Before we start fattening things up, a word of caution: the single oscillator/filter sound works because of its limitations. It is not excessively fat or deep, so it will sit in a mix, and is nearly perfect for busy bass lines. As you fatten things up, the bass will increasingly dominate the mix and lead to a muddier sound. Accordingly, if you want to use a fat bass sound, ensure something else is removed from the low-end of the mix to make room for the sound. + + Clearly the choice of wave is going to have an effect—it is much easier to thicken a sawtooth wave than a triangle wave—so make sure you have an appropriate wave before you start tweaking. + + The simplest way to fatten up a bass sound is to add a second oscillator using the same waveform, and to detune that wave by a few cents (100 cents = 1 semitone). As a general rule of thumb, the more the waves are detuned (by reference to one another) the thicker the perceived sound. However, at a certain point the two waves will start to sound detuned, rather than fat. + + You can add a third (and a fourth, if available) oscillator. If you are going to use three oscillators, then tune one up and one down, leaving one oscillator at the original pitch. + + You can also thicken your sound by using a sub-oscillator which I will discuss shortly in the Sub-Oscillators section. + + Once you have thickened your sound, then you should start to look at the envelopes. + + + + + +Bass Envelopes + + + The bass sounds described so far have envisaged fast attack times (for the volume envelope) and swift release times. You will have noticed that I have only mentioned the volume envelope in passing—the only real effect on the volume envelope has been achieved through the filter cut-off envelope (and since that has been quick, the volume envelope has been swift). + + However, for many sounds you will want a different envelope shape. For instance, if you're trying to create a dub-like bass sound or a sustained string bass line, a slower attack time and slower release time may be appropriate for the volume envelope. If you are going to apply a volume envelope, then (provided your synthesizer allows this option, and it almost always does) you should call up a separate envelope to control the volume. + + Once you have two envelopes—one for the volume and one for the filter—think about (and listen to) how the envelopes interact with each other. To give you one example, if you slow the envelope controlling the filter cut-off frequency, so that its attack time is slightly slower than the volume envelope, you can get something of a "mwah" sound or a "spit" (depending on the relative envelope settings, the choice of waves, and the filter settings). These small tweaks can make significant changes to the character of the sound leading to a more interesting bass line. + + + + + +Sub-Oscillators + + + A sub-oscillator is an additional oscillator added (usually) one, although sometimes two, octaves below the main oscillator (or oscillators). They perform two main functions: + + First, they change the tone of the sound, usually giving it more thickness. + + Second, they add more weight to the sound. This can be a subtle addition to the solidity of a note or it can be massive sub-sonic floor-shaking bass. + + + + These two changes are usually mutually inclusive, so you will add weight and change the tone of the sound by adding a sub-oscillator. + + We looked at the effect of mixing two oscillators together to create a new wave sound in the Layering Oscillators section. A sub-oscillator can create a new sound; however, that is not necessarily the aim of a sub-oscillator: + + If your aim is simply to create a more solid bass sound without altering the tone to too great an extent, then try a sine wave as your sub-oscillator. + + If your aim is to create a deeper and richer bass, and you can accept some change in the timbre, then try a square wave as the sub-oscillator. + + + + Both waves will give a change in tone—the choice of wave affects how much the tone changes. The third option is to double the existing oscillator wave—depending on the sound you are aiming for, this may give good results. + + The other factor affecting the tone change is the level of the sub-oscillator: at lower volumes the sub-oscillator will be less noticeable (and will therefore not add as much weight). + + As a side issue, if you want to fatten your bass sound and give it more focus, think about using a high-pass filter. + + If you run the sound first through a high-pass filter and then a low-pass filter, the high-pass filter can be used to boost the bass while the low-pass filter shapes the sound. To boost the bass, increase the amount of resonance on the high-pass filter and use key tracking to control its cut-off frequency. When you get the amount of key tracking right (and balanced with the cut-off frequency) the resonance boost will follow the pitch of the played note and each played note will have its fundamental frequency boosted. + + One other point to remember when you're adding sub-oscillators: speakers. Listen through full range speakers, otherwise the sound you will end up with will be far too bass-heavy. + + + + + +Bass Split Octaves + + + In many ways, a split octave sound is a sub-oscillator construct turned on its head. In other words, the main oscillator is the lower note and the secondary oscillator(s) is (are) set at a higher pitch when compared to the main oscillator. As you would expect, the main difference here is that where the sub-oscillator arrangement is designed to enhance the initial sound, with split octaves, the purpose of the addition oscillator(s) is (are) to change the tone, and generally to change the tone by making the sound brighter with a more complex wave construction (using the principles set out in the Layering Oscillators section). + + Typically if you layer one oscillator one or two octaves above another, you will create a classic 1970s bright synth bass sound. You can tame this sound by controlling the level of the higher oscillator and with a low pass filter. The filter will have a disproportionate effect on the higher pitched oscillator which will often make its apparent excesses easier to calm. + + + + + +Bass FX + + + Personally, I'm not a big fan of FX on bass sounds—they tend to make the sound mushy and the whole mix sound muddy. However—and slightly counter-intuitively—adding some subtle chorus will often brighten up a bass sound and give it more presence, while not portraying much of the chorusing effect. This brighter sound will, of course, be more dominant and take up more space in the mix. + + Anyway, that's enough bass. Let's move on to brass. + + + + + +Building Brass Sounds + + + Real brass instruments create a very brash and harsh sound. What people often perceive as brass is a much softer, more restrained tone. As well as being harsh, real brass instrument tend to sound much thinner than many people expect—often people associate brass with a fat sound because they are used to hearing brass as a section with several instruments covering a wide range of the tonal spectrum. + + Basic brass sounds are moderately straightforward to create: you take a sawtooth wave and push it through a low-pass filter. From here you can then tweak the volume envelope to create a more realistic sound—in particular, you can recreate the impact when a note is first blown. + + To create more "spit" at the start of the note, use an envelope to control the filter cut-off frequency and delay the attack time slightly (by reference to the attack time for the volume envelope). + + As a matter of personal taste, I prefer not to add much in the way of FX to brass sounds. However, there are three tweaks you may want to think about: + + First, to get a bit more harshness into the sound, think about adding some (subtle) distortion. This will help you achieve a slightly thinner and rougher sound. + + I sometimes add some echo (a short delay with only one or two repeats). This tends to add more feeling and life to the sound rather than changing the tone. + + You might also want to add a bit of EQ to thin the sound and help it sit in a mix. + + + + Going back to the notion that much of what we hear as brass is actually a brass section—in other words, a group of individual instruments, each different, playing together. If you create a brass-like sound and play a few chords, you may not achieve satisfactory results since you won't get the effect of individual instruments playing together. + + There are several approaches you can adopt to achieve greater realism (or rather, to reduce the unrealistic result that comes from having one brass patch): + + First, you can create a number of individual patches and play each as a separate part. This replicates how real instrument sections are created. + + Another alternative is to create parallel sounds within your patch. For instance, in Twin and Massive you can arrange two single-oscillator/single-filter combinations in parallel, each of which can create a separate sound that can then be placed towards the left and the right in the stereo panorama. + + A third option is ignore analog synthesis and to employ a set of samples (this is especially effective if each part has a separate instrument). The benefit of a good set of samples is that many brass-specific playing techniques can be easily accessed giving a more realistic performance. You can read more about sample-based synthesis in How to Make a Noise: Sample-Based Synthesis. + + + + Sticking with the metal theme, let's move from brass to look at bells. + + + + + +Building Bell-Like Tones + + + If you want a broad palette of controllable bell and chime sounds then, in my opinion, there are better options than using analog synthesis techniques. For range, controllability, musicality, and tone, I think you will get better results using frequency modulation techniques (which are covered in How to Make a Noise: Frequency Modulation Synthesis). + + However, you can still get interesting sounds with analog synthesis, so let's have a look. + + The simplest way to create a chime-like tone is to select a triangle wave, set it to a high octave, and set a volume envelope to broadly replicate the envelope of a bell (in other words, a sharp attack, followed by a fairly swift decay time). You can double the octave and slightly detune the second wave to give a bit of "ring" to the sound. You can also detune the second oscillator by larger steps (five semitones can work quite well) to give a richer, more metallic sound. + + To get a greater level of sophistication, you can send the waves through a low-pass filter with the resonance set high. If you push the resonance high enough (and your synthesizer allows this) then you will reach self-oscillation of the filter—you will hear this as a sine wave, which, provided you have the envelope right, can give more of a ring to the bell. + + You can use quite a lot of FX without the processing becoming too noticeable. The most natural sounding processors are chorus, reverb, and echo. + + Chorus will add some thickness and a lot of sparkle to the sound. You can turn the depth (of the LFO modulation) up quite high, but the speed (of the LFO modulation source) should be kept fairly slow. + + A short delay time with a low amount of feedback will give some life to the sound and brighten up your bell-like tones. + + A small amount of reverb will often help to smooth the sound, giving a more natural bell or chime-like tone. + + + + + +Building Key-Based Sounds + + + Let's have a look at some keyboard-type sounds. + + As with bell-like tones, let me repeat my warning: analog synthesis may not be the best way to create realistic key-based sounds. However, that alone is not a reason not to create these sounds. Indeed, there are many reason to create sounds that are reminiscent of key-based instruments. These reasons include ease of use, immediacy, the facility to tweak and add FX, and most significantly, the ability to take the character of the sound and mangle it until you have created something entirely new. + + So the sounds I am going to produce here are more about character, and less about sonic fidelity. + + + + + +Piano + + + The root to create a really quick-and-dirty piano-like sound is a square wave and a sawtooth wave. Load the two and balance the level of the oscillators—to my ear you want slightly more sawtooth than square. This will give you the brightness but without the hollowness of a square wave on its own. + + Once you have a basic tone, set a volume envelope to mimic the envelope of an acoustic piano. Staying in the volume envelope, adjust the sustain level so that it is unnaturally high. This might seem odd, but it will compensate for the volume loss through the filter. + + Turning to the filter, choose a fairly gentle slope (12 dB/octave or less). Set the resonance to zero, turn the cut-off down low, and set an envelope to modulate the cut-off frequency to the maximum extent. + + When the filter is set up, you can adjust the envelope. This should be adjusted in a similar manner to the volume envelope, however, the sustain level should be much lower and the release time should be longer (to avoid unnatural changes during the short release stage before the volume is cut by the volume envelope. + + This isn't a great sound—in fact, it's pretty rough—but it might fit in a mix. With a bit of tweaking you can create far more of an electric piano-type sound which may be preferable in a mix. + + + + + +Clavinet/Harpsichord + + + You can create a fairly good clavinet or harpsichord-type sound using analog techniques. And when I say "fairly good", I'm talking in terms of sound, not in terms of fidelity of reproduction. + + The root of the sound is key-synchronized oscillators with one oscillator pushed out of phase. The further the oscillator is moved out of phase the more of a plucked sound you can achieve—this plucked sound is the root of the clavinet/harpsichord tone. + + Once you have the plucked sound, you can then shape it (with a volume envelope) to create the shape of the sound (fast attack, fast decay, low sustain level). If you want to add a bit more shaping, then you can add a filter with an envelope. If you do add the filter, then you probably want to raise the sustain level on the volume envelope to compensate for the level attenuation by the filter. + + To add a bit more weight to the sound, you can add another oscillator (with the same waveform at the same pitch). Keep the level of this oscillator low enough that this oscillator doesn't dominate, but high enough that it adds weight and thickness to the tone. + + Once you have all the elements in place, tweak to balance the sound. + + If you're after a more radical tone change, then try a different waveform—both the sawtooth and square waves give good results. Alternatively, try some oscillator combinations where the waves are at different oscillator settings: two sawtooth waves with the second set two octaves above the first can work well. + + + + + +Organ + + + Of course, you could create a realistic organ sound by loading up a sample set. However, if you're working with analog synthesis there is a really quick and natural way to create organ tones. Not only that, but the sounds are far more tweakable and controllable in real-time than they are with sample sets. + + The setup is simple: + + Switch off the filter. + + Load a sine wave into the oscillators (you'll want at least three oscillators here). If you don't have a sine wave, then a triangle wave works perfectly well, in fact, a triangle wave can give a richer sound. + + Set the volume envelope to have a very fast attack time, the sustain level set to the maximum, and the release time set to zero. + + Tune the three oscillators at octave pitches (so oscillator two is one octave above oscillator one and oscillator three is one octave above oscillator two). + + Set the level of oscillator one to mid-way and oscillators two and three to zero. + + + + To create the tone, slowly bring up the level of oscillators two and three. There is no "right" sound here—keep balancing the level of the three oscillators and listen to the tonal variations. + + Once you've got an idea about the basic tonal variations, then start playing around: + + You don't have to stick with these pitch intervals. You can have any interval you want, but as a start, drop the pitch of oscillator one by an octave (and reduce its level so it doesn't dominate too much) and drop the pitch of oscillator three so that it is a major fifth (seven semitones) above oscillator two. After this, keep playing with pitches and levels. + + Slightly detune the oscillators to get that Leslie cabinet vibrato. + + Experiment with LFOs to control the level of each oscillator and the pitch of each oscillator. When employing these LFOs, you only want the slightest wobble (you can use a fast LFO, but with a small depth). + + Add some distortion—ideally a gentle amount of vintage distortion to give the sound some more warmth and body. + + + + + +Building Lead Sounds + + + Lead sounds are intended to feature prominently in a mix without dominating. + + The key factor for any lead sound is that it should fit—it should be appropriate within the context of the track where it is played. It can be simple, it can be complex—it just has to fit. + + I'm not going to try to describe how to create a lead sound: there are too many options and too many permutations, and very often a plain sawtooth or square wave with a bit of filtering is all that is needed. Instead, let me add a few thoughts about how a sound can fit within the context of a track. + + One of the key issues to think about with a lead sound is the extent to which it dominates. This is a fine balance: the sound should cut through, but it shouldn't be so loud that it masks the backing. One way to ensure the sound can be heard, but to stop it dominating is to run the sound through a combination of filters arranged in series. + + If you run the sound first through a high-pass filter and then a low-pass filter, then the high-pass filter can cut out the low-end information and the low-pass filter can then shape the sound. As long as you use the high-pass filter judiciously you will notice little effect on the sound when the end result is played within the context of a track. + + One quick way to make your lead sound really stand out is to add some distortion. At lower levels this will often bring some presence to the sound without changing the character too radically. Of course, you can add lots of distortion if you really want your sound to stand out, and if you want a balance, then why not set MIDI velocity as a modulation source and the distortion amount as the modulation destination—this will may your sound very playable. + + Another area to look at when you are creating lead sounds are the user controls, in particular, the bend wheel, the modulation wheel, and MIDI velocity. The combination of the three will give you control over a wide range of tonal nuances as you play. + + One area where you can go wild is in adding FX units. I'll leave these to your imagination. + + + + + +Building Pads + + + I made this comment in connection with the Building Lead Sounds section and will make this comment again in the Building Plucks and Stabs section: pad sounds can fill up huge amounts of the sonic range. This can lead to them dominating a mix making it muddy and indistinct, as well as overpowering the other elements of the mix. + + In order to avoid this unwanted dominance, the art to creating a great pad is to find a pleasing tone while keeping the sound as thin (or if you prefer, as "un-fat") as possible. As I've mentioned before, one of the best ways to thin a sound is to run a high-pass filter and a low-pass filter in series, and use the high-pass filter to cut out as much of the low-end information as you can (and remember, you can always cut more than you expect when you listen to a sound within the context of a mix). If you don't want to use a filter, then try EQ to cut the low end. + + + + + +Simple Pads + + + Many simple and highly effective pad sounds can be created with a single filtered wave. While effective, this approach has a limited tone palette, and may leave you with a sound with little movement. + + Turning to the tone palette first, the most straightforward way to broaden the range of tones that is available to you is to use a second oscillator. As discussed in the Layering Oscillators section, this combining approach can create a whole new waveform, giving you a near infinite tone palette to work with. + + You will often achieve excellent results choosing a different waveform and/or pitching the second oscillator one or two octaves above the first. Other non-octave intervals may work (for instance plus seven semitones—a major fifth—is often good), but you may need to take extra care to keep the level of the second oscillator at a place where the sound doesn't become too strained. + + Also, pay attention to whether you are hearing one coherent sound or two separate tones—neither option is wrong (or right), nor better, but you should be clear about the end result you are trying to achieve. Another issue to remember is that a low-pass filter will have a disproportionate effect on the higher pitched oscillator. This may be useful as it will make it easier to control the higher pitched oscillator without affecting the main oscillator. + + On the subject of the filter, often when creating a pad sound you will find that one filter setting does not play well across the whole keyboard. In this case, a bit a key tracking will often help—set the filter cut-off to open more at higher pitches and you will create a more natural sound that has a lighter quality. + + When you want to add movement to a pad sound, you have two options: + + The first choice is to add an LFO to subtly modulate the pitch of one of the oscillators. + + The second choice is to bring is some FX—delayed based modulation effects (such as a chorus, phaser, or flanger will usually work well). + + + + There is, of course, a third option—bring in another oscillator and detune it slightly. And lastly, I'm sure you've already figured that you can add an LFO, some FX, and third oscillator all at once. + + + + + +Adding Some Control + + + To move beyond a plain pad, you can introduce some player control. Depending on the context, you have many options: + + The modulation wheel is a useful quick-and-dirty control. Often it can be assigned to control the filter cut-off frequency allowing you to tweak the tone in real time. + + If you want to control the filter cut-off frequency there are other options. First, MIDI velocity can be set as the modulation source. The downside to this option is that you have no ongoing control—the filter setting is based on the amount of velocity when the note was struck. If you want ongoing control (and your MIDI hardware allows it) then you can use aftertouch to control the cut-off frequency as the sound sustains. + + Perhaps a better way to use MIDI velocity is to control the attack time of any envelope. Through setting MIDI velocity as the modulation source and the attack time of an envelope as the destination you can choose whether notes fade in slowly or start immediately by changing how each note is struck. + + + + + +String Sounds + + + As with Building Brass Sounds, when creating string sounds, there is an advantage to creating a number of individual string-type sounds and playing separate parts with different timbres. The end result will then sound less synthetic. + + Synthetic string tones can be created quite quickly: take a sawtooth wave and pass it through a low-pass filter. The hard work is in refining the tone, and here you have the usual tools: + + The volume envelope to create the changes in the level. One area that needs particular attention is the attack phase—unlike many sounds, string sounds benefit from a slower attack time in order to mimic the swell of a real string section (and as noted above, you can control the attack time on a note-by-note basis with MIDI velocity). + + The filter envelope can change the tone of the sound. This can work well to emulate the delicate tonal changes of a stringed instrument; however, you should limit the use of filter envelopes if you are using high levels of resonance (since strings don't usually "squelch"). + + + + If you are trying to emulate a stringed instrument of any variety, it is almost mandatory (unless you are trying to emulate a solo instrument, in which case, I recommend you use samples or a real instrument) to double oscillators and add a bit of detuning. This gives the effect of several instruments playing at once and both thickens and brightens the tone. + + And of course, with any string-based pad, you should think about adding time based modulation delay FX units. + + + + + +Rhythmic Pads + + + Pad sounds don't have to simply create sound... they can add rhythm too. + + Once you have your pad sound sorted, if you want to add a rhythmic element, turn to the LFO section. You can use any wave, but the most obvious sonic results can be achieved with square and pulse waves. + + With the LFO waveform selected, set the LFO frequency at a moderate rate, and set the LFO to modulate the volume of the patch. This will create an effect where the sound is heard during the positive phase of the square wave, but the sound is attenuated during the negative phase giving you a rhythmic pad. + + Once you have the effect working, then adjust the tempo of the LFO frequency to match the beat of your track (most synths allow you to synchronize the beat without needing to precisely adjust the LFO). + + To take this effect further, set the filter cut-off frequency as the modulation destination. This may give a similar rhythmic result, but there will be tonal changes rather than just volume changes. You should also experiment with different waveforms—the rhythmic effect may be less pronounced, but the tonal changes may be more interesting. + + Many synthesizers (such as Twin and Massive) also have specialized modulation sources which create beat-synchronized stepped level changes specifically designed to create rhythmic effects (check back to Specialized Modulation Sources for details of these tools). If you want to create a rhythmic pad with any level of complexity, you probably want to dig into these tools. + + When using these tools it's very easy to focus on controlling the volume and filter cut-off to create rhythm, but also pay attention to the gate time of each step (in other words, the length of time for which each step sounds—a step does not need to sustain for the full length of each step). In Massive, when using the performer it is possible to control the gate time on a step-by-step basis; in other synths you may need to put in a bit more work. + + And just because the pad creates rhythmic sounds, don't forget the real-time control. For instance, you can control the filter cut-off (or the depth of the modulation of the filter cut-off) with the modulation wheel or with aftertouch (to give two examples) in order to keep some control over the sound. + + + + + +Building Plucks and Stabs + + + In many ways, plucks and stabs bring together all of the sound building principles we have looked at so far. + + These sounds are, by their nature, short and usually prominent, and ironically, their sound matters less. However, to be effective, their tone needs to be molded in order to get the right plucked or stabbed sound. Equally, these sounds are far more sensitive when it comes to balancing several competing factors (for instance, when it comes to balancing the decay time and the sustain level of an envelope). + + When it comes to balancing the competing factors, there are several issues to look at: + + The sound can be fat or thin, or anything in between. However, as a general rule of thumb, the fatter the sound, the shorter the pluck/stab should be. If you don't get the balance right, then you may find the sound dominating the track. + + Generally envelopes need to be fairly sharp. Usually the critical phase in the envelope is the decay time (since the attack time will be zero and the sustain level will be set to zero, or at least very low). + + The filter envelope does not need to duplicate the volume envelope. Indeed, there is an advantage to using a separate envelope. By delaying the filter envelope's attack time slightly, you can emphasize the start of the note, reinforcing the pluck sound. The pluck sound will be further emphasized if the decay times vary. + + To get a sufficiently sharp sound (if that is what you are after) think about incorporating a subtle amount of distortion. + + These sorts of sounds work really well with some velocity sensitivity—particularly to control the cut-off frequency. + + In the higher keyboard regions stabs and plucks can sound too bright. To address this issue, apply some negative key scaling to reduce the brightness of the patch in the top octaves. + + + + + +Building Synthetic Drum Sounds + + + Let's round off this chapter by looking at synthetic drum sounds. + + Most synthetic drum sounds have two key elements: + + a sound, which is often a processed sine wave (and if you don't have a sine wave, a triangle wave will work), and + + some noise, which is usually filtered. + + + + Rather than trying to explain the theory, it's probably easiest if we leap straight in and start making some drum sounds. The intention behind all of the sounds in this section is that they are quite raw—once you have got your head around the concepts I am demonstrating, I suggest you take some time to finesse these sounds and perfect them for use in your own productions. But before we get going, a couple of points: + + First, although this section covers drums and percussion, there are several techniques that are applicable to more conventional sounds (for instance, the pitch modulation technique I will show you to get the kick into a kick drum can be widely applied). + + Second, the key word in this section's title is "synthetic". The sounds I am going to create here are intended to sound like electronic drums. If you want realistic acoustic sounding drums, then either hire a real drummer or go and buy yourself a set of high quality samples. + + + + However, if you are going to use samples, then you might want to come back and check out some of the techniques here—you will often find that layering samples and synthetic drums can keep the acoustic sound but give the necessary depth and power which can be missing when using samples alone. + + All of the techniques set out in this section can be applied to conventional synthesizers. There are also specialized drum tools which can help you create synthetic drum sounds, but unless you understand what you're doing, then these specialized tools can give unpredictable results. Once you've been through this section and have got a grip on synthetic percussion, you might want to take a look at these specialist tools. + + One last word: all of the sounds created in this section can be played across the keyboard. When taken out of an appropriate range, some sounds will not sound natural (for instance, kick drums should be played over a lower range). If any sound sounds particularly unnatural (and remember, we're dealing with synthesized sounds) then try it in another key range. + + That's enough prevarication... let's create some sounds. + + + + + +Kick Drum + + + The essence of a kick drum is a low-pitched sine wave (or triangle wave) so make sure you're listening through a full-range speaker as you program this sound. + + To start, select the sine wave and tune it to its lowest setting. To create the sound the sine wave should then be controlled by two envelopes: + + A volume envelope gives the characteristic staccato drum sound. + + An envelope assigned to modulate the pitch of the envelope gives the sound of the "beater" "hitting" the "drum". + + + + With your sine wave loaded and dropped in pitch, go to the volume envelope and set it so: + + The attack time is set to zero. + + The decay time is fast, but not zero. + + The sustain level is zero. If you have an attack-decay envelope available that will achieve the same result in less time. + + + + The crucial control here is the decay time. If this is too fast, then all you will hear is a click. If it is too slow, then you will hear the low pitched sine wave. Play with this control and listen to the shades of tone it allows you to access. Also notice that you are changing the tone/character of the note without a filter and without modulating the source wave. + + Once you have a basic tone that you are happy with, you can add a bit more kick to the sound by setting another envelope to modulate the pitch of the sine wave. Set the envelope with similar settings to your volume envelope: + + Attack time set to zero. + + Fast decay time, but not zero, and shorter than the decay time in the volume envelope. + + Sustain level set to zero. + + + + The purpose of this modulation is to add some punch to the impact, not to hear a changed pitch in the drum. Once you have set the pitch envelope, start to raise the level of modulation depth. If you raise the level too far, you will hear the pitch start to rise—for a kick drum, you're looking for the impact at the start of the kick and a slight tightening of the overall sound. + + Once you've got here, you might want to try increasing (but only slightly) the decay time in the volume envelope and balancing the two decay times and the pitch modulation depth. + + If you want to add some more control to the sound, then set the MIDI velocity to modulate the pitch depth. With this set, MIDI velocity will affect the tone of the initial beat. + + + + + +Closed Hats + + + Synthetic hi-hats are quite straightforward: they are essentially a bit of filtered noise. Let's start by looking at a closed hi-hat. + + Virtually every synthesizer will offer a noise source—choose the brightest you can find, ideally choose white noise. + + Once you have your noise, a basic closed hi-hat can be created with a volume envelope with: + + The attack time set to zero. + + The decay time set to a fairly short time (about the decay time of a closed hi-hat). + + The sustain level set to zero. + + + + This will give you a workable closed hi-hat. If you then want to play with its character, call up a band pass filter (ideally with a 12dB/octave slope). Set the resonance control to about mid-way and then tune the sound with the cut-off frequency. + + To control the tone further, the cut-off frequency in the filter can be modulated (very gently) by an LFO. This can give a subtle variation in tone each time a note is triggered. + + If you want more control over the tonal variation, you could again modulate the cut-off frequency, but use MIDI velocity (or pitch) as the modulation source. In this way, you could program variation in your MIDI track. You could, of course, use both of these techniques. + + + + + +Alternative Noise Sources + + + If you're not happy with the noise sources your synthesizer offers, or if you just want more tonal variation (which, in the context of hi-hats, will give you a range of different character hats) then you can create your own noise source. + + To create your noise source: + + Choose a waveform—any wave will do, but I find the square wave gives much brighter, forceful results. + + Tune the wave up—maybe raise it about four or five octaves, but depending on the particular synth, you may not want to go as high as you can if you start getting a screamingly high note rather than the effect intended. + + Set an LFO to modulate the pitch of the wave. + + Select a random or sample-and-hold wave for the LFO. If these waveforms aren't available, then load two LFOs and choose a square or a pulse wave in each LFO. + + Set the pitch modulation depth to the highest level you can and the frequency of the LFO to the maximum. If you are using two LFOs, then tune the frequencies to slightly different settings—the combination of the two will give an effect close to a random wave. + + + + And there you (should) have a noise source. You can change the tone quickly by selecting different waves in the oscillator (or by messing with the LFO depth and frequency). + + Once you have created your own noise source, use it in your hi-hat sounds. + + + + + +Open Hats + + + Having set up the closed hi-hat, the next logical step is the open hi-hat. + + There is a simple change to morph the closed hat to an open hat—extend the decay time. + + Depending on the noise source you are using, a longer decay time can allow an open hat to dominate the sound to a greater extent than the close hat does. To constrain the open hat, try a steeper filter (for instance, try a 24dB/octave filter rather than a 12dB/octave filter and reduce the resonance. While you're tweaking the filter, you may also want to push the cut-off frequency to adjust the tone. + + Although we're looking at synthetic percussion here, listen to your open and closed hi-hats in context. There's no rule that they have to have any sonic relationship in the way that the hats on an acoustic drum kit would (since they would be the same hats...), but listeners will usually expect there to be a link between the two sounds. + + + + + +Snare Drum + + + There are two elements to a snare drum sound: + + The drum sound. + + The snare sound. + + + + It is something of a challenge to create this effect with a synth, but we can get close. + + The basic drum sound is created in a similar manner to how we created a kick drum: a sine wave with its pitch modulated by a fast envelope, and with its volume contour mirroring the shape of a real drum. However, unlike with a kick drum, the pitching of the snare can be higher. Set it at a level that feels right to you—with higher pitches you get a thinner drum and at lower pitches you get a flabbier sound. + + The snare sound is created with a noise source—white noise works well, or you can add your own noise source. + + The snare element should be controlled by a volume envelope, but not by the same volume envelope as the drum sound uses since the snare should have a longer decay (to mimic the ring of the snares). + + Once the two elements are in place, their levels should be balanced. I find that the drum element should be set at a lower level than the snare element. Once you set these levels, you may find that you want to tweak the envelopes—in particular the pitch envelope modulating the sine wave—in order to make the snare element more forceful. + + Another subtle bit of shaping you can add is to run the noise through a low-pass filter. Choose one with a gentle slope (12dB/octave is a good choice) and boost the resonance. You can then control the snare tone to help it blend with the drum element. + + + + + +Claps + + + A synthesized clap can be created with noise—whether white noise or synthetically created noise—as its foundation. The level of the noise can then be controlled with an envelope with similar settings to those we have already used. To give it more focus, the sound can then be passed through a band-pass filter (12dB/octave). + + This set up gives a basic sound. It also gives us only one clap. Before we resort to FX units (which really do help with this type of sound), there are two further steps you can take: + + First, a second, parallel filter can be introduced. The settings should be similar but with a different cut-off frequency to bring a different tonal quality to the sound. + + The second step is to add more oscillators (or rather more noise); ideally each noise source should have a different character to increase the illusion of a group of claps. Each oscillator should have its own volume envelope with similar, but unique settings. Perhaps the biggest difference for each envelope should be the addition of a small amount of delay (before the attack stage). The slight delay will give the impressive of the clap coming at a slightly different time (as would be the case if there were several people clapping). + + + + + +Cowbell + + + To create a synthetic cowbell, take two square waves, add a volume envelope (you've got the idea where to start), and tune one wave five semitones above the other. + + This gives you the basic sound. To tweak, run the combination through a low-pass filter (12dB/octave) with the resonance pushed quite high. Adjust the cut-off frequency to taste. If you then want to work on the tone a bit more, play with the pitch of the second oscillator. + + + + + +Syn Drum + + + If you don't know what a syn drum sounds like, then you weren't around in the 1970s. In this case you probably also missed out on disco, which may be no bad thing. + + The basis of this sound is a sine wave which then has its pitch modulated. This pitch modulation is similar to the technique we used to get some punch at the start of a kick drum, except here, the decay time is lengthened so that the pitch fall effect can be clearly heard. The timing here is quite significant: it needs to be longer than simply to give a punch, but not too long (this is drum sound). Take some time to listen to the sound as you tweak the decay time. + + Once you have got the pitch envelope right, set up a volume envelope with similar parameters and set the decay time so that the note ends (at the zero sustain level) at the end of the pitch fall. This will give a drum envelope instead of allowing the note to sustain. + + + + + +Toms + + + To create an electronic version of toms, take the syn drum sound, and tweak: + + First, shorten the decay time in the pitch envelope so that the characteristic syn drum sound is replaced with the classic punch. + + Second, shorten the decay time in the volume envelope so that there is no sound heard after the hit. + + + + As you will have realized, this sound is very similar to the kick drum. However, there should be differences: + + Toms will be played at a higher range than the kick. + + As well as being played at a higher range, you are likely to want to play over a range (perhaps a range of nearly an octave) to reflect the different sizes of toms. + + The sound of toms should be rounder than the kick. + + + + Tune to taste and you'll be there. + + + + + +Drum FX + + + All of the drum sounds have been created without effects, however, you might want to think about adding some FX both to enhance and sweeten the sounds. In particular, you might want to think about the following: + + Some (subtle) overdrive/distortion could add some warmth to the sound and give a slightly vintage vibe. + + Compression may help to smooth out the individual drum sounds as well as giving them more presence. + + EQ may help to focus the drum sounds. + + In particular for the clap sounds, echo may help to give the illusion of a group. + + + + And finally, although they're not FX units, the more specialized step modulation generators can create a great rudimentary drum sequencer. + + + + + +Building Your Own Sounds + + + That should be enough sounds to get you started, so go and grab your synthesizer of choice and start making your own noise. + + If you're wondering where to find out more about making sounds with synthesizers, then check out the next section, Further Resources, which points you to a range of further materials (including free downloadable books and free sound design videos). + + + + + +Further Resources + + + I hope you have found this book interesting and useful. If you want to know more about sound design and making music with synthesizers, then I suggest you head over to my website (noisesculpture.com) and check out my music-related books and videos. If you're browsing the site, I suggest you look at the following books and videos first. + + + + + +How to Make a Noise Series of Books + + + There are five books in the How to Make a Noise series (this one, plus the four others listed here). Each book looks at a different aspect of synthesis, focusing on the particular strengths of that technique. + + While each book is separate, there is (as you would expect) some overlap (for instance, a filter will always act like a filter, whatever the synthesizer—but the way that the filter is used will vary). + + + + + +How to Make a Noise: Frequency Modulation Synthesis + + + (published by Coombe Hill Publishing, ISBN: 978-0955495502, available in electronic format only, noisesculpture.com/fm) + + Frequency modulation synthesis came to prominence in the 1980s with the DX7 synthesizer which dominated the sounds in the charts for years. + + FM synthesis adopts a completely different approach to creating sounds when compared with either analog or sample-based synthesis. Instead of starting with a bright sound and making it dull and/or shaping it with a filter, FM synthesis starts with a simple wave—usually a sine wave—and distorts it (usually with another sine wave). The interaction between the two (or more) waves creates and shapes the sound over time. + + How to Make a Noise: Frequency Modulation Synthesis shows you how to create a broad, detailed, highly nuanced range of controllable tones. These principles can then be applied to any synthesizer with frequency modulation capabilities. + + + + + +How to Make a Noise: Sample-Based Synthesis + + + (published by Coombe Hill Publishing, ISBN: 978-0955495502, available in electronic format only, noisesculpture.com/sample) + + Sample-based synthesizers can be used to create the sound of a full orchestra or individual instruments. They can replicate the sound of a full drum kit, delicate vintage gear, and specialist instruments. Samplers allow one musician to play the bagpipes, a harp, a lute, and a whole orchestra, all at the push of a button. + + As well as offering the facility to recreate the sound of real instruments with a high degree of sonic fidelity, sample-based synthesis also allows real sounds to be used as the basis for new sounds. These sounds can then be manipulated and mangled to create unimagined sounds with genuine complexity and depth. + + How to Make a Noise: Sample-Based Synthesis looks at how to create and control sounds—both realistic recreations of real instrument and creative warped tones—and the tools and techniques that are available to help shape your sounds. + + + + + +How to Make a Noise: iPad Synthesizers Edition + + + (published by Coombe Hill Publishing, ISBN: 978-0955495502, available in electronic format only, noisesculpture.com/ipad) + + The fourth book in the series, How to Make a Noise: iPad Synthesizers Edition doesn't focus on a particular technique, but instead, looks at creating sounds on five synthesizers that are available for the iPad (BassLine, iMS20, iELECTRIBE, ReBirth, and NLogSynth Pro). + + Many of the techniques discussed in the three previous books are covered in iPad Synthesizers Edition, but with particular focus to their application to the five featured iPad synthesizers. + + + + + +How to Make a Noise: A Comprehensive Guide to Synthesizer Programming + + + (published by Coombe Hill Publishing, ISBN: 978-0955495502, noisesculpture.com/comprehensive) + + There is another book in the How to Make a Noise series—the original hard copy (paper) book. The four electronic-only books are parallel editions to this existing book. + + How to Make a Noise: A Comprehensive Guide to Synthesizer Programming was first published in 2005 and revised in 2007 and so is now past its first flush of youth. However, it is perhaps the most widely read book about synthesizer programming (and there's a free downloadable PDF version, too). + + This book focuses on building sounds (over 300 sounds are built) and looks at building these sounds with six synthesizers (Cameleon 5000, Rhino 2, Surge, Vanguard, Wusikstation, and Z3TA+) which were on the cutting edge when the book was first published, but (in most cases) have now been superseded. + + However, the techniques outlined are still applicable and the book also sets out other synthesis options, such as additive synthesis and wave-sequencing (which are not covered in any of the other publications). + + + + + +Jumpstart Your Music Career + + + (published by Course Technology PTR, ISBN: 978-1435459526, noisesculpture.com/jump) + + You will have noticed that this is not a book about synthesis. However, once you can make sounds, then might to want to make some money, and this is where Jumpstart Your Music Career comes in. This book is for every musician who wants to earn a living—and to sustain a long-term career—making music. + + It has never been so easy to have a career in music: the barriers to entry have never been lower, the access to and ways to find fans have never been more straightforward, and the options to generate income have never been more plentiful. + + The hard part is developing a strategy that's right for you and then executing it. Jumpstart Your Music Career looks at how you can build and sustain a successful career. It is the book that should be on every musician's bookshelf. + + + + + +Cakewalk Synthesizers: From Presets to Power User, second edition + + + (published by Course Technology PTR, ISBN: 978-1435455641, noisesculpture.com/cakewalk-synthesizers) + + Cakewalk Synthesizers: From Presets to Power User, second edition is the ultimate guide to understanding and using all of Cakewalk's synthesizers and learning about synthesizer programming. + + The book features the complete range of Cakewalk (and rgc:audio) synthesizers, including Rapture, Rapture LE, Dimension Pro, Dimension LE, Beatscape, Session Drummer 2 and Session Drummer 3, Z3TA+, and Pentagon I. + + There is also a package of downloadable material to accompany this book. This package includes additional chapters and is available for free to everyone (you don't need to have bought the book). This package also includes sound design master classes from several leading synthesizer programmers and so is well worth checking out. + + + + + +Becoming a Synthesizer Wizard: From Presets to Power User + + + (published by Course Technology PTR, ISBN: 978-1598635508, noisesculpture.com/becoming-a-synthesizer-wizard) + + Becoming a Synthesizer Wizard: From Presets to Power User is for: + + People who are new to synthesis and who want to understand the basics and take their first steps in creating and controlling sounds with synthesizers. + + Musicians who are familiar with synthesis, but who want to solidify or expand their knowledge so they can use their tools more fully. + + + + Anyone who wants to build, share, and perhaps sell their own synthesizers. + + The book looks at synthesis from first principles. It focuses on the elements of synthesis and the building blocks, and it highlights its examples using four leading modular synthesizers (Zebra 2, KarmaFX Synth Modular, VAZ Modular, and SynthEdit). From these building blocks, the book looks at a range of sound building techniques that can be used with the featured synthesizers, or can be readily applied to any other synthesizer. + + The book is also a great introduction to SynthEdit for anyone who wants to create—and then share or sell—their own synthesizers. + + + + + +Synthesizer Boot Camp + + + + + + (noisesculpture.com/synthesizer-boot-camp) + + Synthesizer Boot Camp is a series of videos which looks at specific synthesizer techniques that can be applied in creating sounds. All of these videos are freely available on my website and can also be accessed on the Noise Sculpture YouTube channel. + + + + + diff --git a/Books/Music/embeddings_cache.npz b/Books/Music/embeddings_cache.npz index e2f8b0f..a456068 100644 Binary files a/Books/Music/embeddings_cache.npz and b/Books/Music/embeddings_cache.npz differ diff --git a/Books/Music/embeddings_cache_meta.json b/Books/Music/embeddings_cache_meta.json index 208c718..8801766 100644 --- a/Books/Music/embeddings_cache_meta.json +++ b/Books/Music/embeddings_cache_meta.json @@ -1 +1 @@ -{"book_files": ["Books\\Music\\Articles\\Gilmore.txt", "Books\\Music\\Articles\\Gilmore2.txt", "Books\\Music\\Articles\\Gilmore3.txt", "Books\\Music\\Articles\\Gilmore4.txt", "Books\\Music\\Articles\\Gilmore5.txt", "Books\\Music\\Articles\\Jeff Beck 1.txt", "Books\\Music\\Articles\\Jeff Beck 2.txt", "Books\\Music\\Articles\\Jeff Beck 3.txt", "Books\\Music\\Articles\\Satriani.txt", "Books\\Music\\Articles\\Satriani2.txt", "Books\\Music\\Articles\\Satriani3.txt", "Books\\Music\\Articles\\Satriani4.txt", "Books\\Music\\Articles\\Satriani5.txt", "Books\\Music\\Articles\\Satriani6.txt", "Books\\Music\\Books\\Jazz Theory From Basics To Advanced.txt", "Books\\Music\\Books\\Strange Beautiful Music - 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- - - Published in the United States by Random House, an imprint of The Random House Publishing Group, a division of Penguin Random House LLC, New York. - - - - RANDOM HOUSE and colophon are registered trademarks of Penguin Random House LLC - - - - - - LIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA - - Heath, Chip. - -Made to stick : why some ideas survive and others die / Chip Heath & Dan Heath - - p. cm. - - 1. Social psychology. 2. Contagion (Social psychology). 3. Context effects (Psychology). I. Heath, Dan. II. Title. - - HM1033.H43 2007 - - 302'.13—dc22 2006046467 - - - - www.randomhousebooks.com - - - - Ebook ISBNâ€9781588365965 - - rh_3.0_140145427_c0_r14 - - - - - - TITLE PAGE - - COPYRIGHT - - - - INTRODUCTION - -WHAT STICKS? - - CHAPTER 1 - -SIMPLE - - CHAPTER 2 - -UNEXPECTED - - CHAPTER 3 - -CONCRETE - - CHAPTER 4 - -CREDIBLE - - CHAPTER 5 - -EMOTIONAL - - CHAPTER 6 - -STORIES - - EPILOGUE - -WHAT STICKS - - - - MAKING IDEAS STICK: THE EASY REFERENCE GUIDE - - NOTES - - DEDICATION - - ACKNOWLEDGMENTS - - OTHER TITLES BY CHIP AND DAN HEATH - - ABOUT THE AUTHORS - - EXCERPT FROM SWITCH - - EXCERPT FROM DECISIVE - - - - - WHAT STICKS? diff --git a/Books/Procedure/Never Split the Difference_ Neg - Voss, Chris.txt b/Books/Procedure/Never Split the Difference_ Neg - Voss, Chris.txt index d89cb94..9a438fe 100644 --- a/Books/Procedure/Never Split the Difference_ Neg - Voss, Chris.txt +++ b/Books/Procedure/Never Split the Difference_ Neg - Voss, Chris.txt @@ -1,81 +1,3 @@ -DEDICATION - - -For my mother and father - -who showed me unconditional love - -and taught me the values of hard work and integrity - - - - - -CONTENTS - - -Dedication - -CHAPTER 1 | THE NEW RULES - -How to Become the Smartest Person . . . in Any Room - -CHAPTER 2 | BE A MIRROR - -How to Quickly Establish Rapport - -CHAPTER 3 | DON’T FEEL THEIR PAIN, LABEL IT - -How to Create Trust with Tactical Empathy - -CHAPTER 4 | BEWARE “YES”—MASTER “NO” - -How to Generate Momentum and Make It Safe to Reveal the Real Stakes - -CHAPTER 5 | TRIGGER THE TWO WORDS THAT IMMEDIATELY TRANSFORM ANY NEGOTIATION - -How to Gain the Permission to Persuade - -CHAPTER 6 | BEND THEIR REALITY - -How to Shape What Is Fair - -CHAPTER 7 | CREATE THE ILLUSION OF CONTROL - -How to Calibrate Questions to Transform Conflict into Collaboration - -CHAPTER 8 | GUARANTEE EXECUTION - -How to Spot the Liars and Ensure Follow-Through from Everyone Else - -CHAPTER 9 | BARGAIN HARD - -How to Get Your Price - -CHAPTER 10 | FIND THE BLACK SWAN - -How to Create Breakthroughs by Revealing the Unknown Unknowns - - -Acknowledgments - -Appendix: Prepare a Negotiation One Sheet - -Notes - -Index - -About the Authors - -Credits - -Copyright - -About the Publisher - - - - CHAPTER 1 @@ -85,83 +7,83 @@ THE NEW RULES I was intimidated. -I’d spent more than two decades in the FBI, including fifteen years negotiating hostage situations from New York to the Philippines and the Middle East, and I was on top of my game. At any given time, there are ten thousand FBI agents in the Bureau, but only one lead international kidnapping negotiator. That was me. +Iďż˝d spent more than two decades in the FBI, including fifteen years negotiating hostage situations from New York to the Philippines and the Middle East, and I was on top of my game. At any given time, there are ten thousand FBI agents in the Bureau, but only one lead international kidnapping negotiator. That was me. -But I’d never experienced a hostage situation so tense, so personal. +But Iďż˝d never experienced a hostage situation so tense, so personal. -“We’ve got your son, Voss. Give us one million dollars or he dies.” +ďż˝Weďż˝ve got your son, Voss. Give us one million dollars or he dies.ďż˝ Pause. Blink. Mindfully urge the heart rate back to normal. -Sure, I’d been in these types of situations before. Tons of them. Money for lives. But not like this. Not with my son on the line. Not $1 million. And not against people with fancy degrees and a lifetime of negotiating expertise. +Sure, Iďż˝d been in these types of situations before. Tons of them. Money for lives. But not like this. Not with my son on the line. Not $1 million. And not against people with fancy degrees and a lifetime of negotiating expertise. -You see, the people across the table—my negotiating counterparts—were Harvard Law School negotiating professors. +You see, the people across the tableďż˝my negotiating counterpartsďż˝were Harvard Law School negotiating professors. -I’d come up to Harvard to take a short executive negotiating course, to see if I could learn something from the business world’s approach. It was supposed to be quiet and calm, a little professional development for an FBI guy trying to widen his horizons. +Iďż˝d come up to Harvard to take a short executive negotiating course, to see if I could learn something from the business worldďż˝s approach. It was supposed to be quiet and calm, a little professional development for an FBI guy trying to widen his horizons. But when Robert Mnookin, the director of the Harvard Negotiation Research Project, learned I was on campus, he invited me to his office for a coffee. Just to chat, he said. -I was honored. And scared. Mnookin is an impressive guy whom I’d followed for years: not only is he a Harvard law professor, he’s also one of the big shots of the conflict resolution field and the author of Bargaining with the Devil: When to Negotiate, When to Fight.1 +I was honored. And scared. Mnookin is an impressive guy whom Iďż˝d followed for years: not only is he a Harvard law professor, heďż˝s also one of the big shots of the conflict resolution field and the author of Bargaining with the Devil: When to Negotiate, When to Fight.1 -To be honest, it felt unfair that Mnookin wanted me, a former Kansas City beat cop, to debate negotiation with him. But then it got worse. Just after Mnookin and I sat down, the door opened and another Harvard professor walked in. It was Gabriella Blum, a specialist in international negotiations, armed conflict, and counterterrorism, who’d spent eight years as a negotiator for the Israeli National Security Council and the Israel Defense Forces. The tough-as-nails IDF. +To be honest, it felt unfair that Mnookin wanted me, a former Kansas City beat cop, to debate negotiation with him. But then it got worse. Just after Mnookin and I sat down, the door opened and another Harvard professor walked in. It was Gabriella Blum, a specialist in international negotiations, armed conflict, and counterterrorism, whoďż˝d spent eight years as a negotiator for the Israeli National Security Council and the Israel Defense Forces. The tough-as-nails IDF. -On cue, Mnookin’s secretary arrived and put a tape recorder on the table. Mnookin and Blum smiled at me. +On cue, Mnookinďż˝s secretary arrived and put a tape recorder on the table. Mnookin and Blum smiled at me. -I’d been tricked. +Iďż˝d been tricked. -“We’ve got your son, Voss. Give us one million dollars or he dies,” Mnookin said, smiling. “I’m the kidnapper. What are you going to do?” +ďż˝Weďż˝ve got your son, Voss. Give us one million dollars or he dies,ďż˝ Mnookin said, smiling. ďż˝Iďż˝m the kidnapper. What are you going to do?ďż˝ I experienced a flash of panic, but that was to be expected. It never changes: even after two decades negotiating for human lives you still feel fear. Even in a role-playing situation. -I calmed myself down. Sure, I was a street cop turned FBI agent playing against real heavyweights. And I wasn’t a genius. But I was in this room for a reason. Over the years I had picked up skills, tactics, and a whole approach to human interaction that had not just helped me save lives but, as I recognize now looking back, had also begun to transform my own life. My years of negotiating had infused everything from how I dealt with customer service reps to my parenting style. +I calmed myself down. Sure, I was a street cop turned FBI agent playing against real heavyweights. And I wasnďż˝t a genius. But I was in this room for a reason. Over the years I had picked up skills, tactics, and a whole approach to human interaction that had not just helped me save lives but, as I recognize now looking back, had also begun to transform my own life. My years of negotiating had infused everything from how I dealt with customer service reps to my parenting style. -“C’mon. Get me the money or I cut your son’s throat right now,” Mnookin said. Testy. +ďż˝Cďż˝mon. Get me the money or I cut your sonďż˝s throat right now,ďż˝ Mnookin said. Testy. I gave him a long, slow stare. Then I smiled. -“How am I supposed to do that?” +ďż˝How am I supposed to do that?ďż˝ -Mnookin paused. His expression had a touch of amused pity in it, like a dog when the cat it’s been chasing turns around and tries to chase it back. It was as if we were playing different games, with different rules. +Mnookin paused. His expression had a touch of amused pity in it, like a dog when the cat itďż˝s been chasing turns around and tries to chase it back. It was as if we were playing different games, with different rules. Mnookin regained his composure and eyed me with arched brows as if to remind me that we were still playing. -“So you’re okay with me killing your son, Mr. Voss?” +ďż˝So youďż˝re okay with me killing your son, Mr. Voss?ďż˝ -“I’m sorry, Robert, how do I know he’s even alive?” I said, using an apology and his first name, seeding more warmth into the interaction in order to complicate his gambit to bulldoze me. “I really am sorry, but how can I get you any money right now, much less one million dollars, if I don’t even know he’s alive?” +ďż˝Iďż˝m sorry, Robert, how do I know heďż˝s even alive?ďż˝ I said, using an apology and his first name, seeding more warmth into the interaction in order to complicate his gambit to bulldoze me. ďż˝I really am sorry, but how can I get you any money right now, much less one million dollars, if I donďż˝t even know heďż˝s alive?ďż˝ -It was quite a sight to see such a brilliant man flustered by what must have seemed unsophisticated foolishness. On the contrary, though, my move was anything but foolish. I was employing what had become one of the FBI’s most potent negotiating tools: the open-ended question. +It was quite a sight to see such a brilliant man flustered by what must have seemed unsophisticated foolishness. On the contrary, though, my move was anything but foolish. I was employing what had become one of the FBIďż˝s most potent negotiating tools: the open-ended question. -Today, after some years evolving these tactics for the private sector in my consultancy, The Black Swan Group, we call this tactic calibrated questions: queries that the other side can respond to but that have no fixed answers. It buys you time. It gives your counterpart the illusion of control—they are the one with the answers and power after all—and it does all that without giving them any idea of how constrained they are by it. +Today, after some years evolving these tactics for the private sector in my consultancy, The Black Swan Group, we call this tactic calibrated questions: queries that the other side can respond to but that have no fixed answers. It buys you time. It gives your counterpart the illusion of controlďż˝they are the one with the answers and power after allďż˝and it does all that without giving them any idea of how constrained they are by it. -Mnookin, predictably, started fumbling because the frame of the conversation had shifted from how I’d respond to the threat of my son’s murder to how the professor would deal with the logistical issues involved in getting the money. How he would solve my problems. To every threat and demand he made, I continued to ask how I was supposed to pay him and how was I supposed to know that my son was alive. +Mnookin, predictably, started fumbling because the frame of the conversation had shifted from how Iďż˝d respond to the threat of my sonďż˝s murder to how the professor would deal with the logistical issues involved in getting the money. How he would solve my problems. To every threat and demand he made, I continued to ask how I was supposed to pay him and how was I supposed to know that my son was alive. -After we’d been doing that for three minutes, Gabriella Blum interjected. +After weďż˝d been doing that for three minutes, Gabriella Blum interjected. -“Don’t let him do that to you,” she said to Mnookin. +ďż˝Donďż˝t let him do that to you,ďż˝ she said to Mnookin. -“Well, you try,” he said, throwing up his hands. +ďż˝Well, you try,ďż˝ he said, throwing up his hands. Blum dove in. She was tougher from her years in the Middle East. But she was still doing the bulldozer angle, and all she got were my same questions. Mnookin rejoined the session, but he got nowhere either. His face started to get red with frustration. I could tell the irritation was making it hard to think. -“Okay, okay, Bob. That’s all,” I said, putting him out of his misery. +ďż˝Okay, okay, Bob. Thatďż˝s all,ďż˝ I said, putting him out of his misery. He nodded. My son would live to see another day. -“Fine,” he said. “I suppose the FBI might have something to teach us.” +ďż˝Fine,ďż˝ he said. ďż˝I suppose the FBI might have something to teach us.ďż˝ -I had done more than just hold my own against two of Harvard’s distinguished leaders. I had taken on the best of the best and come out on top. +I had done more than just hold my own against two of Harvardďż˝s distinguished leaders. I had taken on the best of the best and come out on top. -But was it just a fluke? For more than three decades, Harvard had been the world epicenter of negotiating theory and practice. All I knew about the techniques we used at the FBI was that they worked. In the twenty years I spent at the Bureau we’d designed a system that had successfully resolved almost every kidnapping we applied it to. But we didn’t have grand theories. +But was it just a fluke? For more than three decades, Harvard had been the world epicenter of negotiating theory and practice. All I knew about the techniques we used at the FBI was that they worked. In the twenty years I spent at the Bureau weďż˝d designed a system that had successfully resolved almost every kidnapping we applied it to. But we didnďż˝t have grand theories. -Our techniques were the products of experiential learning; they were developed by agents in the field, negotiating through crisis and sharing stories of what succeeded and what failed. It was an iterative process, not an intellectual one, as we refined the tools we used day after day. And it was urgent. Our tools had to work, because if they didn’t someone died. +Our techniques were the products of experiential learning; they were developed by agents in the field, negotiating through crisis and sharing stories of what succeeded and what failed. It was an iterative process, not an intellectual one, as we refined the tools we used day after day. And it was urgent. Our tools had to work, because if they didnďż˝t someone died. -But why did they work? That was the question that drew me to Harvard, to that office with Mnookin and Blum. I lacked confidence outside my narrow world. Most of all, I needed to articulate my knowledge and learn how to combine it with theirs—and they clearly had some—so I could understand, systematize, and expand it. +But why did they work? That was the question that drew me to Harvard, to that office with Mnookin and Blum. I lacked confidence outside my narrow world. Most of all, I needed to articulate my knowledge and learn how to combine it with theirsďż˝and they clearly had someďż˝so I could understand, systematize, and expand it. Yes, our techniques clearly worked with mercenaries, drug dealers, terrorists, and brutal killers. But, I wondered, what about with normal humans? -As I’d soon discover in the storied halls of Harvard, our techniques made great sense intellectually, and they worked everywhere. +As Iďż˝d soon discover in the storied halls of Harvard, our techniques made great sense intellectually, and they worked everywhere. It turned out that our approach to negotiation held the keys to unlock profitable human interactions in every domain and every interaction and every relationship in life. @@ -169,71 +91,71 @@ This book is how it works. THE SMARTEST DUMB GUY IN THE ROOM -To answer my questions, a year later, in 2006, I talked my way into Harvard Law School’s Winter Negotiation Course. The best and brightest compete to get into this class, and it was filled with brilliant Harvard students getting law and business degrees and hotshot students from other top Boston universities like the Massachusetts Institute of Technology and Tufts. The Olympic trials for negotiating. And I was the only outsider. +To answer my questions, a year later, in 2006, I talked my way into Harvard Law Schoolďż˝s Winter Negotiation Course. The best and brightest compete to get into this class, and it was filled with brilliant Harvard students getting law and business degrees and hotshot students from other top Boston universities like the Massachusetts Institute of Technology and Tufts. The Olympic trials for negotiating. And I was the only outsider. -The first day of the course, all 144 of us piled into a lecture hall for an introduction and then we split into four groups, each led by a negotiation instructor. After we’d had a chat with our instructor—mine was named Sheila Heen, and she’s a good buddy to this day—we were partnered off in pairs and sent into mock negotiations. Simple: one of us was selling a product, the other was the buyer, and each had clear limits on the price they could take. +The first day of the course, all 144 of us piled into a lecture hall for an introduction and then we split into four groups, each led by a negotiation instructor. After weďż˝d had a chat with our instructorďż˝mine was named Sheila Heen, and sheďż˝s a good buddy to this dayďż˝we were partnered off in pairs and sent into mock negotiations. Simple: one of us was selling a product, the other was the buyer, and each had clear limits on the price they could take. -My counterpart was a languid redhead named Andy (a pseudonym), one of those guys who wear their intellectual superiority like they wear their khakis: with relaxed confidence. He and I went into an empty classroom overlooking one of those English-style squares on Harvard’s campus, and we each used the tools we had. Andy would throw out an offer and give a rationally airtight explanation for why it was a good one—an inescapable logic trap—and I’d answer with some variation of “How am I supposed to do that?” +My counterpart was a languid redhead named Andy (a pseudonym), one of those guys who wear their intellectual superiority like they wear their khakis: with relaxed confidence. He and I went into an empty classroom overlooking one of those English-style squares on Harvardďż˝s campus, and we each used the tools we had. Andy would throw out an offer and give a rationally airtight explanation for why it was a good oneďż˝an inescapable logic trapďż˝and Iďż˝d answer with some variation of ďż˝How am I supposed to do that?ďż˝ -We did this a bunch of times until we got to a final figure. When we left, I was happy. I thought I’d done pretty well for a dumb guy. +We did this a bunch of times until we got to a final figure. When we left, I was happy. I thought Iďż˝d done pretty well for a dumb guy. After we all regrouped in the classroom, Sheila went around the students and asked what price each group had agreed on, and then wrote the result on the board. Finally, it was my turn. -“Chris, how did you do with Andy?” she asked. “How much did you get?” +ďż˝Chris, how did you do with Andy?ďż˝ she asked. ďż˝How much did you get?ďż˝ -I’ll never forget Sheila’s expression when I told her what Andy had agreed to pay. Her whole face first went red, as if she couldn’t breathe, and then out popped a little strangled gasp like a baby bird’s hungry cry. Finally, she started to laugh. +Iďż˝ll never forget Sheilaďż˝s expression when I told her what Andy had agreed to pay. Her whole face first went red, as if she couldnďż˝t breathe, and then out popped a little strangled gasp like a baby birdďż˝s hungry cry. Finally, she started to laugh. Andy squirmed. -“You got literally every dime he had,” she said, “and in his brief he was supposed to hold a quarter of it back in reserve for future work.” +ďż˝You got literally every dime he had,ďż˝ she said, ďż˝and in his brief he was supposed to hold a quarter of it back in reserve for future work.ďż˝ Andy sank deep in his chair. The next day the same thing happened with another partner. -I mean, I absolutely destroyed the guy’s budget. +I mean, I absolutely destroyed the guyďż˝s budget. -It didn’t make sense. A lucky one-off was one thing. But this was a pattern. With my old-school, experiential knowledge, I was killing guys who knew every cutting-edge trick you could find in a book. +It didnďż˝t make sense. A lucky one-off was one thing. But this was a pattern. With my old-school, experiential knowledge, I was killing guys who knew every cutting-edge trick you could find in a book. -The thing was, it was the cutting-edge techniques these guys were using that felt dated and old. I felt like I was Roger Federer and I had used a time machine to go back to the 1920s to play in a tennis tournament of distinguished gentlemen who wore white pantsuits and used wood rackets and had part-time training regimens. There I was with my titanium alloy racket and dedicated personal trainer and computer-strategized serve-and-volley plays. The guys I was playing were just as smart—actually, more so—and we were basically playing the same game with the same rules. But I had skills they didn’t. +The thing was, it was the cutting-edge techniques these guys were using that felt dated and old. I felt like I was Roger Federer and I had used a time machine to go back to the 1920s to play in a tennis tournament of distinguished gentlemen who wore white pantsuits and used wood rackets and had part-time training regimens. There I was with my titanium alloy racket and dedicated personal trainer and computer-strategized serve-and-volley plays. The guys I was playing were just as smartďż˝actually, more soďż˝and we were basically playing the same game with the same rules. But I had skills they didnďż˝t. -“You’re getting famous for your special style, Chris,” Sheila said, after I announced my second day’s results. +ďż˝Youďż˝re getting famous for your special style, Chris,ďż˝ Sheila said, after I announced my second dayďż˝s results. I smiled like the Cheshire cat. Winning was fun. -“Chris, why don’t you tell everybody your approach,” Sheila said. “It seems like all you do to these Harvard Law School students is say ‘No’ and stare at them, and they fall apart. Is it really that easy?” +ďż˝Chris, why donďż˝t you tell everybody your approach,ďż˝ Sheila said. ďż˝It seems like all you do to these Harvard Law School students is say ďż˝Noďż˝ and stare at them, and they fall apart. Is it really that easy?ďż˝ -I knew what she meant: While I wasn’t actually saying “No,” the questions I kept asking sounded like it. They seemed to insinuate that the other side was being dishonest and unfair. And that was enough to make them falter and negotiate with themselves. Answering my calibrated questions demanded deep emotional strengths and tactical psychological insights that the toolbox they’d been given did not contain. +I knew what she meant: While I wasnďż˝t actually saying ďż˝No,ďż˝ the questions I kept asking sounded like it. They seemed to insinuate that the other side was being dishonest and unfair. And that was enough to make them falter and negotiate with themselves. Answering my calibrated questions demanded deep emotional strengths and tactical psychological insights that the toolbox theyďż˝d been given did not contain. I shrugged. -“I’m just asking questions,” I said. “It’s a passive-aggressive approach. I just ask the same three or four open-ended questions over and over and over and over. They get worn out answering and give me everything I want.” +ďż˝Iďż˝m just asking questions,ďż˝ I said. ďż˝Itďż˝s a passive-aggressive approach. I just ask the same three or four open-ended questions over and over and over and over. They get worn out answering and give me everything I want.ďż˝ -Andy jumped in his seat as if he’d been stung by a bee. +Andy jumped in his seat as if heďż˝d been stung by a bee. -“Damn!” he said. “That’s what happened. I had no idea.” +ďż˝Damn!ďż˝ he said. ďż˝Thatďż˝s what happened. I had no idea.ďż˝ -By the time I’d finished my winter course at Harvard, I’d actually become friends with some of my fellow students. Even with Andy. +By the time Iďż˝d finished my winter course at Harvard, Iďż˝d actually become friends with some of my fellow students. Even with Andy. If my time at Harvard showed me anything, it was that we at the FBI had a lot to teach the world about negotiating. In my short stay I realized that without a deep understanding of human psychology, without the acceptance that we are all crazy, irrational, impulsive, emotionally driven animals, all the raw intelligence and mathematical logic in the world is little help in the fraught, shifting interplay of two people negotiating. -Yes, perhaps we are the only animal that haggles—a monkey does not exchange a portion of his banana for another’s nuts—but no matter how we dress up our negotiations in mathematical theories, we are always an animal, always acting and reacting first and foremost from our deeply held but mostly invisible and inchoate fears, needs, perceptions, and desires. +Yes, perhaps we are the only animal that hagglesďż˝a monkey does not exchange a portion of his banana for anotherďż˝s nutsďż˝but no matter how we dress up our negotiations in mathematical theories, we are always an animal, always acting and reacting first and foremost from our deeply held but mostly invisible and inchoate fears, needs, perceptions, and desires. -That’s not how these folks at Harvard learned it, though. Their theories and techniques all had to do with intellectual power, logic, authoritative acronyms like BATNA and ZOPA, rational notions of value, and a moral concept of what was fair and what was not. +Thatďż˝s not how these folks at Harvard learned it, though. Their theories and techniques all had to do with intellectual power, logic, authoritative acronyms like BATNA and ZOPA, rational notions of value, and a moral concept of what was fair and what was not. And built on top of this false edifice of rationality was, of course, process. They had a script to follow, a predetermined sequence of actions, offers, and counteroffers designed in a specific order to bring about a particular outcome. It was as if they were dealing with a robot, that if you did a, b, c, and d in a certain fixed order, you would get x. But in the real world negotiation is far too unpredictable and complex for that. You may have to do a then d, and then maybe q. -If I could dominate the country’s brightest students with just one of the many emotionally attuned negotiating techniques I had developed and used against terrorists and kidnappers, why not apply them to business? What was the difference between bank robbers who took hostages and CEOs who used hardball tactics to drive down the price of a billion-dollar acquisition? +If I could dominate the countryďż˝s brightest students with just one of the many emotionally attuned negotiating techniques I had developed and used against terrorists and kidnappers, why not apply them to business? What was the difference between bank robbers who took hostages and CEOs who used hardball tactics to drive down the price of a billion-dollar acquisition? After all, kidnappers are just businessmen trying to get the best price. OLD-SCHOOL NEGOTIATION -Hostage taking—and therefore hostage negotiating—has existed since the dawn of recorded time. The Old Testament spins plenty of tales of Israelites and their enemies taking each other’s citizens hostage as spoils of war. The Romans, for their part, used to force the princes of vassal states to send their sons to Rome for their education, to ensure the continued loyalty of the princes. +Hostage takingďż˝and therefore hostage negotiatingďż˝has existed since the dawn of recorded time. The Old Testament spins plenty of tales of Israelites and their enemies taking each otherďż˝s citizens hostage as spoils of war. The Romans, for their part, used to force the princes of vassal states to send their sons to Rome for their education, to ensure the continued loyalty of the princes. But until the Nixon administration, hostage negotiating as a process was limited to sending in troops and trying to shoot the hostages free. In law enforcement, our approach was pretty much to talk until we figured out how to take them out with a gun. Brute force. @@ -245,15 +167,15 @@ But the greatest inspiration for institutional change in American law enforcemen The United States was experiencing an epidemic of airline hijackings at the time; there were five in one three-day period in 1970. It was in that charged atmosphere that an unhinged man named George Giffe Jr. hijacked a chartered plane out of Nashville, Tennessee, planning to head to the Bahamas. -By the time the incident was over, Giffe had murdered two hostages—his estranged wife and the pilot—and killed himself to boot. +By the time the incident was over, Giffe had murdered two hostagesďż˝his estranged wife and the pilotďż˝and killed himself to boot. -But this time the blame didn’t fall on the hijacker; instead, it fell squarely on the FBI. Two hostages had managed to convince Giffe to let them go on the tarmac in Jacksonville, where they’d stopped to refuel. But the agents had gotten impatient and shot out the engine. And that had pushed Giffe to the nuclear option. +But this time the blame didnďż˝t fall on the hijacker; instead, it fell squarely on the FBI. Two hostages had managed to convince Giffe to let them go on the tarmac in Jacksonville, where theyďż˝d stopped to refuel. But the agents had gotten impatient and shot out the engine. And that had pushed Giffe to the nuclear option. -In fact, the blame placed on the FBI was so strong that when the pilot’s wife and Giffe’s daughter filed a wrongful death suit alleging FBI negligence, the courts agreed. +In fact, the blame placed on the FBI was so strong that when the pilotďż˝s wife and Giffeďż˝s daughter filed a wrongful death suit alleging FBI negligence, the courts agreed. -In the landmark Downs v. United States decision of 1975, the U.S. Court of Appeals wrote that “there was a better suited alternative to protecting the hostages’ well-being,” and said that the FBI had turned “what had been a successful ‘waiting game,’ during which two persons safely left the plane, into a ‘shooting match’ that left three persons dead.” The court concluded that “a reasonable attempt at negotiations must be made prior to a tactical intervention.” +In the landmark Downs v. United States decision of 1975, the U.S. Court of Appeals wrote that ďż˝there was a better suited alternative to protecting the hostagesďż˝ well-being,ďż˝ and said that the FBI had turned ďż˝what had been a successful ďż˝waiting game,ďż˝ during which two persons safely left the plane, into a ďż˝shooting matchďż˝ that left three persons dead.ďż˝ The court concluded that ďż˝a reasonable attempt at negotiations must be made prior to a tactical intervention.ďż˝ -The Downs hijacking case came to epitomize everything not to do in a crisis situation, and inspired the development of today’s theories, training, and techniques for hostage negotiations. +The Downs hijacking case came to epitomize everything not to do in a crisis situation, and inspired the development of todayďż˝s theories, training, and techniques for hostage negotiations. Soon after the Giffe tragedy, the New York City Police Department (NYPD) became the first police force in the country to put together a dedicated team of specialists to design a process and handle crisis negotiations. The FBI and others followed. @@ -263,55 +185,55 @@ HEART VS. MIND In the early 1980s, Cambridge, Massachusetts, was the hot spot in the negotiating world, as scholars from different disciplines began interacting and exploring exciting new concepts. The big leap forward came in 1979, when the Harvard Negotiation Project was founded with a mandate to improve the theory, teaching, and practice of negotiation so that people could more effectively handle everything from peace treaties to business mergers. -Two years later, Roger Fisher and William Ury—cofounders of the project—came out with Getting to Yes,2 a groundbreaking treatise on negotiation that totally changed the way practitioners thought about the field. +Two years later, Roger Fisher and William Uryďż˝cofounders of the projectďż˝came out with Getting to Yes,2 a groundbreaking treatise on negotiation that totally changed the way practitioners thought about the field. -Fisher and Ury’s approach was basically to systematize problem solving so that negotiating parties could reach a mutually beneficial deal—the getting to “Yes” in the title. Their core assumption was that the emotional brain—that animalistic, unreliable, and irrational beast—could be overcome through a more rational, joint problem-solving mindset. +Fisher and Uryďż˝s approach was basically to systematize problem solving so that negotiating parties could reach a mutually beneficial dealďż˝the getting to ďż˝Yesďż˝ in the title. Their core assumption was that the emotional brainďż˝that animalistic, unreliable, and irrational beastďż˝could be overcome through a more rational, joint problem-solving mindset. -Their system was easy to follow and seductive, with four basic tenets. One, separate the person—the emotion—from the problem; two, don’t get wrapped up in the other side’s position (what they’re asking for) but instead focus on their interests (why they’re asking for it) so that you can find what they really want; three, work cooperatively to generate win-win options; and, four, establish mutually agreed-upon standards for evaluating those possible solutions. +Their system was easy to follow and seductive, with four basic tenets. One, separate the personďż˝the emotionďż˝from the problem; two, donďż˝t get wrapped up in the other sideďż˝s position (what theyďż˝re asking for) but instead focus on their interests (why theyďż˝re asking for it) so that you can find what they really want; three, work cooperatively to generate win-win options; and, four, establish mutually agreed-upon standards for evaluating those possible solutions. -It was a brilliant, rational, and profound synthesis of the most advanced game theory and legal thinking of the day. For years after that book came out, everybody—including the FBI and the NYPD—focused on a problem-solving approach to bargaining interactions. It just seemed so modern and smart. +It was a brilliant, rational, and profound synthesis of the most advanced game theory and legal thinking of the day. For years after that book came out, everybodyďż˝including the FBI and the NYPDďż˝focused on a problem-solving approach to bargaining interactions. It just seemed so modern and smart. Halfway across the United States, a pair of professors at the University of Chicago was looking at everything from economics to negotiation from a far different angle. -They were the economist Amos Tversky and the psychologist Daniel Kahneman. Together, the two launched the field of behavioral economics—and Kahneman won a Nobel Prize—by showing that man is a very irrational beast. +They were the economist Amos Tversky and the psychologist Daniel Kahneman. Together, the two launched the field of behavioral economicsďż˝and Kahneman won a Nobel Prizeďż˝by showing that man is a very irrational beast. Feeling, they discovered, is a form of thinking. -As you’ve seen, when business schools like Harvard’s began teaching negotiation in the 1980s, the process was presented as a straightforward economic analysis. It was a period when the world’s top academic economists declared that we were all “rational actors.” And so it went in negotiation classes: assuming the other side was acting rationally and selfishly in trying to maximize its position, the goal was to figure out how to respond in various scenarios to maximize one’s own value. +As youďż˝ve seen, when business schools like Harvardďż˝s began teaching negotiation in the 1980s, the process was presented as a straightforward economic analysis. It was a period when the worldďż˝s top academic economists declared that we were all ďż˝rational actors.ďż˝ And so it went in negotiation classes: assuming the other side was acting rationally and selfishly in trying to maximize its position, the goal was to figure out how to respond in various scenarios to maximize oneďż˝s own value. -This mentality baffled Kahneman, who from years in psychology knew that, in his words, “[I]t is self-evident that people are neither fully rational nor completely selfish, and that their tastes are anything but stable.” +This mentality baffled Kahneman, who from years in psychology knew that, in his words, ďż˝[I]t is self-evident that people are neither fully rational nor completely selfish, and that their tastes are anything but stable.ďż˝ -Through decades of research with Tversky, Kahneman proved that humans all suffer from Cognitive Bias, that is, unconscious—and irrational—brain processes that literally distort the way we see the world. Kahneman and Tversky discovered more than 150 of them. +Through decades of research with Tversky, Kahneman proved that humans all suffer from Cognitive Bias, that is, unconsciousďż˝and irrationalďż˝brain processes that literally distort the way we see the world. Kahneman and Tversky discovered more than 150 of them. -There’s the Framing Effect, which demonstrates that people respond differently to the same choice depending on how it is framed (people place greater value on moving from 90 percent to 100 percent—high probability to certainty—than from 45 percent to 55 percent, even though they’re both ten percentage points). Prospect Theory explains why we take unwarranted risks in the face of uncertain losses. And the most famous is Loss Aversion, which shows how people are statistically more likely to act to avert a loss than to achieve an equal gain. +Thereďż˝s the Framing Effect, which demonstrates that people respond differently to the same choice depending on how it is framed (people place greater value on moving from 90 percent to 100 percentďż˝high probability to certaintyďż˝than from 45 percent to 55 percent, even though theyďż˝re both ten percentage points). Prospect Theory explains why we take unwarranted risks in the face of uncertain losses. And the most famous is Loss Aversion, which shows how people are statistically more likely to act to avert a loss than to achieve an equal gain. Kahneman later codified his research in the 2011 bestseller Thinking, Fast and Slow.3 Man, he wrote, has two systems of thought: System 1, our animal mind, is fast, instinctive, and emotional; System 2 is slow, deliberative, and logical. And System 1 is far more influential. In fact, it guides and steers our rational thoughts. -System 1’s inchoate beliefs, feelings, and impressions are the main sources of the explicit beliefs and deliberate choices of System 2. They’re the spring that feeds the river. We react emotionally (System 1) to a suggestion or question. Then that System 1 reaction informs and in effect creates the System 2 answer. +System 1ďż˝s inchoate beliefs, feelings, and impressions are the main sources of the explicit beliefs and deliberate choices of System 2. Theyďż˝re the spring that feeds the river. We react emotionally (System 1) to a suggestion or question. Then that System 1 reaction informs and in effect creates the System 2 answer. -Now think about that: under this model, if you know how to affect your counterpart’s System 1 thinking, his inarticulate feelings, by how you frame and deliver your questions and statements, then you can guide his System 2 rationality and therefore modify his responses. That’s what happened to Andy at Harvard: by asking, “How am I supposed to do that?” I influenced his System 1 emotional mind into accepting that his offer wasn’t good enough; his System 2 then rationalized the situation so that it made sense to give me a better offer. +Now think about that: under this model, if you know how to affect your counterpartďż˝s System 1 thinking, his inarticulate feelings, by how you frame and deliver your questions and statements, then you can guide his System 2 rationality and therefore modify his responses. Thatďż˝s what happened to Andy at Harvard: by asking, ďż˝How am I supposed to do that?ďż˝ I influenced his System 1 emotional mind into accepting that his offer wasnďż˝t good enough; his System 2 then rationalized the situation so that it made sense to give me a better offer. If you believed Kahneman, conducting negotiations based on System 2 concepts without the tools to read, understand, and manipulate the System 1 emotional underpinning was like trying to make an omelet without first knowing how to crack an egg. THE FBI GETS EMOTIONAL -As the new hostage negotiating team at the FBI grew and gained more experience in problem-solving skills during the 1980s and ’90s, it became clear that our system was lacking a crucial ingredient. +As the new hostage negotiating team at the FBI grew and gained more experience in problem-solving skills during the 1980s and ďż˝90s, it became clear that our system was lacking a crucial ingredient. At the time, we were deep into Getting to Yes. And as a negotiator, consultant, and teacher with decades of experience, I still agree with many of the powerful bargaining strategies in the book. When it was published, it provided groundbreaking ideas on cooperative problem solving and originated absolutely necessary concepts like entering negotiations with a BATNA: the Best Alternative To a Negotiated Agreement. It was genius. -But after the fatally disastrous sieges of Randy Weaver’s Ruby Ridge farm in Idaho in 1992 and David Koresh’s Branch Davidian compound in Waco, Texas, in 1993, there was no denying that most hostage negotiations were anything but rational problem-solving situations. +But after the fatally disastrous sieges of Randy Weaverďż˝s Ruby Ridge farm in Idaho in 1992 and David Koreshďż˝s Branch Davidian compound in Waco, Texas, in 1993, there was no denying that most hostage negotiations were anything but rational problem-solving situations. -I mean, have you ever tried to devise a mutually beneficial win-win solution with a guy who thinks he’s the messiah? +I mean, have you ever tried to devise a mutually beneficial win-win solution with a guy who thinks heďż˝s the messiah? -It was becoming glaringly obvious that Getting to Yes didn’t work with kidnappers. No matter how many agents read the book with highlighters in hand, it failed to improve how we as hostage negotiators approached deal making. +It was becoming glaringly obvious that Getting to Yes didnďż˝t work with kidnappers. No matter how many agents read the book with highlighters in hand, it failed to improve how we as hostage negotiators approached deal making. -There was clearly a breakdown between the book’s brilliant theory and everyday law enforcement experience. Why was it that everyone had read this bestselling business book and endorsed it as one of the greatest negotiation texts ever written, and yet so few could actually follow it successfully? +There was clearly a breakdown between the bookďż˝s brilliant theory and everyday law enforcement experience. Why was it that everyone had read this bestselling business book and endorsed it as one of the greatest negotiation texts ever written, and yet so few could actually follow it successfully? Were we morons? -After Ruby Ridge and Waco, a lot of people were asking that question. U.S. deputy attorney general Philip B. Heymann, to be specific, wanted to know why our hostage negotiation techniques were so bad. In October 1993, he issued a report titled “Lessons of Waco: Proposed Changes in Federal Law Enforcement,”4 which summarized an expert panel’s diagnosis of federal law enforcement’s inability to handle complex hostage situations. +After Ruby Ridge and Waco, a lot of people were asking that question. U.S. deputy attorney general Philip B. Heymann, to be specific, wanted to know why our hostage negotiation techniques were so bad. In October 1993, he issued a report titled ďż˝Lessons of Waco: Proposed Changes in Federal Law Enforcement,ďż˝4 which summarized an expert panelďż˝s diagnosis of federal law enforcementďż˝s inability to handle complex hostage situations. As a result, in 1994 FBI director Louis Freeh announced the formation of the Critical Incident Response Group (CIRG), a blended division that would combine the Crises Negotiation, Crises Management, Behavioral Sciences, and Hostage Rescue teams and reinvent crisis negotiation. @@ -331,101 +253,101 @@ From that moment onward, our emphasis would have to be not on training in quid p What were needed were simple psychological tactics and strategies that worked in the field to calm people down, establish rapport, gain trust, elicit the verbalization of needs, and persuade the other guy of our empathy. We needed something easy to teach, easy to learn, and easy to execute. -These were cops and agents, after all, and they weren’t interested in becoming academics or therapists. What they wanted was to change the behavior of the hostage-taker, whoever they were and whatever they wanted, to shift the emotional environment of the crisis just enough so that we could secure the safety of everyone involved. +These were cops and agents, after all, and they werenďż˝t interested in becoming academics or therapists. What they wanted was to change the behavior of the hostage-taker, whoever they were and whatever they wanted, to shift the emotional environment of the crisis just enough so that we could secure the safety of everyone involved. -In the early years, the FBI experimented with both new and old therapeutic techniques developed by the counseling profession. These counseling skills were aimed at developing positive relationships with people by demonstrating an understanding of what they’re going through and how they feel about it. +In the early years, the FBI experimented with both new and old therapeutic techniques developed by the counseling profession. These counseling skills were aimed at developing positive relationships with people by demonstrating an understanding of what theyďż˝re going through and how they feel about it. It all starts with the universally applicable premise that people want to be understood and accepted. Listening is the cheapest, yet most effective concession we can make to get there. By listening intensely, a negotiator demonstrates empathy and shows a sincere desire to better understand what the other side is experiencing. Psychotherapy research shows that when individuals feel listened to, they tend to listen to themselves more carefully and to openly evaluate and clarify their own thoughts and feelings. In addition, they tend to become less defensive and oppositional and more willing to listen to other points of view, which gets them to the calm and logical place where they can be good Getting to Yes problem solvers. -The whole concept, which you’ll learn as the centerpiece of this book, is called Tactical Empathy. This is listening as a martial art, balancing the subtle behaviors of emotional intelligence and the assertive skills of influence, to gain access to the mind of another person. Contrary to popular opinion, listening is not a passive activity. It is the most active thing you can do. +The whole concept, which youďż˝ll learn as the centerpiece of this book, is called Tactical Empathy. This is listening as a martial art, balancing the subtle behaviors of emotional intelligence and the assertive skills of influence, to gain access to the mind of another person. Contrary to popular opinion, listening is not a passive activity. It is the most active thing you can do. -Once we started developing our new techniques, the negotiating world split into two currents: negotiation as learned at the country’s top school continued down the established road of rational problem solving, while, ironically, we meatheads at the FBI began to train our agents in an unproven system based on psychology, counseling, and crisis intervention. While the Ivy League taught math and economics, we became experts in empathy. +Once we started developing our new techniques, the negotiating world split into two currents: negotiation as learned at the countryďż˝s top school continued down the established road of rational problem solving, while, ironically, we meatheads at the FBI began to train our agents in an unproven system based on psychology, counseling, and crisis intervention. While the Ivy League taught math and economics, we became experts in empathy. And our way worked. LIFE IS NEGOTIATION -While you might be curious how FBI negotiators get some of the world’s toughest bad guys to give up their hostages, you could be excused for wondering what hostage negotiation has to do with your life. Happily, very few people are ever forced to deal with Islamist terrorists who’ve kidnapped their loved ones. +While you might be curious how FBI negotiators get some of the worldďż˝s toughest bad guys to give up their hostages, you could be excused for wondering what hostage negotiation has to do with your life. Happily, very few people are ever forced to deal with Islamist terrorists whoďż˝ve kidnapped their loved ones. But allow me to let you in on a secret: Life is negotiation. The majority of the interactions we have at work and at home are negotiations that boil down to the expression of a simple, animalistic urge: I want. -“I want you to free the hostages,” is a very relevant one to this book, of course. +ďż˝I want you to free the hostages,ďż˝ is a very relevant one to this book, of course. But so is: -“I want you to accept that $1 million contract.” +ďż˝I want you to accept that $1 million contract.ďż˝ -“I want to pay $20,000 for that car.” +ďż˝I want to pay $20,000 for that car.ďż˝ -“I want you to give me a 10 percent raise.” +ďż˝I want you to give me a 10 percent raise.ďż˝ and -“I want you to go to sleep at 9 p.m.” +ďż˝I want you to go to sleep at 9 p.m.ďż˝ -Negotiation serves two distinct, vital life functions—information gathering and behavior influencing—and includes almost any interaction where each party wants something from the other side. Your career, your finances, your reputation, your love life, even the fate of your kids—at some point all of these hinge on your ability to negotiate. +Negotiation serves two distinct, vital life functionsďż˝information gathering and behavior influencingďż˝and includes almost any interaction where each party wants something from the other side. Your career, your finances, your reputation, your love life, even the fate of your kidsďż˝at some point all of these hinge on your ability to negotiate. -Negotiation as you’ll learn it here is nothing more than communication with results. Getting what you want out of life is all about getting what you want from—and with—other people. Conflict between two parties is inevitable in all relationships. So it’s useful—crucial, even—to know how to engage in that conflict to get what you want without inflicting damage. +Negotiation as youďż˝ll learn it here is nothing more than communication with results. Getting what you want out of life is all about getting what you want fromďż˝and withďż˝other people. Conflict between two parties is inevitable in all relationships. So itďż˝s usefulďż˝crucial, evenďż˝to know how to engage in that conflict to get what you want without inflicting damage. In this book, I draw on my more than two-decade career in the Federal Bureau of Investigation to distill the principles and practices I deployed in the field into an exciting new approach designed to help you disarm, redirect, and dismantle your counterpart in virtually any negotiation. And to do so in a relationship-affirming way. -Yes, you’ll learn how we negotiated the safe release of countless hostages. But you’ll also learn how to use a deep understanding of human psychology to negotiate a lower car price, a bigger raise, and a child’s bedtime. This book will teach you to reclaim control of the conversations that inform your life and career. +Yes, youďż˝ll learn how we negotiated the safe release of countless hostages. But youďż˝ll also learn how to use a deep understanding of human psychology to negotiate a lower car price, a bigger raise, and a childďż˝s bedtime. This book will teach you to reclaim control of the conversations that inform your life and career. -The first step to achieving a mastery of daily negotiation is to get over your aversion to negotiating. You don’t need to like it; you just need to understand that’s how the world works. Negotiating does not mean browbeating or grinding someone down. It simply means playing the emotional game that human society is set up for. In this world, you get what you ask for; you just have to ask correctly. So claim your prerogative to ask for what you think is right. +The first step to achieving a mastery of daily negotiation is to get over your aversion to negotiating. You donďż˝t need to like it; you just need to understand thatďż˝s how the world works. Negotiating does not mean browbeating or grinding someone down. It simply means playing the emotional game that human society is set up for. In this world, you get what you ask for; you just have to ask correctly. So claim your prerogative to ask for what you think is right. -What this book is really about, then, is getting you to accept negotiation and in doing so learn how to get what you want in a psychologically aware way. You’ll learn to use your emotions, instincts, and insights in any encounter to connect better with others, influence them, and achieve more. +What this book is really about, then, is getting you to accept negotiation and in doing so learn how to get what you want in a psychologically aware way. Youďż˝ll learn to use your emotions, instincts, and insights in any encounter to connect better with others, influence them, and achieve more. Effective negotiation is applied people smarts, a psychological edge in every domain of life: how to size someone up, how to influence their sizing up of you, and how to use that knowledge to get what you want. -But beware: this is not another pop-psych book. It’s a deep and thoughtful (and most of all, practical) take on leading psychological theory that distills lessons from a twenty-four-year career in the FBI and ten years teaching and consulting in the best business schools and corporations in the world. +But beware: this is not another pop-psych book. Itďż˝s a deep and thoughtful (and most of all, practical) take on leading psychological theory that distills lessons from a twenty-four-year career in the FBI and ten years teaching and consulting in the best business schools and corporations in the world. And it works for one simple reason: it was designed in and for the real world. It was not born in a classroom or a training hall, but built from years of experience that improved it until it reached near perfection. -Remember, a hostage negotiator plays a unique role: he has to win. Can he say to a bank robber, “Okay, you’ve taken four hostages. Let’s split the difference—give me two, and we’ll call it a day?” +Remember, a hostage negotiator plays a unique role: he has to win. Can he say to a bank robber, ďż˝Okay, youďż˝ve taken four hostages. Letďż˝s split the differenceďż˝give me two, and weďż˝ll call it a day?ďż˝ -No. A successful hostage negotiator has to get everything he asks for, without giving anything back of substance, and do so in a way that leaves the adversaries feeling as if they have a great relationship. His work is emotional intelligence on steroids. Those are the tools you’ll learn here. +No. A successful hostage negotiator has to get everything he asks for, without giving anything back of substance, and do so in a way that leaves the adversaries feeling as if they have a great relationship. His work is emotional intelligence on steroids. Those are the tools youďż˝ll learn here. THE BOOK Like a contractor building a house, this book is constructed from the ground up: first comes the big slabs of foundation, then the necessary load-bearing walls, the elegant but impermeable roof, and the lovely interior decorations. -Each chapter expands on the previous one. First you’ll learn the refined techniques of this approach to Active Listening and then you’ll move on to specific tools, turns of phrase, the ins and outs of the final act—haggling—and, finally, how to discover the rarity that can help you achieve true negotiating greatness: the Black Swan. +Each chapter expands on the previous one. First youďż˝ll learn the refined techniques of this approach to Active Listening and then youďż˝ll move on to specific tools, turns of phrase, the ins and outs of the final actďż˝hagglingďż˝and, finally, how to discover the rarity that can help you achieve true negotiating greatness: the Black Swan. -In Chapter 2, you’ll learn how to avoid the assumptions that blind neophyte negotiators and replace them with Active Listening techniques like Mirroring, Silences, and the Late-Night FM DJ Voice. You’ll discover how to slow things down and make your counterpart feel safe enough to reveal themselves; to discern between wants (aspirations) and needs (the bare minimum for a deal); and to laser-focus on what the other party has to say. +In Chapter 2, youďż˝ll learn how to avoid the assumptions that blind neophyte negotiators and replace them with Active Listening techniques like Mirroring, Silences, and the Late-Night FM DJ Voice. Youďż˝ll discover how to slow things down and make your counterpart feel safe enough to reveal themselves; to discern between wants (aspirations) and needs (the bare minimum for a deal); and to laser-focus on what the other party has to say. -Chapter 3 will delve into Tactical Empathy. You’ll learn how to recognize your counterpart’s perspective and then gain trust and understanding through Labeling—that is, by repeating that perspective back to them. You’ll also learn how to defuse negative dynamics by bringing them into the open. Finally, I’ll explain how to disarm your counterpart’s complaints about you by speaking them aloud in an Accusation Audit. +Chapter 3 will delve into Tactical Empathy. Youďż˝ll learn how to recognize your counterpartďż˝s perspective and then gain trust and understanding through Labelingďż˝that is, by repeating that perspective back to them. Youďż˝ll also learn how to defuse negative dynamics by bringing them into the open. Finally, Iďż˝ll explain how to disarm your counterpartďż˝s complaints about you by speaking them aloud in an Accusation Audit. -Next, in Chapter 4, I’ll examine ways to make your counterpart feel understood and positively affirmed in a negotiation in order to create an atmosphere of unconditional positive regard. Here, you’ll learn why you should strive for “That’s right” instead of “Yes” at every stage of a negotiation, and how to identify, rearticulate, and emotionally affirm your counterpart’s worldview with Summaries and Paraphrasing. +Next, in Chapter 4, Iďż˝ll examine ways to make your counterpart feel understood and positively affirmed in a negotiation in order to create an atmosphere of unconditional positive regard. Here, youďż˝ll learn why you should strive for ďż˝Thatďż˝s rightďż˝ instead of ďż˝Yesďż˝ at every stage of a negotiation, and how to identify, rearticulate, and emotionally affirm your counterpartďż˝s worldview with Summaries and Paraphrasing. -Chapter 5 teaches the flip side of Getting to Yes. You’ll learn why it’s vitally important to get to “No” because “No” starts the negotiation. You’ll also discover how to step out of your ego and negotiate in your counterpart’s world, the only way to achieve an agreement the other side will implement. Finally, you’ll see how to engage your counterpart by acknowledging their right to choose, and you’ll learn an email technique that ensures that you’ll never be ignored again. +Chapter 5 teaches the flip side of Getting to Yes. Youďż˝ll learn why itďż˝s vitally important to get to ďż˝Noďż˝ because ďż˝Noďż˝ starts the negotiation. Youďż˝ll also discover how to step out of your ego and negotiate in your counterpartďż˝s world, the only way to achieve an agreement the other side will implement. Finally, youďż˝ll see how to engage your counterpart by acknowledging their right to choose, and youďż˝ll learn an email technique that ensures that youďż˝ll never be ignored again. -In Chapter 6, you’ll discover the art of bending reality. That is, I’ll explain a variety of tools for framing a negotiation in such a way that your counterpart will unconsciously accept the limits you place on the discussion. You’ll learn how to navigate deadlines to create urgency; employ the idea of fairness to nudge your counterpart; and anchor their emotions so that not accepting your offer feels like a loss. +In Chapter 6, youďż˝ll discover the art of bending reality. That is, Iďż˝ll explain a variety of tools for framing a negotiation in such a way that your counterpart will unconsciously accept the limits you place on the discussion. Youďż˝ll learn how to navigate deadlines to create urgency; employ the idea of fairness to nudge your counterpart; and anchor their emotions so that not accepting your offer feels like a loss. -After this, Chapter 7 is dedicated to that incredibly powerful tool I used at Harvard: Calibrated Questions, the queries that begin with “How?” or “What?” By eliminating “Yes” and “No” answers they force your counterpart to apply their mental energy to solving your problems. +After this, Chapter 7 is dedicated to that incredibly powerful tool I used at Harvard: Calibrated Questions, the queries that begin with ďż˝How?ďż˝ or ďż˝What?ďż˝ By eliminating ďż˝Yesďż˝ and ďż˝Noďż˝ answers they force your counterpart to apply their mental energy to solving your problems. -In Chapter 8 I demonstrate how to employ these Calibrated Questions to guard against failures in the implementation phase. “Yes,” as I always say, is nothing without “How?” You’ll also discover the importance of nonverbal communication; how to use “How” questions to gently say “No”; how to get your counterparts to bid against themselves; and how to influence the deal killers when they’re not at the table. +In Chapter 8 I demonstrate how to employ these Calibrated Questions to guard against failures in the implementation phase. ďż˝Yes,ďż˝ as I always say, is nothing without ďż˝How?ďż˝ Youďż˝ll also discover the importance of nonverbal communication; how to use ďż˝Howďż˝ questions to gently say ďż˝Noďż˝; how to get your counterparts to bid against themselves; and how to influence the deal killers when theyďż˝re not at the table. -At a certain point, every negotiation gets down to the brass tacks: that is, to old-school haggling. Chapter 9 offers a step-by-step process for effective bargaining, from how to prepare to how to dodge an aggressive counterpart and how to go on the offensive. You’ll learn the Ackerman system, the most effective process the FBI has for setting and making offers. +At a certain point, every negotiation gets down to the brass tacks: that is, to old-school haggling. Chapter 9 offers a step-by-step process for effective bargaining, from how to prepare to how to dodge an aggressive counterpart and how to go on the offensive. Youďż˝ll learn the Ackerman system, the most effective process the FBI has for setting and making offers. -Finally, Chapter 10 explains how to find and use those most rare of negotiation animals: the Black Swan. In every negotiation there are between three and five pieces of information that, were they to be uncovered, would change everything. The concept is an absolute game-changer; so much so, I’ve named my company The Black Swan Group. In this chapter, you’ll learn how to recognize the markers that show the Black Swan’s hidden nest, as well as simple tools for employing Black Swans to gain leverage over your counterpart and achieve truly amazing deals. +Finally, Chapter 10 explains how to find and use those most rare of negotiation animals: the Black Swan. In every negotiation there are between three and five pieces of information that, were they to be uncovered, would change everything. The concept is an absolute game-changer; so much so, Iďż˝ve named my company The Black Swan Group. In this chapter, youďż˝ll learn how to recognize the markers that show the Black Swanďż˝s hidden nest, as well as simple tools for employing Black Swans to gain leverage over your counterpart and achieve truly amazing deals. -Each chapter will start with a fast-paced story of a hostage negotiation, which will then be dissected with an eye to explaining what worked and what didn’t. After I explain the theory and the tools, you’ll read real-life case studies from me and others who’ve used these tools to prevail while negotiating a salary, purchasing a car, or working out nettlesome problems at home. +Each chapter will start with a fast-paced story of a hostage negotiation, which will then be dissected with an eye to explaining what worked and what didnďż˝t. After I explain the theory and the tools, youďż˝ll read real-life case studies from me and others whoďż˝ve used these tools to prevail while negotiating a salary, purchasing a car, or working out nettlesome problems at home. -When you finish this book, I will have succeeded if you’ve applied these crucial techniques to improve your career and life. I’m sure you will. Just remember, to successfully negotiate it is critical to prepare. Which is why in the Appendix you’ll find an invaluable tool I use with all my students and clients called the Negotiation One Sheet: a concise primer of nearly all our tactics and strategies for you to think through and customize for whatever kind of deal you’re looking to close. +When you finish this book, I will have succeeded if youďż˝ve applied these crucial techniques to improve your career and life. Iďż˝m sure you will. Just remember, to successfully negotiate it is critical to prepare. Which is why in the Appendix youďż˝ll find an invaluable tool I use with all my students and clients called the Negotiation One Sheet: a concise primer of nearly all our tactics and strategies for you to think through and customize for whatever kind of deal youďż˝re looking to close. -Most important to me is that you understand how urgent, essential, and even beautiful negotiation can be. When we embrace negotiating’s transformative possibilities, we learn how to get what we want and how to move others to a better place. +Most important to me is that you understand how urgent, essential, and even beautiful negotiation can be. When we embrace negotiatingďż˝s transformative possibilities, we learn how to get what we want and how to move others to a better place. Negotiation is the heart of collaboration. It is what makes conflict potentially meaningful and productive for all parties. It can change your life, as it has changed mine. -I’ve always thought of myself as just a regular guy. Hardworking and willing to learn, yes, but not particularly talented. And I’ve always felt that life holds amazing possibilities. In my much younger days, I just didn’t know how to unlock those possibilities. +Iďż˝ve always thought of myself as just a regular guy. Hardworking and willing to learn, yes, but not particularly talented. And Iďż˝ve always felt that life holds amazing possibilities. In my much younger days, I just didnďż˝t know how to unlock those possibilities. -But with the skills I’ve learned, I’ve found myself doing extraordinary things and watching the people I’ve taught achieve truly life-changing results. When I use what I’ve learned over the last thirty years, I know I actually have the power to change the course of where my life is going, and to help others do that as well. Thirty years ago, while I felt like that could be done, I didn’t know how. +But with the skills Iďż˝ve learned, Iďż˝ve found myself doing extraordinary things and watching the people Iďż˝ve taught achieve truly life-changing results. When I use what Iďż˝ve learned over the last thirty years, I know I actually have the power to change the course of where my life is going, and to help others do that as well. Thirty years ago, while I felt like that could be done, I didnďż˝t know how. -Now I do. Here’s how. +Now I do. Hereďż˝s how. @@ -439,45 +361,45 @@ BE A MIRROR September 30, 1993 -A brisk autumn morning, around eight thirty. Two masked bank robbers trigger an alarm as they storm into the Chase Manhattan Bank at Seventh Avenue and Carroll Street in Brooklyn. There are only two female tellers and a male security guard inside. The robbers crack the unarmed sixty-year-old security guard across the skull with a .357, drag him to the men’s room, and lock him inside. One of the tellers gets the same pistol-whipping treatment. +A brisk autumn morning, around eight thirty. Two masked bank robbers trigger an alarm as they storm into the Chase Manhattan Bank at Seventh Avenue and Carroll Street in Brooklyn. There are only two female tellers and a male security guard inside. The robbers crack the unarmed sixty-year-old security guard across the skull with a .357, drag him to the menďż˝s room, and lock him inside. One of the tellers gets the same pistol-whipping treatment. -Then one of the robbers turns to the other teller, puts the barrel in her mouth, and pulls the trigger—click, goes the empty chamber. +Then one of the robbers turns to the other teller, puts the barrel in her mouth, and pulls the triggerďż˝click, goes the empty chamber. -“Next one is real,” says the robber. “Now open the vault.” +ďż˝Next one is real,ďż˝ says the robber. ďż˝Now open the vault.ďż˝ -A bank robbery, with hostages. Happens all the time in the movies, but it had been almost twenty years since there’d been one of these standoffs in New York, the city with more hostage negotiation jobs than any other jurisdiction in the country. +A bank robbery, with hostages. Happens all the time in the movies, but it had been almost twenty years since thereďż˝d been one of these standoffs in New York, the city with more hostage negotiation jobs than any other jurisdiction in the country. And this happened to be my very first feet-to-the-fire, in-your-face hostage job. -I had been training for about a year and a half in hostage negotiations, but I hadn’t had a chance to use my new skills. For me, 1993 had already been a very busy and incredible ride. Working on the FBI’s Joint Terrorism Task Force, I had been the co–case agent in an investigation that thwarted a plot to set off bombs in the Holland and Lincoln Tunnels, the United Nations, and 26 Federal Plaza, the home of the FBI in New York City. We broke it up just as terrorists were mixing bombs in a safe house. The plotters were associated with an Egyptian cell that had ties to the “Blind Sheikh,” who later would be found guilty of masterminding the plot that we uncovered. +I had been training for about a year and a half in hostage negotiations, but I hadnďż˝t had a chance to use my new skills. For me, 1993 had already been a very busy and incredible ride. Working on the FBIďż˝s Joint Terrorism Task Force, I had been the coďż˝case agent in an investigation that thwarted a plot to set off bombs in the Holland and Lincoln Tunnels, the United Nations, and 26 Federal Plaza, the home of the FBI in New York City. We broke it up just as terrorists were mixing bombs in a safe house. The plotters were associated with an Egyptian cell that had ties to the ďż˝Blind Sheikh,ďż˝ who later would be found guilty of masterminding the plot that we uncovered. You might think a bank robbery would be small potatoes after we busted up a terrorist plot, but by then I had already come to realize that negotiation would be my lifelong passion. I was eager to put my new skills to the test. And besides, there was nothing small about this situation. -When we got the call, my colleague Charlie Beaudoin and I raced to the scene, bailed out of his black Crown Victoria, and made our way to the command post. The whole cavalry showed up for this one—NYPD, FBI, SWAT—all the muscle and savvy of law enforcement up against the knee-jerk desperation of a couple of bank robbers seemingly in over their heads. +When we got the call, my colleague Charlie Beaudoin and I raced to the scene, bailed out of his black Crown Victoria, and made our way to the command post. The whole cavalry showed up for this oneďż˝NYPD, FBI, SWATďż˝all the muscle and savvy of law enforcement up against the knee-jerk desperation of a couple of bank robbers seemingly in over their heads. -New York police, behind a wall of blue and white trucks and patrol cars, had set up across the street inside another bank. SWAT team members, peering through rifle scopes from the roofs of nearby brownstone buildings, had their weapons trained on the bank’s front and rear doors. +New York police, behind a wall of blue and white trucks and patrol cars, had set up across the street inside another bank. SWAT team members, peering through rifle scopes from the roofs of nearby brownstone buildings, had their weapons trained on the bankďż˝s front and rear doors. ASSUMPTIONS BLIND, HYPOTHESES GUIDE Good negotiators, going in, know they have to be ready for possible surprises; great negotiators aim to use their skills to reveal the surprises they are certain exist. -Experience will have taught them that they are best served by holding multiple hypotheses—about the situation, about the counterpart’s wants, about a whole array of variables—in their mind at the same time. Present and alert in the moment, they use all the new information that comes their way to test and winnow true hypotheses from false ones. +Experience will have taught them that they are best served by holding multiple hypothesesďż˝about the situation, about the counterpartďż˝s wants, about a whole array of variablesďż˝in their mind at the same time. Present and alert in the moment, they use all the new information that comes their way to test and winnow true hypotheses from false ones. -In negotiation, each new psychological insight or additional piece of information revealed heralds a step forward and allows one to discard one hypothesis in favor of another. You should engage the process with a mindset of discovery. Your goal at the outset is to extract and observe as much information as possible. Which, by the way, is one of the reasons that really smart people often have trouble being negotiators—they’re so smart they think they don’t have anything to discover. +In negotiation, each new psychological insight or additional piece of information revealed heralds a step forward and allows one to discard one hypothesis in favor of another. You should engage the process with a mindset of discovery. Your goal at the outset is to extract and observe as much information as possible. Which, by the way, is one of the reasons that really smart people often have trouble being negotiatorsďż˝theyďż˝re so smart they think they donďż˝t have anything to discover. -Too often people find it easier just to stick with what they believe. Using what they’ve heard or their own biases, they often make assumptions about others even before meeting them. They even ignore their own perceptions to make them conform to foregone conclusions. These assumptions muck up our perceptual windows onto the world, showing us an unchanging—often flawed—version of the situation. +Too often people find it easier just to stick with what they believe. Using what theyďż˝ve heard or their own biases, they often make assumptions about others even before meeting them. They even ignore their own perceptions to make them conform to foregone conclusions. These assumptions muck up our perceptual windows onto the world, showing us an unchangingďż˝often flawedďż˝version of the situation. Great negotiators are able to question the assumptions that the rest of the involved players accept on faith or in arrogance, and thus remain more emotionally open to all possibilities, and more intellectually agile to a fluid situation. Unfortunately, back in 1993, I was far from great. -Everyone thought the crisis would be over quickly. The bank robbers had little choice but to surrender—or so we thought. We actually started the day with intelligence that the bank robbers wanted to surrender. Little did we know that was a ruse their ringleader planted to buy time. And throughout the day, he constantly referred to the influence the other four bank robbers exerted on him. I hadn’t yet learned to be aware of a counterpart’s overuse of personal pronouns—we/they or me/I. The less important he makes himself, the more important he probably is (and vice versa). We would later find out there was only one other bank robber, and he had been tricked into the robbery. Actually, three robbers, if you counted the getaway driver, who got away before we even entered the scene. +Everyone thought the crisis would be over quickly. The bank robbers had little choice but to surrenderďż˝or so we thought. We actually started the day with intelligence that the bank robbers wanted to surrender. Little did we know that was a ruse their ringleader planted to buy time. And throughout the day, he constantly referred to the influence the other four bank robbers exerted on him. I hadnďż˝t yet learned to be aware of a counterpartďż˝s overuse of personal pronounsďż˝we/they or me/I. The less important he makes himself, the more important he probably is (and vice versa). We would later find out there was only one other bank robber, and he had been tricked into the robbery. Actually, three robbers, if you counted the getaway driver, who got away before we even entered the scene. -The “lead” hostage-taker was running his own “counterintelligence operation,” feeding us all kinds of misinformation. He wanted us to think he had a bunch of co-conspirators with him—from a number of different countries. He also wanted us to think that his partners were much more volatile and dangerous than he was. +The ďż˝leadďż˝ hostage-taker was running his own ďż˝counterintelligence operation,ďż˝ feeding us all kinds of misinformation. He wanted us to think he had a bunch of co-conspirators with himďż˝from a number of different countries. He also wanted us to think that his partners were much more volatile and dangerous than he was. -Looking back, of course, his game plan was clear—he wanted to confuse us as much as he could until he could figure a way out. He would constantly tell us that he wasn’t in charge and that every decision was the responsibility of the other guys. He would indicate that he was scared—or, at least, a little tentative—when we asked him to pass along certain information. And yet he always spoke with a voice of complete calm and absolute confidence. It was a reminder to my colleagues and me that until you know what you’re dealing with, you don’t know what you’re dealing with. +Looking back, of course, his game plan was clearďż˝he wanted to confuse us as much as he could until he could figure a way out. He would constantly tell us that he wasnďż˝t in charge and that every decision was the responsibility of the other guys. He would indicate that he was scaredďż˝or, at least, a little tentativeďż˝when we asked him to pass along certain information. And yet he always spoke with a voice of complete calm and absolute confidence. It was a reminder to my colleagues and me that until you know what youďż˝re dealing with, you donďż˝t know what youďż˝re dealing with. -Though the call had come in about 8:30 a.m., by the time we arrived across the street from the bank and made contact it was probably about 10:30 a.m. The word when we came on the scene was that this was going to be cookie-cutter, by the book, short and sweet. Our commanders thought we’d be in and out of there in ten minutes, because the bad guys supposedly wanted to give themselves up. This would later become a problem, when negotiations stalled and Command became embarrassed, because they’d made the mistake of sharing this early optimism with the press, based on all the early misinformation. +Though the call had come in about 8:30 a.m., by the time we arrived across the street from the bank and made contact it was probably about 10:30 a.m. The word when we came on the scene was that this was going to be cookie-cutter, by the book, short and sweet. Our commanders thought weďż˝d be in and out of there in ten minutes, because the bad guys supposedly wanted to give themselves up. This would later become a problem, when negotiations stalled and Command became embarrassed, because theyďż˝d made the mistake of sharing this early optimism with the press, based on all the early misinformation. We arrived on the scene to take a surrender, but the situation went sideways almost immediately. @@ -487,231 +409,231 @@ CALM THE SCHIZOPHRENIC Our Negotiation Operation Center (NOC) was set up in an office in a bank immediately across a narrow street from the Chase branch. We were way too close to the hostage site, so right away we were at a disadvantage. We were less than thirty yards from the crisis point, where ideally you want to have a little more of a buffer than that. You want to put some distance between you and whatever worst-case scenario might be waiting at the other end of the deal. -When my partner and I arrived, I was immediately assigned to coach the police department negotiator on the phone. His name was Joe, and he was doing fine—but in these types of situations, nobody worked alone. We always worked in teams. The thinking behind this policy was that all these extra sets of ears would pick up extra information. In some standoffs, we had as many as five people on the line, analyzing the information as it came in, offering behind-the-scenes input and guidance to our man on the phone—and that’s how we were set up here. We had Joe taking the lead on the phone, and another three or four of us were listening in, passing notes back and forth, trying to make sense of a confusing situation. One of us was trying to gauge the mood of the bad guy taking the lead on the other end, and another was listening in for clues or “tells” that might give us a better read on what we were facing, and so on. +When my partner and I arrived, I was immediately assigned to coach the police department negotiator on the phone. His name was Joe, and he was doing fineďż˝but in these types of situations, nobody worked alone. We always worked in teams. The thinking behind this policy was that all these extra sets of ears would pick up extra information. In some standoffs, we had as many as five people on the line, analyzing the information as it came in, offering behind-the-scenes input and guidance to our man on the phoneďż˝and thatďż˝s how we were set up here. We had Joe taking the lead on the phone, and another three or four of us were listening in, passing notes back and forth, trying to make sense of a confusing situation. One of us was trying to gauge the mood of the bad guy taking the lead on the other end, and another was listening in for clues or ďż˝tellsďż˝ that might give us a better read on what we were facing, and so on. -Students of mine balk at this notion, asking, “Seriously, do you really need a whole team to . . . hear someone out?” The fact that the FBI has come to that conclusion, I tell them, should be a wake-up call. It’s really not that easy to listen well. +Students of mine balk at this notion, asking, ďż˝Seriously, do you really need a whole team to . . . hear someone out?ďż˝ The fact that the FBI has come to that conclusion, I tell them, should be a wake-up call. Itďż˝s really not that easy to listen well. -We are easily distracted. We engage in selective listening, hearing only what we want to hear, our minds acting on a cognitive bias for consistency rather than truth. And that’s just the start. +We are easily distracted. We engage in selective listening, hearing only what we want to hear, our minds acting on a cognitive bias for consistency rather than truth. And thatďż˝s just the start. Most people approach a negotiation so preoccupied by the arguments that support their position that they are unable to listen attentively. In one of the most cited research papers in psychology,1 George A. Miller persuasively put forth the idea that we can process only about seven pieces of information in our conscious mind at any given moment. In other words, we are easily overwhelmed. -For those people who view negotiation as a battle of arguments, it’s the voices in their own head that are overwhelming them. When they’re not talking, they’re thinking about their arguments, and when they are talking, they’re making their arguments. Often those on both sides of the table are doing the same thing, so you have what I call a state of schizophrenia: everyone just listening to the voice in their head (and not well, because they’re doing seven or eight other things at the same time). It may look like there are only two people in a conversation, but really it’s more like four people all talking at once. +For those people who view negotiation as a battle of arguments, itďż˝s the voices in their own head that are overwhelming them. When theyďż˝re not talking, theyďż˝re thinking about their arguments, and when they are talking, theyďż˝re making their arguments. Often those on both sides of the table are doing the same thing, so you have what I call a state of schizophrenia: everyone just listening to the voice in their head (and not well, because theyďż˝re doing seven or eight other things at the same time). It may look like there are only two people in a conversation, but really itďż˝s more like four people all talking at once. -There’s one powerful way to quiet the voice in your head and the voice in their head at the same time: treat two schizophrenics with just one pill. Instead of prioritizing your argument—in fact, instead of doing any thinking at all in the early goings about what you’re going to say—make your sole and all-encompassing focus the other person and what they have to say. In that mode of true active listening—aided by the tactics you’ll learn in the following chapters—you’ll disarm your counterpart. You’ll make them feel safe. The voice in their head will begin to quiet down. +Thereďż˝s one powerful way to quiet the voice in your head and the voice in their head at the same time: treat two schizophrenics with just one pill. Instead of prioritizing your argumentďż˝in fact, instead of doing any thinking at all in the early goings about what youďż˝re going to sayďż˝make your sole and all-encompassing focus the other person and what they have to say. In that mode of true active listeningďż˝aided by the tactics youďż˝ll learn in the following chaptersďż˝youďż˝ll disarm your counterpart. Youďż˝ll make them feel safe. The voice in their head will begin to quiet down. The goal is to identify what your counterparts actually need (monetarily, emotionally, or otherwise) and get them feeling safe enough to talk and talk and talk some more about what they want. The latter will help you discover the former. Wants are easy to talk about, representing the aspiration of getting our way, and sustaining any illusion of control we have as we begin to negotiate; needs imply survival, the very minimum required to make us act, and so make us vulnerable. But neither wants nor needs are where we start; it begins with listening, making it about the other people, validating their emotions, and creating enough trust and safety for a real conversation to begin. -We were far from that goal with the lead hostage-taker on the call. He kept putting up these weird smoke screens. He wouldn’t give up his name, he tried to disguise his voice, he was always telling Joe he was being put on speaker so everyone around him in the bank could hear, and then he would abruptly announce that he was putting Joe on “hold” and hang up the phone. He was constantly asking about a van, saying he and his partners wanted us to arrange one for them so they could drive themselves and the hostages to the local precinct to surrender. That was where the surrender nonsense had come from—but, of course, this wasn’t a surrender plan so much as it was an escape plan. In the back of his mind, this guy thought he could somehow leave the bank without being taken into custody, and now that his getaway driver had fled the scene he needed access to a vehicle. +We were far from that goal with the lead hostage-taker on the call. He kept putting up these weird smoke screens. He wouldnďż˝t give up his name, he tried to disguise his voice, he was always telling Joe he was being put on speaker so everyone around him in the bank could hear, and then he would abruptly announce that he was putting Joe on ďż˝holdďż˝ and hang up the phone. He was constantly asking about a van, saying he and his partners wanted us to arrange one for them so they could drive themselves and the hostages to the local precinct to surrender. That was where the surrender nonsense had come fromďż˝but, of course, this wasnďż˝t a surrender plan so much as it was an escape plan. In the back of his mind, this guy thought he could somehow leave the bank without being taken into custody, and now that his getaway driver had fled the scene he needed access to a vehicle. -After it was all over, a couple of other details came clear. We weren’t the only ones who had been lied to. Apparently, this lead bank robber hadn’t told his partners they were going to rob a bank that morning. It turned out he was a cash courier who serviced the bank, and his partners were under the impression that they were going to burglarize the ATM. They didn’t sign up for taking hostages, so we learned that this guy’s co-conspirators were also hostages, in a way. They were caught up in a bad situation they didn’t see coming—and, in the end, it was this “disconnect” among the hostage-takers that helped us to drive a wedge between them and put an end to the stalemate. +After it was all over, a couple of other details came clear. We werenďż˝t the only ones who had been lied to. Apparently, this lead bank robber hadnďż˝t told his partners they were going to rob a bank that morning. It turned out he was a cash courier who serviced the bank, and his partners were under the impression that they were going to burglarize the ATM. They didnďż˝t sign up for taking hostages, so we learned that this guyďż˝s co-conspirators were also hostages, in a way. They were caught up in a bad situation they didnďż˝t see comingďż˝and, in the end, it was this ďż˝disconnectďż˝ among the hostage-takers that helped us to drive a wedge between them and put an end to the stalemate. SLOW. IT. DOWN. -The leader wanted to make us think he and his partners were taking good care of his hostages, but in reality the security guard was out of the picture and the second bank teller had run to the bank basement to hide. Whenever Joe said he wanted to talk to the hostages, the hostage-taker would stall, and make it seem like there was this frenzy of activity going on inside the bank, going to ridiculous lengths to tell us how much time and energy he and his cohorts were spending on taking good care of the hostages. Very often, the leader would use this as a reason to put Joe on hold, or to end a call. He’d say, “The girls need to go to the bathroom.” Or, “The girls want to call their families.” Or, “The girls want to get something to eat.” +The leader wanted to make us think he and his partners were taking good care of his hostages, but in reality the security guard was out of the picture and the second bank teller had run to the bank basement to hide. Whenever Joe said he wanted to talk to the hostages, the hostage-taker would stall, and make it seem like there was this frenzy of activity going on inside the bank, going to ridiculous lengths to tell us how much time and energy he and his cohorts were spending on taking good care of the hostages. Very often, the leader would use this as a reason to put Joe on hold, or to end a call. Heďż˝d say, ďż˝The girls need to go to the bathroom.ďż˝ Or, ďż˝The girls want to call their families.ďż˝ Or, ďż˝The girls want to get something to eat.ďż˝ -Joe was doing a good job keeping this guy talking, but he was slightly limited by the negotiating approach that police departments were using at the time. The approach was half MSU—Making Shit Up—and half a sort of sales approach—basically trying to persuade, coerce, or manipulate in any way possible. The problem was, we were in too much of a hurry, driving too hard toward a quick solution; trying to be a problem solver, not a people mover. +Joe was doing a good job keeping this guy talking, but he was slightly limited by the negotiating approach that police departments were using at the time. The approach was half MSUďż˝Making Shit Upďż˝and half a sort of sales approachďż˝basically trying to persuade, coerce, or manipulate in any way possible. The problem was, we were in too much of a hurry, driving too hard toward a quick solution; trying to be a problem solver, not a people mover. -Going too fast is one of the mistakes all negotiators are prone to making. If we’re too much in a hurry, people can feel as if they’re not being heard and we risk undermining the rapport and trust we’ve built. There’s plenty of research that now validates the passage of time as one of the most important tools for a negotiator. When you slow the process down, you also calm it down. After all, if someone is talking, they’re not shooting. +Going too fast is one of the mistakes all negotiators are prone to making. If weďż˝re too much in a hurry, people can feel as if theyďż˝re not being heard and we risk undermining the rapport and trust weďż˝ve built. Thereďż˝s plenty of research that now validates the passage of time as one of the most important tools for a negotiator. When you slow the process down, you also calm it down. After all, if someone is talking, theyďż˝re not shooting. -We caught a break when the robbers started to make noise about food. Joe was going back and forth with them for a while on what they were going to have and how we were going to get it to them. It became a negotiation in and of itself. We got it all set up, prepared to send the food in on a kind of robot device, because that’s what this guy was comfortable with, but then he did an about-face, said to forget about it. Said they’d found some food inside, so it was just one brick wall after another, one smoke screen after another. It would feel to us like we were making a little progress, then this guy would take an abrupt turn, or hang up on us, or change his mind. +We caught a break when the robbers started to make noise about food. Joe was going back and forth with them for a while on what they were going to have and how we were going to get it to them. It became a negotiation in and of itself. We got it all set up, prepared to send the food in on a kind of robot device, because thatďż˝s what this guy was comfortable with, but then he did an about-face, said to forget about it. Said theyďż˝d found some food inside, so it was just one brick wall after another, one smoke screen after another. It would feel to us like we were making a little progress, then this guy would take an abrupt turn, or hang up on us, or change his mind. -Meanwhile, our investigators used the time to run the registration of every one of the dozens of vehicles found nearby on the street, and managed to speak to the owners of every one of them except one—a car belonging to someone named Chris Watts. This became our one and only lead, at the time, and as our endless back-and-forth continued on the phone we sent a group of investigators to the address on Chris Watts’s registration, where they found someone who knew Chris Watts and agreed to come down to the scene of the standoff to possibly identify him. +Meanwhile, our investigators used the time to run the registration of every one of the dozens of vehicles found nearby on the street, and managed to speak to the owners of every one of them except oneďż˝a car belonging to someone named Chris Watts. This became our one and only lead, at the time, and as our endless back-and-forth continued on the phone we sent a group of investigators to the address on Chris Wattsďż˝s registration, where they found someone who knew Chris Watts and agreed to come down to the scene of the standoff to possibly identify him. -We still didn’t have a visual on the inside, so our eyewitness had to be more of an “earwitness”—and he was able to identify Chris Watts by his voice. +We still didnďż˝t have a visual on the inside, so our eyewitness had to be more of an ďż˝earwitness��and he was able to identify Chris Watts by his voice. -We now knew more about our adversary than he thought we knew, which put us at a momentary advantage. We were putting together all the puzzle pieces, but it didn’t get us any closer to our endgame, which was to determine for sure who was inside the building, to ensure the health and well-being of the hostages, and to get them all out safely—the good guys and the bad guys. +We now knew more about our adversary than he thought we knew, which put us at a momentary advantage. We were putting together all the puzzle pieces, but it didnďż˝t get us any closer to our endgame, which was to determine for sure who was inside the building, to ensure the health and well-being of the hostages, and to get them all out safelyďż˝the good guys and the bad guys. THE VOICE -After five hours, we were stuck, so the lieutenant in charge asked me to take over. Joe was out; I was in. Basically, it was the only strategic play at our disposal that didn’t involve an escalation in force. +After five hours, we were stuck, so the lieutenant in charge asked me to take over. Joe was out; I was in. Basically, it was the only strategic play at our disposal that didnďż˝t involve an escalation in force. The man we now knew as Chris Watts had been in the habit of ending his calls abruptly, so my job was to find a way to keep him talking. I switched into my Late-Night, FM DJ Voice: deep, soft, slow, and reassuring. I had been instructed to confront Watts as soon as possible about his identity. I also came onto the phone with no warning, replacing Joe, against standard protocol. It was a shrewd move by the NYPD lieutenant to shake things up, but it easily could have backfired. This soothing voice was the key to easing the confrontation. -Chris Watts heard my voice on the line and cut me off immediately—said, “Hey, what happened to Joe?” +Chris Watts heard my voice on the line and cut me off immediatelyďż˝said, ďż˝Hey, what happened to Joe?ďż˝ -I said, “Joe’s gone. This is Chris. You’re talking to me now.” +I said, ďż˝Joeďż˝s gone. This is Chris. Youďż˝re talking to me now.ďż˝ -I didn’t put it like a question. I made a downward-inflecting statement, in a downward-inflecting tone of voice. The best way to describe the late-night FM DJ’s voice is as the voice of calm and reason. +I didnďż˝t put it like a question. I made a downward-inflecting statement, in a downward-inflecting tone of voice. The best way to describe the late-night FM DJďż˝s voice is as the voice of calm and reason. -When deliberating on a negotiating strategy or approach, people tend to focus all their energies on what to say or do, but it’s how we are (our general demeanor and delivery) that is both the easiest thing to enact and the most immediately effective mode of influence. Our brains don’t just process and understand the actions and words of others but their feelings and intentions too, the social meaning of their behavior and their emotions. On a mostly unconscious level, we can understand the minds of others not through any kind of thinking but through quite literally grasping what the other is feeling. +When deliberating on a negotiating strategy or approach, people tend to focus all their energies on what to say or do, but itďż˝s how we are (our general demeanor and delivery) that is both the easiest thing to enact and the most immediately effective mode of influence. Our brains donďż˝t just process and understand the actions and words of others but their feelings and intentions too, the social meaning of their behavior and their emotions. On a mostly unconscious level, we can understand the minds of others not through any kind of thinking but through quite literally grasping what the other is feeling. -Think of it as a kind of involuntary neurological telepathy—each of us in every given moment signaling to the world around us whether we are ready to play or fight, laugh or cry. +Think of it as a kind of involuntary neurological telepathyďż˝each of us in every given moment signaling to the world around us whether we are ready to play or fight, laugh or cry. -When we radiate warmth and acceptance, conversations just seem to flow. When we enter a room with a level of comfort and enthusiasm, we attract people toward us. Smile at someone on the street, and as a reflex they’ll smile back. Understanding that reflex and putting it into practice is critical to the success of just about every negotiating skill there is to learn. +When we radiate warmth and acceptance, conversations just seem to flow. When we enter a room with a level of comfort and enthusiasm, we attract people toward us. Smile at someone on the street, and as a reflex theyďż˝ll smile back. Understanding that reflex and putting it into practice is critical to the success of just about every negotiating skill there is to learn. -That’s why your most powerful tool in any verbal communication is your voice. You can use your voice to intentionally reach into someone’s brain and flip an emotional switch. Distrusting to trusting. Nervous to calm. In an instant, the switch will flip just like that with the right delivery. +Thatďż˝s why your most powerful tool in any verbal communication is your voice. You can use your voice to intentionally reach into someoneďż˝s brain and flip an emotional switch. Distrusting to trusting. Nervous to calm. In an instant, the switch will flip just like that with the right delivery. -There are essentially three voice tones available to negotiators: the late-night FM DJ voice, the positive/playful voice, and the direct or assertive voice. Forget the assertive voice for now; except in very rare circumstances, using it is like slapping yourself in the face while you’re trying to make progress. You’re signaling dominance onto your counterpart, who will either aggressively, or passive-aggressively, push back against attempts to be controlled. +There are essentially three voice tones available to negotiators: the late-night FM DJ voice, the positive/playful voice, and the direct or assertive voice. Forget the assertive voice for now; except in very rare circumstances, using it is like slapping yourself in the face while youďż˝re trying to make progress. Youďż˝re signaling dominance onto your counterpart, who will either aggressively, or passive-aggressively, push back against attempts to be controlled. -Most of the time, you should be using the positive/playful voice. It’s the voice of an easygoing, good-natured person. Your attitude is light and encouraging. The key here is to relax and smile while you’re talking. A smile, even while talking on the phone, has an impact tonally that the other person will pick up on. +Most of the time, you should be using the positive/playful voice. Itďż˝s the voice of an easygoing, good-natured person. Your attitude is light and encouraging. The key here is to relax and smile while youďż˝re talking. A smile, even while talking on the phone, has an impact tonally that the other person will pick up on. -The effect these voices have are cross-cultural and never lost in translation. On a vacation to Turkey with his girlfriend, one of our instructors at The Black Swan Group was befuddled—not to mention a little embarrassed—that his partner was repeatedly getting better deals in their backstreet haggling sessions at the spice markets in Istanbul. For the merchants in such markets throughout the Middle East, bargaining is an art form. Their emotional intelligence is finely honed, and they’ll use hospitality and friendliness in a powerful way to draw you in and create reciprocity that ends in an exchange of money. But it works both ways, as our instructor discovered while observing his girlfriend in action: she approached each encounter as a fun game, so that no matter how aggressively she pushed, her smile and playful demeanor primed her merchant friends to settle on a successful outcome. +The effect these voices have are cross-cultural and never lost in translation. On a vacation to Turkey with his girlfriend, one of our instructors at The Black Swan Group was befuddledďż˝not to mention a little embarrassedďż˝that his partner was repeatedly getting better deals in their backstreet haggling sessions at the spice markets in Istanbul. For the merchants in such markets throughout the Middle East, bargaining is an art form. Their emotional intelligence is finely honed, and theyďż˝ll use hospitality and friendliness in a powerful way to draw you in and create reciprocity that ends in an exchange of money. But it works both ways, as our instructor discovered while observing his girlfriend in action: she approached each encounter as a fun game, so that no matter how aggressively she pushed, her smile and playful demeanor primed her merchant friends to settle on a successful outcome. When people are in a positive frame of mind, they think more quickly, and are more likely to collaborate and problem-solve (instead of fight and resist). It applies to the smile-er as much as to the smile-ee: a smile on your face, and in your voice, will increase your own mental agility. -Playful wasn’t the move with Chris Watts. The way the late-night FM DJ voice works is that, when you inflect your voice in a downward way, you put it out there that you’ve got it covered. Talking slowly and clearly you convey one idea: I’m in control. When you inflect in an upward way, you invite a response. Why? Because you’ve brought in a measure of uncertainty. You’ve made a statement sound like a question. You’ve left the door open for the other guy to take the lead, so I was careful here to be quiet, self-assured. +Playful wasnďż˝t the move with Chris Watts. The way the late-night FM DJ voice works is that, when you inflect your voice in a downward way, you put it out there that youďż˝ve got it covered. Talking slowly and clearly you convey one idea: Iďż˝m in control. When you inflect in an upward way, you invite a response. Why? Because youďż˝ve brought in a measure of uncertainty. Youďż˝ve made a statement sound like a question. Youďż˝ve left the door open for the other guy to take the lead, so I was careful here to be quiet, self-assured. -It’s the same voice I might use in a contract negotiation, when an item isn’t up for discussion. If I see a work-for-hire clause, for example, I might say, “We don’t do work-for-hire.” Just like that, plain, simple, and friendly. I don’t offer up an alternative, because it would beg further discussion, so I just make a straightforward declaration. +Itďż˝s the same voice I might use in a contract negotiation, when an item isnďż˝t up for discussion. If I see a work-for-hire clause, for example, I might say, ďż˝We donďż˝t do work-for-hire.ďż˝ Just like that, plain, simple, and friendly. I donďż˝t offer up an alternative, because it would beg further discussion, so I just make a straightforward declaration. -That’s how I played it here. I said, “Joe’s gone. You’re talking to me now.” +Thatďż˝s how I played it here. I said, ďż˝Joeďż˝s gone. Youďż˝re talking to me now.ďż˝ Done deal. -You can be very direct and to the point as long as you create safety by a tone of voice that says I’m okay, you’re okay, let’s figure things out. +You can be very direct and to the point as long as you create safety by a tone of voice that says Iďż˝m okay, youďż˝re okay, letďż˝s figure things out. -The tide was turning. Chris Watts was rattled, but he had a few moves left in him. One of the bad guys went down to the basement and collected one of the female bank tellers. She’d disappeared into the bowels of the bank at some point, but Chris Watts and his accomplice hadn’t chased after her because they knew she wasn’t going anywhere. Now one of the bank robbers dragged her back upstairs and put her on the phone. +The tide was turning. Chris Watts was rattled, but he had a few moves left in him. One of the bad guys went down to the basement and collected one of the female bank tellers. Sheďż˝d disappeared into the bowels of the bank at some point, but Chris Watts and his accomplice hadnďż˝t chased after her because they knew she wasnďż˝t going anywhere. Now one of the bank robbers dragged her back upstairs and put her on the phone. -She said, “I’m okay.” That’s all. +She said, ďż˝Iďż˝m okay.ďż˝ Thatďż˝s all. -I said, “Who is this?” +I said, ďż˝Who is this?ďż˝ -She said, “I’m okay.” +She said, ďż˝Iďż˝m okay.ďż˝ -I wanted to keep her talking, so I asked her name—but then, just like that, she was gone. +I wanted to keep her talking, so I asked her nameďż˝but then, just like that, she was gone. -This was a brilliant move on Chris Watts’s part. It was a threat, teasing us with the woman’s voice, but subtly and indirectly. It was a way for the bad guy to let us know he was calling the shots on his end of the phone without directly escalating the situation. He’d given us a “proof of life,” confirming that he did indeed have hostages with him who were in decent enough shape to talk on the phone, but stopped short of allowing us to gather any useful information. +This was a brilliant move on Chris Wattsďż˝s part. It was a threat, teasing us with the womanďż˝s voice, but subtly and indirectly. It was a way for the bad guy to let us know he was calling the shots on his end of the phone without directly escalating the situation. Heďż˝d given us a ďż˝proof of life,ďż˝ confirming that he did indeed have hostages with him who were in decent enough shape to talk on the phone, but stopped short of allowing us to gather any useful information. -He’d managed to take back a measure of control. +Heďż˝d managed to take back a measure of control. MIRRORING -Chris Watts came back on the phone trying to act like nothing had happened. He was a little rattled, that’s for sure, but now he was talking. +Chris Watts came back on the phone trying to act like nothing had happened. He was a little rattled, thatďż˝s for sure, but now he was talking. -“We’ve identified every car on the street and talked to all the owners except one,” I said to Watts. “We’ve got a van out here, a blue and gray van. We’ve been able to get a handle on the owners of all of the vehicles except this one in particular. Do you know anything about it?” +ďż˝Weďż˝ve identified every car on the street and talked to all the owners except one,ďż˝ I said to Watts. ďż˝Weďż˝ve got a van out here, a blue and gray van. Weďż˝ve been able to get a handle on the owners of all of the vehicles except this one in particular. Do you know anything about it?ďż˝ -“The other vehicle’s not out there because you guys chased my driver away . . .” he blurted. +ďż˝The other vehicleďż˝s not out there because you guys chased my driver away . . .ďż˝ he blurted. -“We chased your driver away?” I mirrored. +ďż˝We chased your driver away?ďż˝ I mirrored. -“Well, when he seen the police he cut.” +ďż˝Well, when he seen the police he cut.ďż˝ -“We don’t know anything about this guy; is he the one who was driving the van?” I asked. +ďż˝We donďż˝t know anything about this guy; is he the one who was driving the van?ďż˝ I asked. The mirroring continued between me and Watts, and he made a series of damaging admissions. He started vomiting information, as we now refer to it in my consulting business. He talked about an accomplice we had no knowledge of at the time. That exchange helped us nail the driver of the getaway car. -Mirroring, also called isopraxism, is essentially imitation. It’s another neurobehavior humans (and other animals) display in which we copy each other to comfort each other. It can be done with speech patterns, body language, vocabulary, tempo, and tone of voice. It’s generally an unconscious behavior—we are rarely aware of it when it’s happening—but it’s a sign that people are bonding, in sync, and establishing the kind of rapport that leads to trust. +Mirroring, also called isopraxism, is essentially imitation. Itďż˝s another neurobehavior humans (and other animals) display in which we copy each other to comfort each other. It can be done with speech patterns, body language, vocabulary, tempo, and tone of voice. Itďż˝s generally an unconscious behaviorďż˝we are rarely aware of it when itďż˝s happeningďż˝but itďż˝s a sign that people are bonding, in sync, and establishing the kind of rapport that leads to trust. -It’s a phenomenon (and now technique) that follows a very basic but profound biological principle: We fear what’s different and are drawn to what’s similar. As the saying goes, birds of a feather flock together. Mirroring, then, when practiced consciously, is the art of insinuating similarity. “Trust me,” a mirror signals to another’s unconscious, “You and I—we’re alike.” +Itďż˝s a phenomenon (and now technique) that follows a very basic but profound biological principle: We fear whatďż˝s different and are drawn to whatďż˝s similar. As the saying goes, birds of a feather flock together. Mirroring, then, when practiced consciously, is the art of insinuating similarity. ďż˝Trust me,ďż˝ a mirror signals to anotherďż˝s unconscious, ďż˝You and Iďż˝weďż˝re alike.ďż˝ -Once you’re attuned to the dynamic, you’ll see it everywhere: couples walking on the street with their steps in perfect synchrony; friends in conversation at a park, both nodding their heads and crossing the legs at about the same time. These people are, in a word, connected. +Once youďż˝re attuned to the dynamic, youďż˝ll see it everywhere: couples walking on the street with their steps in perfect synchrony; friends in conversation at a park, both nodding their heads and crossing the legs at about the same time. These people are, in a word, connected. -While mirroring is most often associated with forms of nonverbal communication, especially body language, as negotiators a “mirror” focuses on the words and nothing else. Not the body language. Not the accent. Not the tone or delivery. Just the words. +While mirroring is most often associated with forms of nonverbal communication, especially body language, as negotiators a ďż˝mirrorďż˝ focuses on the words and nothing else. Not the body language. Not the accent. Not the tone or delivery. Just the words. -It’s almost laughably simple: for the FBI, a “mirror” is when you repeat the last three words (or the critical one to three words) of what someone has just said. Of the entirety of the FBI’s hostage negotiation skill set, mirroring is the closest one gets to a Jedi mind trick. Simple, and yet uncannily effective. +Itďż˝s almost laughably simple: for the FBI, a ďż˝mirrorďż˝ is when you repeat the last three words (or the critical one to three words) of what someone has just said. Of the entirety of the FBIďż˝s hostage negotiation skill set, mirroring is the closest one gets to a Jedi mind trick. Simple, and yet uncannily effective. By repeating back what people say, you trigger this mirroring instinct and your counterpart will inevitably elaborate on what was just said and sustain the process of connecting. Psychologist Richard Wiseman created a study using waiters to identify what was the more effective method of creating a connection with strangers: mirroring or positive reinforcement. -One group of waiters, using positive reinforcement, lavished praise and encouragement on patrons using words such as “great,” “no problem,” and “sure” in response to each order. The other group of waiters mirrored their customers simply by repeating their orders back to them. The results were stunning: the average tip of the waiters who mirrored was 70 percent more than of those who used positive reinforcement. +One group of waiters, using positive reinforcement, lavished praise and encouragement on patrons using words such as ďż˝great,ďż˝ ďż˝no problem,ďż˝ and ďż˝sureďż˝ in response to each order. The other group of waiters mirrored their customers simply by repeating their orders back to them. The results were stunning: the average tip of the waiters who mirrored was 70 percent more than of those who used positive reinforcement. -I decided it was time to hit him with his name—to let him know we were on to him. I said, “There’s a vehicle out here, and it’s registered to a Chris Watts.” +I decided it was time to hit him with his nameďż˝to let him know we were on to him. I said, ďż˝Thereďż˝s a vehicle out here, and itďż˝s registered to a Chris Watts.ďż˝ -He said, “Okay.” Not letting anything on. +He said, ďż˝Okay.ďż˝ Not letting anything on. -I said, “Is he there? Is this you? Are you Chris Watts?” +I said, ďż˝Is he there? Is this you? Are you Chris Watts?ďż˝ -It was a stupid question, on my part. A mistake. For a mirror to be effective, you’ve got to let it sit there and do its work. It needs a bit of silence. I stepped all over my mirror. As soon as I said it, I wanted to take it back. +It was a stupid question, on my part. A mistake. For a mirror to be effective, youďż˝ve got to let it sit there and do its work. It needs a bit of silence. I stepped all over my mirror. As soon as I said it, I wanted to take it back. -“Are you Chris Watts?” +ďż˝Are you Chris Watts?ďż˝ -What the hell could this guy say to that? Of course, he replied, “No.” +What the hell could this guy say to that? Of course, he replied, ďż˝No.ďż˝ -I’d made a bone-headed move and given Chris Watts a way to dodge this confrontation, but he was nevertheless rattled. Up until this moment, he’d thought he was anonymous. Whatever fantasy he had running through his head, there was a way out for him, a do-over button. Now he knew different. I composed myself, slowed it down a little, and this time shut my mouth after the mirror—I said, “No? You said ‘okay.’” +Iďż˝d made a bone-headed move and given Chris Watts a way to dodge this confrontation, but he was nevertheless rattled. Up until this moment, heďż˝d thought he was anonymous. Whatever fantasy he had running through his head, there was a way out for him, a do-over button. Now he knew different. I composed myself, slowed it down a little, and this time shut my mouth after the mirrorďż˝I said, ďż˝No? You said ďż˝okay.�� Now I had him, I thought. His voice went way up. He ended up blurting a few things out, vomiting more information, and became so flustered he stopped talking to me. Suddenly his accomplice, who we later learned was Bobby Goodwin, came onto the phone. -We hadn’t heard from this second hostage-taker, until now. We’d known all along that Chris Watts wasn’t acting alone, but we hadn’t gotten a good read on how many people he had working with him on this, and now here was his unwitting accomplice, thinking our original police department negotiator was still handling our end. We knew this because he kept calling me “Joe,” which told us he’d been in the loop early on, and somewhat less involved as the stalemate dragged on. +We hadnďż˝t heard from this second hostage-taker, until now. Weďż˝d known all along that Chris Watts wasnďż˝t acting alone, but we hadnďż˝t gotten a good read on how many people he had working with him on this, and now here was his unwitting accomplice, thinking our original police department negotiator was still handling our end. We knew this because he kept calling me ďż˝Joe,ďż˝ which told us heďż˝d been in the loop early on, and somewhat less involved as the stalemate dragged on. -At the very least, the disconnect told me these guys weren’t exactly on the same page—but I didn’t jump to correct him. +At the very least, the disconnect told me these guys werenďż˝t exactly on the same pageďż˝but I didnďż˝t jump to correct him. -Another thing: it sounded like this second guy was speaking through a towel, or a sweatshirt—like he was biting on some kind of fabric, even. Going to all these lengths to mask his voice, which meant he was clearly scared. He was nervous, jumpy as hell, anxious over how this standoff was going down. +Another thing: it sounded like this second guy was speaking through a towel, or a sweatshirtďż˝like he was biting on some kind of fabric, even. Going to all these lengths to mask his voice, which meant he was clearly scared. He was nervous, jumpy as hell, anxious over how this standoff was going down. -I tried to set him at ease—still with the downward-inflecting DJ voice. I said, “Nobody’s going anywhere.” I said, “Nobody’s gonna get hurt.” +I tried to set him at easeďż˝still with the downward-inflecting DJ voice. I said, ďż˝Nobodyďż˝s going anywhere.ďż˝ I said, ďż˝Nobodyďż˝s gonna get hurt.ďż˝ -After about a minute and a half, the jumpiness seemed to disappear. The muffled voice, too. His voice came through much more clearly as he said, “I trust you, Joe.” +After about a minute and a half, the jumpiness seemed to disappear. The muffled voice, too. His voice came through much more clearly as he said, ďż˝I trust you, Joe.ďż˝ -The more I kept this second guy on the phone, the more it became clear he was someplace he did not want to be. Bobby wanted out—and, of course, he wanted out without getting hurt. He was already in deep, but he didn’t want it to get any deeper. He didn’t start out that day planning to rob a bank, but it took hearing my calm voice on the other end of the phone for him to start to see a way out. The seventh-largest standing army in the world was at the ready outside the bank doors—that’s the size and scope of the NYPD, in full force, and their guns were fixed on him and his partner. Obviously, Bobby was desperate to step out those doors unharmed. +The more I kept this second guy on the phone, the more it became clear he was someplace he did not want to be. Bobby wanted outďż˝and, of course, he wanted out without getting hurt. He was already in deep, but he didnďż˝t want it to get any deeper. He didnďż˝t start out that day planning to rob a bank, but it took hearing my calm voice on the other end of the phone for him to start to see a way out. The seventh-largest standing army in the world was at the ready outside the bank doorsďż˝thatďż˝s the size and scope of the NYPD, in full force, and their guns were fixed on him and his partner. Obviously, Bobby was desperate to step out those doors unharmed. -I didn’t know where Bobby was, inside the bank. To this day, I don’t know if he managed to step away from his partner, or if he was talking to me in plain sight of Chris Watts. I only know that I had his full attention, and that he was looking for a way to end the standoff—or, at least, to end his role in it. +I didnďż˝t know where Bobby was, inside the bank. To this day, I donďż˝t know if he managed to step away from his partner, or if he was talking to me in plain sight of Chris Watts. I only know that I had his full attention, and that he was looking for a way to end the standoffďż˝or, at least, to end his role in it. -I learned later that in between phone calls Chris Watts was busy squirreling cash inside the bank walls. He was also burning piles of cash, in full view of the two female hostages. On the face of it, this was bizarre behavior, but to a guy like Chris Watts there was a certain logic to it. Apparently, he’d gotten it in his head that he could burn, say, $50,000, and if $300,000 was reported missing bank officials wouldn’t think to go looking for the other $250,000. It was an interesting deception—not exactly clever, but interesting. It showed a weird attention to detail. In his own mind at least, if Chris Watts managed to escape this box he’d made for himself, he could lie low for a while and come back at some future date for the money he’d stashed away—money that would no longer be on the bank’s ledgers. +I learned later that in between phone calls Chris Watts was busy squirreling cash inside the bank walls. He was also burning piles of cash, in full view of the two female hostages. On the face of it, this was bizarre behavior, but to a guy like Chris Watts there was a certain logic to it. Apparently, heďż˝d gotten it in his head that he could burn, say, $50,000, and if $300,000 was reported missing bank officials wouldnďż˝t think to go looking for the other $250,000. It was an interesting deceptionďż˝not exactly clever, but interesting. It showed a weird attention to detail. In his own mind at least, if Chris Watts managed to escape this box heďż˝d made for himself, he could lie low for a while and come back at some future date for the money heďż˝d stashed awayďż˝money that would no longer be on the bankďż˝s ledgers. -What I liked about this second guy, Bobby, was that he didn’t try to play any games with me on the phone. He was a straight shooter, so I was able to respond as a straight shooter in kind. The same way I’d get back whatever I put out, he was getting back whatever he was putting out, so I was with him on this. Experience told me all I had to do was keep him talking and he’d come around. We’d find a way to get him out of that bank—with or without Chris Watts. +What I liked about this second guy, Bobby, was that he didnďż˝t try to play any games with me on the phone. He was a straight shooter, so I was able to respond as a straight shooter in kind. The same way Iďż˝d get back whatever I put out, he was getting back whatever he was putting out, so I was with him on this. Experience told me all I had to do was keep him talking and heďż˝d come around. Weďż˝d find a way to get him out of that bankďż˝with or without Chris Watts. -Someone on my team handed me a note: “Ask him if he wants to come out.” +Someone on my team handed me a note: ďż˝Ask him if he wants to come out.ďż˝ -I said, “Do you want to come out first?” +I said, ďż˝Do you want to come out first?ďż˝ I paused, remaining silent. -“I don’t know how I’d do it,” Bobby said finally. +ďż˝I donďż˝t know how Iďż˝d do it,ďż˝ Bobby said finally. -“What’s stopping you from doing it right now?” I asked. +ďż˝Whatďż˝s stopping you from doing it right now?ďż˝ I asked. -“How do I do that?” he asked again. +ďż˝How do I do that?ďż˝ he asked again. -“Tell you what. Meet me out front right now.” +ďż˝Tell you what. Meet me out front right now.ďż˝ -This was a breakthrough moment for us—but we still had to get Bobby out of there, and find a way to let him know that I’d be waiting for him on the other side of the door. I’d given him my word that I would be the one to take his surrender, and that he wouldn’t get hurt, and now we had to make that happen—and very often it’s this implementation phase that can be the most difficult. +This was a breakthrough moment for usďż˝but we still had to get Bobby out of there, and find a way to let him know that Iďż˝d be waiting for him on the other side of the door. Iďż˝d given him my word that I would be the one to take his surrender, and that he wouldnďż˝t get hurt, and now we had to make that happenďż˝and very often itďż˝s this implementation phase that can be the most difficult. -Our team scrambled to put a plan in place to bring this about. I started putting on bulletproof gear. We surveyed the scene, figuring I could position myself behind one of the big trucks we’d parked out in front of the bank, to give me a measure of cover, just in case. +Our team scrambled to put a plan in place to bring this about. I started putting on bulletproof gear. We surveyed the scene, figuring I could position myself behind one of the big trucks weďż˝d parked out in front of the bank, to give me a measure of cover, just in case. -Then we ran into one of those maddening situations where one hand didn’t know what the other was doing. It turned out the bank door had been barricaded from the outside early on in the standoff—a precaution to ensure that none of the bank robbers could flee the scene. We all knew this, of course, on some level, but when the time came for Bobby to give himself up and walk out the door, it’s like our brains went into sleep mode. No one on the SWAT team thought to remind anyone on the negotiating team of this one significant detail, so for a couple long beats Bobby couldn’t get out, and I got a sick feeling in my stomach that whatever progress we’d just made with this guy would be for nothing. +Then we ran into one of those maddening situations where one hand didnďż˝t know what the other was doing. It turned out the bank door had been barricaded from the outside early on in the standoffďż˝a precaution to ensure that none of the bank robbers could flee the scene. We all knew this, of course, on some level, but when the time came for Bobby to give himself up and walk out the door, itďż˝s like our brains went into sleep mode. No one on the SWAT team thought to remind anyone on the negotiating team of this one significant detail, so for a couple long beats Bobby couldnďż˝t get out, and I got a sick feeling in my stomach that whatever progress weďż˝d just made with this guy would be for nothing. -So there we were, scrambling to recover. Soon, two SWAT guys moved forward toward the entrance, with ballistic shields, guns drawn, to take the locks and the barricade off the door—and at this point they still didn’t know what they were facing on the other side. It was a super-tense moment. There could have been a dozen guns on these two SWAT guys, but there was nothing for them to do but make their slow approach. Those guys were rock solid. They unlocked the door, backed away, and finally we were good to go. +So there we were, scrambling to recover. Soon, two SWAT guys moved forward toward the entrance, with ballistic shields, guns drawn, to take the locks and the barricade off the doorďż˝and at this point they still didnďż˝t know what they were facing on the other side. It was a super-tense moment. There could have been a dozen guns on these two SWAT guys, but there was nothing for them to do but make their slow approach. Those guys were rock solid. They unlocked the door, backed away, and finally we were good to go. -Bobby came out—his hands in the air. I’d walked him through a specific set of instructions on what to do when he came out the door, what to expect. A couple of SWAT guys patted him down. Bobby turned and looked and said, “Where’s Chris? Take me to Chris.” +Bobby came outďż˝his hands in the air. Iďż˝d walked him through a specific set of instructions on what to do when he came out the door, what to expect. A couple of SWAT guys patted him down. Bobby turned and looked and said, ďż˝Whereďż˝s Chris? Take me to Chris.ďż˝ -Finally, they brought him around to me, and we were able to debrief him inside our makeshift command post. This was the first we learned that there was only one other hostage-taker inside—and this naturally set the commander off. I didn’t learn this until later, but I could see why he would have been angry and embarrassed at this latest turn. All along, he’d been telling the media there were a bunch of bad guys inside—an international assemblage of bad guys, remember? But now that it turned out it was essentially a two-man operation, and one of the bad guys had wanted no part of it, the commander looked like he didn’t have a handle on the situation. +Finally, they brought him around to me, and we were able to debrief him inside our makeshift command post. This was the first we learned that there was only one other hostage-taker insideďż˝and this naturally set the commander off. I didnďż˝t learn this until later, but I could see why he would have been angry and embarrassed at this latest turn. All along, heďż˝d been telling the media there were a bunch of bad guys insideďż˝an international assemblage of bad guys, remember? But now that it turned out it was essentially a two-man operation, and one of the bad guys had wanted no part of it, the commander looked like he didnďż˝t have a handle on the situation. -But like I said, we didn’t know about the commander’s reaction just yet. All we knew was that we’d just gotten all this new intel, which told us we were closer to achieving our desired outcome than we had just thought. This was a positive development, something to celebrate. With what we now knew, it was going to be a whole lot easier to negotiate our way through the rest of it, and yet this commander was angry. He didn’t like that he’d been played, so he turned to one of the guys from NYPD’s Technical Assistance Response Unit (TARU) and commanded them to get a camera inside the bank, a mic . . . something. +But like I said, we didnďż˝t know about the commanderďż˝s reaction just yet. All we knew was that weďż˝d just gotten all this new intel, which told us we were closer to achieving our desired outcome than we had just thought. This was a positive development, something to celebrate. With what we now knew, it was going to be a whole lot easier to negotiate our way through the rest of it, and yet this commander was angry. He didnďż˝t like that heďż˝d been played, so he turned to one of the guys from NYPDďż˝s Technical Assistance Response Unit (TARU) and commanded them to get a camera inside the bank, a mic . . . something. -Now that I was huddled with Bobby, the commander swapped me out in favor of another primary negotiator on the phone. The new negotiator played it the same way I had, a couple of hours earlier—said, “This is Dominick. You’re talking to me now.” +Now that I was huddled with Bobby, the commander swapped me out in favor of another primary negotiator on the phone. The new negotiator played it the same way I had, a couple of hours earlierďż˝said, ďż˝This is Dominick. Youďż˝re talking to me now.ďż˝ -Dominick Misino was a great hostage negotiator—in my view, one of the world’s great closers, which was the term often used for the guy brought in to bang out the last details and secure the deal. He didn’t get rattled and he was good at what he did. +Dominick Misino was a great hostage negotiatorďż˝in my view, one of the worldďż˝s great closers, which was the term often used for the guy brought in to bang out the last details and secure the deal. He didnďż˝t get rattled and he was good at what he did. Matter-of-fact. Street smart. -Dominick plowed ahead. And then, an amazing thing happened—a nearly disastrous amazing thing. As Chris Watts was talking to Dominick, he heard an electric tool of some kind burrowing its way through the wall behind him. It was one of our TARU guys, trying to get a bug planted inside—in precisely the wrong spot, at precisely the wrong time. Chris Watts was already rattled enough as it was, his partner giving himself up like that and leaving him to play out the siege on his own. And now, to hear our guys drilling through the wall, it just about set him off. +Dominick plowed ahead. And then, an amazing thing happenedďż˝a nearly disastrous amazing thing. As Chris Watts was talking to Dominick, he heard an electric tool of some kind burrowing its way through the wall behind him. It was one of our TARU guys, trying to get a bug planted insideďż˝in precisely the wrong spot, at precisely the wrong time. Chris Watts was already rattled enough as it was, his partner giving himself up like that and leaving him to play out the siege on his own. And now, to hear our guys drilling through the wall, it just about set him off. -He responded like a pit bull backed into a corner. He called Dominick a liar. Dominick was unflappable. He kept his cool as Chris Watts raged on the other end of the phone, and eventually Dominick’s cool, calm demeanor brought the guy from a boil to a simmer. +He responded like a pit bull backed into a corner. He called Dominick a liar. Dominick was unflappable. He kept his cool as Chris Watts raged on the other end of the phone, and eventually Dominickďż˝s cool, calm demeanor brought the guy from a boil to a simmer. -In retrospect, it was a fool move to try to get a bug inside the bank at this late stage—born out of frustration and panic. We’d gotten one of the hostage-takers out of the bank, but now we’d given back a measure of control. Startling the one remaining hostage-taker, who may or may not have been a loose cannon, was absolutely not a good idea. +In retrospect, it was a fool move to try to get a bug inside the bank at this late stageďż˝born out of frustration and panic. Weďż˝d gotten one of the hostage-takers out of the bank, but now weďż˝d given back a measure of control. Startling the one remaining hostage-taker, who may or may not have been a loose cannon, was absolutely not a good idea. -As Dominick went to work smoothing over the situation, Chris Watts switched things up on us. He said, “What if I let a hostage go?” +As Dominick went to work smoothing over the situation, Chris Watts switched things up on us. He said, ďż˝What if I let a hostage go?ďż˝ -This came as if from nowhere. Dominick hadn’t even thought to ask, but Chris Watts just offered up one of the tellers like it was no big deal—and to him, at this late stage in the standoff, I guess it wasn’t. From his view, such a conciliatory move might buy him enough time to figure out a way to escape. +This came as if from nowhere. Dominick hadnďż˝t even thought to ask, but Chris Watts just offered up one of the tellers like it was no big dealďż˝and to him, at this late stage in the standoff, I guess it wasnďż˝t. From his view, such a conciliatory move might buy him enough time to figure out a way to escape. -Dominick remained calm, but seized on the opportunity. He said he wanted to talk to the hostage first, to make sure everything went okay, so Chris Watts tapped one of the women and put her on the phone. The woman had been paying attention, knew there’d been some sort of snafu when Bobby wanted to give himself up, so even though she was still completely terrified she had the presence of mind to ask about the door. I remember thinking this showed a lot of brass—to be terrified, held against your will, roughed up a bit, and to still have your wits about you. +Dominick remained calm, but seized on the opportunity. He said he wanted to talk to the hostage first, to make sure everything went okay, so Chris Watts tapped one of the women and put her on the phone. The woman had been paying attention, knew thereďż˝d been some sort of snafu when Bobby wanted to give himself up, so even though she was still completely terrified she had the presence of mind to ask about the door. I remember thinking this showed a lot of brassďż˝to be terrified, held against your will, roughed up a bit, and to still have your wits about you. -She said, “Are you sure you have a key to the front door?” +She said, ďż˝Are you sure you have a key to the front door?ďż˝ -Dominick said, “The front door’s open.” +Dominick said, ďż˝The front doorďż˝s open.ďż˝ And it was. Ultimately, what happened was one of the women came out, unharmed, and an hour or so later the other woman followed, also unharmed. -We were working on getting the bank guard out, but we couldn’t be sure from the accounts of these bank tellers what kind of shape this guy might be in. We didn’t even know if he was still alive. They hadn’t seen him since first thing that morning. He could have had a heart attack and died—there was just no way to know. +We were working on getting the bank guard out, but we couldnďż˝t be sure from the accounts of these bank tellers what kind of shape this guy might be in. We didnďż˝t even know if he was still alive. They hadnďż˝t seen him since first thing that morning. He could have had a heart attack and diedďż˝there was just no way to know. -But Chris Watts had one last trick up his sleeve. He pulled a fast one on us and out of the blue, offered to come out. Maybe he thought he could catch us off guard one last time. What was strange about his sudden appearance was that he seemed to be looking about, surveying the scene, like he still thought he’d somehow elude capture. Right up until the moment the cops put the handcuffs on him, his gaze was darting back and forth, scanning for some kind of opportunity. The bright lights were on this guy, he was basically surrounded, but somewhere in the back of his scheming, racing mind he still thought he had a chance. +But Chris Watts had one last trick up his sleeve. He pulled a fast one on us and out of the blue, offered to come out. Maybe he thought he could catch us off guard one last time. What was strange about his sudden appearance was that he seemed to be looking about, surveying the scene, like he still thought heďż˝d somehow elude capture. Right up until the moment the cops put the handcuffs on him, his gaze was darting back and forth, scanning for some kind of opportunity. The bright lights were on this guy, he was basically surrounded, but somewhere in the back of his scheming, racing mind he still thought he had a chance. -It was a long, long day, but it went down in the books as a success. Nobody was hurt. The bad guys were in custody. And I emerged from the experience humbled by how much more there was to learn, but at the same time, awakened to and inspired by the elemental power of emotion, dialogue, and the FBI’s evolving toolbox of applied psychological tactics to influence and persuade just about anyone in any situation. +It was a long, long day, but it went down in the books as a success. Nobody was hurt. The bad guys were in custody. And I emerged from the experience humbled by how much more there was to learn, but at the same time, awakened to and inspired by the elemental power of emotion, dialogue, and the FBIďż˝s evolving toolbox of applied psychological tactics to influence and persuade just about anyone in any situation. -In the decades since my initiation into the world of high-stakes negotiations, I’ve been struck again and again by how valuable these seemingly simple approaches can be. The ability to get inside the head—and eventually under the skin—of your counterpart depends on these techniques and a willingness to change your approach, based on new evidence, along the way. As I’ve worked with executives and students to develop these skills, I always try to reinforce the message that being right isn’t the key to a successful negotiation—having the right mindset is. +In the decades since my initiation into the world of high-stakes negotiations, Iďż˝ve been struck again and again by how valuable these seemingly simple approaches can be. The ability to get inside the headďż˝and eventually under the skinďż˝of your counterpart depends on these techniques and a willingness to change your approach, based on new evidence, along the way. As Iďż˝ve worked with executives and students to develop these skills, I always try to reinforce the message that being right isnďż˝t the key to a successful negotiationďż˝having the right mindset is. -HOW TO CONFRONT—AND GET YOUR WAY—WITHOUT CONFRONTATION +HOW TO CONFRONTďż˝AND GET YOUR WAYďż˝WITHOUT CONFRONTATION I only half-jokingly refer to mirroring as magic or a Jedi mind trick because it gives you the ability to disagree without being disagreeable. -To consider just how useful that can be, think of the average workplace: invariably there is still someone in a position of authority who arrived at that position through aggressive assertiveness, sometimes outright intimidation, with “old school” top-down, command-and-control assumptions that the boss is always right. And let’s not delude ourselves: whatever the enlightened rules of the “new school,” in every environment (work or otherwise) you will always have to deal with forceful type A people who prefer consent to collaboration. +To consider just how useful that can be, think of the average workplace: invariably there is still someone in a position of authority who arrived at that position through aggressive assertiveness, sometimes outright intimidation, with ďż˝old schoolďż˝ top-down, command-and-control assumptions that the boss is always right. And letďż˝s not delude ourselves: whatever the enlightened rules of the ďż˝new school,ďż˝ in every environment (work or otherwise) you will always have to deal with forceful type A people who prefer consent to collaboration. -If you take a pit bull approach with another pit bull, you generally end up with a messy scene and lots of bruised feelings and resentment. Luckily, there’s another way without all the mess. +If you take a pit bull approach with another pit bull, you generally end up with a messy scene and lots of bruised feelings and resentment. Luckily, thereďż˝s another way without all the mess. -It’s just four simple steps: +Itďż˝s just four simple steps: 1.Use the late-night FM DJ voice. -2.Start with “I’m sorry . . .” +2.Start with ďż˝Iďż˝m sorry . . .ďż˝ 3.Mirror. @@ -719,65 +641,65 @@ It 5.Repeat. -One of my students experienced the effectiveness of this simple process at her workplace, where her impulsive boss was known for his “drive-bys”: an infuriating practice by which the boss would suddenly swing by one’s office or cubicle unannounced with an “urgent,” poorly thought out assignment that created a lot of unnecessary work. Past attempts at any kind of debate created immediate pushback. “There’s a better way” was always interpreted by this boss as “the lazy way.” +One of my students experienced the effectiveness of this simple process at her workplace, where her impulsive boss was known for his ďż˝drive-bysďż˝: an infuriating practice by which the boss would suddenly swing by oneďż˝s office or cubicle unannounced with an ďż˝urgent,ďż˝ poorly thought out assignment that created a lot of unnecessary work. Past attempts at any kind of debate created immediate pushback. ďż˝Thereďż˝s a better wayďż˝ was always interpreted by this boss as ďż˝the lazy way.ďż˝ -Such a drive-by occurred toward the end of a long consulting engagement, one that had generated literally thousands of documents. The boss, still skeptical of anything “digital,” wanted the security of paper copies. +Such a drive-by occurred toward the end of a long consulting engagement, one that had generated literally thousands of documents. The boss, still skeptical of anything ďż˝digital,ďż˝ wanted the security of paper copies. -Popping his head into her office, the boss said, “Let’s make two copies of all the paperwork.” +Popping his head into her office, the boss said, ďż˝Letďż˝s make two copies of all the paperwork.ďż˝ -“I’m sorry, two copies?” she mirrored in response, remembering not only the DJ voice, but to deliver the mirror in an inquisitive tone. The intention behind most mirrors should be “Please, help me understand.” Every time you mirror someone, they will reword what they’ve said. They will never say it exactly the same way they said it the first time. Ask someone, “What do you mean by that?” and you’re likely to incite irritation or defensiveness. A mirror, however, will get you the clarity you want while signaling respect and concern for what the other person is saying. +ďż˝Iďż˝m sorry, two copies?ďż˝ she mirrored in response, remembering not only the DJ voice, but to deliver the mirror in an inquisitive tone. The intention behind most mirrors should be ďż˝Please, help me understand.ďż˝ Every time you mirror someone, they will reword what theyďż˝ve said. They will never say it exactly the same way they said it the first time. Ask someone, ďż˝What do you mean by that?ďż˝ and youďż˝re likely to incite irritation or defensiveness. A mirror, however, will get you the clarity you want while signaling respect and concern for what the other person is saying. -“Yes,” her boss responded, “one for us and one for the customer.” +ďż˝Yes,ďż˝ her boss responded, ďż˝one for us and one for the customer.ďż˝ -“I’m sorry, so you are saying that the client is asking for a copy and we need a copy for internal use?” +ďż˝Iďż˝m sorry, so you are saying that the client is asking for a copy and we need a copy for internal use?ďż˝ -“Actually, I’ll check with the client—they haven’t asked for anything. But I definitely want a copy. That’s just how I do business.” +ďż˝Actually, Iďż˝ll check with the clientďż˝they havenďż˝t asked for anything. But I definitely want a copy. Thatďż˝s just how I do business.ďż˝ -“Absolutely,” she responded. “Thanks for checking with the customer. Where would you like to store the in-house copy? There’s no more space in the file room here.” +ďż˝Absolutely,ďż˝ she responded. ďż˝Thanks for checking with the customer. Where would you like to store the in-house copy? Thereďż˝s no more space in the file room here.ďż˝ -“It’s fine. You can store it anywhere,” he said, slightly perturbed now. +ďż˝Itďż˝s fine. You can store it anywhere,ďż˝ he said, slightly perturbed now. -“Anywhere?” she mirrored again, with calm concern. When another person’s tone of voice or body language is inconsistent with his words, a good mirror can be particularly useful. +ďż˝Anywhere?ďż˝ she mirrored again, with calm concern. When another personďż˝s tone of voice or body language is inconsistent with his words, a good mirror can be particularly useful. -In this case, it caused her boss to take a nice, long pause—something he did not often do. My student sat silent. “As a matter of fact, you can put them in my office,” he said, with more composure than he’d had the whole conversation. “I’ll get the new assistant to print it for me after the project is done. For now, just create two digital backups.” +In this case, it caused her boss to take a nice, long pauseďż˝something he did not often do. My student sat silent. ďż˝As a matter of fact, you can put them in my office,ďż˝ he said, with more composure than heďż˝d had the whole conversation. ďż˝Iďż˝ll get the new assistant to print it for me after the project is done. For now, just create two digital backups.ďż˝ -A day later her boss emailed and wrote simply, “The two digital backups will be fine.” +A day later her boss emailed and wrote simply, ďż˝The two digital backups will be fine.ďż˝ -Not long after, I received an ecstatic email from this student: “I was shocked! I love mirrors! A week of work avoided!” +Not long after, I received an ecstatic email from this student: ďż˝I was shocked! I love mirrors! A week of work avoided!ďż˝ -Mirroring will make you feel awkward as heck when you first try it. That’s the only hard part about it; the technique takes a little practice. Once you get the hang of it, though, it’ll become a conversational Swiss Army knife valuable in just about every professional and social setting. +Mirroring will make you feel awkward as heck when you first try it. Thatďż˝s the only hard part about it; the technique takes a little practice. Once you get the hang of it, though, itďż˝ll become a conversational Swiss Army knife valuable in just about every professional and social setting. KEY LESSONS -The language of negotiation is primarily a language of conversation and rapport: a way of quickly establishing relationships and getting people to talk and think together. Which is why when you think of the greatest negotiators of all time, I’ve got a surprise for you—think Oprah Winfrey. +The language of negotiation is primarily a language of conversation and rapport: a way of quickly establishing relationships and getting people to talk and think together. Which is why when you think of the greatest negotiators of all time, Iďż˝ve got a surprise for youďż˝think Oprah Winfrey. Her daily television show was a case study of a master practitioner at work: on a stage face-to-face with someone she has never met, in front of a crowded studio of hundreds, with millions more watching from home, and a task to persuade that person in front of her, sometimes against his or her own best interests, to talk and talk and keep talking, ultimately sharing with the world deep, dark secrets that they had held hostage in their own minds for a lifetime. -Look closely at such an interaction after reading this chapter and suddenly you’ll see a refined set of powerful skills: a conscious smile to ease the tension, use of subtle verbal and nonverbal language to signal empathy (and thus security), a certain downward inflection in the voice, embrace of specific kinds of questions and avoidance of others—a whole array of previously hidden skills that will prove invaluable to you, once you’ve learned to use them. +Look closely at such an interaction after reading this chapter and suddenly youďż˝ll see a refined set of powerful skills: a conscious smile to ease the tension, use of subtle verbal and nonverbal language to signal empathy (and thus security), a certain downward inflection in the voice, embrace of specific kinds of questions and avoidance of othersďż˝a whole array of previously hidden skills that will prove invaluable to you, once youďż˝ve learned to use them. Here are some of the key lessons from this chapter to remember: -¦A good negotiator prepares, going in, to be ready for possible surprises; a great negotiator aims to use her skills to reveal the surprises she is certain to find. +ďż˝A good negotiator prepares, going in, to be ready for possible surprises; a great negotiator aims to use her skills to reveal the surprises she is certain to find. -¦Don’t commit to assumptions; instead, view them as hypotheses and use the negotiation to test them rigorously. +ďż˝Donďż˝t commit to assumptions; instead, view them as hypotheses and use the negotiation to test them rigorously. -¦People who view negotiation as a battle of arguments become overwhelmed by the voices in their head. Negotiation is not an act of battle; it’s a process of discovery. The goal is to uncover as much information as possible. +ďż˝People who view negotiation as a battle of arguments become overwhelmed by the voices in their head. Negotiation is not an act of battle; itďż˝s a process of discovery. The goal is to uncover as much information as possible. -¦To quiet the voices in your head, make your sole and all-encompassing focus the other person and what they have to say. +ďż˝To quiet the voices in your head, make your sole and all-encompassing focus the other person and what they have to say. -¦Slow. It. Down. Going too fast is one of the mistakes all negotiators are prone to making. If we’re too much in a hurry, people can feel as if they’re not being heard. You risk undermining the rapport and trust you’ve built. +ďż˝Slow. It. Down. Going too fast is one of the mistakes all negotiators are prone to making. If weďż˝re too much in a hurry, people can feel as if theyďż˝re not being heard. You risk undermining the rapport and trust youďż˝ve built. -¦Put a smile on your face. When people are in a positive frame of mind, they think more quickly, and are more likely to collaborate and problem-solve (instead of fight and resist). Positivity creates mental agility in both you and your counterpart. +ďż˝Put a smile on your face. When people are in a positive frame of mind, they think more quickly, and are more likely to collaborate and problem-solve (instead of fight and resist). Positivity creates mental agility in both you and your counterpart. There are three voice tones available to negotiators: 1.The late-night FM DJ voice: Use selectively to make a point. Inflect your voice downward, keeping it calm and slow. When done properly, you create an aura of authority and trustworthiness without triggering defensiveness. -2.The positive/playful voice: Should be your default voice. It’s the voice of an easygoing, good-natured person. Your attitude is light and encouraging. The key here is to relax and smile while you’re talking. +2.The positive/playful voice: Should be your default voice. Itďż˝s the voice of an easygoing, good-natured person. Your attitude is light and encouraging. The key here is to relax and smile while youďż˝re talking. 3.The direct or assertive voice: Used rarely. Will cause problems and create pushback. -¦Mirrors work magic. Repeat the last three words (or the critical one to three words) of what someone has just said. We fear what’s different and are drawn to what’s similar. Mirroring is the art of insinuating similarity, which facilitates bonding. Use mirrors to encourage the other side to empathize and bond with you, keep people talking, buy your side time to regroup, and encourage your counterparts to reveal their strategy. +ďż˝Mirrors work magic. Repeat the last three words (or the critical one to three words) of what someone has just said. We fear whatďż˝s different and are drawn to whatďż˝s similar. Mirroring is the art of insinuating similarity, which facilitates bonding. Use mirrors to encourage the other side to empathize and bond with you, keep people talking, buy your side time to regroup, and encourage your counterparts to reveal their strategy. @@ -786,26 +708,26 @@ There are three voice tones available to negotiators: CHAPTER 3 -DON’T FEEL THEIR PAIN, LABEL IT +DONďż˝T FEEL THEIR PAIN, LABEL IT It was 1998 and I was standing in a narrow hallway outside an apartment on the twenty-seventh floor of a high-rise in Harlem. I was the head of the New York City FBI Crisis Negotiation Team, and that day I was the primary negotiator. The investigative squad had reported that at least three heavily armed fugitives were holed up inside. Several days earlier the fugitives had used automatic weapons in a shoot-out with a rival gang, so the New York City FBI SWAT team was arrayed behind me, and our snipers were on nearby rooftops with rifles trained on the apartment windows. -In tense situations like this, the traditional negotiating advice is to keep a poker face. Don’t get emotional. Until recently, most academics and researchers completely ignored the role of emotion in negotiation. Emotions were just an obstacle to a good outcome, they said. “Separate the people from the problem” was the common refrain. +In tense situations like this, the traditional negotiating advice is to keep a poker face. Donďż˝t get emotional. Until recently, most academics and researchers completely ignored the role of emotion in negotiation. Emotions were just an obstacle to a good outcome, they said. ďż˝Separate the people from the problemďż˝ was the common refrain. But think about that: How can you separate people from the problem when their emotions are the problem? Especially when they are scared people with guns. Emotions are one of the main things that derail communication. Once people get upset at one another, rational thinking goes out the window. -That’s why, instead of denying or ignoring emotions, good negotiators identify and influence them. They are able to precisely label emotions, those of others and especially their own. And once they label the emotions they talk about them without getting wound up. For them, emotion is a tool. +Thatďż˝s why, instead of denying or ignoring emotions, good negotiators identify and influence them. They are able to precisely label emotions, those of others and especially their own. And once they label the emotions they talk about them without getting wound up. For them, emotion is a tool. -Emotions aren’t the obstacles, they are the means. +Emotions arenďż˝t the obstacles, they are the means. -The relationship between an emotionally intelligent negotiator and their counterpart is essentially therapeutic. It duplicates that of a psychotherapist with a patient. The psychotherapist pokes and prods to understand his patient’s problems, and then turns the responses back onto the patient to get him to go deeper and change his behavior. That’s exactly what good negotiators do. +The relationship between an emotionally intelligent negotiator and their counterpart is essentially therapeutic. It duplicates that of a psychotherapist with a patient. The psychotherapist pokes and prods to understand his patientďż˝s problems, and then turns the responses back onto the patient to get him to go deeper and change his behavior. Thatďż˝s exactly what good negotiators do. -Getting to this level of emotional intelligence demands opening up your senses, talking less, and listening more. You can learn almost everything you need—and a lot more than other people would like you to know—simply by watching and listening, keeping your eyes peeled and your ears open, and your mouth shut. +Getting to this level of emotional intelligence demands opening up your senses, talking less, and listening more. You can learn almost everything you needďż˝and a lot more than other people would like you to knowďż˝simply by watching and listening, keeping your eyes peeled and your ears open, and your mouth shut. -Think about the therapist’s couch as you read the following sections. You’ll see how a soothing voice, close listening, and a calm repetition of the words of your “patient” can get you a lot further than a cold, rational argument. +Think about the therapistďż˝s couch as you read the following sections. Youďż˝ll see how a soothing voice, close listening, and a calm repetition of the words of your ďż˝patientďż˝ can get you a lot further than a cold, rational argument. It may sound touchy-feely, but if you can perceive the emotions of others, you have a chance to turn them to your advantage. The more you know about someone, the more power you have. @@ -815,9 +737,9 @@ We had one big problem that day in Harlem: no telephone number to call into the I used my late-night FM DJ voice. -I didn’t give orders in my DJ voice, or ask what the fugitives wanted. Instead, I imagined myself in their place. +I didnďż˝t give orders in my DJ voice, or ask what the fugitives wanted. Instead, I imagined myself in their place. -“It looks like you don’t want to come out,” I said repeatedly. “It seems like you worry that if you open the door, we’ll come in with guns blazing. It looks like you don’t want to go back to jail.” +ďż˝It looks like you donďż˝t want to come out,ďż˝ I said repeatedly. ďż˝It seems like you worry that if you open the door, weďż˝ll come in with guns blazing. It looks like you donďż˝t want to go back to jail.ďż˝ For six hours, we got no response. The FBI coaches loved my DJ voice. But was it working? @@ -831,85 +753,85 @@ Then I asked them the question that was most nagging me: Why did they come out a All three gave me the same answer. -“We didn’t want to get caught or get shot, but you calmed us down,” they said. “We finally believed you wouldn’t go away, so we just came out.” +ďż˝We didnďż˝t want to get caught or get shot, but you calmed us down,ďż˝ they said. ďż˝We finally believed you wouldnďż˝t go away, so we just came out.ďż˝ -There is nothing more frustrating or disruptive to any negotiation than to get the feeling you are talking to someone who isn’t listening. Playing dumb is a valid negotiating technique, and “I don’t understand” is a legitimate response. But ignoring the other party’s position only builds up frustration and makes them less likely to do what you want. +There is nothing more frustrating or disruptive to any negotiation than to get the feeling you are talking to someone who isnďż˝t listening. Playing dumb is a valid negotiating technique, and ďż˝I donďż˝t understandďż˝ is a legitimate response. But ignoring the other partyďż˝s position only builds up frustration and makes them less likely to do what you want. The opposite of that is tactical empathy. -In my negotiating course, I tell my students that empathy is “the ability to recognize the perspective of a counterpart, and the vocalization of that recognition.” That’s an academic way of saying that empathy is paying attention to another human being, asking what they are feeling, and making a commitment to understanding their world. +In my negotiating course, I tell my students that empathy is ďż˝the ability to recognize the perspective of a counterpart, and the vocalization of that recognition.ďż˝ Thatďż˝s an academic way of saying that empathy is paying attention to another human being, asking what they are feeling, and making a commitment to understanding their world. -Notice I didn’t say anything about agreeing with the other person’s values and beliefs or giving out hugs. That’s sympathy. What I’m talking about is trying to understand a situation from another person’s perspective. +Notice I didnďż˝t say anything about agreeing with the other personďż˝s values and beliefs or giving out hugs. Thatďż˝s sympathy. What Iďż˝m talking about is trying to understand a situation from another personďż˝s perspective. One step beyond that is tactical empathy. -Tactical empathy is understanding the feelings and mindset of another in the moment and also hearing what is behind those feelings so you increase your influence in all the moments that follow. It’s bringing our attention to both the emotional obstacles and the potential pathways to getting an agreement done. +Tactical empathy is understanding the feelings and mindset of another in the moment and also hearing what is behind those feelings so you increase your influence in all the moments that follow. Itďż˝s bringing our attention to both the emotional obstacles and the potential pathways to getting an agreement done. -It’s emotional intelligence on steroids. +Itďż˝s emotional intelligence on steroids. As a cop in Kansas City, I was curious about how a select handful of veteran cops managed to talk angry, violent people out of fights or to get them to put down their knives and guns. -When I asked how they did that, I rarely got more than a shrug. They couldn’t articulate what they did. But now I know the answer is tactical empathy. They were able to think from another person’s point of view while they were talking with that person and quickly assess what was driving them. +When I asked how they did that, I rarely got more than a shrug. They couldnďż˝t articulate what they did. But now I know the answer is tactical empathy. They were able to think from another personďż˝s point of view while they were talking with that person and quickly assess what was driving them. -Most of us enter verbal combat unlikely to persuade anyone of anything because we only know and care about our own goals and perspective. But the best officers are tuned in to the other party—their audience. They know that if they empathize, they can mold their audience by how they approach and talk to them. +Most of us enter verbal combat unlikely to persuade anyone of anything because we only know and care about our own goals and perspective. But the best officers are tuned in to the other partyďż˝their audience. They know that if they empathize, they can mold their audience by how they approach and talk to them. -That’s why, if a corrections officer approaches an inmate expecting him to resist, he often will. But if he approaches exuding calm, the inmate will be much more likely to be peaceful. It seems like wizardry, but it’s not. It’s just that when the officer has his audience clearly in mind, he can become who he needs to be to handle the situation. +Thatďż˝s why, if a corrections officer approaches an inmate expecting him to resist, he often will. But if he approaches exuding calm, the inmate will be much more likely to be peaceful. It seems like wizardry, but itďż˝s not. Itďż˝s just that when the officer has his audience clearly in mind, he can become who he needs to be to handle the situation. -Empathy is a classic “soft” communication skill, but it has a physical basis. When we closely observe a person’s face, gestures, and tone of voice, our brain begins to align with theirs in a process called neural resonance, and that lets us know more fully what they think and feel. +Empathy is a classic ďż˝softďż˝ communication skill, but it has a physical basis. When we closely observe a personďż˝s face, gestures, and tone of voice, our brain begins to align with theirs in a process called neural resonance, and that lets us know more fully what they think and feel. -In an fMRI brain-scan experiment,1 researchers at Princeton University found that neural resonance disappears when people communicate poorly. The researchers could predict how well people were communicating by observing how much their brains were aligned. And they discovered that people who paid the most attention—good listeners—could actually anticipate what the speaker was about to say before he said it. +In an fMRI brain-scan experiment,1 researchers at Princeton University found that neural resonance disappears when people communicate poorly. The researchers could predict how well people were communicating by observing how much their brains were aligned. And they discovered that people who paid the most attentionďż˝good listenersďż˝could actually anticipate what the speaker was about to say before he said it. -If you want to increase your neural resonance skills, take a moment right now and practice. Turn your attention to someone who’s talking near you, or watch a person being interviewed on TV. As they talk, imagine that you are that person. Visualize yourself in the position they describe and put in as much detail as you can, as if you were actually there. +If you want to increase your neural resonance skills, take a moment right now and practice. Turn your attention to someone whoďż˝s talking near you, or watch a person being interviewed on TV. As they talk, imagine that you are that person. Visualize yourself in the position they describe and put in as much detail as you can, as if you were actually there. But be warned, a lot of classic deal makers will think your approach is softheaded and weak. Just ask former secretary of state Hillary Clinton. -A few years ago during a speech at Georgetown University, Clinton advocated, “showing respect, even for one’s enemies. Trying to understand and, insofar as psychologically possible, empathize with their perspective and point of view.” +A few years ago during a speech at Georgetown University, Clinton advocated, ďż˝showing respect, even for oneďż˝s enemies. Trying to understand and, insofar as psychologically possible, empathize with their perspective and point of view.ďż˝ -You can predict what happened next. A gaggle of pundits and politicians pounced on her. They called her statement inane and naďve, and even a sign she had embraced the Muslim Brotherhood. Some said that she had blown her chances at a presidential run. +You can predict what happened next. A gaggle of pundits and politicians pounced on her. They called her statement inane and naďż˝ve, and even a sign she had embraced the Muslim Brotherhood. Some said that she had blown her chances at a presidential run. The problem with all of that hot air is that she was right. -Politics aside, empathy is not about being nice or agreeing with the other side. It’s about understanding them. Empathy helps us learn the position the enemy is in, why their actions make sense (to them), and what might move them. +Politics aside, empathy is not about being nice or agreeing with the other side. Itďż˝s about understanding them. Empathy helps us learn the position the enemy is in, why their actions make sense (to them), and what might move them. -As negotiators we use empathy because it works. Empathy is why the three fugitives came out after six hours of my late-night DJ voice. It’s what helped me succeed at what Sun Tzu called “the supreme art of war”: to subdue the enemy without fighting. +As negotiators we use empathy because it works. Empathy is why the three fugitives came out after six hours of my late-night DJ voice. Itďż˝s what helped me succeed at what Sun Tzu called ďż˝the supreme art of warďż˝: to subdue the enemy without fighting. LABELING -Let’s go back to the Harlem doorway for a minute. +Letďż˝s go back to the Harlem doorway for a minute. -We didn’t have a lot to go on, but if you’ve got three fugitives trapped in an apartment on the twenty-seventh floor of a building in Harlem, they don’t have to say a word for you to know that they’re worried about two things: getting killed, and going to jail. +We didnďż˝t have a lot to go on, but if youďż˝ve got three fugitives trapped in an apartment on the twenty-seventh floor of a building in Harlem, they donďż˝t have to say a word for you to know that theyďż˝re worried about two things: getting killed, and going to jail. So for six straight hours in that sweltering apartment building hallway, the two FBI negotiating students and I took turns speaking. We rotated in order to avoid verbal stumbles and other errors caused by tiredness. And we stayed relentlessly on message, all three of us saying the same thing. -Now, pay close attention to exactly what we said: “It looks like you don’t want to come out. It seems like you worry that if you open the door, we’ll come in with guns blazing. It looks like you don’t want to go back to jail.” +Now, pay close attention to exactly what we said: ďż˝It looks like you donďż˝t want to come out. It seems like you worry that if you open the door, weďż˝ll come in with guns blazing. It looks like you donďż˝t want to go back to jail.ďż˝ -We employed our tactical empathy by recognizing and then verbalizing the predictable emotions of the situation. We didn’t just put ourselves in the fugitives’ shoes. We spotted their feelings, turned them into words, and then very calmly and respectfully repeated their emotions back to them. +We employed our tactical empathy by recognizing and then verbalizing the predictable emotions of the situation. We didnďż˝t just put ourselves in the fugitivesďż˝ shoes. We spotted their feelings, turned them into words, and then very calmly and respectfully repeated their emotions back to them. -In a negotiation, that’s called labeling. +In a negotiation, thatďż˝s called labeling. -Labeling is a way of validating someone’s emotion by acknowledging it. Give someone’s emotion a name and you show you identify with how that person feels. It gets you close to someone without asking about external factors you know nothing about (“How’s your family?”). Think of labeling as a shortcut to intimacy, a time-saving emotional hack. +Labeling is a way of validating someoneďż˝s emotion by acknowledging it. Give someoneďż˝s emotion a name and you show you identify with how that person feels. It gets you close to someone without asking about external factors you know nothing about (ďż˝Howďż˝s your family?ďż˝). Think of labeling as a shortcut to intimacy, a time-saving emotional hack. -Labeling has a special advantage when your counterpart is tense. Exposing negative thoughts to daylight—“It looks like you don’t want to go back to jail”—makes them seem less frightening. +Labeling has a special advantage when your counterpart is tense. Exposing negative thoughts to daylight��It looks like you donďż˝t want to go back to jail��makes them seem less frightening. -In one brain imaging study,2 psychology professor Matthew Lieberman of the University of California, Los Angeles, found that when people are shown photos of faces expressing strong emotion, the brain shows greater activity in the amygdala, the part that generates fear. But when they are asked to label the emotion, the activity moves to the areas that govern rational thinking. In other words, labeling an emotion—applying rational words to a fear—disrupts its raw intensity. +In one brain imaging study,2 psychology professor Matthew Lieberman of the University of California, Los Angeles, found that when people are shown photos of faces expressing strong emotion, the brain shows greater activity in the amygdala, the part that generates fear. But when they are asked to label the emotion, the activity moves to the areas that govern rational thinking. In other words, labeling an emotionďż˝applying rational words to a fearďż˝disrupts its raw intensity. Labeling is a simple, versatile skill that lets you reinforce a good aspect of the negotiation, or diffuse a negative one. But it has very specific rules about form and delivery. That makes it less like chatting than like a formal art such as Chinese calligraphy. -For most people, it’s one of the most awkward negotiating tools to use. Before they try it the first time, my students almost always tell me they expect their counterpart to jump up and shout, “Don’t you dare tell me how I feel!” +For most people, itďż˝s one of the most awkward negotiating tools to use. Before they try it the first time, my students almost always tell me they expect their counterpart to jump up and shout, ďż˝Donďż˝t you dare tell me how I feel!ďż˝ Let me let you in on a secret: people never even notice. -The first step to labeling is detecting the other person’s emotional state. Outside that door in Harlem we couldn’t even see the fugitives, but most of the time you’ll have a wealth of information from the other person’s words, tone, and body language. We call that trinity “words, music, and dance.” +The first step to labeling is detecting the other personďż˝s emotional state. Outside that door in Harlem we couldnďż˝t even see the fugitives, but most of the time youďż˝ll have a wealth of information from the other personďż˝s words, tone, and body language. We call that trinity ďż˝words, music, and dance.ďż˝ The trick to spotting feelings is to pay close attention to changes people undergo when they respond to external events. Most often, those events are your words. -If you say, “How is the family?” and the corners of the other party’s mouth turn down even when they say it’s great, you might detect that all is not well; if their voice goes flat when a colleague is mentioned, there could be a problem between the two; and if your landlord unconsciously fidgets his feet when you mention the neighbors, it’s pretty clear that he doesn’t think much of them (we’ll dig deeper into how to spot and use these cues in Chapter 9). +If you say, ďż˝How is the family?ďż˝ and the corners of the other partyďż˝s mouth turn down even when they say itďż˝s great, you might detect that all is not well; if their voice goes flat when a colleague is mentioned, there could be a problem between the two; and if your landlord unconsciously fidgets his feet when you mention the neighbors, itďż˝s pretty clear that he doesnďż˝t think much of them (weďż˝ll dig deeper into how to spot and use these cues in Chapter 9). -Picking up on these tiny pieces of information is how psychics work. They size up their client’s body language and ask him a few innocent questions. When they “tell” his future a few minutes later, they’re really just saying what he wants to hear based on small details they’ve spotted. More than a few psychics would make good negotiators for that very reason. +Picking up on these tiny pieces of information is how psychics work. They size up their clientďż˝s body language and ask him a few innocent questions. When they ďż˝tellďż˝ his future a few minutes later, theyďż˝re really just saying what he wants to hear based on small details theyďż˝ve spotted. More than a few psychics would make good negotiators for that very reason. -Once you’ve spotted an emotion you want to highlight, the next step is to label it aloud. Labels can be phrased as statements or questions. The only difference is whether you end the sentence with a downward or upward inflection. But no matter how they end, labels almost always begin with roughly the same words: +Once youďż˝ve spotted an emotion you want to highlight, the next step is to label it aloud. Labels can be phrased as statements or questions. The only difference is whether you end the sentence with a downward or upward inflection. But no matter how they end, labels almost always begin with roughly the same words: It seems like . . . @@ -917,69 +839,69 @@ It sounds like . . . It looks like . . . -Notice we said “It sounds like . . .” and not “I’m hearing that . . .” That’s because the word “I” gets people’s guard up. When you say “I,” it says you’re more interested in yourself than the other person, and it makes you take personal responsibility for the words that follow—and the offense they might cause. +Notice we said ďż˝It sounds like . . .ďż˝ and not ďż˝Iďż˝m hearing that . . .ďż˝ Thatďż˝s because the word ďż˝Iďż˝ gets peopleďż˝s guard up. When you say ďż˝I,ďż˝ it says youďż˝re more interested in yourself than the other person, and it makes you take personal responsibility for the words that followďż˝and the offense they might cause. -But when you phrase a label as a neutral statement of understanding, it encourages your counterpart to be responsive. They’ll usually give a longer answer than just “yes” or “no.” And if they disagree with the label, that’s okay. You can always step back and say, “I didn’t say that was what it was. I just said it seems like that.” +But when you phrase a label as a neutral statement of understanding, it encourages your counterpart to be responsive. Theyďż˝ll usually give a longer answer than just ďż˝yesďż˝ or ďż˝no.ďż˝ And if they disagree with the label, thatďż˝s okay. You can always step back and say, ďż˝I didnďż˝t say that was what it was. I just said it seems like that.ďż˝ -The last rule of labeling is silence. Once you’ve thrown out a label, be quiet and listen. We all have a tendency to expand on what we’ve said, to finish, “It seems like you like the way that shirt looks,” with a specific question like “Where did you get it?” But a label’s power is that it invites the other person to reveal himself. +The last rule of labeling is silence. Once youďż˝ve thrown out a label, be quiet and listen. We all have a tendency to expand on what weďż˝ve said, to finish, ďż˝It seems like you like the way that shirt looks,ďż˝ with a specific question like ďż˝Where did you get it?ďż˝ But a labelďż˝s power is that it invites the other person to reveal himself. -If you’ll trust me for a second, take a break now and try it out: Strike up a conversation and put a label on one of the other person’s emotions—it doesn’t matter if you’re talking to the mailman or your ten-year-old daughter—and then go silent. Let the label do its work. +If youďż˝ll trust me for a second, take a break now and try it out: Strike up a conversation and put a label on one of the other personďż˝s emotionsďż˝it doesnďż˝t matter if youďż˝re talking to the mailman or your ten-year-old daughterďż˝and then go silent. Let the label do its work. NEUTRALIZE THE NEGATIVE, REINFORCE THE POSITIVE -Labeling is a tactic, not a strategy, in the same way a spoon is a great tool for stirring soup but it’s not a recipe. How you use labeling will go a long way in determining your success. Deployed well, it’s how we as negotiators identify and then slowly alter the inner voices of our counterpart’s consciousness to something more collaborative and trusting. +Labeling is a tactic, not a strategy, in the same way a spoon is a great tool for stirring soup but itďż˝s not a recipe. How you use labeling will go a long way in determining your success. Deployed well, itďż˝s how we as negotiators identify and then slowly alter the inner voices of our counterpartďż˝s consciousness to something more collaborative and trusting. -First, let’s talk a little human psychology. In basic terms, people’s emotions have two levels: the “presenting” behavior is the part above the surface you can see and hear; beneath, the “underlying” feeling is what motivates the behavior. +First, letďż˝s talk a little human psychology. In basic terms, peopleďż˝s emotions have two levels: the ďż˝presentingďż˝ behavior is the part above the surface you can see and hear; beneath, the ďż˝underlyingďż˝ feeling is what motivates the behavior. -Imagine a grandfather who’s grumbly at a family holiday dinner: the presenting behavior is that he’s cranky, but the underlying emotion is a sad sense of loneliness from his family never seeing him. +Imagine a grandfather whoďż˝s grumbly at a family holiday dinner: the presenting behavior is that heďż˝s cranky, but the underlying emotion is a sad sense of loneliness from his family never seeing him. What good negotiators do when labeling is address those underlying emotions. Labeling negatives diffuses them (or defuses them, in extreme cases); labeling positives reinforces them. -We’ll come back to the cranky grandfather in a moment. First, though, I want to talk a little bit about anger. +Weďż˝ll come back to the cranky grandfather in a moment. First, though, I want to talk a little bit about anger. -As an emotion, anger is rarely productive—in you or the person you’re negotiating with. It releases stress hormones and neurochemicals that disrupt your ability to properly evaluate and respond to situations. And it blinds you to the fact that you’re angry in the first place, which gives you a false sense of confidence. +As an emotion, anger is rarely productiveďż˝in you or the person youďż˝re negotiating with. It releases stress hormones and neurochemicals that disrupt your ability to properly evaluate and respond to situations. And it blinds you to the fact that youďż˝re angry in the first place, which gives you a false sense of confidence. -That’s not to say that negative feelings should be ignored. That can be just as damaging. Instead, they should be teased out. Labeling is a helpful tactic in de-escalating angry confrontations, because it makes the person acknowledge their feelings rather than continuing to act out. +Thatďż˝s not to say that negative feelings should be ignored. That can be just as damaging. Instead, they should be teased out. Labeling is a helpful tactic in de-escalating angry confrontations, because it makes the person acknowledge their feelings rather than continuing to act out. Early on in my hostage negotiation career, I learned how important it was to go directly at negative dynamics in a fearless but deferential manner. -It was to fix a situation I’d created myself. I’d angered the top FBI official in Canada when I entered the country without first alerting him (so he could notify the Department of State), a procedure known as “country clearance.” +It was to fix a situation Iďż˝d created myself. Iďż˝d angered the top FBI official in Canada when I entered the country without first alerting him (so he could notify the Department of State), a procedure known as ďż˝country clearance.ďż˝ -I knew I needed to call and assuage him to straighten out the situation, or I risked being expelled. Top guys like to feel on top. They don’t want to be disrespected. All the more so when the office they run isn’t a sexy assignment. +I knew I needed to call and assuage him to straighten out the situation, or I risked being expelled. Top guys like to feel on top. They donďż˝t want to be disrespected. All the more so when the office they run isnďż˝t a sexy assignment. -“Bless me, Father, for I have sinned,” I said when he answered the phone. +ďż˝Bless me, Father, for I have sinned,ďż˝ I said when he answered the phone. There was a long pause at the other end of the line. -“Who is this?” he said. +ďż˝Who is this?ďż˝ he said. -“Bless me, Father, for I have sinned,” I repeated. “It’s Chris Voss.” +ďż˝Bless me, Father, for I have sinned,ďż˝ I repeated. ďż˝Itďż˝s Chris Voss.ďż˝ Again there was a long silence. -“Does your boss know you’re here?” +ďż˝Does your boss know youďż˝re here?ďż˝ -I said he did, and crossed my fingers. At this point, the FBI official would have been completely within his rights to tell me to leave Canada immediately. But by mentioning the negative dynamic, I knew I’d diffused it as much as I could. I had a chance. +I said he did, and crossed my fingers. At this point, the FBI official would have been completely within his rights to tell me to leave Canada immediately. But by mentioning the negative dynamic, I knew Iďż˝d diffused it as much as I could. I had a chance. -“All right, you’ve got country clearance,” he finally said. “I’ll take care of the paperwork.” +ďż˝All right, youďż˝ve got country clearance,ďż˝ he finally said. ďż˝Iďż˝ll take care of the paperwork.ďż˝ -Try this the next time you have to apologize for a bone-headed mistake. Go right at it. The fastest and most efficient means of establishing a quick working relationship is to acknowledge the negative and diffuse it. Whenever I was dealing with the family of a hostage, I started out by saying I knew they were scared. And when I make a mistake—something that happens a lot—I always acknowledge the other person’s anger. I’ve found the phrase “Look, I’m an asshole” to be an amazingly effective way to make problems go away. +Try this the next time you have to apologize for a bone-headed mistake. Go right at it. The fastest and most efficient means of establishing a quick working relationship is to acknowledge the negative and diffuse it. Whenever I was dealing with the family of a hostage, I started out by saying I knew they were scared. And when I make a mistakeďż˝something that happens a lotďż˝I always acknowledge the other personďż˝s anger. Iďż˝ve found the phrase ďż˝Look, Iďż˝m an assholeďż˝ to be an amazingly effective way to make problems go away. That approach has never failed me. -Let’s go back to the cranky grandfather. +Letďż˝s go back to the cranky grandfather. -He’s grumpy because he never sees the family and he feels left out. So he’s speaking up in his own dysfunctional way to get attention. +Heďż˝s grumpy because he never sees the family and he feels left out. So heďż˝s speaking up in his own dysfunctional way to get attention. How do you fix that? Instead of addressing his grumpy behavior, you acknowledge his sadness in a nonjudgmental way. You head him off before he can really get started. -“We don’t see each other all that often,” you could say. “It seems like you feel like we don’t pay any attention to you and you only see us once a year, so why should you make time for us?” +ďż˝We donďż˝t see each other all that often,ďż˝ you could say. ďż˝It seems like you feel like we donďż˝t pay any attention to you and you only see us once a year, so why should you make time for us?ďż˝ -Notice how that acknowledges the situation and labels his sadness? Here you can pause briefly, letting him recognize and appreciate your attempts to understand what he’s feeling, and then turn the situation around by offering a positive solution. +Notice how that acknowledges the situation and labels his sadness? Here you can pause briefly, letting him recognize and appreciate your attempts to understand what heďż˝s feeling, and then turn the situation around by offering a positive solution. -“For us this is a real treat. We want to hear what you have to talk about. We want to value this time with you because we feel left out of your life.” +ďż˝For us this is a real treat. We want to hear what you have to talk about. We want to value this time with you because we feel left out of your life.ďż˝ Research shows that the best way to deal with negativity is to observe it, without reaction and without judgment. Then consciously label each negative feeling and replace it with positive, compassionate, and solution-based thoughts. @@ -987,189 +909,189 @@ One of my Georgetown University students, a guy named TJ, who worked as an assis The economy was in the toilet at the time, and Redskins season ticket holders were leaving in droves to avoid the cost. Worse, the team had been terrible the year before, and off-field player problems were alienating the fans. -The team’s CFO was getting more worried—and cranky—by the day, and two weeks before the season was to start he walked by TJ’s desk and slammed down a folder full of paper. +The teamďż˝s CFO was getting more worriedďż˝and crankyďż˝by the day, and two weeks before the season was to start he walked by TJďż˝s desk and slammed down a folder full of paper. -“Better yesterday than today,” he said and walked away. +ďż˝Better yesterday than today,ďż˝ he said and walked away. -Inside was a list of forty season ticket holders who hadn’t paid their bills, a USB drive with a spreadsheet about each one’s situation, and a script to use when calling them. +Inside was a list of forty season ticket holders who hadnďż˝t paid their bills, a USB drive with a spreadsheet about each oneďż˝s situation, and a script to use when calling them. -TJ saw right away that the script was a disaster. It began by saying that his colleagues had been trying to call for months, and the account had been escalated to him. “I wanted to inform you,” it read, “that in order to receive your tickets for the upcoming season opener against the New York Giants, you will need to pay your outstanding balance in full prior to September 10.” +TJ saw right away that the script was a disaster. It began by saying that his colleagues had been trying to call for months, and the account had been escalated to him. ďż˝I wanted to inform you,ďż˝ it read, ďż˝that in order to receive your tickets for the upcoming season opener against the New York Giants, you will need to pay your outstanding balance in full prior to September 10.ďż˝ -It was the stupidly aggressive, impersonal, tone-deaf style of communication that is the default for most business. It was all “me, me, me” from TJ, with no acknowledgment of the ticket holder’s situation. No empathy. No connection. Just give me the money. +It was the stupidly aggressive, impersonal, tone-deaf style of communication that is the default for most business. It was all ďż˝me, me, meďż˝ from TJ, with no acknowledgment of the ticket holderďż˝s situation. No empathy. No connection. Just give me the money. -Maybe I don’t need to say it, but the script didn’t work. TJ left messages; no one called back. +Maybe I donďż˝t need to say it, but the script didnďż˝t work. TJ left messages; no one called back. -A few weeks into the class, TJ rewrote the script. These weren’t massive changes, and he didn’t offer the fans any discounts. What he did was add subtle tweaks to make the call about the fans, their situation, and their love of the team. +A few weeks into the class, TJ rewrote the script. These werenďż˝t massive changes, and he didnďż˝t offer the fans any discounts. What he did was add subtle tweaks to make the call about the fans, their situation, and their love of the team. -Now the team was “YOUR Washington Redskins” and the purpose of the call was to ensure that the team’s most valuable fans—the delinquent customers—would be there at the season opener. “The home-field advantage created by you each and every Sunday at FedEx Field does not go unnoticed,” TJ wrote. He then told them, “In these difficult times, we understand our fans have been hit hard and we are here to work with you,” and asked the ticket holders to call back to talk through their “unique situation.” +Now the team was ďż˝YOUR Washington Redskinsďż˝ and the purpose of the call was to ensure that the teamďż˝s most valuable fansďż˝the delinquent customersďż˝would be there at the season opener. ďż˝The home-field advantage created by you each and every Sunday at FedEx Field does not go unnoticed,ďż˝ TJ wrote. He then told them, ďż˝In these difficult times, we understand our fans have been hit hard and we are here to work with you,ďż˝ and asked the ticket holders to call back to talk through their ďż˝unique situation.ďż˝ -Though superficially simple, the changes TJ made in the script had a deep emotional resonance with the delinquent ticket holders. It mentioned their debt to the team but also acknowledged the team’s debt to them, and by labeling the tough economic times, and the stress they were causing, it diffused the biggest negative dynamic—their delinquency—and turned the issue into something solvable. +Though superficially simple, the changes TJ made in the script had a deep emotional resonance with the delinquent ticket holders. It mentioned their debt to the team but also acknowledged the teamďż˝s debt to them, and by labeling the tough economic times, and the stress they were causing, it diffused the biggest negative dynamicďż˝their delinquencyďż˝and turned the issue into something solvable. -The simple changes masked a complex understanding of empathy on TJ’s side. With the new script, TJ was able to set up payment plans with all the ticket holders before the Giants game. And the CFO’s next visit? Well, it was far less terse. +The simple changes masked a complex understanding of empathy on TJďż˝s side. With the new script, TJ was able to set up payment plans with all the ticket holders before the Giants game. And the CFOďż˝s next visit? Well, it was far less terse. CLEAR THE ROAD BEFORE ADVERTISING THE DESTINATION -Remember the amygdala, the part of the brain that generates fear in reaction to threats? Well, the faster we can interrupt the amygdala’s reaction to real or imaginary threats, the faster we can clear the road of obstacles, and the quicker we can generate feelings of safety, well-being, and trust. +Remember the amygdala, the part of the brain that generates fear in reaction to threats? Well, the faster we can interrupt the amygdalaďż˝s reaction to real or imaginary threats, the faster we can clear the road of obstacles, and the quicker we can generate feelings of safety, well-being, and trust. We do that by labeling the fears. These labels are so powerful because they bathe the fears in sunlight, bleaching them of their power and showing our counterpart that we understand. -Think back to that Harlem landing: I didn’t say, “It seems like you want us to let you go.” We could all agree on that. But that wouldn’t have diffused the real fear in the apartment, or shown that I empathized with the grim complexity of their situation. That’s why I went right at the amygdala and said, “It seems like you don’t want to go back to jail.” +Think back to that Harlem landing: I didnďż˝t say, ďż˝It seems like you want us to let you go.ďż˝ We could all agree on that. But that wouldnďż˝t have diffused the real fear in the apartment, or shown that I empathized with the grim complexity of their situation. Thatďż˝s why I went right at the amygdala and said, ďż˝It seems like you donďż˝t want to go back to jail.ďż˝ -Once they’ve been labeled and brought into the open, the negative reactions in your counterpart’s amygdala will begin to soften. I promise it will shock you how suddenly his language turns from worry to optimism. Empathy is a powerful mood enhancer. +Once theyďż˝ve been labeled and brought into the open, the negative reactions in your counterpartďż˝s amygdala will begin to soften. I promise it will shock you how suddenly his language turns from worry to optimism. Empathy is a powerful mood enhancer. -The road is not always cleared so easily, so don’t be demoralized if this process seems to go slowly. The Harlem high-rise negotiation took six hours. Many of us wear fears upon fears, like layers against the cold, so getting to safety takes time. +The road is not always cleared so easily, so donďż˝t be demoralized if this process seems to go slowly. The Harlem high-rise negotiation took six hours. Many of us wear fears upon fears, like layers against the cold, so getting to safety takes time. -That was the experience of another one of my students, a fund-raiser for the Girl Scouts, who backed into naming her counterpart’s fears almost accidentally. +That was the experience of another one of my students, a fund-raiser for the Girl Scouts, who backed into naming her counterpartďż˝s fears almost accidentally. -We’re not talking about someone who sold Girl Scout cookies: my student was an experienced fund-raiser who regularly got donors to pony up $1,000 to $25,000 a check. Over the years, she’d developed a very successful system to get her “clients,” usually wealthy women, to open their checkbook. +Weďż˝re not talking about someone who sold Girl Scout cookies: my student was an experienced fund-raiser who regularly got donors to pony up $1,000 to $25,000 a check. Over the years, sheďż˝d developed a very successful system to get her ďż˝clients,ďż˝ usually wealthy women, to open their checkbook. -She’d invite a potential donor to her office, serve a few Girl Scouts cookies, walk her through an album of heartwarming snapshots and handwritten letters from projects that matched the woman’s profile, and then collect a check when the donor’s eyes lit up. It was almost easy. +Sheďż˝d invite a potential donor to her office, serve a few Girl Scouts cookies, walk her through an album of heartwarming snapshots and handwritten letters from projects that matched the womanďż˝s profile, and then collect a check when the donorďż˝s eyes lit up. It was almost easy. One day, though, she met the immovable donor. Once the woman sat down in her office, my student began to throw out the projects her research had said would fit. But the woman shook her head at one project after another. -My student found herself growing perplexed at the difficult donor who had no interest in donating. But she held her emotion in check and reached back to a lesson from my recent class on labeling. “I’m sensing some hesitation with these projects,” she said in what she hoped was a level voice. +My student found herself growing perplexed at the difficult donor who had no interest in donating. But she held her emotion in check and reached back to a lesson from my recent class on labeling. ďż˝Iďż˝m sensing some hesitation with these projects,ďż˝ she said in what she hoped was a level voice. -As if she’d been uncorked, the woman exclaimed: “I want my gift to directly support programming for Girl Scouts and not anything else.” +As if sheďż˝d been uncorked, the woman exclaimed: ďż˝I want my gift to directly support programming for Girl Scouts and not anything else.ďż˝ -This helped focus the conversation, but as my student put forth project after project that seemed to fulfill the donor’s criteria, all she got was still rejection. +This helped focus the conversation, but as my student put forth project after project that seemed to fulfill the donorďż˝s criteria, all she got was still rejection. -Sensing the potential donor’s growing frustration, and wanting to end on a positive note so that they might be able to meet again, my student used another label. “It seems that you are really passionate about this gift and want to find the right project reflecting the opportunities and life-changing experiences the Girl Scouts gave you.” +Sensing the potential donorďż˝s growing frustration, and wanting to end on a positive note so that they might be able to meet again, my student used another label. ďż˝It seems that you are really passionate about this gift and want to find the right project reflecting the opportunities and life-changing experiences the Girl Scouts gave you.ďż˝ -And with that, this “difficult” woman signed a check without even picking a specific project. “You understand me,” she said as she got up to leave. “I trust you’ll find the right project.” +And with that, this ďż˝difficultďż˝ woman signed a check without even picking a specific project. ďż˝You understand me,ďż˝ she said as she got up to leave. ďż˝I trust youďż˝ll find the right project.ďż˝ -Fear of her money being misappropriated was the presenting dynamic that the first label uncovered. But the second label uncovered the underlying dynamic—her very presence in the office was driven by very specific memories of being a little Girl Scout and how it changed her life. +Fear of her money being misappropriated was the presenting dynamic that the first label uncovered. But the second label uncovered the underlying dynamicďż˝her very presence in the office was driven by very specific memories of being a little Girl Scout and how it changed her life. -The obstacle here wasn’t finding the right match for the woman. It wasn’t that she was this highly finicky, hard-to-please donor. The real obstacle was that this woman needed to feel that she was understood, that the person handling her money knew why she was in that office and understood the memories that were driving her actions. +The obstacle here wasnďż˝t finding the right match for the woman. It wasnďż˝t that she was this highly finicky, hard-to-please donor. The real obstacle was that this woman needed to feel that she was understood, that the person handling her money knew why she was in that office and understood the memories that were driving her actions. -That’s why labels are so powerful and so potentially transformative to the state of any conversation. By digging beneath what seems like a mountain of quibbles, details, and logistics, labels help to uncover and identify the primary emotion driving almost all of your counterpart’s behavior, the emotion that, once acknowledged, seems to miraculously solve everything else. +Thatďż˝s why labels are so powerful and so potentially transformative to the state of any conversation. By digging beneath what seems like a mountain of quibbles, details, and logistics, labels help to uncover and identify the primary emotion driving almost all of your counterpartďż˝s behavior, the emotion that, once acknowledged, seems to miraculously solve everything else. DO AN ACCUSATION AUDIT -On the first day of negotiating class each semester, I march the group through an introductory exercise called “sixty seconds or she dies.” I play a hostage-taker and a student has to convince me to release my hostage within a minute. It’s an icebreaker that shows me the level of my students, and it reveals to them how much they need to learn. (Here’s a little secret: the hostage never gets out.) +On the first day of negotiating class each semester, I march the group through an introductory exercise called ďż˝sixty seconds or she dies.ďż˝ I play a hostage-taker and a student has to convince me to release my hostage within a minute. Itďż˝s an icebreaker that shows me the level of my students, and it reveals to them how much they need to learn. (Hereďż˝s a little secret: the hostage never gets out.) -Sometimes students jump right in, but finding takers is usually hard because it means coming to the front of the class and competing with the guy who holds all the cards. If I just ask for a volunteer, my students sit on their hands and look away. You’ve been there. You can almost feel your back muscles tense as you think, Oh please, don’t call on me. +Sometimes students jump right in, but finding takers is usually hard because it means coming to the front of the class and competing with the guy who holds all the cards. If I just ask for a volunteer, my students sit on their hands and look away. Youďż˝ve been there. You can almost feel your back muscles tense as you think, Oh please, donďż˝t call on me. -So I don’t ask. Instead, I say, “In case you’re worried about volunteering to role-play with me in front of the class, I want to tell you in advance . . . it’s going to be horrible.” +So I donďż˝t ask. Instead, I say, ďż˝In case youďż˝re worried about volunteering to role-play with me in front of the class, I want to tell you in advance . . . itďż˝s going to be horrible.ďż˝ -After the laughter dies down, I then say, “And those of you who do volunteer will probably get more out of this than anyone else.” +After the laughter dies down, I then say, ďż˝And those of you who do volunteer will probably get more out of this than anyone else.ďż˝ I always end up with more volunteers than I need. -Now, look at what I did: I prefaced the conversation by labeling my audience’s fears; how much worse can something be than “horrible”? I defuse them and wait, letting it sink in and thereby making the unreasonable seem less forbidding. +Now, look at what I did: I prefaced the conversation by labeling my audienceďż˝s fears; how much worse can something be than ďż˝horribleďż˝? I defuse them and wait, letting it sink in and thereby making the unreasonable seem less forbidding. -All of us have intuitively done something close to this thousands of times. You’ll start a criticism of a friend by saying, “I don’t want this to sound harsh . . .” hoping that whatever comes next will be softened. Or you’ll say, “I don’t want to seem like an asshole . . .” hoping your counterpart will tell you a few sentences later that you’re not that bad. The small but critical mistake this commits is denying the negative. That actually gives it credence. +All of us have intuitively done something close to this thousands of times. Youďż˝ll start a criticism of a friend by saying, ďż˝I donďż˝t want this to sound harsh . . .ďż˝ hoping that whatever comes next will be softened. Or youďż˝ll say, ďż˝I donďż˝t want to seem like an asshole . . .ďż˝ hoping your counterpart will tell you a few sentences later that youďż˝re not that bad. The small but critical mistake this commits is denying the negative. That actually gives it credence. -In court, defense lawyers do this properly by mentioning everything their client is accused of, and all the weaknesses of their case, in the opening statement. They call this technique “taking the sting out.” +In court, defense lawyers do this properly by mentioning everything their client is accused of, and all the weaknesses of their case, in the opening statement. They call this technique ďż˝taking the sting out.ďż˝ -What I want to do here is turn this into a process that, applied systematically, you can use to disarm your counterpart while negotiating everything from your son’s bedtime to large business contracts. +What I want to do here is turn this into a process that, applied systematically, you can use to disarm your counterpart while negotiating everything from your sonďż˝s bedtime to large business contracts. The first step of doing so is listing every terrible thing your counterpart could say about you, in what I call an accusation audit. -This idea of an accusation audit is really, really hard for people to get their minds around. The first time I tell my students about it, they say, “Oh my God. We can’t do that.” It seems both artificial and self-loathing. It seems like it would make things worse. But then I remind them that it’s exactly what I did the first day of class when I labeled their fears of the hostage game in advance. And they all admit that none of them knew. +This idea of an accusation audit is really, really hard for people to get their minds around. The first time I tell my students about it, they say, ďż˝Oh my God. We canďż˝t do that.ďż˝ It seems both artificial and self-loathing. It seems like it would make things worse. But then I remind them that itďż˝s exactly what I did the first day of class when I labeled their fears of the hostage game in advance. And they all admit that none of them knew. -As an example, I’m going to use the experience of one of my students, Anna, because I couldn’t be more proud at how she turned what she learned in my class into $1 million. +As an example, Iďż˝m going to use the experience of one of my students, Anna, because I couldnďż˝t be more proud at how she turned what she learned in my class into $1 million. -At the time, Anna was representing a major government contractor. Her firm had won a competition for a sizable government deal by partnering with a smaller company, let’s call it ABC Corp., whose CEO had a close relationship with the government client representative. +At the time, Anna was representing a major government contractor. Her firm had won a competition for a sizable government deal by partnering with a smaller company, letďż˝s call it ABC Corp., whose CEO had a close relationship with the government client representative. -Problems started right after they won the contract, though. Because ABC’s relationship had been instrumental in winning the deal, ABC felt that it was owed a piece of the pie whether it fulfilled its part of the contract or not. +Problems started right after they won the contract, though. Because ABCďż˝s relationship had been instrumental in winning the deal, ABC felt that it was owed a piece of the pie whether it fulfilled its part of the contract or not. -And so, while the contract paid them for the work of nine people, they continually cut back support. As Anna’s company had to perform ABC’s work, the relationship between ABC and Anna’s company fragmented into vituperative emails and bitter complaining. Facing an already low profit margin, Anna’s company was forced into tough negotiations to get ABC to take a cut to 5.5 people. The negotiations left a bitter aftertaste on both sides. The vituperative emails stopped, but then again all emails stopped. And no communication is always a bad sign. +And so, while the contract paid them for the work of nine people, they continually cut back support. As Annaďż˝s company had to perform ABCďż˝s work, the relationship between ABC and Annaďż˝s company fragmented into vituperative emails and bitter complaining. Facing an already low profit margin, Annaďż˝s company was forced into tough negotiations to get ABC to take a cut to 5.5 people. The negotiations left a bitter aftertaste on both sides. The vituperative emails stopped, but then again all emails stopped. And no communication is always a bad sign. -A few months after those painful talks, the client demanded a major rethink on the project and Anna’s firm was faced with losing serious money if it didn’t get ABC to agree to further cuts. Because ABC wasn’t living up to its side of the bargain, Anna’s firm would have had strong contractual grounds to cut out ABC altogether. But that would have damaged Anna’s firm’s reputation with a very important customer, and could have led to litigation from ABC. +A few months after those painful talks, the client demanded a major rethink on the project and Annaďż˝s firm was faced with losing serious money if it didnďż˝t get ABC to agree to further cuts. Because ABC wasnďż˝t living up to its side of the bargain, Annaďż˝s firm would have had strong contractual grounds to cut out ABC altogether. But that would have damaged Annaďż˝s firmďż˝s reputation with a very important customer, and could have led to litigation from ABC. -Faced with this scenario, Anna set up a meeting with ABC where she and her partners planned to inform ABC that its pay was being cut to three people. It was a touchy situation, as ABC was already unhappy about the first cut. Even though she was normally an aggressive and confident negotiator, worries about the negotiations ruined Anna’s sleep for weeks. She needed to extract concessions while improving the relationship at the same time. No easy task, right? +Faced with this scenario, Anna set up a meeting with ABC where she and her partners planned to inform ABC that its pay was being cut to three people. It was a touchy situation, as ABC was already unhappy about the first cut. Even though she was normally an aggressive and confident negotiator, worries about the negotiations ruined Annaďż˝s sleep for weeks. She needed to extract concessions while improving the relationship at the same time. No easy task, right? To prepare, the first thing Anna did was sit down with her negotiating partner, Mark, and list every negative charge that ABC could level at them. The relationship had gone sour long before, so the list was huge. But the biggest possible accusations were easy to spot: -“You are the typical prime contractor trying to force out the small guy.” +ďż˝You are the typical prime contractor trying to force out the small guy.ďż˝ -“You promised us we would have all this work and you reneged on your promise.” +ďż˝You promised us we would have all this work and you reneged on your promise.ďż˝ -“You could have told us about this issue weeks ago to help us prepare.” +ďż˝You could have told us about this issue weeks ago to help us prepare.ďż˝ -Anna and Mark then took turns role-playing the two sides, with one playing ABC and the other disarming these accusations with anticipatory labels. “You’re going to think we are a big, bad prime contractor when we are done,” Anna practiced saying slowly and naturally. “It seems you feel this work was promised to you from the beginning,” Mark said. They trained in front of an observer, honing their pacing; deciding at what point they would label each fear; and planning when to include meaningful pauses. It was theater. +Anna and Mark then took turns role-playing the two sides, with one playing ABC and the other disarming these accusations with anticipatory labels. ďż˝Youďż˝re going to think we are a big, bad prime contractor when we are done,ďż˝ Anna practiced saying slowly and naturally. ďż˝It seems you feel this work was promised to you from the beginning,ďż˝ Mark said. They trained in front of an observer, honing their pacing; deciding at what point they would label each fear; and planning when to include meaningful pauses. It was theater. -When the day of the meeting arrived, Anna opened by acknowledging ABC’s biggest gripes. “We understand that we brought you on board with the shared goal of having you lead this work,” she said. “You may feel like we have treated you unfairly, and that we changed the deal significantly since then. We acknowledge that you believe you were promised this work.” +When the day of the meeting arrived, Anna opened by acknowledging ABCďż˝s biggest gripes. ďż˝We understand that we brought you on board with the shared goal of having you lead this work,ďż˝ she said. ďż˝You may feel like we have treated you unfairly, and that we changed the deal significantly since then. We acknowledge that you believe you were promised this work.ďż˝ -This received an emphatic nod from the ABC representatives, so Anna continued by outlining the situation in a way that encouraged the ABC reps to see the firms as teammates, peppering her statements with open-ended questions that showed she was listening: “What else is there you feel is important to add to this?” +This received an emphatic nod from the ABC representatives, so Anna continued by outlining the situation in a way that encouraged the ABC reps to see the firms as teammates, peppering her statements with open-ended questions that showed she was listening: ďż˝What else is there you feel is important to add to this?ďż˝ -By labeling the fears and asking for input, Anna was able to elicit an important fact about ABC’s fears, namely that ABC was expecting this to be a high-profit contract because it thought Anna’s firm was doing quite well from the deal. +By labeling the fears and asking for input, Anna was able to elicit an important fact about ABCďż˝s fears, namely that ABC was expecting this to be a high-profit contract because it thought Annaďż˝s firm was doing quite well from the deal. -This provided an entry point for Mark, who explained that the client’s new demands had turned his firm’s profits into losses, meaning that he and Anna needed to cut ABC’s pay further, to three people. Angela, one of ABC’s representatives, gasped. +This provided an entry point for Mark, who explained that the clientďż˝s new demands had turned his firmďż˝s profits into losses, meaning that he and Anna needed to cut ABCďż˝s pay further, to three people. Angela, one of ABCďż˝s representatives, gasped. -“It sounds like you think we are the big, bad prime contractor trying to push out the small business,” Anna said, heading off the accusation before it could be made. +ďż˝It sounds like you think we are the big, bad prime contractor trying to push out the small business,ďż˝ Anna said, heading off the accusation before it could be made. -“No, no, we don’t think that,” Angela said, conditioned by the acknowledgment to look for common ground. +ďż˝No, no, we donďż˝t think that,ďż˝ Angela said, conditioned by the acknowledgment to look for common ground. -With the negatives labeled and the worst accusations laid bare, Anna and Mark were able to turn the conversation to the contract. Watch what they do closely, as it’s brilliant: they acknowledge ABC’s situation while simultaneously shifting the onus of offering a solution to the smaller company. +With the negatives labeled and the worst accusations laid bare, Anna and Mark were able to turn the conversation to the contract. Watch what they do closely, as itďż˝s brilliant: they acknowledge ABCďż˝s situation while simultaneously shifting the onus of offering a solution to the smaller company. -“It sounds like you have a great handle on how the government contract should work,” Anna said, labeling Angela’s expertise. +ďż˝It sounds like you have a great handle on how the government contract should work,ďż˝ Anna said, labeling Angelaďż˝s expertise. -“Yes—but I know that’s not how it always goes,” Angela answered, proud to have her experience acknowledged. +ďż˝Yesďż˝but I know thatďż˝s not how it always goes,ďż˝ Angela answered, proud to have her experience acknowledged. -Anna then asked Angela how she would amend the contract so that everyone made some money, which pushed Angela to admit that she saw no way to do so without cutting ABC’s worker count. +Anna then asked Angela how she would amend the contract so that everyone made some money, which pushed Angela to admit that she saw no way to do so without cutting ABCďż˝s worker count. -Several weeks later, the contract was tweaked to cut ABC’s payout, which brought Anna’s company $1 million that put the contract into the black. But it was Angela’s reaction at the end of the meeting that most surprised Anna. After Anna had acknowledged that she had given Angela some bad news and that she understood how angry she must feel, Angela said: +Several weeks later, the contract was tweaked to cut ABCďż˝s payout, which brought Annaďż˝s company $1 million that put the contract into the black. But it was Angelaďż˝s reaction at the end of the meeting that most surprised Anna. After Anna had acknowledged that she had given Angela some bad news and that she understood how angry she must feel, Angela said: -“This is not a good situation but we appreciate the fact that you are acknowledging what happened, and we don’t feel like you are mistreating us. And you are not the ‘Big Bad Prime.’” +ďż˝This is not a good situation but we appreciate the fact that you are acknowledging what happened, and we donďż˝t feel like you are mistreating us. And you are not the ďż˝Big Bad Prime.�� -Anna’s reaction to how this turned out? “Holy crap, this stuff actually works!” +Annaďż˝s reaction to how this turned out? ďż˝Holy crap, this stuff actually works!ďż˝ -She’s right. As you just saw, the beauty of going right after negativity is that it brings us to a safe zone of empathy. Every one of us has an inherent, human need to be understood, to connect with the person across the table. That explains why, after Anna labeled Angela’s fears, Angela’s first instinct was to add nuance and detail to those fears. And that detail gave Anna the power to accomplish what she wanted from the negotiation. +Sheďż˝s right. As you just saw, the beauty of going right after negativity is that it brings us to a safe zone of empathy. Every one of us has an inherent, human need to be understood, to connect with the person across the table. That explains why, after Anna labeled Angelaďż˝s fears, Angelaďż˝s first instinct was to add nuance and detail to those fears. And that detail gave Anna the power to accomplish what she wanted from the negotiation. -GET A SEAT—AND AN UPGRADE—ON A SOLD-OUT FLIGHT +GET A SEATďż˝AND AN UPGRADEďż˝ON A SOLD-OUT FLIGHT -Up to this point, we’ve been building each skill as if they were musical instruments: first, try the saxophone mirror; now here’s the bass label; and finally, why don’t you blow a note on the French horn of tactical silence. But in a real negotiation the band all plays together. So you’ve got to learn how to conduct. +Up to this point, weďż˝ve been building each skill as if they were musical instruments: first, try the saxophone mirror; now hereďż˝s the bass label; and finally, why donďż˝t you blow a note on the French horn of tactical silence. But in a real negotiation the band all plays together. So youďż˝ve got to learn how to conduct. -Keeping all the instruments playing is really awkward for most people. It seems to go by in such a rush. So what I’m going to do here is play a song at slow speed so you can hear each instrument note by note. I promise you’ll quickly see how the skills you have been building play off one another, rising, riffing, falling, and pausing in perfect harmony. +Keeping all the instruments playing is really awkward for most people. It seems to go by in such a rush. So what Iďż˝m going to do here is play a song at slow speed so you can hear each instrument note by note. I promise youďż˝ll quickly see how the skills you have been building play off one another, rising, riffing, falling, and pausing in perfect harmony. Here is the situation (the song, if you will): My student Ryan B. was flying from Baltimore to Austin to sign a large computer-consulting contract. For six months, the client representative had gone back and forth on whether he wanted the services, but a major system collapse put the representative in a tight spot with his CEO. To shift the blame, he called Ryan with his CEO on the line and very aggressively demanded to know why it was taking Ryan so long to come ink the contract. If Ryan was not there by Friday morning, he said, the deal was off. -Ryan bought a ticket for the next morning, Thursday, but a freak lightning storm whipped up in Baltimore, closing the airport for five hours. It became painfully clear that Ryan wasn’t going to make his original connection to Austin from Dallas. Worse, when he called American Airlines just before departing, he found that his connection had been automatically rebooked to 3 p.m. the next day, putting the contract in jeopardy. +Ryan bought a ticket for the next morning, Thursday, but a freak lightning storm whipped up in Baltimore, closing the airport for five hours. It became painfully clear that Ryan wasnďż˝t going to make his original connection to Austin from Dallas. Worse, when he called American Airlines just before departing, he found that his connection had been automatically rebooked to 3 p.m. the next day, putting the contract in jeopardy. -When Ryan finally got to Dallas at 8 p.m., he ran to the gate where the day’s final American Airlines flight to Austin was less than thirty minutes from takeoff. His goal was to get on that flight or, at worst, get an earlier flight the next day. +When Ryan finally got to Dallas at 8 p.m., he ran to the gate where the dayďż˝s final American Airlines flight to Austin was less than thirty minutes from takeoff. His goal was to get on that flight or, at worst, get an earlier flight the next day. -In front of him at the gate, a very aggressive couple was yelling at the gate agent, who was barely looking at them as she tapped on the computer in front of her; she was clearly making every effort not to scream back. After she’d said, “There’s nothing I can do,” five times, the angry couple finally gave up and left. +In front of him at the gate, a very aggressive couple was yelling at the gate agent, who was barely looking at them as she tapped on the computer in front of her; she was clearly making every effort not to scream back. After sheďż˝d said, ďż˝Thereďż˝s nothing I can do,ďż˝ five times, the angry couple finally gave up and left. -To start, watch how Ryan turns that heated exchange to his advantage. Following on the heels of an argument is a great position for a negotiator, because your counterpart is desperate for an empathetic connection. Smile, and you’re already an improvement. +To start, watch how Ryan turns that heated exchange to his advantage. Following on the heels of an argument is a great position for a negotiator, because your counterpart is desperate for an empathetic connection. Smile, and youďż˝re already an improvement. -“Hi, Wendy, I’m Ryan. It seems like they were pretty upset.” +ďż˝Hi, Wendy, Iďż˝m Ryan. It seems like they were pretty upset.ďż˝ This labels the negative and establishes a rapport based on empathy. This in turn encourages Wendy to elaborate on her situation, words Ryan then mirrors to invite her to go further. -“Yeah. They missed their connection. We’ve had a fair amount of delays because of the weather.” +ďż˝Yeah. They missed their connection. Weďż˝ve had a fair amount of delays because of the weather.ďż˝ -“The weather?” +ďż˝The weather?ďż˝ After Wendy explains how the delays in the Northeast had rippled through the system, Ryan again labels the negative and then mirrors her answer to encourage her to delve further. -“It seems like it’s been a hectic day.” +ďż˝It seems like itďż˝s been a hectic day.ďż˝ -“There’ve been a lot of ‘irate consumers,’ you know? I mean, I get it, even though I don’t like to be yelled at. A lot of people are trying to get to Austin for the big game.” +ďż˝Thereďż˝ve been a lot of ďż˝irate consumers,ďż˝ you know? I mean, I get it, even though I donďż˝t like to be yelled at. A lot of people are trying to get to Austin for the big game.ďż˝ -“The big game?” +ďż˝The big game?ďż˝ -“UT is playing Ole Miss football and every flight into Austin has been booked solid.” +ďż˝UT is playing Ole Miss football and every flight into Austin has been booked solid.ďż˝ -“Booked solid?” +ďż˝Booked solid?ďż˝ -Now let’s pause. Up to this point, Ryan has been using labels and mirrors to build a relationship with Wendy. To her it must seem like idle chatter, though, because he hasn’t asked for anything. Unlike the angry couple, Ryan is acknowledging her situation. His words ping-pong between “What’s that?” and “I hear you,” both of which invite her to elaborate. +Now letďż˝s pause. Up to this point, Ryan has been using labels and mirrors to build a relationship with Wendy. To her it must seem like idle chatter, though, because he hasnďż˝t asked for anything. Unlike the angry couple, Ryan is acknowledging her situation. His words ping-pong between ďż˝Whatďż˝s that?ďż˝ and ďż˝I hear you,ďż˝ both of which invite her to elaborate. Now that the empathy has been built, she lets slip a piece of information he can use. -“Yeah, all through the weekend. Though who knows how many people will make the flights. The weather’s probably going to reroute a lot of people through a lot of different places.” +ďż˝Yeah, all through the weekend. Though who knows how many people will make the flights. The weatherďż˝s probably going to reroute a lot of people through a lot of different places.ďż˝ -Here’s where Ryan finally swoops in with an ask. But notice how he acts: not assertive or coldly logical, but with empathy and labeling that acknowledges her situation and tacitly puts them in the same boat. +Hereďż˝s where Ryan finally swoops in with an ask. But notice how he acts: not assertive or coldly logical, but with empathy and labeling that acknowledges her situation and tacitly puts them in the same boat. -“Well, it seems like you’ve been handling the rough day pretty well,” he says. “I was also affected by the weather delays and missed my connecting flight. It seems like this flight is likely booked solid, but with what you said, maybe someone affected by the weather might miss this connection. Is there any possibility a seat will be open?” +ďż˝Well, it seems like youďż˝ve been handling the rough day pretty well,ďż˝ he says. ďż˝I was also affected by the weather delays and missed my connecting flight. It seems like this flight is likely booked solid, but with what you said, maybe someone affected by the weather might miss this connection. Is there any possibility a seat will be open?ďż˝ Listen to that riff: Label, tactical empathy, label. And only then a request. -At this point, Wendy says nothing and begins typing on her computer. Ryan, who’s eager not to talk himself out of a possible deal, engages in some silence. After thirty seconds, Wendy prints a boarding pass and hands it to Ryan, explaining that there were a few seats that were supposed to be filled by people who would now arrive much later than the flight’s departure. To make Ryan’s success even better, she puts him in Economy Plus seating. +At this point, Wendy says nothing and begins typing on her computer. Ryan, whoďż˝s eager not to talk himself out of a possible deal, engages in some silence. After thirty seconds, Wendy prints a boarding pass and hands it to Ryan, explaining that there were a few seats that were supposed to be filled by people who would now arrive much later than the flightďż˝s departure. To make Ryanďż˝s success even better, she puts him in Economy Plus seating. All that in under two minutes! -The next time you find yourself following an angry customer at a corner store or airplane line, take a moment and practice labels and mirrors on the service person. I promise they won’t scream, “Don’t try to control me!” and burst into flames—and you might walk away with a little more than you expected. +The next time you find yourself following an angry customer at a corner store or airplane line, take a moment and practice labels and mirrors on the service person. I promise they wonďż˝t scream, ďż˝Donďż˝t try to control me!ďż˝ and burst into flamesďż˝and you might walk away with a little more than you expected. KEY LESSONS @@ -1181,19 +1103,19 @@ These tools, then, are nothing less than emotional best practices that help you With that in mind, I encourage you to take the risk of sprinkling these in every conversation you have. I promise you that they will feel awkward and artificial at first, but keep at it. Learning to walk felt awfully strange, too. -As you internalize these techniques, turning the artifice of tactical empathy into a habit and then into an integral part of your personality, keep in mind these lessons from the chapter you’ve just read: +As you internalize these techniques, turning the artifice of tactical empathy into a habit and then into an integral part of your personality, keep in mind these lessons from the chapter youďż˝ve just read: -¦Imagine yourself in your counterpart’s situation. The beauty of empathy is that it doesn’t demand that you agree with the other person’s ideas (you may well find them crazy). But by acknowledging the other person’s situation, you immediately convey that you are listening. And once they know that you are listening, they may tell you something that you can use. +ďż˝Imagine yourself in your counterpartďż˝s situation. The beauty of empathy is that it doesnďż˝t demand that you agree with the other personďż˝s ideas (you may well find them crazy). But by acknowledging the other personďż˝s situation, you immediately convey that you are listening. And once they know that you are listening, they may tell you something that you can use. -¦The reasons why a counterpart will not make an agreement with you are often more powerful than why they will make a deal, so focus first on clearing the barriers to agreement. Denying barriers or negative influences gives them credence; get them into the open. +ďż˝The reasons why a counterpart will not make an agreement with you are often more powerful than why they will make a deal, so focus first on clearing the barriers to agreement. Denying barriers or negative influences gives them credence; get them into the open. -¦Pause. After you label a barrier or mirror a statement, let it sink in. Don’t worry, the other party will fill the silence. +ďż˝Pause. After you label a barrier or mirror a statement, let it sink in. Donďż˝t worry, the other party will fill the silence. -¦Label your counterpart’s fears to diffuse their power. We all want to talk about the happy stuff, but remember, the faster you interrupt action in your counterpart’s amygdala, the part of the brain that generates fear, the faster you can generate feelings of safety, well-being, and trust. +ďż˝Label your counterpartďż˝s fears to diffuse their power. We all want to talk about the happy stuff, but remember, the faster you interrupt action in your counterpartďż˝s amygdala, the part of the brain that generates fear, the faster you can generate feelings of safety, well-being, and trust. -¦List the worst things that the other party could say about you and say them before the other person can. Performing an accusation audit in advance prepares you to head off negative dynamics before they take root. And because these accusations often sound exaggerated when said aloud, speaking them will encourage the other person to claim that quite the opposite is true. +ďż˝List the worst things that the other party could say about you and say them before the other person can. Performing an accusation audit in advance prepares you to head off negative dynamics before they take root. And because these accusations often sound exaggerated when said aloud, speaking them will encourage the other person to claim that quite the opposite is true. -¦Remember you’re dealing with a person who wants to be appreciated and understood. So use labels to reinforce and encourage positive perceptions and dynamics. +ďż˝Remember youďż˝re dealing with a person who wants to be appreciated and understood. So use labels to reinforce and encourage positive perceptions and dynamics. @@ -1202,194 +1124,194 @@ As you internalize these techniques, turning the artifice of tactical empathy in CHAPTER 4 -BEWARE “YES”—MASTER “NO” +BEWARE ďż˝YES��MASTER ďż˝NOďż˝ -Let me paint a scenario we’ve all experienced: You’re at home, just before dinner, and the phone rings. It is, no surprise, a telemarketer. He wants to sell you magazine subscriptions, water filters, frozen Argentine beef—to be honest, it doesn’t matter, as the script is always the same. After butchering your name, and engaging in some disingenuous pleasantries, he launches into his pitch. +Let me paint a scenario weďż˝ve all experienced: Youďż˝re at home, just before dinner, and the phone rings. It is, no surprise, a telemarketer. He wants to sell you magazine subscriptions, water filters, frozen Argentine beefďż˝to be honest, it doesnďż˝t matter, as the script is always the same. After butchering your name, and engaging in some disingenuous pleasantries, he launches into his pitch. -The hard sell that comes next is a scripted flowchart designed to cut off your escape routes as it funnels you down a path with no exit but “Yes.” “Do you enjoy a nice glass of water from time to time.” “Well, yes, but . . .” “Me, too. And like me I bet you like crisp, clean water with no chemical aftertaste, like Mother Nature made it.” “Well, yes, but . . .” +The hard sell that comes next is a scripted flowchart designed to cut off your escape routes as it funnels you down a path with no exit but ďż˝Yes.ďż˝ ďż˝Do you enjoy a nice glass of water from time to time.ďż˝ ďż˝Well, yes, but . . .ďż˝ ďż˝Me, too. And like me I bet you like crisp, clean water with no chemical aftertaste, like Mother Nature made it.ďż˝ ďż˝Well, yes, but . . .ďż˝ -Who is this guy with a fake smile in his voice, you wonder, who thinks he can trick you into buying something you don’t want? You feel your muscles tighten, your voice go defensive, and your heart rate accelerate. +Who is this guy with a fake smile in his voice, you wonder, who thinks he can trick you into buying something you donďż˝t want? You feel your muscles tighten, your voice go defensive, and your heart rate accelerate. You feel like his prey, and you are! -The last thing you want to do is say “Yes,” even when it’s the only way to answer, “Do you drink water?” Compromise and concession, even to the truth, feels like defeat. And “No,” well, “No” feels like salvation, like an oasis. You’re tempted to use “No” when it’s blatantly untrue, just to hear its sweet sound. “No, I do not need water, carbon filtered or otherwise. I’m a camel!” +The last thing you want to do is say ďż˝Yes,ďż˝ even when itďż˝s the only way to answer, ďż˝Do you drink water?ďż˝ Compromise and concession, even to the truth, feels like defeat. And ďż˝No,ďż˝ well, ďż˝Noďż˝ feels like salvation, like an oasis. Youďż˝re tempted to use ďż˝Noďż˝ when itďż˝s blatantly untrue, just to hear its sweet sound. ďż˝No, I do not need water, carbon filtered or otherwise. Iďż˝m a camel!ďż˝ -Now let’s think about this selling technique. It’s designed to get to “Yes” at all costs, as if “No” were death. And for many of us it is. We have all these negative connotations with “No.” We talk about the rejection of “No,” about the fear of hearing it. “No” is the ultimate negative word. +Now letďż˝s think about this selling technique. Itďż˝s designed to get to ďż˝Yesďż˝ at all costs, as if ďż˝Noďż˝ were death. And for many of us it is. We have all these negative connotations with ďż˝No.ďż˝ We talk about the rejection of ďż˝No,ďż˝ about the fear of hearing it. ďż˝Noďż˝ is the ultimate negative word. -But at the end of the day, “Yes” is often a meaningless answer that hides deeper objections (and “Maybe” is even worse). Pushing hard for “Yes” doesn’t get a negotiator any closer to a win; it just angers the other side. +But at the end of the day, ďż˝Yesďż˝ is often a meaningless answer that hides deeper objections (and ďż˝Maybeďż˝ is even worse). Pushing hard for ďż˝Yesďż˝ doesnďż˝t get a negotiator any closer to a win; it just angers the other side. -So if “Yes” can be so damn uncomfortable, and “No” such a relief, why have we fetishized one and demonized the other? +So if ďż˝Yesďż˝ can be so damn uncomfortable, and ďż˝Noďż˝ such a relief, why have we fetishized one and demonized the other? -We have it backward. For good negotiators, “No” is pure gold. That negative provides a great opportunity for you and the other party to clarify what you really want by eliminating what you don’t want. “No” is a safe choice that maintains the status quo; it provides a temporary oasis of control. +We have it backward. For good negotiators, ďż˝Noďż˝ is pure gold. That negative provides a great opportunity for you and the other party to clarify what you really want by eliminating what you donďż˝t want. ďż˝Noďż˝ is a safe choice that maintains the status quo; it provides a temporary oasis of control. -At some point in their development, all negotiators have to come to grips with “No.” When you come to realize the real psychological dynamic behind it, you’ll love the word. It’s not just that you lose your fear of it, but that you come to learn what it does for you and how you can build deals out of it. +At some point in their development, all negotiators have to come to grips with ďż˝No.ďż˝ When you come to realize the real psychological dynamic behind it, youďż˝ll love the word. Itďż˝s not just that you lose your fear of it, but that you come to learn what it does for you and how you can build deals out of it. -“Yes” and “Maybe” are often worthless. But “No” always alters the conversation. +ďż˝Yesďż˝ and ďż˝Maybeďż˝ are often worthless. But ďż˝Noďż˝ always alters the conversation. -“NO” STARTS THE NEGOTIATION +ďż˝NOďż˝ STARTS THE NEGOTIATION -My fascination with “No” in all its beautiful nuance began with a conversation I had a few months before my negotiation career began. +My fascination with ďż˝Noďż˝ in all its beautiful nuance began with a conversation I had a few months before my negotiation career began. -I started my career with the Bureau as a member of the FBI SWAT team in the Pittsburgh Division but after nearly two years I was transferred to New York, where the FBI attached me to the Joint Terrorism Task Force (JTTF). It was an amazing post: We spent our days and nights tracking suspected terrorists, investigating their cells, and assessing whether or how they might strike. We were untying knots of human anger in the midst of America’s biggest city, making life-and-death decisions on who was dangerous and who was just blowing hot air. The work fascinated me. +I started my career with the Bureau as a member of the FBI SWAT team in the Pittsburgh Division but after nearly two years I was transferred to New York, where the FBI attached me to the Joint Terrorism Task Force (JTTF). It was an amazing post: We spent our days and nights tracking suspected terrorists, investigating their cells, and assessing whether or how they might strike. We were untying knots of human anger in the midst of Americaďż˝s biggest city, making life-and-death decisions on who was dangerous and who was just blowing hot air. The work fascinated me. Ever since my first days with the Bureau, I had been obsessed with crisis response. The immediacy of the task enthralled me. The stakes were high. Lives hung in the balance. -The emotional terrain was complex, changing, and often conflicting. To successfully gain a hostage’s safe release, a negotiator had to penetrate the hostage-taker’s motives, state of mind, intelligence, and emotional strengths and weaknesses. The negotiator played the role of bully, conciliator, enforcer, savior, confessor, instigator, and peacemaker—and that’s just a few of the parts. +The emotional terrain was complex, changing, and often conflicting. To successfully gain a hostageďż˝s safe release, a negotiator had to penetrate the hostage-takerďż˝s motives, state of mind, intelligence, and emotional strengths and weaknesses. The negotiator played the role of bully, conciliator, enforcer, savior, confessor, instigator, and peacemakerďż˝and thatďż˝s just a few of the parts. I thought I was cut out for every one of them. -A few weeks after I got to Manhattan, I showed up at the desk of Amy Bonderow, who ran the FBI’s Crisis Negotiation Team in New York. I didn’t know beans about negotiating, so I went for the direct approach. +A few weeks after I got to Manhattan, I showed up at the desk of Amy Bonderow, who ran the FBIďż˝s Crisis Negotiation Team in New York. I didnďż˝t know beans about negotiating, so I went for the direct approach. -“I want be a hostage negotiator,” I said. +ďż˝I want be a hostage negotiator,ďż˝ I said. -“Everyone does—got any training?” she asked. +ďż˝Everyone doesďż˝got any training?ďż˝ she asked. -“No,” I said. +ďż˝No,ďż˝ I said. -“Any credentials?” +ďż˝Any credentials?ďż˝ -“Nope.” I answered. +ďż˝Nope.ďż˝ I answered. -“Any experience?” she asked. +ďż˝Any experience?ďż˝ she asked. -“No,” I answered. +ďż˝No,ďż˝ I answered. -“Do you have a degree in psychology, sociology, anything at all related to negotiation?” +ďż˝Do you have a degree in psychology, sociology, anything at all related to negotiation?ďż˝ -“No.” +ďż˝No.ďż˝ -“Looks like you answered your own question,” she said. “No. Now go away.” +ďż˝Looks like you answered your own question,ďż˝ she said. ďż˝No. Now go away.ďż˝ -“Go away?” I protested. “Really?” +ďż˝Go away?ďż˝ I protested. ďż˝Really?ďż˝ -“Yep. As in, ‘Leave me alone.’ Everybody wants to be a hostage negotiator, and you have no résumé, experience, or skills. So what would you say in my position? You got it: ‘No.’” +ďż˝Yep. As in, ďż˝Leave me alone.ďż˝ Everybody wants to be a hostage negotiator, and you have no rďż˝sumďż˝, experience, or skills. So what would you say in my position? You got it: ďż˝No.�� -I paused in front of her, thinking, This is not how my negotiating career ends. I had stared down terrorists; I wasn’t going to just leave. +I paused in front of her, thinking, This is not how my negotiating career ends. I had stared down terrorists; I wasnďż˝t going to just leave. -“Come on,” I said. “There has to be something I can do.” +ďż˝Come on,ďż˝ I said. ďż˝There has to be something I can do.ďż˝ -Amy shook her head and gave one of those ironic laughs that mean the person doesn’t think you’ve got a snowball’s chance in hell. +Amy shook her head and gave one of those ironic laughs that mean the person doesnďż˝t think youďż˝ve got a snowballďż˝s chance in hell. -“I’ll tell you what. Yes, there is something you can do: Volunteer at a suicide hotline. Then come talk to me. No guarantees, got it?” she said. “Now, seriously, go away.” +ďż˝Iďż˝ll tell you what. Yes, there is something you can do: Volunteer at a suicide hotline. Then come talk to me. No guarantees, got it?ďż˝ she said. ďż˝Now, seriously, go away.ďż˝ My conversation with Amy kicked off my awareness of the complex and hidden subtleties of conversation, the power of certain words, the seemingly unintelligible emotional truths that so often underlie intelligible exchanges. A trap into which many fall is to take what other people say literally. I started to see that while people played the game of conversation, it was in the game beneath the game, where few played, that all the leverage lived. -In our chat, I saw how the word “No”—so apparently clear and direct—really wasn’t so simple. Over the years, I’ve thought back repeatedly to that conversation, replaying how Amy so quickly turned me down, again and again. But her “No’s” were just the gateway to “Yes.” They gave her—and me—time to pivot, adjust, and reexamine, and actually created the environment for the one “Yes” that mattered. +In our chat, I saw how the word ďż˝No��so apparently clear and directďż˝really wasnďż˝t so simple. Over the years, Iďż˝ve thought back repeatedly to that conversation, replaying how Amy so quickly turned me down, again and again. But her ďż˝Noďż˝sďż˝ were just the gateway to ďż˝Yes.ďż˝ They gave herďż˝and meďż˝time to pivot, adjust, and reexamine, and actually created the environment for the one ďż˝Yesďż˝ that mattered. -While assigned to the JTTF, I worked with an NYPD lieutenant named Martin. He had a hard shell, and whenever asked for anything he responded with a terse negative. After I’d gotten to know him a bit, I asked him why. “Chris,” he said, proudly, “a lieutenant’s job is to say, ‘No.’” +While assigned to the JTTF, I worked with an NYPD lieutenant named Martin. He had a hard shell, and whenever asked for anything he responded with a terse negative. After Iďż˝d gotten to know him a bit, I asked him why. ďż˝Chris,ďż˝ he said, proudly, ďż˝a lieutenantďż˝s job is to say, ďż˝No.�� -At first, I thought that sort of automated response signaled a failure of imagination. But then I realized I did the same thing with my teenage son, and that after I’d said “No” to him, I often found that I was open to hearing what he had to say. +At first, I thought that sort of automated response signaled a failure of imagination. But then I realized I did the same thing with my teenage son, and that after Iďż˝d said ďż˝Noďż˝ to him, I often found that I was open to hearing what he had to say. -That’s because having protected myself, I could relax and more easily consider the possibilities. +Thatďż˝s because having protected myself, I could relax and more easily consider the possibilities. -“No” is the start of the negotiation, not the end of it. We’ve been conditioned to fear the word “No.” But it is a statement of perception far more often than of fact. It seldom means, “I have considered all the facts and made a rational choice.” Instead, “No” is often a decision, frequently temporary, to maintain the status quo. Change is scary, and “No” provides a little protection from that scariness. +ďż˝Noďż˝ is the start of the negotiation, not the end of it. Weďż˝ve been conditioned to fear the word ďż˝No.ďż˝ But it is a statement of perception far more often than of fact. It seldom means, ďż˝I have considered all the facts and made a rational choice.ďż˝ Instead, ďż˝Noďż˝ is often a decision, frequently temporary, to maintain the status quo. Change is scary, and ďż˝Noďż˝ provides a little protection from that scariness. -Jim Camp, in his excellent book, Start with NO,1 counsels the reader to give their adversary (his word for counterpart) permission to say “No” from the outset of a negotiation. He calls it “the right to veto.” He observes that people will fight to the death to preserve their right to say “No,” so give them that right and the negotiating environment becomes more constructive and collaborative almost immediately. +Jim Camp, in his excellent book, Start with NO,1 counsels the reader to give their adversary (his word for counterpart) permission to say ďż˝Noďż˝ from the outset of a negotiation. He calls it ďż˝the right to veto.ďż˝ He observes that people will fight to the death to preserve their right to say ďż˝No,ďż˝ so give them that right and the negotiating environment becomes more constructive and collaborative almost immediately. -When I read Camp’s book, I realized this was something we’d known as hostage negotiators for years. We’d learned that the quickest way to get a hostage-taker out was to take the time to talk them out, as opposed to “demanding” their surrender. Demanding their surrender, “telling” them to come out, always ended up creating a much longer standoff and occasionally, actually contributed to death. +When I read Campďż˝s book, I realized this was something weďż˝d known as hostage negotiators for years. Weďż˝d learned that the quickest way to get a hostage-taker out was to take the time to talk them out, as opposed to ďż˝demandingďż˝ their surrender. Demanding their surrender, ďż˝tellingďż˝ them to come out, always ended up creating a much longer standoff and occasionally, actually contributed to death. -It comes down to the deep and universal human need for autonomy. People need to feel in control. When you preserve a person’s autonomy by clearly giving them permission to say “No” to your ideas, the emotions calm, the effectiveness of the decisions go up, and the other party can really look at your proposal. They’re allowed to hold it in their hands, to turn it around. And it gives you time to elaborate or pivot in order to convince your counterpart that the change you’re proposing is more advantageous than the status quo. +It comes down to the deep and universal human need for autonomy. People need to feel in control. When you preserve a personďż˝s autonomy by clearly giving them permission to say ďż˝Noďż˝ to your ideas, the emotions calm, the effectiveness of the decisions go up, and the other party can really look at your proposal. Theyďż˝re allowed to hold it in their hands, to turn it around. And it gives you time to elaborate or pivot in order to convince your counterpart that the change youďż˝re proposing is more advantageous than the status quo. -Great negotiators seek “No” because they know that’s often when the real negotiation begins. +Great negotiators seek ďż˝Noďż˝ because they know thatďż˝s often when the real negotiation begins. -Politely saying “No” to your opponent (we’ll go into this in more depth in Chapter 9), calmly hearing “No,” and just letting the other side know that they are welcome to say “No” has a positive impact on any negotiation. In fact, your invitation for the other side to say “No” has an amazing power to bring down barriers and allow for beneficial communication. +Politely saying ďż˝Noďż˝ to your opponent (weďż˝ll go into this in more depth in Chapter 9), calmly hearing ďż˝No,ďż˝ and just letting the other side know that they are welcome to say ďż˝Noďż˝ has a positive impact on any negotiation. In fact, your invitation for the other side to say ďż˝Noďż˝ has an amazing power to bring down barriers and allow for beneficial communication. -This means you have to train yourself to hear “No” as something other than rejection, and respond accordingly. When someone tells you “No,” you need to rethink the word in one of its alternative—and much more real—meanings: +This means you have to train yourself to hear ďż˝Noďż˝ as something other than rejection, and respond accordingly. When someone tells you ďż˝No,ďż˝ you need to rethink the word in one of its alternativeďż˝and much more realďż˝meanings: -¦I am not yet ready to agree; +ďż˝I am not yet ready to agree; -¦You are making me feel uncomfortable; +ďż˝You are making me feel uncomfortable; -¦I do not understand; +ďż˝I do not understand; -¦I don’t think I can afford it; +ďż˝I donďż˝t think I can afford it; -¦I want something else; +ďż˝I want something else; -¦I need more information; or +ďż˝I need more information; or -¦I want to talk it over with someone else. +ďż˝I want to talk it over with someone else. Then, after pausing, ask solution-based questions or simply label their effect: -“What about this doesn’t work for you?” +ďż˝What about this doesnďż˝t work for you?ďż˝ -“What would you need to make it work?” +ďż˝What would you need to make it work?ďż˝ -“It seems like there’s something here that bothers you.” +ďż˝It seems like thereďż˝s something here that bothers you.ďż˝ -People have a need to say, “No.” So don’t just hope to hear it at some point; get them to say it early. +People have a need to say, ďż˝No.ďż˝ So donďż˝t just hope to hear it at some point; get them to say it early. PERSUADE IN THEIR WORLD -I’d like to present you with a guy named Joe Businessman as he readies himself for a negotiation. You’ve met him before. He’s the prepared type, with all his Getting to Yes strategies written out and memorized. And he’s more than ready to unleash them on the guy across the table. Joe pauses to look at his expensive suit in the mirror, fantasizing about the impressive things he’ll say and the fancy charts and graphs that’ll back up those things and leave his counterpart—his opponent—vanquished and in defeat. He is Russell Crowe in Gladiator. He is The Man. +Iďż˝d like to present you with a guy named Joe Businessman as he readies himself for a negotiation. Youďż˝ve met him before. Heďż˝s the prepared type, with all his Getting to Yes strategies written out and memorized. And heďż˝s more than ready to unleash them on the guy across the table. Joe pauses to look at his expensive suit in the mirror, fantasizing about the impressive things heďż˝ll say and the fancy charts and graphs thatďż˝ll back up those things and leave his counterpartďż˝his opponentďż˝vanquished and in defeat. He is Russell Crowe in Gladiator. He is The Man. -Now allow me to let you in on a secret: None of that preparation will mean a damn thing. His negotiation style is all me, me, me, ego, ego, ego. And when the people on the other side of the table pick up those signals, they’re going to decide that it’s best to politely, even furtively, ignore this Superman . . . by saying “Yes”! +Now allow me to let you in on a secret: None of that preparation will mean a damn thing. His negotiation style is all me, me, me, ego, ego, ego. And when the people on the other side of the table pick up those signals, theyďż˝re going to decide that itďż˝s best to politely, even furtively, ignore this Superman . . . by saying ďż˝Yesďż˝! -“Huh?” you say. +ďż˝Huh?ďż˝ you say. -Sure, the word they’ll say right off is “Yes,” but that word is only a tool to get this blowhard to go away. They’ll weasel out later, claiming changing conditions, budget issues, the weather. For now, they just want to be released because Joe isn’t convincing them of anything; he’s only convincing himself. +Sure, the word theyďż˝ll say right off is ďż˝Yes,ďż˝ but that word is only a tool to get this blowhard to go away. Theyďż˝ll weasel out later, claiming changing conditions, budget issues, the weather. For now, they just want to be released because Joe isnďż˝t convincing them of anything; heďż˝s only convincing himself. -I’ll let you in on a secret. There are actually three kinds of “Yes”: Counterfeit, Confirmation, and Commitment. +Iďż˝ll let you in on a secret. There are actually three kinds of ďż˝Yesďż˝: Counterfeit, Confirmation, and Commitment. -A counterfeit “yes” is one in which your counterpart plans on saying “no” but either feels “yes” is an easier escape route or just wants to disingenuously keep the conversation going to obtain more information or some other kind of edge. A confirmation “yes” is generally innocent, a reflexive response to a black-or-white question; it’s sometimes used to lay a trap but mostly it’s just simple affirmation with no promise of action. And a commitment “yes” is the real deal; it’s a true agreement that leads to action, a “yes” at the table that ends with a signature on the contract. The commitment “yes” is what you want, but the three types sound almost the same so you have to learn how to recognize which one is being used. +A counterfeit ďż˝yesďż˝ is one in which your counterpart plans on saying ďż˝noďż˝ but either feels ďż˝yesďż˝ is an easier escape route or just wants to disingenuously keep the conversation going to obtain more information or some other kind of edge. A confirmation ďż˝yesďż˝ is generally innocent, a reflexive response to a black-or-white question; itďż˝s sometimes used to lay a trap but mostly itďż˝s just simple affirmation with no promise of action. And a commitment ďż˝yesďż˝ is the real deal; itďż˝s a true agreement that leads to action, a ďż˝yesďż˝ at the table that ends with a signature on the contract. The commitment ďż˝yesďż˝ is what you want, but the three types sound almost the same so you have to learn how to recognize which one is being used. -Human beings the world over are so used to being pursued for the commitment “yes” as a condition to find out more that they have become masters at giving the counterfeit “yes.” That’s what the people facing Joe Businessman are doing, dangling the counterfeit “yes” so they can hear more. +Human beings the world over are so used to being pursued for the commitment ďż˝yesďż˝ as a condition to find out more that they have become masters at giving the counterfeit ďż˝yes.ďż˝ Thatďż˝s what the people facing Joe Businessman are doing, dangling the counterfeit ďż˝yesďż˝ so they can hear more. -Whether you call it “buy-in” or “engagement” or something else, good negotiators know that their job isn’t to put on a great performance but to gently guide their counterpart to discover their goal as his own. +Whether you call it ďż˝buy-inďż˝ or ďż˝engagementďż˝ or something else, good negotiators know that their job isnďż˝t to put on a great performance but to gently guide their counterpart to discover their goal as his own. Let me tell you, I learned that the hard way. Two months after talking with Amy, I started answering phones for HelpLine, the crisis hotline founded by Norman Vincent Peale. -The basic rule was that you couldn’t be with anybody on the phone for more than twenty minutes. If you did your job, it wasn’t going to take you longer than that to get them to a better place. We had a thick book of organizations we referred them to for help. It was a paramedic approach: patch them up and send them on their way. +The basic rule was that you couldnďż˝t be with anybody on the phone for more than twenty minutes. If you did your job, it wasnďż˝t going to take you longer than that to get them to a better place. We had a thick book of organizations we referred them to for help. It was a paramedic approach: patch them up and send them on their way. But people in crisis only accounted for about 40 percent of the calls we got. The majority of the calls came from frequent callers. These are highly dysfunctional people, energy vampires whom no one else would listen to anymore. -We kept a list of frequent callers and when you got one, the first thing you had to do was check to see if the person had called that day, because they were only allowed one call a day. They knew it, too. A lot of times, they’d say, “Yeah, I’m Eddie. I haven’t called yet today. Go ahead and check the list. You got to talk to me.” +We kept a list of frequent callers and when you got one, the first thing you had to do was check to see if the person had called that day, because they were only allowed one call a day. They knew it, too. A lot of times, theyďż˝d say, ďż˝Yeah, Iďż˝m Eddie. I havenďż˝t called yet today. Go ahead and check the list. You got to talk to me.ďż˝ Since I was there primarily to learn a skill, I loved the frequent callers. They were a problem, and I loved trying to figure them out. I felt I had some talent at it. I felt like a superstar. When it came time for my performance review, they assigned me a shift supervisor named Jim Snyder. Jim was a hotline veteran and a sweetheart; the only problem was he always wanted to joke around. Jim understood that volunteer burnout was the biggest problem at a hotline, so he dedicated his time to making work fun. I became good friends with Jim. -For my review, Jim waited until I got a call and went into the monitoring room where the supervisors could listen to our calls. The call was from one of my frequent clients, a cabbie with a fear of going outside and plenty of time to tell me about it. This energy vampire (his name was Daryl) launched into his shtick about how he was going to lose his house and with it his will to live if he couldn’t work. +For my review, Jim waited until I got a call and went into the monitoring room where the supervisors could listen to our calls. The call was from one of my frequent clients, a cabbie with a fear of going outside and plenty of time to tell me about it. This energy vampire (his name was Daryl) launched into his shtick about how he was going to lose his house and with it his will to live if he couldnďż˝t work. -“Seriously, when was the last time someone tried to hurt you on the streets?” I asked. +ďż˝Seriously, when was the last time someone tried to hurt you on the streets?ďż˝ I asked. -“Well, I mean, it’s been a long time,” Daryl said. +ďż˝Well, I mean, itďż˝s been a long time,ďż˝ Daryl said. -“Like . . . ?” +ďż˝Like . . . ?ďż˝ -“I can’t really remember a date, Chris. Maybe a year, I guess.” +ďż˝I canďż˝t really remember a date, Chris. Maybe a year, I guess.ďż˝ -“So it’s safe to say that the outside world hasn’t been too hard on you, right?” +ďż˝So itďż˝s safe to say that the outside world hasnďż˝t been too hard on you, right?ďż˝ -“Yes,” Daryl said. “I suppose so.” +ďż˝Yes,ďż˝ Daryl said. ďż˝I suppose so.ďż˝ -We went back and forth like this for a while, as I made him admit that most of us had little to fear in the world. I was feeling good about my new skills, about listening to Daryl and then “CareFronting” him, which was the slightly goofy name we gave to assertively—but caringly—responding to frequent callers. +We went back and forth like this for a while, as I made him admit that most of us had little to fear in the world. I was feeling good about my new skills, about listening to Daryl and then ďż˝CareFrontingďż˝ him, which was the slightly goofy name we gave to assertivelyďż˝but caringlyďż˝responding to frequent callers. -It was all flowing, and our rapport was great. I even got Daryl to laugh a few times. By the time I was done with him, he couldn’t give me one reason not to step outside. +It was all flowing, and our rapport was great. I even got Daryl to laugh a few times. By the time I was done with him, he couldnďż˝t give me one reason not to step outside. -“Thank you, Chris,” Daryl said just before he hung up. “Thanks for doing such a great job.” +ďż˝Thank you, Chris,ďż˝ Daryl said just before he hung up. ďż˝Thanks for doing such a great job.ďż˝ Before I went to see Jim, I leaned back in my chair and basked in that compliment. How often do you get that from a man in pain, I thought. Then I sprung up and strode toward the monitoring room, so proud I was practically buffing my nails on my shirt and patting my own back. Jim motioned me to the chair in front of him and gave me his biggest smile. I must have returned it with twice the wattage. -“Well, Chris,” he said, still smiling. “That was one of the worst calls I ever heard.” +ďż˝Well, Chris,ďż˝ he said, still smiling. ďż˝That was one of the worst calls I ever heard.ďż˝ I stared at him, gape-jawed. -“Jim, did you hear Daryl congratulate me?” I asked. “I talked him down, man. I killed it.” +ďż˝Jim, did you hear Daryl congratulate me?ďż˝ I asked. ďż˝I talked him down, man. I killed it.ďż˝ -Jim smiled—I hated that smile right then—and nodded. +Jim smiledďż˝I hated that smile right thenďż˝and nodded. -“That’s one of the signs, because they should be congratulating themselves when they get off the line,” he said. “They don’t need to be congratulating you. That tells me you did too much. If they think you did it—if you were the guy who killed it—how is he going to help himself? I don’t want to be harsh, but you were horrible.” +ďż˝Thatďż˝s one of the signs, because they should be congratulating themselves when they get off the line,ďż˝ he said. ďż˝They donďż˝t need to be congratulating you. That tells me you did too much. If they think you did itďż˝if you were the guy who killed itďż˝how is he going to help himself? I donďż˝t want to be harsh, but you were horrible.ďż˝ -As I listened to what Jim said, I felt that acid stomach rush you get when you are forced to accept that the guy dumping on you is completely right. Daryl’s response had been a kind of “yes,” but it had been anything but a true commitment “yes.” He’d made no promise to action. His “yes” had been designed to make me feel good enough to leave him alone. Daryl may not have known it, but his “yes” was as counterfeit as they came. +As I listened to what Jim said, I felt that acid stomach rush you get when you are forced to accept that the guy dumping on you is completely right. Darylďż˝s response had been a kind of ďż˝yes,ďż˝ but it had been anything but a true commitment ďż˝yes.ďż˝ Heďż˝d made no promise to action. His ďż˝yesďż˝ had been designed to make me feel good enough to leave him alone. Daryl may not have known it, but his ďż˝yesďż˝ was as counterfeit as they came. You see, that whole call had been about me and my ego and not the caller. But the only way to get these callers to take action was to have them own the conversation, to believe that they were coming to these conclusions, to these necessary next steps, and that the voice at the other end was simply a medium for those realizations. @@ -1397,113 +1319,113 @@ Using all your skills to create rapport, agreement, and connection with a counte I nodded slowly, the fight drained out of me. -“One of the worst calls?” I said to Jim. “That’s right.” +ďż˝One of the worst calls?ďż˝ I said to Jim. ďż˝Thatďż˝s right.ďż˝ I worked hard at reorienting myself from that point on. I asked so many questions and read so much about it that soon they had me teaching two classes for new volunteers at HelpLine: the opening class, on active listening; and the one on CareFrontation. -Got it, you say. It’s not about me. We need to persuade from their perspective, not ours. But how? +Got it, you say. Itďż˝s not about me. We need to persuade from their perspective, not ours. But how? By starting with their most basic wants. -In every negotiation, in every agreement, the result comes from someone else’s decision. And sadly, if we believe that we can control or manage others’ decisions with compromise and logic, we’re leaving millions on the table. But while we can’t control others’ decisions, we can influence them by inhabiting their world and seeing and hearing exactly what they want. +In every negotiation, in every agreement, the result comes from someone elseďż˝s decision. And sadly, if we believe that we can control or manage othersďż˝ decisions with compromise and logic, weďż˝re leaving millions on the table. But while we canďż˝t control othersďż˝ decisions, we can influence them by inhabiting their world and seeing and hearing exactly what they want. -Though the intensity may differ from person to person, you can be sure that everyone you meet is driven by two primal urges: the need to feel safe and secure, and the need to feel in control. If you satisfy those drives, you’re in the door. +Though the intensity may differ from person to person, you can be sure that everyone you meet is driven by two primal urges: the need to feel safe and secure, and the need to feel in control. If you satisfy those drives, youďż˝re in the door. -As we saw with my chat with Daryl, you’re not going to logically convince them that they’re safe, secure, or in control. Primal needs are urgent and illogical, so arguing them into a corner is just going to push your counterpart to flee with a counterfeit “Yes.” +As we saw with my chat with Daryl, youďż˝re not going to logically convince them that theyďż˝re safe, secure, or in control. Primal needs are urgent and illogical, so arguing them into a corner is just going to push your counterpart to flee with a counterfeit ďż˝Yes.ďż˝ -And being “nice” in the form of feigned sympathy is often equally as unsuccessful. We live in an age that celebrates niceness under various names. We are exhorted to be nice and to respect people’s feelings at all times and in every situation. +And being ďż˝niceďż˝ in the form of feigned sympathy is often equally as unsuccessful. We live in an age that celebrates niceness under various names. We are exhorted to be nice and to respect peopleďż˝s feelings at all times and in every situation. -But nice alone in the context of negotiation can backfire. Nice, employed as a ruse, is disingenuous and manipulative. Who hasn’t received the short end of the stick in dealings with a “nice” salesman who took you for a ride? If you rush in with plastic niceness, your bland smile is going to dredge up all that baggage. +But nice alone in the context of negotiation can backfire. Nice, employed as a ruse, is disingenuous and manipulative. Who hasnďż˝t received the short end of the stick in dealings with a ďż˝niceďż˝ salesman who took you for a ride? If you rush in with plastic niceness, your bland smile is going to dredge up all that baggage. -Instead of getting inside with logic or feigned smiles, then, we get there by asking for “No.” It’s the word that gives the speaker feelings of safety and control. “No” starts conversations and creates safe havens to get to the final “Yes” of commitment. An early “Yes” is often just a cheap, counterfeit dodge. +Instead of getting inside with logic or feigned smiles, then, we get there by asking for ďż˝No.ďż˝ Itďż˝s the word that gives the speaker feelings of safety and control. ďż˝Noďż˝ starts conversations and creates safe havens to get to the final ďż˝Yesďż˝ of commitment. An early ďż˝Yesďż˝ is often just a cheap, counterfeit dodge. -About five months after she’d told me to “go away,” I stopped by Amy Bonderow’s office and told her that I’d volunteered at HelpLine. +About five months after sheďż˝d told me to ďż˝go away,ďż˝ I stopped by Amy Bonderowďż˝s office and told her that Iďż˝d volunteered at HelpLine. -“You did?” she asked, smiling with surprise. “I tell everybody to do that. And nobody ever does.” +ďż˝You did?ďż˝ she asked, smiling with surprise. ďż˝I tell everybody to do that. And nobody ever does.ďż˝ It turned out that Amy had started her negotiating career by volunteering at the same place. She started naming people who were now mutual friends of ours. We laughed about Jim. In a sudden shift, Amy stopped speaking and stared at me. I shifted in my shoes as she gave me the Pause. Then she smiled. -“You get the next position.” +ďż˝You get the next position.ďż˝ At that time, there were five other people aiming for the same slot, people who had psychology degrees, experience, and credentials. But I was on the road to the next hostage negotiation training course at the FBI Academy in Quantico, Virginia, ahead of everybody else. My career as a negotiator had officially begun. -“NO” IS PROTECTION +ďż˝NOďż˝ IS PROTECTION -Think back to the telemarketer at the beginning of this chapter. The obvious reply to his question—“Do you enjoy a nice glass of water?”—is “Yes.” But all you want to do is scream, “No!” After a question like that you just know the rest of the phone call is going to be painful. +Think back to the telemarketer at the beginning of this chapter. The obvious reply to his question��Do you enjoy a nice glass of water?��is ďż˝Yes.ďż˝ But all you want to do is scream, ďż˝No!ďż˝ After a question like that you just know the rest of the phone call is going to be painful. -That, in a nutshell, distills the inherent contradictions in the values we give “Yes” and “No.” Whenever we negotiate, there’s no doubt we want to finish with a “Yes.” But we mistakenly conflate the positive value of that final “Yes” with a positive value of “Yes” in general. And because we see “No” as the opposite of “Yes,” we then assume that “No” is always a bad thing. +That, in a nutshell, distills the inherent contradictions in the values we give ďż˝Yesďż˝ and ďż˝No.ďż˝ Whenever we negotiate, thereďż˝s no doubt we want to finish with a ďż˝Yes.ďż˝ But we mistakenly conflate the positive value of that final ďż˝Yesďż˝ with a positive value of ďż˝Yesďż˝ in general. And because we see ďż˝Noďż˝ as the opposite of ďż˝Yes,ďż˝ we then assume that ďż˝Noďż˝ is always a bad thing. -Nothing could be further from the truth. Saying “No” gives the speaker the feeling of safety, security, and control. You use a question that prompts a “No” answer, and your counterpart feels that by turning you down he has proved that he’s in the driver’s seat. Good negotiators welcome—even invite—a solid “No” to start, as a sign that the other party is engaged and thinking. +Nothing could be further from the truth. Saying ďż˝Noďż˝ gives the speaker the feeling of safety, security, and control. You use a question that prompts a ďż˝Noďż˝ answer, and your counterpart feels that by turning you down he has proved that heďż˝s in the driverďż˝s seat. Good negotiators welcomeďż˝even inviteďż˝a solid ďż˝Noďż˝ to start, as a sign that the other party is engaged and thinking. -Gun for a “Yes” straight off the bat, though, and your counterpart gets defensive, wary, and skittish. That’s why I tell my students that, if you’re trying to sell something, don’t start with “Do you have a few minutes to talk?” Instead ask, “Is now a bad time to talk?” Either you get “Yes, it is a bad time” followed by a good time or a request to go away, or you get “No, it’s not” and total focus. +Gun for a ďż˝Yesďż˝ straight off the bat, though, and your counterpart gets defensive, wary, and skittish. Thatďż˝s why I tell my students that, if youďż˝re trying to sell something, donďż˝t start with ďż˝Do you have a few minutes to talk?ďż˝ Instead ask, ďż˝Is now a bad time to talk?ďż˝ Either you get ďż˝Yes, it is a bad timeďż˝ followed by a good time or a request to go away, or you get ďż˝No, itďż˝s notďż˝ and total focus. -As an exercise, the next time you get a telemarketing call, write down the questions the seller asks. I promise you’ll find that your level of discomfort correlates directly to how quickly he pushes you for “Yes.” +As an exercise, the next time you get a telemarketing call, write down the questions the seller asks. I promise youďż˝ll find that your level of discomfort correlates directly to how quickly he pushes you for ďż˝Yes.ďż˝ -My colleague Marti Evelsizer was the one who first opened my eyes to why “No” was better than “Yes.” +My colleague Marti Evelsizer was the one who first opened my eyes to why ďż˝Noďż˝ was better than ďż˝Yes.ďż˝ -Marti was the FBI’s Crisis Negotiation Coordinator in Pittsburgh at the time. She was a dynamo and a negotiating genius, which earned her huge respect both within the Bureau and with the local police. But human beings are innately jealous, and her immediate supervisor was no exception to that rule. Her success diminished him, and that made her a threat. +Marti was the FBIďż˝s Crisis Negotiation Coordinator in Pittsburgh at the time. She was a dynamo and a negotiating genius, which earned her huge respect both within the Bureau and with the local police. But human beings are innately jealous, and her immediate supervisor was no exception to that rule. Her success diminished him, and that made her a threat. -His jealousy got the better of him when the Pittsburgh Police Department’s Hostage Negotiation Team asked her to sit on the selection board for their new candidates. Picking her, and doing so over her boss, was an unprecedented move. +His jealousy got the better of him when the Pittsburgh Police Departmentďż˝s Hostage Negotiation Team asked her to sit on the selection board for their new candidates. Picking her, and doing so over her boss, was an unprecedented move. So her boss decided to remove her from her position. For ignoring her regular duties, he said. But really it was for being a threat. When Marti sat down with her supervisor for her official dismissal, her options were few. He had every right to do as he pleased. -Marti told me that she considered a variety of scenarios. She thought about going right at his jealousy and hashing it out, or explaining how the job would reflect well on the Bureau: “Would you like our office to be honored for its expertise?” +Marti told me that she considered a variety of scenarios. She thought about going right at his jealousy and hashing it out, or explaining how the job would reflect well on the Bureau: ďż˝Would you like our office to be honored for its expertise?ďż˝ -But by the time she sat down with him, she had picked one of the most strongly worded “No”-oriented setup questions I have ever heard. +But by the time she sat down with him, she had picked one of the most strongly worded ďż˝Noďż˝-oriented setup questions I have ever heard. -“Do you want the FBI to be embarrassed?” she said. +ďż˝Do you want the FBI to be embarrassed?ďż˝ she said. -“No,” he answered. +ďż˝No,ďż˝ he answered. -“What do you want me to do?” she responded. +ďż˝What do you want me to do?ďż˝ she responded. He leaned back in his chair, one of those 1950s faux-leather numbers that squeak meaningfully when the sitter shifts. He stared at her over his glasses and then nodded ever so slightly. He was in control. -“Look, you can keep the position,” he said. “Just go back out there and don’t let it interfere with your other duties.” +ďż˝Look, you can keep the position,ďż˝ he said. ďż˝Just go back out there and donďż˝t let it interfere with your other duties.ďż˝ And a minute later Marti walked out with her job intact. -When I heard Marti do that, I was like, “Bang!” By pushing for a “No,” Marti nudged her supervisor into a zone where he was making the decisions. And then she furthered his feelings of safety and power with a question inviting him to define her next move. +When I heard Marti do that, I was like, ďż˝Bang!ďż˝ By pushing for a ďż˝No,ďż˝ Marti nudged her supervisor into a zone where he was making the decisions. And then she furthered his feelings of safety and power with a question inviting him to define her next move. -The important thing here is that Marti not only accepted the “No”; she searched it out and embraced it. +The important thing here is that Marti not only accepted the ďż˝Noďż˝; she searched it out and embraced it. -At a recent sales conference, I asked the participants for the one word they all dread. The entire group yelled, “No!” To them—and to almost everyone—“No” means one thing: end of discussion. +At a recent sales conference, I asked the participants for the one word they all dread. The entire group yelled, ďż˝No!ďż˝ To themďż˝and to almost everyone��Noďż˝ means one thing: end of discussion. -But that’s not what it means. +But thatďż˝s not what it means. -“No” is not failure. Used strategically it’s an answer that opens the path forward. Getting to the point where you’re no longer horrified by the word “No” is a liberating moment that every negotiator needs to reach. Because if your biggest fear is “No,” you can’t negotiate. You’re the hostage of “Yes.” You’re handcuffed. You’re done. +ďż˝Noďż˝ is not failure. Used strategically itďż˝s an answer that opens the path forward. Getting to the point where youďż˝re no longer horrified by the word ďż˝Noďż˝ is a liberating moment that every negotiator needs to reach. Because if your biggest fear is ďż˝No,ďż˝ you canďż˝t negotiate. Youďż˝re the hostage of ďż˝Yes.ďż˝ Youďż˝re handcuffed. Youďż˝re done. -So let’s undress “No.” It’s a reaffirmation of autonomy. It is not a use or abuse of power; it is not an act of rejection; it is not a manifestation of stubbornness; it is not the end of the negotiation. +So letďż˝s undress ďż˝No.ďż˝ Itďż˝s a reaffirmation of autonomy. It is not a use or abuse of power; it is not an act of rejection; it is not a manifestation of stubbornness; it is not the end of the negotiation. -In fact, “No” often opens the discussion up. The sooner you say “No,” the sooner you’re willing to see options and opportunities that you were blind to previously. Saying “No” often spurs people to action because they feel they’ve protected themselves and now see an opportunity slipping away. +In fact, ďż˝Noďż˝ often opens the discussion up. The sooner you say ďż˝No,ďż˝ the sooner youďż˝re willing to see options and opportunities that you were blind to previously. Saying ďż˝Noďż˝ often spurs people to action because they feel theyďż˝ve protected themselves and now see an opportunity slipping away. -Since I’ve demystified “No” for myself, I’ve found the ideas, perceptions, and baggage that people have with that two-letter word to be fascinating. To me, it’s like watching a movie or a music video from the 1980s for the umpteenth time. You can identify with the experience—while simultaneously being conscious of the fact that the world, and you, have moved on. +Since Iďż˝ve demystified ďż˝Noďż˝ for myself, Iďż˝ve found the ideas, perceptions, and baggage that people have with that two-letter word to be fascinating. To me, itďż˝s like watching a movie or a music video from the 1980s for the umpteenth time. You can identify with the experienceďż˝while simultaneously being conscious of the fact that the world, and you, have moved on. -Today, I coach my students to learn to see “No” for what it is. Rather than harming them or those they negotiate with, “No” protects and benefits all parties in an exchange. “No” creates safety, security, and the feeling of control. It’s a requirement to implementable success. It’s a pause, a nudge, and a chance for the speaker to articulate what they do want. +Today, I coach my students to learn to see ďż˝Noďż˝ for what it is. Rather than harming them or those they negotiate with, ďż˝Noďż˝ protects and benefits all parties in an exchange. ďż˝Noďż˝ creates safety, security, and the feeling of control. Itďż˝s a requirement to implementable success. Itďż˝s a pause, a nudge, and a chance for the speaker to articulate what they do want. -As you can see, “No” has a lot of skills. +As you can see, ďż˝Noďż˝ has a lot of skills. -¦“No” allows the real issues to be brought forth; +��Noďż˝ allows the real issues to be brought forth; -¦“No” protects people from making—and lets them correct—ineffective decisions; +��Noďż˝ protects people from makingďż˝and lets them correctďż˝ineffective decisions; -¦“No” slows things down so that people can freely embrace their decisions and the agreements they enter into; +��Noďż˝ slows things down so that people can freely embrace their decisions and the agreements they enter into; -¦“No” helps people feel safe, secure, emotionally comfortable, and in control of their decisions; +��Noďż˝ helps people feel safe, secure, emotionally comfortable, and in control of their decisions; -¦“No” moves everyone’s efforts forward. +��Noďż˝ moves everyoneďż˝s efforts forward. -One of my grad school students, a political fund-raiser named Ben Ottenhoff, drove home this lesson with a bang. For years, he’d been using a traditional “Yes pattern” fund-raising script to raise money for Republican congressional candidates. +One of my grad school students, a political fund-raiser named Ben Ottenhoff, drove home this lesson with a bang. For years, heďż˝d been using a traditional ďż˝Yes patternďż˝ fund-raising script to raise money for Republican congressional candidates. FUND-RAISER: Hello, can I speak with Mr. Smith? MR. SMITH: Yes, this is he. -FUND-RAISER: I’m calling from the XYZ Committee, and I wanted to ask you a few important questions about your views on our economy today. Do you believe that gas prices are currently too high? +FUND-RAISER: Iďż˝m calling from the XYZ Committee, and I wanted to ask you a few important questions about your views on our economy today. Do you believe that gas prices are currently too high? MR. SMITH: Yes, gas prices are much too high and hurting my family. @@ -1517,79 +1439,79 @@ MR. SMITH: Yes, I do. FUND-RAISER: Can you give me your credit card number so you can be a part of that change? -In theory at least, the “Yes” answers built up a reservoir of positivity that exploded into donations when requested at the end of the script. The problem, in reality, was that the “Yes pattern” scripts had been giving poor rates of return for years. All the steps were “Yes,” but the final answer was invariably “No.” +In theory at least, the ďż˝Yesďż˝ answers built up a reservoir of positivity that exploded into donations when requested at the end of the script. The problem, in reality, was that the ďż˝Yes patternďż˝ scripts had been giving poor rates of return for years. All the steps were ďż˝Yes,ďż˝ but the final answer was invariably ďż˝No.ďż˝ -Then Ben read Jim Camp’s book Start with NO in my class and began to wonder if “No” could be a tool to boost donations. Ben knew that giving the potential donors a no-hard-feelings way to get off the call was going to be a tough sell to his grassroots fund-raisers, because it goes against everything they had been trained to do. But Ben’s a smart guy, so instead of totally swapping scripts he had a small group of his grassroots guys test-market a “No”-oriented script. +Then Ben read Jim Campďż˝s book Start with NO in my class and began to wonder if ďż˝Noďż˝ could be a tool to boost donations. Ben knew that giving the potential donors a no-hard-feelings way to get off the call was going to be a tough sell to his grassroots fund-raisers, because it goes against everything they had been trained to do. But Benďż˝s a smart guy, so instead of totally swapping scripts he had a small group of his grassroots guys test-market a ďż˝Noďż˝-oriented script. FUND-RAISER: Hello, can I speak with Mr. Smith? MR. SMITH: Yes, this is he. -FUND-RAISER: I’m calling from the XYZ Committee, and I wanted to ask you a few important questions about your views on our economy today. Do you feel that if things stay the way they are, America’s best days are ahead of it? +FUND-RAISER: Iďż˝m calling from the XYZ Committee, and I wanted to ask you a few important questions about your views on our economy today. Do you feel that if things stay the way they are, Americaďż˝s best days are ahead of it? MR. SMITH: No, things will only get worse. FUND-RAISER: Are you going to sit and watch President Obama take the White House in November without putting up a fight? -MR. SMITH: No, I’m going to do anything I can to make sure that doesn’t happen. +MR. SMITH: No, Iďż˝m going to do anything I can to make sure that doesnďż˝t happen. -FUND-RAISER: If you want do something today to make sure that doesn’t happen, you can give to XYZ Committee, which is working hard to fight for you. +FUND-RAISER: If you want do something today to make sure that doesnďż˝t happen, you can give to XYZ Committee, which is working hard to fight for you. -See how clearly that swaps “Yes” for “No” and offers to take a donation if Mr. Smith wants? It puts Mr. Smith in the driver’s seat; he’s in charge. And it works! In a truly remarkable turnaround, the “No”-oriented script got a 23 percent better rate of return. +See how clearly that swaps ďż˝Yesďż˝ for ďż˝Noďż˝ and offers to take a donation if Mr. Smith wants? It puts Mr. Smith in the driverďż˝s seat; heďż˝s in charge. And it works! In a truly remarkable turnaround, the ďż˝Noďż˝-oriented script got a 23 percent better rate of return. -The only sad part of Ben’s tale is that despite the huge improvement in results, he couldn’t roll out the script to all his fund-raisers. It went against fund-raising orthodoxy, and longtime fund-raisers like the fake comfort of the “Yes.” Genius is often missed the first time around, right? +The only sad part of Benďż˝s tale is that despite the huge improvement in results, he couldnďż˝t roll out the script to all his fund-raisers. It went against fund-raising orthodoxy, and longtime fund-raisers like the fake comfort of the ďż˝Yes.ďż˝ Genius is often missed the first time around, right? -One negotiating genius who’s impossible to miss is Mark Cuban, the billionaire owner of the Dallas Mavericks. I always quote to my students one of his best lines on negotiation: “Every ‘No’ gets me closer to a ‘Yes.’” But then I remind them that extracting those “No’s” on the road to “Yes” isn’t always easy. +One negotiating genius whoďż˝s impossible to miss is Mark Cuban, the billionaire owner of the Dallas Mavericks. I always quote to my students one of his best lines on negotiation: ďż˝Every ďż˝Noďż˝ gets me closer to a ďż˝Yes.�� But then I remind them that extracting those ďż˝Noďż˝sďż˝ on the road to ďż˝Yesďż˝ isnďż˝t always easy. -There is a big difference between making your counterpart feel that they can say “No” and actually getting them to say it. Sometimes, if you’re talking to somebody who is just not listening, the only way you can crack their cranium is to antagonize them into “No.” +There is a big difference between making your counterpart feel that they can say ďż˝Noďż˝ and actually getting them to say it. Sometimes, if youďż˝re talking to somebody who is just not listening, the only way you can crack their cranium is to antagonize them into ďż˝No.ďż˝ -One great way to do this is to mislabel one of the other party’s emotions or desires. You say something that you know is totally wrong, like “So it seems that you really are eager to leave your job” when they clearly want to stay. That forces them to listen and makes them comfortable correcting you by saying, “No, that’s not it. This is it.” +One great way to do this is to mislabel one of the other partyďż˝s emotions or desires. You say something that you know is totally wrong, like ďż˝So it seems that you really are eager to leave your jobďż˝ when they clearly want to stay. That forces them to listen and makes them comfortable correcting you by saying, ďż˝No, thatďż˝s not it. This is it.ďż˝ -Another way to force “No” in a negotiation is to ask the other party what they don’t want. “Let’s talk about what you would say ‘No’ to,” you’d say. And people are comfortable saying “No” here because it feels like self-protection. And once you’ve gotten them to say “No,” people are much more open to moving forward toward new options and ideas. +Another way to force ďż˝Noďż˝ in a negotiation is to ask the other party what they donďż˝t want. ďż˝Letďż˝s talk about what you would say ďż˝Noďż˝ to,ďż˝ youďż˝d say. And people are comfortable saying ďż˝Noďż˝ here because it feels like self-protection. And once youďż˝ve gotten them to say ďż˝No,ďż˝ people are much more open to moving forward toward new options and ideas. -“No”—or the lack thereof—also serves as a warning, the canary in the coal mine. If despite all your efforts, the other party won’t say “No,” you’re dealing with people who are indecisive or confused or who have a hidden agenda. In cases like that you have to end the negotiation and walk away. +ďż˝No��or the lack thereofďż˝also serves as a warning, the canary in the coal mine. If despite all your efforts, the other party wonďż˝t say ďż˝No,ďż˝ youďż˝re dealing with people who are indecisive or confused or who have a hidden agenda. In cases like that you have to end the negotiation and walk away. -Think of it like this: No “No” means no go. +Think of it like this: No ďż˝Noďż˝ means no go. EMAIL MAGIC: HOW NEVER TO BE IGNORED AGAIN -There’s nothing more irritating than being ignored. Being turned down is bad, but getting no response at all is the pits. It makes you feel invisible, as if you don’t exist. And it’s a waste of your time. We’ve all been through it: You send an email to someone you’re trying to do business with and they ignore you. Then you send a polite follow-up and they stonewall you again. So what do you do? +Thereďż˝s nothing more irritating than being ignored. Being turned down is bad, but getting no response at all is the pits. It makes you feel invisible, as if you donďż˝t exist. And itďż˝s a waste of your time. Weďż˝ve all been through it: You send an email to someone youďż˝re trying to do business with and they ignore you. Then you send a polite follow-up and they stonewall you again. So what do you do? -You provoke a “No” with this one-sentence email. +You provoke a ďż˝Noďż˝ with this one-sentence email. Have you given up on this project? -The point is that this one-sentence email encapsulates the best of “No”-oriented questions and plays on your counterpart’s natural human aversion to loss. The “No” answer the email demands offers the other party the feeling of safety and the illusion of control while encouraging them to define their position and explain it to you. +The point is that this one-sentence email encapsulates the best of ďż˝Noďż˝-oriented questions and plays on your counterpartďż˝s natural human aversion to loss. The ďż˝Noďż˝ answer the email demands offers the other party the feeling of safety and the illusion of control while encouraging them to define their position and explain it to you. -Just as important, it makes the implicit threat that you will walk away on your own terms. To stop that from happening—to cut their losses and prove their power—the other party’s natural inclination is to reply immediately and disagree. No, our priorities haven’t changed. We’ve just gotten bogged down and . . . +Just as important, it makes the implicit threat that you will walk away on your own terms. To stop that from happeningďż˝to cut their losses and prove their powerďż˝the other partyďż˝s natural inclination is to reply immediately and disagree. No, our priorities havenďż˝t changed. Weďż˝ve just gotten bogged down and . . . -If you’re a parent, you already use this technique instinctively. What do you do when your kids won’t leave the house/park/mall? You say, “Fine. I’m leaving,” and you begin to walk away. I’m going to guess that well over half the time they yell, “No, wait!” and run to catch up. No one likes to be abandoned. +If youďż˝re a parent, you already use this technique instinctively. What do you do when your kids wonďż˝t leave the house/park/mall? You say, ďż˝Fine. Iďż˝m leaving,ďż˝ and you begin to walk away. Iďż˝m going to guess that well over half the time they yell, ďż˝No, wait!ďż˝ and run to catch up. No one likes to be abandoned. -Now, this may seem like a rude way to address someone in business, but you have to get over that. It’s not rude, and though it’s direct, it’s cloaked with the safety of “No.” Ignoring you is what’s rude. I can tell you that I’ve used this successfully not just in North America, but with people in two different cultures (Arabic and Chinese) famous for never saying “No.” +Now, this may seem like a rude way to address someone in business, but you have to get over that. Itďż˝s not rude, and though itďż˝s direct, itďż˝s cloaked with the safety of ďż˝No.ďż˝ Ignoring you is whatďż˝s rude. I can tell you that Iďż˝ve used this successfully not just in North America, but with people in two different cultures (Arabic and Chinese) famous for never saying ďż˝No.ďż˝ KEY LESSONS -Using this chapter’s tools in daily life is difficult for many people because they go directly against one of society’s biggest social dictums. That is, “Be nice.” +Using this chapterďż˝s tools in daily life is difficult for many people because they go directly against one of societyďż˝s biggest social dictums. That is, ďż˝Be nice.ďż˝ -We’ve instrumentalized niceness as a way of greasing the social wheels, yet it’s often a ruse. We’re polite and we don’t disagree to get through daily existence with the least degree of friction. But by turning niceness into a lubricant, we’ve leeched it of meaning. A smile and a nod might signify “Get me out of here!” as much as it means “Nice to meet you.” +Weďż˝ve instrumentalized niceness as a way of greasing the social wheels, yet itďż˝s often a ruse. Weďż˝re polite and we donďż˝t disagree to get through daily existence with the least degree of friction. But by turning niceness into a lubricant, weďż˝ve leeched it of meaning. A smile and a nod might signify ďż˝Get me out of here!ďż˝ as much as it means ďż˝Nice to meet you.ďż˝ -That’s death for a good negotiator, who gains their power by understanding their counterpart’s situation and extracting information about their counterpart’s desires and needs. Extracting that information means getting the other party to feel safe and in control. And while it may sound contradictory, the way to get there is by getting the other party to disagree, to draw their own boundaries, to define their desires as a function of what they do not want. +Thatďż˝s death for a good negotiator, who gains their power by understanding their counterpartďż˝s situation and extracting information about their counterpartďż˝s desires and needs. Extracting that information means getting the other party to feel safe and in control. And while it may sound contradictory, the way to get there is by getting the other party to disagree, to draw their own boundaries, to define their desires as a function of what they do not want. -As you try to put the chapter’s methods to use, I encourage you to think of them as the anti–“niceness ruse.” Not in the sense that they are unkind, but in the sense that they are authentic. Triggering “No” peels away the plastic falsehood of “Yes” and gets you to what’s really at stake. Along the way, keep in mind these powerful lessons: +As you try to put the chapterďż˝s methods to use, I encourage you to think of them as the anti��niceness ruse.ďż˝ Not in the sense that they are unkind, but in the sense that they are authentic. Triggering ďż˝Noďż˝ peels away the plastic falsehood of ďż˝Yesďż˝ and gets you to whatďż˝s really at stake. Along the way, keep in mind these powerful lessons: -¦Break the habit of attempting to get people to say “yes.” Being pushed for “yes” makes people defensive. Our love of hearing “yes” makes us blind to the defensiveness we ourselves feel when someone is pushing us to say it. +ďż˝Break the habit of attempting to get people to say ďż˝yes.ďż˝ Being pushed for ďż˝yesďż˝ makes people defensive. Our love of hearing ďż˝yesďż˝ makes us blind to the defensiveness we ourselves feel when someone is pushing us to say it. -¦“No” is not a failure. We have learned that “No” is the anti-“Yes” and therefore a word to be avoided at all costs. But it really often just means “Wait” or “I’m not comfortable with that.” Learn how to hear it calmly. It is not the end of the negotiation, but the beginning. +��Noďż˝ is not a failure. We have learned that ďż˝Noďż˝ is the anti-ďż˝Yesďż˝ and therefore a word to be avoided at all costs. But it really often just means ďż˝Waitďż˝ or ďż˝Iďż˝m not comfortable with that.ďż˝ Learn how to hear it calmly. It is not the end of the negotiation, but the beginning. -¦“Yes” is the final goal of a negotiation, but don’t aim for it at the start. Asking someone for “Yes” too quickly in a conversation—“Do you like to drink water, Mr. Smith?”—gets his guard up and paints you as an untrustworthy salesman. +��Yesďż˝ is the final goal of a negotiation, but donďż˝t aim for it at the start. Asking someone for ďż˝Yesďż˝ too quickly in a conversation��Do you like to drink water, Mr. Smith?��gets his guard up and paints you as an untrustworthy salesman. -¦Saying “No” makes the speaker feel safe, secure, and in control, so trigger it. By saying what they don’t want, your counterpart defines their space and gains the confidence and comfort to listen to you. That’s why “Is now a bad time to talk?” is always better than “Do you have a few minutes to talk?” +ďż˝Saying ďż˝Noďż˝ makes the speaker feel safe, secure, and in control, so trigger it. By saying what they donďż˝t want, your counterpart defines their space and gains the confidence and comfort to listen to you. Thatďż˝s why ďż˝Is now a bad time to talk?ďż˝ is always better than ďż˝Do you have a few minutes to talk?ďż˝ -¦Sometimes the only way to get your counterpart to listen and engage with you is by forcing them into a “No.” That means intentionally mislabeling one of their emotions or desires or asking a ridiculous question—like, “It seems like you want this project to fail”—that can only be answered negatively. +ďż˝Sometimes the only way to get your counterpart to listen and engage with you is by forcing them into a ďż˝No.ďż˝ That means intentionally mislabeling one of their emotions or desires or asking a ridiculous questionďż˝like, ďż˝It seems like you want this project to fail��that can only be answered negatively. -¦Negotiate in their world. Persuasion is not about how bright or smooth or forceful you are. It’s about the other party convincing themselves that the solution you want is their own idea. So don’t beat them with logic or brute force. Ask them questions that open paths to your goals. It’s not about you. +ďż˝Negotiate in their world. Persuasion is not about how bright or smooth or forceful you are. Itďż˝s about the other party convincing themselves that the solution you want is their own idea. So donďż˝t beat them with logic or brute force. Ask them questions that open paths to your goals. Itďż˝s not about you. -¦If a potential business partner is ignoring you, contact them with a clear and concise “No”-oriented question that suggests that you are ready to walk away. “Have you given up on this project?” works wonders. +ďż˝If a potential business partner is ignoring you, contact them with a clear and concise ďż˝Noďż˝-oriented question that suggests that you are ready to walk away. ďż˝Have you given up on this project?ďż˝ works wonders. @@ -1605,285 +1527,285 @@ In August 2000, the militant Islamic group Abu Sayyaf, in the southern Philippin Abu Sayyaf had kidnapped Jeffrey Schilling, a twenty-four-year-old American who had traveled near their base in Jolo Island. A California native, Schilling became a hostage with a $10 million price tag on his head. -At the time I was a Supervisory Special Agent (SSA) attached to the FBI’s elite Crisis Negotiation Unit (CNU). The CNU is the equivalent of the special forces of negotiations. It’s attached to the FBI’s Hostage Rescue Team (HRT). Both are national counterterrorist response assets. They are the best of the best. +At the time I was a Supervisory Special Agent (SSA) attached to the FBIďż˝s elite Crisis Negotiation Unit (CNU). The CNU is the equivalent of the special forces of negotiations. Itďż˝s attached to the FBIďż˝s Hostage Rescue Team (HRT). Both are national counterterrorist response assets. They are the best of the best. -The CNU is based at the FBI Academy in Quantico, Virginia. The FBI Academy has come to be known by the one word, “Quantico.” Rightly or wrongly, Quantico has developed the reputation as one of the centers, if not the center of knowledge, for law enforcement. When a negotiation is going badly and the negotiators involved are directed to call and find out what “Quantico” has to say, the CNU is who they call. +The CNU is based at the FBI Academy in Quantico, Virginia. The FBI Academy has come to be known by the one word, ďż˝Quantico.ďż˝ Rightly or wrongly, Quantico has developed the reputation as one of the centers, if not the center of knowledge, for law enforcement. When a negotiation is going badly and the negotiators involved are directed to call and find out what ďż˝Quanticoďż˝ has to say, the CNU is who they call. -CNU developed what is a powerful staple in the high-stakes world of crisis negotiation, the Behavioral Change Stairway Model (BCSM). The model proposes five stages—active listening, empathy, rapport, influence, and behavioral change—that take any negotiator from listening to influencing behavior. +CNU developed what is a powerful staple in the high-stakes world of crisis negotiation, the Behavioral Change Stairway Model (BCSM). The model proposes five stagesďż˝active listening, empathy, rapport, influence, and behavioral changeďż˝that take any negotiator from listening to influencing behavior. -The origins of the model can be traced back to the great American psychologist Carl Rogers, who proposed that real change can only come when a therapist accepts the client as he or she is—an approach known as unconditional positive regard. The vast majority of us, however, as Rogers explained, come to expect that love, praise, and approval are dependent on saying and doing the things people (initially, our parents) consider correct. That is, because for most of us the positive regard we experience is conditional, we develop a habit of hiding who we really are and what we really think, instead calibrating our words to gain approval but disclosing little. +The origins of the model can be traced back to the great American psychologist Carl Rogers, who proposed that real change can only come when a therapist accepts the client as he or she isďż˝an approach known as unconditional positive regard. The vast majority of us, however, as Rogers explained, come to expect that love, praise, and approval are dependent on saying and doing the things people (initially, our parents) consider correct. That is, because for most of us the positive regard we experience is conditional, we develop a habit of hiding who we really are and what we really think, instead calibrating our words to gain approval but disclosing little. -Which is why so few social interactions lead to actual behavior change. Consider the typical patient with severe coronary heart disease recovering from open-heart surgery. The doctor tells the patient: “This surgery isn’t a cure. The only way to truly prolong your life is to make the following behavior changes . . .” The grateful patient responds: “Yes, yes, yes, of course, Doctor! This is my second chance. I will change!” +Which is why so few social interactions lead to actual behavior change. Consider the typical patient with severe coronary heart disease recovering from open-heart surgery. The doctor tells the patient: ďż˝This surgery isnďż˝t a cure. The only way to truly prolong your life is to make the following behavior changes . . .ďż˝ The grateful patient responds: ďż˝Yes, yes, yes, of course, Doctor! This is my second chance. I will change!ďż˝ -And do they? Study after study has shown that, no, nothing changes; two years after their operation, more than 90 percent of patients haven’t changed their lifestyle at all. +And do they? Study after study has shown that, no, nothing changes; two years after their operation, more than 90 percent of patients havenďż˝t changed their lifestyle at all. Though the stakes of an everyday negotiation with your child, boss, or client are usually not as high as that of a hostage (or health crisis) negotiation, the psychological environment necessary for not just temporary in-the-moment compliance, but real gut-level change, is the same. If you successfully take someone up the Behavioral Change Stairway, each stage attempting to engender more trust and more connection, there will be a breakthrough moment when unconditional positive regard is established and you can begin exerting influence. -After years of refining the BCSM and its tactics, I can teach anyone how to get to that moment. But as cardiologists know all too well, and legions of B-school grads weaned on the most famous negotiating book in the world, Getting to Yes, have ultimately discovered, you more than likely haven’t gotten there yet if what you’re hearing is the word “yes.” +After years of refining the BCSM and its tactics, I can teach anyone how to get to that moment. But as cardiologists know all too well, and legions of B-school grads weaned on the most famous negotiating book in the world, Getting to Yes, have ultimately discovered, you more than likely havenďż˝t gotten there yet if what youďż˝re hearing is the word ďż˝yes.ďż˝ -As you’ll soon learn, the sweetest two words in any negotiation are actually “That’s right.” +As youďż˝ll soon learn, the sweetest two words in any negotiation are actually ďż˝Thatďż˝s right.ďż˝ CREATE A SUBTLE EPIPHANY I was a natural for the Schilling case. I had spent some time in the Philippines and had an extensive background in terrorism from my New York City days assigned to the Joint Terrorism Task Force (JTTF). -A few days after Schilling became a hostage, my partner Chuck Regini and I flew to Manila to run the negotiations. Along with Jim Nixon, the FBI’s highest official in Manila, we conferred with top Philippine military brass. They agreed to let us guide the negotiations. Then we got down to business. One of us would take charge of the negotiation strategy for the FBI and consequently for the U.S. government. That became my role. With the support of my colleagues, my job was to come up with the strategy, get it approved, and implement it. +A few days after Schilling became a hostage, my partner Chuck Regini and I flew to Manila to run the negotiations. Along with Jim Nixon, the FBIďż˝s highest official in Manila, we conferred with top Philippine military brass. They agreed to let us guide the negotiations. Then we got down to business. One of us would take charge of the negotiation strategy for the FBI and consequently for the U.S. government. That became my role. With the support of my colleagues, my job was to come up with the strategy, get it approved, and implement it. -As a result of the Schilling case, I would become the FBI’s lead international kidnapping negotiator. +As a result of the Schilling case, I would become the FBIďż˝s lead international kidnapping negotiator. -Our principal adversary was Abu Sabaya, the rebel leader who personally negotiated for Schilling’s ransom. Sabaya was a veteran of the rebel movement with a violent past. He was straight out of the movies, a terrorist-sociopath-killer. He had a history of rape, murder, and beheadings. He liked to record his bloody deeds on video and send them to the Philippine media. +Our principal adversary was Abu Sabaya, the rebel leader who personally negotiated for Schillingďż˝s ransom. Sabaya was a veteran of the rebel movement with a violent past. He was straight out of the movies, a terrorist-sociopath-killer. He had a history of rape, murder, and beheadings. He liked to record his bloody deeds on video and send them to the Philippine media. -Sabaya always wore sunglasses, a bandana, a black T-shirt, and camo pants. He thought it made him a more dashing figure. If you look for any photos of Abu Sayyaf terrorists from this period, you always see one in sunglasses. That’s Sabaya. +Sabaya always wore sunglasses, a bandana, a black T-shirt, and camo pants. He thought it made him a more dashing figure. If you look for any photos of Abu Sayyaf terrorists from this period, you always see one in sunglasses. Thatďż˝s Sabaya. -Sabaya loved, loved, loved the media. He had the Philippine reporters on speed dial. They’d call him and ask him questions in Tagalog, his native tongue. He would answer in English because he wanted the world to hear his voice on CNN. “They should make a movie about me,” he would tell reporters. +Sabaya loved, loved, loved the media. He had the Philippine reporters on speed dial. Theyďż˝d call him and ask him questions in Tagalog, his native tongue. He would answer in English because he wanted the world to hear his voice on CNN. ďż˝They should make a movie about me,ďż˝ he would tell reporters. -In my eyes, Sabaya was a cold-blooded businessman with an ego as big as Texas. A real shark. Sabaya knew he was in the commodities game. In Jeffrey Schilling, he had an item of value. How much could he get for it? He would find out, and I intended it to be a surprise he wouldn’t like. As an FBI agent, I wanted to free the hostage and bring the criminal to justice. +In my eyes, Sabaya was a cold-blooded businessman with an ego as big as Texas. A real shark. Sabaya knew he was in the commodities game. In Jeffrey Schilling, he had an item of value. How much could he get for it? He would find out, and I intended it to be a surprise he wouldnďż˝t like. As an FBI agent, I wanted to free the hostage and bring the criminal to justice. One crucial aspect of any negotiation is to figure out how your adversary arrived at his position. Sabaya threw out the $10 million ransom based on a business calculation. -First, the United States was offering $5 million for information leading to the arrest of any of the remaining fugitives from the 1993 World Trade Center bombing. Sabaya reasoned that if the United States would pay $5 million to get its hands on someone it didn’t like, it would pay much more for a citizen. +First, the United States was offering $5 million for information leading to the arrest of any of the remaining fugitives from the 1993 World Trade Center bombing. Sabaya reasoned that if the United States would pay $5 million to get its hands on someone it didnďż˝t like, it would pay much more for a citizen. -Second, a rival faction of the Abu Sayyaf had just reportedly been paid $20 million for six Western European captives. Libyan strongman Muammar Gaddafi had made the payment as “development aid.” This absurdity had been compounded by a significant portion of the ransom being paid in counterfeit bills. It was an opportunity for Gaddafi to both embarrass Western governments and get money over-the-table to groups with whom he sympathized. I’m sure he laughed about that episode until the day he died. +Second, a rival faction of the Abu Sayyaf had just reportedly been paid $20 million for six Western European captives. Libyan strongman Muammar Gaddafi had made the payment as ďż˝development aid.ďż˝ This absurdity had been compounded by a significant portion of the ransom being paid in counterfeit bills. It was an opportunity for Gaddafi to both embarrass Western governments and get money over-the-table to groups with whom he sympathized. Iďż˝m sure he laughed about that episode until the day he died. -Regardless, a price had been set. Sabaya did the math and figured Schilling was worth $10 million. Problem was, Jeff Schilling came from a working-class family. His mother could come up with $10,000, perhaps. The United States wasn’t about to pay one dollar. But we would allow a payment to be made if it could be run as a “sting” operation. +Regardless, a price had been set. Sabaya did the math and figured Schilling was worth $10 million. Problem was, Jeff Schilling came from a working-class family. His mother could come up with $10,000, perhaps. The United States wasnďż˝t about to pay one dollar. But we would allow a payment to be made if it could be run as a ďż˝stingďż˝ operation. -If we could draw Sabaya into an offer-counteroffer bargaining situation, we had a bargaining system that worked every time. We could beat him down to where we wanted him, get the hostage out, and set up the “sting.” +If we could draw Sabaya into an offer-counteroffer bargaining situation, we had a bargaining system that worked every time. We could beat him down to where we wanted him, get the hostage out, and set up the ďż˝sting.ďż˝ For months Sabaya refused to budge. He argued that Muslims in the Philippines had suffered five hundred years of oppression, since Spanish missionaries had brought Catholicism to the Philippines in the sixteenth century. He recited instances where atrocities had been committed against his Islamic forebears. He explained why the Abu Sayyaf wanted to establish an Islamic state in the southern Philippines. Fishing rights had been violated. You name it, he thought it up and used it. -Sabaya wanted $10 million in war damages—not ransom, but war damages. He held firm in his demand and kept us out of the offer-counteroffer system we wanted to use against him. +Sabaya wanted $10 million in war damagesďż˝not ransom, but war damages. He held firm in his demand and kept us out of the offer-counteroffer system we wanted to use against him. And he occasionally dropped in threats that he was torturing Jeff Schilling. Sabaya negotiated directly with Benjie, a Filipino military officer. They talked in Tagalog. We reviewed transcripts translated to English and used them to advise Benjie. I rotated in and out of Manila and oversaw the talks and strategy. I instructed Benjie to ask what Schilling had to do with five hundred years of bad blood between Muslims and Filipinos. He told Sabaya that $10 million was not possible. -No matter what approach we took to “reason” with Sabaya over why Schilling had nothing to do with the “war damages,” it fell on deaf ears. +No matter what approach we took to ďż˝reasonďż˝ with Sabaya over why Schilling had nothing to do with the ďż˝war damages,ďż˝ it fell on deaf ears. -Our first “that’s right” breakthrough actually came when I was negotiating with Benjie. He was a true Filipino patriot and hero. He was the leader of the Philippine National Police’s Special Action Force and had been in his share of firefights. On many occasions, Benjie and his men had been sent on rescue missions to save hostages, and they had a sterling record. His men were feared, for good reason. They rarely took handcuffs. +Our first ďż˝thatďż˝s rightďż˝ breakthrough actually came when I was negotiating with Benjie. He was a true Filipino patriot and hero. He was the leader of the Philippine National Policeďż˝s Special Action Force and had been in his share of firefights. On many occasions, Benjie and his men had been sent on rescue missions to save hostages, and they had a sterling record. His men were feared, for good reason. They rarely took handcuffs. Benjie wanted to take a hard line with Sabaya and speak to him in direct, no-nonsense terms. We wanted to engage Sabaya in dialogue to discover what made the adversary tick. We actually wanted to establish rapport with an adversary. To Benjie that was distasteful. Benjie told us he needed a break. We had been working him nearly twenty-four hours a day, seven days a week for several weeks. He wanted to spend some time with his family in the mountains north of Manila. We agreed, but only on the condition that we could accompany him and spend several hours both on Saturday and Sunday working on negotiation strategy. -That Saturday night we sat in the library of the American ambassador’s summer residence working on the strategy. As I was explaining to Benjie the value of establishing a rapport-based, working relationship, even with an adversary as dangerous as Sabaya, I could see a snarl coming over his face. I realized I needed to negotiate with Benjie. +That Saturday night we sat in the library of the American ambassadorďż˝s summer residence working on the strategy. As I was explaining to Benjie the value of establishing a rapport-based, working relationship, even with an adversary as dangerous as Sabaya, I could see a snarl coming over his face. I realized I needed to negotiate with Benjie. -“You hate Sabaya, don’t you?” I said, leading with a label. +ďż˝You hate Sabaya, donďż˝t you?ďż˝ I said, leading with a label. -Benjie unloaded on me. “I tell you I do!” he said. “He has murdered and raped. He has come up on our radio when we were lobbing mortars on his position and said ‘these mortars are music to my ears.’ I heard his voice come on our radio one day and celebrate that he was standing over the body of one of my men.” +Benjie unloaded on me. ďż˝I tell you I do!ďż˝ he said. ďż˝He has murdered and raped. He has come up on our radio when we were lobbing mortars on his position and said ďż˝these mortars are music to my ears.ďż˝ I heard his voice come on our radio one day and celebrate that he was standing over the body of one of my men.ďż˝ -This outburst was Benjie’s equivalent of “that’s right.” As he acknowledged his rage, I watched him get control of his anger and calm down. Though he had been very good up to that point, from that moment forward Benjie became a superstar. He blossomed into a truly talented negotiator. +This outburst was Benjieďż˝s equivalent of ďż˝thatďż˝s right.ďż˝ As he acknowledged his rage, I watched him get control of his anger and calm down. Though he had been very good up to that point, from that moment forward Benjie became a superstar. He blossomed into a truly talented negotiator. -This “negotiation” between Benjie and me was no different than any other negotiation between colleagues who disagree on a strategy. Before you convince them to see what you’re trying to accomplish, you have to say the things to them that will get them to say, “That’s right.” +This ďż˝negotiationďż˝ between Benjie and me was no different than any other negotiation between colleagues who disagree on a strategy. Before you convince them to see what youďż˝re trying to accomplish, you have to say the things to them that will get them to say, ďż˝Thatďż˝s right.ďż˝ -The “that’s right” breakthrough usually doesn’t come at the beginning of a negotiation. It’s invisible to the counterpart when it occurs, and they embrace what you’ve said. To them, it’s a subtle epiphany. +The ďż˝thatďż˝s rightďż˝ breakthrough usually doesnďż˝t come at the beginning of a negotiation. Itďż˝s invisible to the counterpart when it occurs, and they embrace what youďż˝ve said. To them, itďż˝s a subtle epiphany. -TRIGGER A “THAT’S RIGHT!” WITH A SUMMARY +TRIGGER A ďż˝THATďż˝S RIGHT!ďż˝ WITH A SUMMARY After four months of negotiations, Sabaya still refused to budge. I decided it was time to hit the reset switch. -Benjie had gotten so good at extending the conversations that you could tell that there were times that Sabaya must have paced back and forth for an hour before calling Benjie, trying to figure out how to get what he wanted. He would call in and say, “Tell me yes or no! Just yes or no!” +Benjie had gotten so good at extending the conversations that you could tell that there were times that Sabaya must have paced back and forth for an hour before calling Benjie, trying to figure out how to get what he wanted. He would call in and say, ďż˝Tell me yes or no! Just yes or no!ďż˝ -We had to get Sabaya off this war damages nonsense. No matter what type of questioning, logic, or reasoning we tried with him, he wouldn’t release it. Threats against Schilling came and went. We talked him down each time. +We had to get Sabaya off this war damages nonsense. No matter what type of questioning, logic, or reasoning we tried with him, he wouldnďż˝t release it. Threats against Schilling came and went. We talked him down each time. -I decided that in order to break through this phase we needed to reposition Sabaya with his own words in a way that would dissolve barriers. We needed to get him to say, “That’s right.” At the time, I didn’t know for sure what kind of breakthrough it was going to give us. I just knew we needed to trust the process. +I decided that in order to break through this phase we needed to reposition Sabaya with his own words in a way that would dissolve barriers. We needed to get him to say, ďż˝Thatďż˝s right.ďż˝ At the time, I didnďż˝t know for sure what kind of breakthrough it was going to give us. I just knew we needed to trust the process. I wrote a two-page document that instructed Benjie to change course. We were going to use nearly every tactic in the active listening arsenal: 1.Effective Pauses: Silence is powerful. We told Benjie to use it for emphasis, to encourage Sabaya to keep talking until eventually, like clearing out a swamp, the emotions were drained from the dialogue. -2.Minimal Encouragers: Besides silence, we instructed using simple phrases, such as “Yes,” “OK,” “Uh-huh,” or “I see,” to effectively convey that Benjie was now paying full attention to Sabaya and all he had to say. +2.Minimal Encouragers: Besides silence, we instructed using simple phrases, such as ďż˝Yes,ďż˝ ďż˝OK,ďż˝ ďż˝Uh-huh,ďż˝ or ďż˝I see,ďż˝ to effectively convey that Benjie was now paying full attention to Sabaya and all he had to say. -3.Mirroring: Rather than argue with Sabaya and try to separate Schilling from the “war damages,” Benjie would listen and repeat back what Sabaya said. +3.Mirroring: Rather than argue with Sabaya and try to separate Schilling from the ďż˝war damages,ďż˝ Benjie would listen and repeat back what Sabaya said. -4.Labeling: Benjie should give Sabaya’s feelings a name and identify with how he felt. “It all seems so tragically unfair, I can now see why you sound so angry.” +4.Labeling: Benjie should give Sabayaďż˝s feelings a name and identify with how he felt. ďż˝It all seems so tragically unfair, I can now see why you sound so angry.ďż˝ -5.Paraphrase: Benjie should repeat what Sabaya is saying back to him in Benjie’s own words. This, we told him, would powerfully show him you really do understand and aren’t merely parroting his concerns. +5.Paraphrase: Benjie should repeat what Sabaya is saying back to him in Benjieďż˝s own words. This, we told him, would powerfully show him you really do understand and arenďż˝t merely parroting his concerns. -6.Summarize: A good summary is the combination of rearticulating the meaning of what is said plus the acknowledgment of the emotions underlying that meaning (paraphrasing + labeling = summary). We told Benjie he needed to listen and repeat the “world according to Abu Sabaya.” He needed to fully and completely summarize all the nonsense that Sabaya had come up with about war damages and fishing rights and five hundred years of oppression. And once he did that fully and completely, the only possible response for Sabaya, and anyone faced with a good summary, would be “that’s right.” +6.Summarize: A good summary is the combination of rearticulating the meaning of what is said plus the acknowledgment of the emotions underlying that meaning (paraphrasing + labeling = summary). We told Benjie he needed to listen and repeat the ďż˝world according to Abu Sabaya.ďż˝ He needed to fully and completely summarize all the nonsense that Sabaya had come up with about war damages and fishing rights and five hundred years of oppression. And once he did that fully and completely, the only possible response for Sabaya, and anyone faced with a good summary, would be ďż˝thatďż˝s right.ďż˝ -Two days later Sabaya phoned Benjie. Sabaya spoke. Benjie listened. When he spoke, he followed my script: he commiserated with the rebel group’s predicament. Mirroring, encouraging, labeling, each tactic worked seamlessly and cumulatively to soften Sabaya up and begin shifting his perspective. Finally, Benjie repeated in his own words Sabaya’s version of history and the emotions that came with that version. +Two days later Sabaya phoned Benjie. Sabaya spoke. Benjie listened. When he spoke, he followed my script: he commiserated with the rebel groupďż˝s predicament. Mirroring, encouraging, labeling, each tactic worked seamlessly and cumulatively to soften Sabaya up and begin shifting his perspective. Finally, Benjie repeated in his own words Sabayaďż˝s version of history and the emotions that came with that version. Sabaya was silent for nearly a minute. Finally he spoke. -“That’s right,” he said. +ďż˝Thatďż˝s right,ďż˝ he said. We ended the call. -The “war damages” demand just disappeared. +The ďż˝war damagesďż˝ demand just disappeared. From that point forward Sabaya never mentioned money again. He never asked for another dime for the release of Jeffrey Schilling. He ultimately became so weary of this case and holding the young Californian that he let down his guard. Schilling escaped from their camp, and Philippine commandoes swooped in and rescued him. He returned safely to his family in California. Two weeks after Jeff Schilling escaped, Sabaya called Benjie: -“Have you been promoted yet?” he asked. “If not, you should have been.” +ďż˝Have you been promoted yet?ďż˝ he asked. ďż˝If not, you should have been.ďż˝ -“Why?” Benjie asked. +ďż˝Why?ďż˝ Benjie asked. -“I was going to hurt Jeffrey,” Sabaya said. “I don’t know what you did to keep me from doing that, but whatever it was, it worked.” +ďż˝I was going to hurt Jeffrey,ďż˝ Sabaya said. ďż˝I donďż˝t know what you did to keep me from doing that, but whatever it was, it worked.ďż˝ In June 2002 Sabaya was killed in a shoot-out with Philippine military units. -In the heat of negotiations for a man’s life, I didn’t appreciate the value of those two words: “That’s right.” But when I studied the transcripts and reconstructed the trajectory of the negotiations, I realized that Sabaya had changed course when he uttered those words. Benjie had used some fundamental techniques that we had developed over many years. He had reflected Sabaya’s vision. He had stepped back from confrontation. He had allowed Sabaya to speak freely and exhaust his version of events. +In the heat of negotiations for a manďż˝s life, I didnďż˝t appreciate the value of those two words: ďż˝Thatďż˝s right.ďż˝ But when I studied the transcripts and reconstructed the trajectory of the negotiations, I realized that Sabaya had changed course when he uttered those words. Benjie had used some fundamental techniques that we had developed over many years. He had reflected Sabayaďż˝s vision. He had stepped back from confrontation. He had allowed Sabaya to speak freely and exhaust his version of events. -“That’s right” signaled that negotiations could proceed from deadlock. It broke down a barrier that was impeding progress. It created a realization point with our adversary where he actually agreed on a point without the feeling of having given in. +ďż˝Thatďż˝s rightďż˝ signaled that negotiations could proceed from deadlock. It broke down a barrier that was impeding progress. It created a realization point with our adversary where he actually agreed on a point without the feeling of having given in. It was a stealth victory. -When your adversaries say, “That’s right,” they feel they have assessed what you’ve said and pronounced it as correct of their own free will. They embrace it. +When your adversaries say, ďż˝Thatďż˝s right,ďż˝ they feel they have assessed what youďż˝ve said and pronounced it as correct of their own free will. They embrace it. -“That’s right” allowed us to draw out the talks and divert Sabaya from hurting Schilling. And it gave Philippine commandos time to mount their rescue operation. +ďż˝Thatďż˝s rightďż˝ allowed us to draw out the talks and divert Sabaya from hurting Schilling. And it gave Philippine commandos time to mount their rescue operation. -In hostage negotiations, we never tried to get to “yes” as an endpoint. We knew that “yes” is nothing without “how.” And when we applied hostage negotiating tactics to business, we saw how “that’s right” often leads to the best outcomes. +In hostage negotiations, we never tried to get to ďż˝yesďż˝ as an endpoint. We knew that ďż˝yesďż˝ is nothing without ďż˝how.ďż˝ And when we applied hostage negotiating tactics to business, we saw how ďż˝thatďż˝s rightďż˝ often leads to the best outcomes. -“THAT’S RIGHT” IS GREAT, BUT IF “YOU’RE RIGHT,” NOTHING CHANGES +ďż˝THATďż˝S RIGHTďż˝ IS GREAT, BUT IF ďż˝YOUďż˝RE RIGHT,ďż˝ NOTHING CHANGES -Driving toward “that’s right” is a winning strategy in all negotiations. But hearing “you’re right” is a disaster. +Driving toward ďż˝thatďż˝s rightďż˝ is a winning strategy in all negotiations. But hearing ďż˝youďż˝re rightďż˝ is a disaster. Take my son, Brandon, and his development as a football player. He had been playing on the offensive and defensive lines all through high school. At six foot two and 250 pounds, he was formidable. He loved to knock every player wearing an opposing jersey to the ground. -Having played quarterback, I didn’t fully appreciate the blue-collar nature of being a lineman. Linemen are like mountain goats. They put their heads down and hit things. It makes them happy. +Having played quarterback, I didnďż˝t fully appreciate the blue-collar nature of being a lineman. Linemen are like mountain goats. They put their heads down and hit things. It makes them happy. -At St. Thomas More prep school in Connecticut, Brandon’s coach moved him to linebacker, and his role suddenly changed from hitting everything he saw to avoiding players who were trying to block him. He was supposed to play off blocks—dodge them, if you will—and get to the ball. But Brandon continued to confront opposing blockers head-on, which kept him from getting to the ballcarrier. His coach pleaded with him to avoid blockers, but Brandon couldn’t change. He loved to hit. Flattening opposing players was a source of pride. +At St. Thomas More prep school in Connecticut, Brandonďż˝s coach moved him to linebacker, and his role suddenly changed from hitting everything he saw to avoiding players who were trying to block him. He was supposed to play off blocksďż˝dodge them, if you willďż˝and get to the ball. But Brandon continued to confront opposing blockers head-on, which kept him from getting to the ballcarrier. His coach pleaded with him to avoid blockers, but Brandon couldnďż˝t change. He loved to hit. Flattening opposing players was a source of pride. -Both his coach and I kept trying to explain it to him. And every time we got the worst possible answer—“You’re right.” He agreed, in theory, but he didn’t own the conclusion. Then he would go right back to the behavior we were trying to get him to stop. He would smash blockers and take himself out of the play. +Both his coach and I kept trying to explain it to him. And every time we got the worst possible answer��Youďż˝re right.ďż˝ He agreed, in theory, but he didnďż˝t own the conclusion. Then he would go right back to the behavior we were trying to get him to stop. He would smash blockers and take himself out of the play. -Why is “you’re right” the worst answer? +Why is ďż˝youďż˝re rightďż˝ the worst answer? -Consider this: Whenever someone is bothering you, and they just won’t let up, and they won’t listen to anything you have to say, what do you tell them to get them to shut up and go away? “You’re right.” +Consider this: Whenever someone is bothering you, and they just wonďż˝t let up, and they wonďż˝t listen to anything you have to say, what do you tell them to get them to shut up and go away? ďż˝Youďż˝re right.ďż˝ -It works every time. Tell people “you’re right” and they get a happy smile on their face and leave you alone for at least twenty-four hours. But you haven’t agreed to their position. You have used “you’re right” to get them to quit bothering you. +It works every time. Tell people ďż˝youďż˝re rightďż˝ and they get a happy smile on their face and leave you alone for at least twenty-four hours. But you havenďż˝t agreed to their position. You have used ďż˝youďż˝re rightďż˝ to get them to quit bothering you. -I was in the same situation with Brandon. He didn’t hear me and embrace my request. What could I say to get through to this kid? How could I reach Brandon and help him change course? +I was in the same situation with Brandon. He didnďż˝t hear me and embrace my request. What could I say to get through to this kid? How could I reach Brandon and help him change course? -I thought back to Benjie and Sabaya. I took Brandon aside before a crucial game. I had searched my mind for a way to hear the two critical words, “That’s right.” +I thought back to Benjie and Sabaya. I took Brandon aside before a crucial game. I had searched my mind for a way to hear the two critical words, ďż˝Thatďż˝s right.ďż˝ -“You seem to think it’s unmanly to dodge a block,” I told him. “You think it’s cowardly to get out of someone’s way that’s trying to hit you.” +ďż˝You seem to think itďż˝s unmanly to dodge a block,ďż˝ I told him. ďż˝You think itďż˝s cowardly to get out of someoneďż˝s way thatďż˝s trying to hit you.ďż˝ Brandon stared at me and paused. -“That’s right,” he said. +ďż˝Thatďż˝s right,ďż˝ he said. With those words Brandon embraced the reality of what was holding him back. Once he understood why he was trying to knock down every blocker, he changed course. He started avoiding the blocks and became an exceptionally fine linebacker. With Brandon on the field tackling and playing star linebacker, St. Thomas More School won every game. -USING “THAT’S RIGHT” TO MAKE THE SALE +USING ďż˝THATďż˝S RIGHTďż˝ TO MAKE THE SALE -Getting to “that’s right” helped one of my students in her job as a sales representative for a large pharmaceutical company. +Getting to ďż˝thatďż˝s rightďż˝ helped one of my students in her job as a sales representative for a large pharmaceutical company. She was trying to sell a new product to a doctor who used similar medication. He was the largest user of this kind of medication in her territory. The sale was critical to her success. -In her first appointments, the doctor dismissed her product. He said it was no better than the ones he was already using. He was unfriendly. He didn’t even want to hear her viewpoint. When she presented the positive attributes of her product, he interrupted her and knocked them down. +In her first appointments, the doctor dismissed her product. He said it was no better than the ones he was already using. He was unfriendly. He didnďż˝t even want to hear her viewpoint. When she presented the positive attributes of her product, he interrupted her and knocked them down. Making the sales pitch, she soaked up as much as possible about the doctor. She learned that he was passionate about treating his patients. Each patient was special in his eyes. Improving their sense of calm and peace was the most important outcome for him. How could she put her understanding of his needs, desires, and passions to work for her? At her next visit, the doctor asked what medications she wanted to discuss. Rather than tout the benefits of her product, she talked about him and his practice. -“Doctor,” she said, “the last time I was in we spoke about your patients with this condition. I remember thinking that you seemed very passionate about treating them, and how you worked hard to tailor the specific treatment to each and every patient.” +ďż˝Doctor,ďż˝ she said, ďż˝the last time I was in we spoke about your patients with this condition. I remember thinking that you seemed very passionate about treating them, and how you worked hard to tailor the specific treatment to each and every patient.ďż˝ He looked her in the eyes as if he were seeing her for the first time. -“That’s right,” he said. “I really feel like I’m treating an epidemic that other doctors are not picking up on—which means that a lot of patients are not getting treated adequately.” +ďż˝Thatďż˝s right,ďż˝ he said. ďż˝I really feel like Iďż˝m treating an epidemic that other doctors are not picking up onďż˝which means that a lot of patients are not getting treated adequately.ďż˝ -She told him he seemed to have a deep understanding of how to treat these patients, especially because some of them didn’t respond to the usual medications. They talked about specific challenges he had confronted in treating his patients. He gave her examples. +She told him he seemed to have a deep understanding of how to treat these patients, especially because some of them didnďż˝t respond to the usual medications. They talked about specific challenges he had confronted in treating his patients. He gave her examples. When he was finished, she summarized what he had said, especially the intricacies and problems in treatment. -“You seem to tailor specific treatments and medications for each patient,” she said. +ďż˝You seem to tailor specific treatments and medications for each patient,ďż˝ she said. -“That’s right,” he responded. +ďż˝Thatďż˝s right,ďż˝ he responded. -This was the breakthrough she had hoped to reach. The doctor had been skeptical and cold. But when she recognized his passion for his patients—using a summary—the walls came down. He dropped his guard, and she was able to gain his trust. Rather than pitch her product, she let him describe his treatment and procedures. With this, she learned how her medication would fit into his practice. She then paraphrased what he said about the challenges of his practice and reflected them back to him. +This was the breakthrough she had hoped to reach. The doctor had been skeptical and cold. But when she recognized his passion for his patientsďż˝using a summaryďż˝the walls came down. He dropped his guard, and she was able to gain his trust. Rather than pitch her product, she let him describe his treatment and procedures. With this, she learned how her medication would fit into his practice. She then paraphrased what he said about the challenges of his practice and reflected them back to him. Once the doctor signaled his trust and rapport, she could tout the attributes of her product and describe precisely how it would help him reach the outcomes he desired for his patients. He listened intently. -“It might be perfect for treating a patient who has not benefited from the medication I have been prescribing,” he told her. “Let me give yours a try.” +ďż˝It might be perfect for treating a patient who has not benefited from the medication I have been prescribing,ďż˝ he told her. ďż˝Let me give yours a try.ďż˝ She made the sale. -USING “THAT’S RIGHT” FOR CAREER SUCCESS +USING ďż˝THATďż˝S RIGHTďż˝ FOR CAREER SUCCESS -One of my Korean students got to “that’s right” in negotiating with his ex-boss for a new job. +One of my Korean students got to ďż˝thatďż˝s rightďż˝ in negotiating with his ex-boss for a new job. -Returning to Seoul after getting his MBA, he wanted to work in his company’s consumer electronics division, rather than the semiconductor section, where he had been stationed. He was a human resources specialist. Under the company’s rules, he believed he had to remain in his previous department, unless he could also get approval from his ex-boss. He had gotten two job offers from the consumer products division. He phoned his ex-boss from the United States. +Returning to Seoul after getting his MBA, he wanted to work in his companyďż˝s consumer electronics division, rather than the semiconductor section, where he had been stationed. He was a human resources specialist. Under the companyďż˝s rules, he believed he had to remain in his previous department, unless he could also get approval from his ex-boss. He had gotten two job offers from the consumer products division. He phoned his ex-boss from the United States. -“You should reject this offer and find your spot here with the semiconductor division,” the ex-boss said. +ďż˝You should reject this offer and find your spot here with the semiconductor division,ďż˝ the ex-boss said. My student hung up depressed. If he wanted to advance in the company, he had to obey his former superior. He rejected the two offers and prepared to return to the semiconductor side. -Then he contacted a friend who was a senior manager in the human resources department to check on the company’s regulations. He found there was no rule that he had to stay within his division, but he did need his ex-boss’s blessing to switch. +Then he contacted a friend who was a senior manager in the human resources department to check on the companyďż˝s regulations. He found there was no rule that he had to stay within his division, but he did need his ex-bossďż˝s blessing to switch. He phoned his ex-boss again. This time he asked questions to draw him out. -“Is there any reason you want me to go to the semiconductor headquarters?” he asked. +ďż˝Is there any reason you want me to go to the semiconductor headquarters?ďż˝ he asked. -“It’s the best position for you,” the ex-boss said. +ďż˝Itďż˝s the best position for you,ďż˝ the ex-boss said. -“The best position?” he asked. “It sounds like there’s no regulation that I have to remain with the semiconductor division,” he said. “Hmm,” the ex-boss said. “I don’t think there is any.” +ďż˝The best position?ďż˝ he asked. ďż˝It sounds like thereďż˝s no regulation that I have to remain with the semiconductor division,ďż˝ he said. ďż˝Hmm,ďż˝ the ex-boss said. ďż˝I donďż˝t think there is any.ďż˝ -“Then will you please tell me what made you decide that I remain in the semiconductor headquarters?” he asked. +ďż˝Then will you please tell me what made you decide that I remain in the semiconductor headquarters?ďż˝ he asked. The ex-boss said he needed someone to help him network at headquarters between the semiconductor and consumer products divisions. -“So it sounds like you could approve my new position no matter which division, as long as I was in headquarters and could help you communicate better with the top managers.” +ďż˝So it sounds like you could approve my new position no matter which division, as long as I was in headquarters and could help you communicate better with the top managers.ďż˝ -“That’s right,” he said. “I must admit I need your help in headquarters.” +ďż˝Thatďż˝s right,ďż˝ he said. ďż˝I must admit I need your help in headquarters.ďż˝ -My student realized he had made a breakthrough. Not only had his ex-boss uttered those sweet words—“that’s right”—but he had revealed his true motive: he needed an ally in headquarters. +My student realized he had made a breakthrough. Not only had his ex-boss uttered those sweet words��thatďż˝s right��but he had revealed his true motive: he needed an ally in headquarters. -“Is there any other help you need?” he asked. +ďż˝Is there any other help you need?ďż˝ he asked. -“Let me tell you everything,” the ex-boss responded. +ďż˝Let me tell you everything,ďż˝ the ex-boss responded. It turns out his former superior would be up for a promotion to vice president in two years. He desperately wanted to move up into this job. He needed someone in headquarters to lobby the company CEO. -“I would help you in any way,” my student said. “But I could help with the networking and also talk you up to the CEO even if I were at headquarters with the consumer products division, right?” +ďż˝I would help you in any way,ďż˝ my student said. ďż˝But I could help with the networking and also talk you up to the CEO even if I were at headquarters with the consumer products division, right?ďż˝ -“That’s right,” he said. “If you get an offer from the consumer products unit, I will approve it.” +ďż˝Thatďż˝s right,ďż˝ he said. ďż˝If you get an offer from the consumer products unit, I will approve it.ďż˝ -Bingo! By asking questions that got him to “that’s right,” my student had achieved his goal. He also got his boss to reveal two “Black Swans,” the unspoken, underlying breakthrough dynamics of a negotiation (explored in more detail in Chapter 10): +Bingo! By asking questions that got him to ďż˝thatďż˝s right,ďż˝ my student had achieved his goal. He also got his boss to reveal two ďż˝Black Swans,ďż˝ the unspoken, underlying breakthrough dynamics of a negotiation (explored in more detail in Chapter 10): -¦His boss needed someone to help him network and communicate in headquarters. +ďż˝His boss needed someone to help him network and communicate in headquarters. -¦His boss would be up for a promotion and needed someone to talk him up to the CEO. +ďż˝His boss would be up for a promotion and needed someone to talk him up to the CEO. -My student was able to win the job he desired on the consumer electronics division. And he’s been talking up his former boss. +My student was able to win the job he desired on the consumer electronics division. And heďż˝s been talking up his former boss. -“I was stunned,” he wrote me in an email. “In this culture it is not really possible to know what a superior is thinking.” +ďż˝I was stunned,ďż˝ he wrote me in an email. ďż˝In this culture it is not really possible to know what a superior is thinking.ďż˝ -I have many opportunities to travel the country and speak to business leaders, either in formal speaking engagements or private counseling sessions. I entertain them with war stories, then I describe some basic negotiating skills. I always impart a few techniques. Getting to “that’s right” is a staple. +I have many opportunities to travel the country and speak to business leaders, either in formal speaking engagements or private counseling sessions. I entertain them with war stories, then I describe some basic negotiating skills. I always impart a few techniques. Getting to ďż˝thatďż˝s rightďż˝ is a staple. After a speech in Los Angeles, one of the attendees, Emily, sent me an email: -Hi Chris, I feel compelled to tell you that I just tried the “That’s right” technique in a price negotiation with a potential new client. And, I got what I wanted. I’m so excited! +Hi Chris, I feel compelled to tell you that I just tried the ďż˝Thatďż˝s rightďż˝ technique in a price negotiation with a potential new client. And, I got what I wanted. Iďż˝m so excited! -Before I probably would have just gone with the “in-the-middle” suggested price (halfway between my initial offer and her initial counter). Instead, I believe I correctly assessed her motivations, presented her with the right statement to get to a “that’s right” (in her mind) . . . and then she proposed the solution I wanted and asked if I would agree to it! So, I did of course. +Before I probably would have just gone with the ďż˝in-the-middleďż˝ suggested price (halfway between my initial offer and her initial counter). Instead, I believe I correctly assessed her motivations, presented her with the right statement to get to a ďż˝thatďż˝s rightďż˝ (in her mind) . . . and then she proposed the solution I wanted and asked if I would agree to it! So, I did of course. Thank you! Emily -And I thought to myself: That’s right. +And I thought to myself: Thatďż˝s right. KEY LESSONS -“Sleeping in the same bed and dreaming different dreams” is an old Chinese expression that describes the intimacy of partnership (whether in marriage or in business) without the communication necessary to sustain it. +ďż˝Sleeping in the same bed and dreaming different dreamsďż˝ is an old Chinese expression that describes the intimacy of partnership (whether in marriage or in business) without the communication necessary to sustain it. Such is the recipe for bad marriages and bad negotiations. -With each party having its own set of objectives, its own goals and motivations, the truth is that the conversational niceties—the socially lubricating “yeses” and “you’re rights” that get thrown out fast and furious early in any interaction—are not in any way a substitute for real understanding between you and your partner. +With each party having its own set of objectives, its own goals and motivations, the truth is that the conversational nicetiesďż˝the socially lubricating ďż˝yesesďż˝ and ďż˝youďż˝re rightsďż˝ that get thrown out fast and furious early in any interactionďż˝are not in any way a substitute for real understanding between you and your partner. -The power of getting to that understanding, and not to some simple “yes,” is revelatory in the art of negotiation. The moment you’ve convinced someone that you truly understand her dreams and feelings (the whole world that she inhabits), mental and behavioral change becomes possible, and the foundation for a breakthrough has been laid. +The power of getting to that understanding, and not to some simple ďż˝yes,ďż˝ is revelatory in the art of negotiation. The moment youďż˝ve convinced someone that you truly understand her dreams and feelings (the whole world that she inhabits), mental and behavioral change becomes possible, and the foundation for a breakthrough has been laid. Use these lessons to lay that foundation: -¦Creating unconditional positive regard opens the door to changing thoughts and behaviors. Humans have an innate urge toward socially constructive behavior. The more a person feels understood, and positively affirmed in that understanding, the more likely that urge for constructive behavior will take hold. +ďż˝Creating unconditional positive regard opens the door to changing thoughts and behaviors. Humans have an innate urge toward socially constructive behavior. The more a person feels understood, and positively affirmed in that understanding, the more likely that urge for constructive behavior will take hold. -¦“That’s right” is better than “yes.” Strive for it. Reaching “that’s right” in a negotiation creates breakthroughs. +��Thatďż˝s rightďż˝ is better than ďż˝yes.ďż˝ Strive for it. Reaching ďż˝thatďż˝s rightďż˝ in a negotiation creates breakthroughs. -¦Use a summary to trigger a “that’s right.” The building blocks of a good summary are a label combined with paraphrasing. Identify, rearticulate, and emotionally affirm “the world according to . . .” +ďż˝Use a summary to trigger a ďż˝thatďż˝s right.ďż˝ The building blocks of a good summary are a label combined with paraphrasing. Identify, rearticulate, and emotionally affirm ďż˝the world according to . . .ďż˝ @@ -1895,39 +1817,39 @@ CHAPTER 6 BEND THEIR REALITY -One Monday morning in Haiti’s capital, Port-au-Prince, a call came in to the FBI office from the nephew of a prominent Haitian political figure. He spoke so fast he had to repeat his story three times before I understood. But finally I got the basics: kidnappers had snatched his aunt from her car, and their ransom demand was $150,000. +One Monday morning in Haitiďż˝s capital, Port-au-Prince, a call came in to the FBI office from the nephew of a prominent Haitian political figure. He spoke so fast he had to repeat his story three times before I understood. But finally I got the basics: kidnappers had snatched his aunt from her car, and their ransom demand was $150,000. -“Give us the money,” the kidnappers told him, “or your aunt is going to die.” +ďż˝Give us the money,ďż˝ the kidnappers told him, ďż˝or your aunt is going to die.ďż˝ In the lawless, chaotic wake of the 2004 rebellion that toppled President Jean-Bertrand Aristide, Haiti surpassed Colombia as the kidnap capital of the Americas. In fact, with between eight and ten people abducted every day in the Caribbean nation of eight million, Haiti earned the dubious honor of having the highest kidnapping rate in the world. -During this onslaught of abductions and death threats, I was the FBI’s lead international kidnapping negotiator. And I had never seen anything like it. Reports of abductions—increasingly bold, daylight attacks right in Port-au-Prince—seemed to roll into the office hourly: fourteen students abducted on their school bus; American missionary Phillip Snyder shot in an ambush and seized along with a Haitian boy he was taking to Michigan for eye surgery; prominent Haitian politicians and businessmen bundled from their homes in broad daylight. No one was spared. +During this onslaught of abductions and death threats, I was the FBIďż˝s lead international kidnapping negotiator. And I had never seen anything like it. Reports of abductionsďż˝increasingly bold, daylight attacks right in Port-au-Princeďż˝seemed to roll into the office hourly: fourteen students abducted on their school bus; American missionary Phillip Snyder shot in an ambush and seized along with a Haitian boy he was taking to Michigan for eye surgery; prominent Haitian politicians and businessmen bundled from their homes in broad daylight. No one was spared. -Most of the abductions went down the same way: ski-mask-clad kidnappers surrounded a house or a car, forced entry with a gun, and snatched a vulnerable victim—usually a woman, child, or elderly person. +Most of the abductions went down the same way: ski-mask-clad kidnappers surrounded a house or a car, forced entry with a gun, and snatched a vulnerable victimďż˝usually a woman, child, or elderly person. -Early on, there was the possibility that the kidnappings were driven by politically aligned gangs seeking to destabilize Haiti’s new government. This proved to be wrong. Haitian criminals are famous for employing brutal means for political ends, but when it came to kidnappings, it was almost always all business. +Early on, there was the possibility that the kidnappings were driven by politically aligned gangs seeking to destabilize Haitiďż˝s new government. This proved to be wrong. Haitian criminals are famous for employing brutal means for political ends, but when it came to kidnappings, it was almost always all business. -Later on, I’ll get to how we pieced together the clues to discover who the perpetrators were and what they really wanted—invaluable information when it came to negotiating with and destabilizing these gangs. But first I want to discuss the crystallizing feature of high-stakes, life-and-death negotiating: that is, how little of it is on the surface. +Later on, Iďż˝ll get to how we pieced together the clues to discover who the perpetrators were and what they really wantedďż˝invaluable information when it came to negotiating with and destabilizing these gangs. But first I want to discuss the crystallizing feature of high-stakes, life-and-death negotiating: that is, how little of it is on the surface. -When that Monday ransom call came in to the politician’s nephew, the guy was so petrified he could only think of doing one thing: paying the thugs. His reaction makes sense: when you get a call from brutal criminals who say they’ll kill your aunt unless you pay them immediately, it seems impossible to find leverage in the situation. So you pay the ransom and they release your relative, right? +When that Monday ransom call came in to the politicianďż˝s nephew, the guy was so petrified he could only think of doing one thing: paying the thugs. His reaction makes sense: when you get a call from brutal criminals who say theyďż˝ll kill your aunt unless you pay them immediately, it seems impossible to find leverage in the situation. So you pay the ransom and they release your relative, right? -Wrong. There’s always leverage. Negotiation is never a linear formula: add X to Y to get Z. We all have irrational blind spots, hidden needs, and undeveloped notions. +Wrong. Thereďż˝s always leverage. Negotiation is never a linear formula: add X to Y to get Z. We all have irrational blind spots, hidden needs, and undeveloped notions. -Once you understand that subterranean world of unspoken needs and thoughts, you’ll discover a universe of variables that can be leveraged to change your counterpart’s needs and expectations. From using some people’s fear of deadlines and the mysterious power of odd numbers, to our misunderstood relationship to fairness, there are always ways to bend our counterpart’s reality so it conforms to what we ultimately want to give them, not to what they initially think they deserve. +Once you understand that subterranean world of unspoken needs and thoughts, youďż˝ll discover a universe of variables that can be leveraged to change your counterpartďż˝s needs and expectations. From using some peopleďż˝s fear of deadlines and the mysterious power of odd numbers, to our misunderstood relationship to fairness, there are always ways to bend our counterpartďż˝s reality so it conforms to what we ultimately want to give them, not to what they initially think they deserve. -DON’T COMPROMISE +DONďż˝T COMPROMISE -Let’s go back to the $150,000 ransom demand. We’re always taught to look for the win-win solution, to accommodate, to be reasonable. So what’s the win-win here? What’s the compromise? The traditional negotiating logic that’s drilled into us from an early age, the kind that exalts compromises, says, “Let’s just split the difference and offer them $75,000. Then everyone’s happy.” +Letďż˝s go back to the $150,000 ransom demand. Weďż˝re always taught to look for the win-win solution, to accommodate, to be reasonable. So whatďż˝s the win-win here? Whatďż˝s the compromise? The traditional negotiating logic thatďż˝s drilled into us from an early age, the kind that exalts compromises, says, ďż˝Letďż˝s just split the difference and offer them $75,000. Then everyoneďż˝s happy.ďż˝ -No. Just, simply, no. The win-win mindset pushed by so many negotiation experts is usually ineffective and often disastrous. At best, it satisfies neither side. And if you employ it with a counterpart who has a win-lose approach, you’re setting yourself up to be swindled. +No. Just, simply, no. The win-win mindset pushed by so many negotiation experts is usually ineffective and often disastrous. At best, it satisfies neither side. And if you employ it with a counterpart who has a win-lose approach, youďż˝re setting yourself up to be swindled. -Of course, as we’ve noted previously, you need to keep the cooperative, rapport-building, empathetic approach, the kind that creates a dynamic in which deals can be made. But you have to get rid of that naďveté. Because compromise—“splitting the difference”—can lead to terrible outcomes. Compromise is often a “bad deal” and a key theme we’ll hit in this chapter is that “no deal is better than a bad deal.” +Of course, as weďż˝ve noted previously, you need to keep the cooperative, rapport-building, empathetic approach, the kind that creates a dynamic in which deals can be made. But you have to get rid of that naďż˝vetďż˝. Because compromise��splitting the difference��can lead to terrible outcomes. Compromise is often a ďż˝bad dealďż˝ and a key theme weďż˝ll hit in this chapter is that ďż˝no deal is better than a bad deal.ďż˝ Even in a kidnapping? Yes. A bad deal in a kidnapping is where someone pays and no one comes out. -To make my point on compromise, let me paint you an example: A woman wants her husband to wear black shoes with his suit. But her husband doesn’t want to; he prefers brown shoes. So what do they do? They compromise, they meet halfway. And, you guessed it, he wears one black and one brown shoe. Is this the best outcome? No! In fact, that’s the worst possible outcome. Either of the two other outcomes—black or brown—would be better than the compromise. +To make my point on compromise, let me paint you an example: A woman wants her husband to wear black shoes with his suit. But her husband doesnďż˝t want to; he prefers brown shoes. So what do they do? They compromise, they meet halfway. And, you guessed it, he wears one black and one brown shoe. Is this the best outcome? No! In fact, thatďż˝s the worst possible outcome. Either of the two other outcomesďż˝black or brownďż˝would be better than the compromise. Next time you want to compromise, remind yourself of those mismatched shoes. @@ -1937,9 +1859,9 @@ The real problem with compromise is that it has come to be known as this great c Think back to the ransom demand: Fair is no ransom, and what the nephew wants is to pay nothing. So why is he going to offer $75,000, much less $150,000, for the ransom? There is no validity in the $150,000 request. With any compromise, the nephew ends up with a bizarrely bad result. -I’m here to call bullshit on compromise right now. We don’t compromise because it’s right; we compromise because it is easy and because it saves face. We compromise in order to say that at least we got half the pie. Distilled to its essence, we compromise to be safe. Most people in a negotiation are driven by fear or by the desire to avoid pain. Too few are driven by their actual goals. +Iďż˝m here to call bullshit on compromise right now. We donďż˝t compromise because itďż˝s right; we compromise because it is easy and because it saves face. We compromise in order to say that at least we got half the pie. Distilled to its essence, we compromise to be safe. Most people in a negotiation are driven by fear or by the desire to avoid pain. Too few are driven by their actual goals. -So don’t settle and—here’s a simple rule—never split the difference. Creative solutions are almost always preceded by some degree of risk, annoyance, confusion, and conflict. Accommodation and compromise produce none of that. You’ve got to embrace the hard stuff. That’s where the great deals are. And that’s what great negotiators do. +So donďż˝t settle andďż˝hereďż˝s a simple ruleďż˝never split the difference. Creative solutions are almost always preceded by some degree of risk, annoyance, confusion, and conflict. Accommodation and compromise produce none of that. Youďż˝ve got to embrace the hard stuff. Thatďż˝s where the great deals are. And thatďż˝s what great negotiators do. DEADLINES: MAKE TIME YOUR ALLY @@ -1947,143 +1869,143 @@ Time is one of the most crucial variables in any negotiation. The simple passing Whether your deadline is real and absolute or merely a line in the sand, it can trick you into believing that doing a deal now is more important than getting a good deal. Deadlines regularly make people say and do impulsive things that are against their best interests, because we all have a natural tendency to rush as a deadline approaches. -What good negotiators do is force themselves to resist this urge and take advantage of it in others. It’s not so easy. Ask yourself: What is it about a deadline that causes pressure and anxiety? The answer is consequences; the perception of the loss we’ll incur in the future—“The deal is off!” our mind screams at us in some imaginary future scenario—should no resolution be achieved by a certain point in time. +What good negotiators do is force themselves to resist this urge and take advantage of it in others. Itďż˝s not so easy. Ask yourself: What is it about a deadline that causes pressure and anxiety? The answer is consequences; the perception of the loss weďż˝ll incur in the future��The deal is off!ďż˝ our mind screams at us in some imaginary future scenarioďż˝should no resolution be achieved by a certain point in time. When you allow the variable of time to trigger such thinking, you have taken yourself hostage, creating an environment of reactive behaviors and poor choices, where your counterpart can now kick back and let an imaginary deadline, and your reaction to it, do all the work for him. -Yes, I used the word “imaginary.” In all the years I’ve been doing work in the private sector, I’ve made it a point to ask nearly every entrepreneur and executive I’ve worked with whether, over the course of their entire careers, they have ever been a witness to or a party of a negotiation in which a missed deadline had negative repercussions. Among hundreds of such clients, there’s one single, solitary gentleman who gave the question serious consideration and responded affirmatively. Deadlines are often arbitrary, almost always flexible, and hardly ever trigger the consequences we think—or are told—they will. +Yes, I used the word ďż˝imaginary.ďż˝ In all the years Iďż˝ve been doing work in the private sector, Iďż˝ve made it a point to ask nearly every entrepreneur and executive Iďż˝ve worked with whether, over the course of their entire careers, they have ever been a witness to or a party of a negotiation in which a missed deadline had negative repercussions. Among hundreds of such clients, thereďż˝s one single, solitary gentleman who gave the question serious consideration and responded affirmatively. Deadlines are often arbitrary, almost always flexible, and hardly ever trigger the consequences we thinkďż˝or are toldďż˝they will. -Deadlines are the bogeymen of negotiation, almost exclusively self-inflicted figments of our imagination, unnecessarily unsettling us for no good reason. The mantra we coach our clients on is, “No deal is better than a bad deal.” If that mantra can truly be internalized, and clients begin to believe they’ve got all the time they need to conduct the negotiation right, their patience becomes a formidable weapon. +Deadlines are the bogeymen of negotiation, almost exclusively self-inflicted figments of our imagination, unnecessarily unsettling us for no good reason. The mantra we coach our clients on is, ďż˝No deal is better than a bad deal.ďż˝ If that mantra can truly be internalized, and clients begin to believe theyďż˝ve got all the time they need to conduct the negotiation right, their patience becomes a formidable weapon. A few weeks after the Haitian kidnapping boom began, we started to notice two patterns. First, Mondays seemed to be especially busy, as if the kidnappers had a particularly strong work ethic and wanted to get a jump on the week. And, second, the thugs grew increasingly eager to get paid as the weekend approached. -At first, this didn’t make any sense. But by listening closely to the kidnappers and debriefing the hostages we rescued, we discovered something that should have been obvious: These crimes weren’t politically motivated at all. Instead, these guys were garden-variety thugs who wanted to get paid by Friday so they could party through the weekend. +At first, this didnďż˝t make any sense. But by listening closely to the kidnappers and debriefing the hostages we rescued, we discovered something that should have been obvious: These crimes werenďż˝t politically motivated at all. Instead, these guys were garden-variety thugs who wanted to get paid by Friday so they could party through the weekend. -Once we understood the pattern and knew the kidnappers’ self-imposed deadline, we had two key pieces of information that totally shifted the leverage to our side. +Once we understood the pattern and knew the kidnappersďż˝ self-imposed deadline, we had two key pieces of information that totally shifted the leverage to our side. -First, if we let the pressure build by stalling the negotiations until Thursday or Friday, we could cut the best deal. And, second, because you didn’t need anything close to $150,000 to have a good weekend in Haiti, offering a lot, lot less would suffice. +First, if we let the pressure build by stalling the negotiations until Thursday or Friday, we could cut the best deal. And, second, because you didnďż˝t need anything close to $150,000 to have a good weekend in Haiti, offering a lot, lot less would suffice. -How close we were getting to their self-imposed deadline would be indicated by how specific the threats were that they issued. “Give us the money or your aunt is going to die” is an early stage threat, as the time isn’t specified. Increasing specificity on threats in any type of negotiations indicates getting closer to real consequences at a real specified time. To gauge the level of a particular threat, we’d pay attention to how many of the four questions—What? Who? When? And how?—were addressed. When people issue threats, they consciously or subconsciously create ambiguities and loopholes they fully intend to exploit. As the loopholes started to close as the week progressed, and did so over and over again in similar ways with different kidnappings, the pattern emerged. +How close we were getting to their self-imposed deadline would be indicated by how specific the threats were that they issued. ďż˝Give us the money or your aunt is going to dieďż˝ is an early stage threat, as the time isnďż˝t specified. Increasing specificity on threats in any type of negotiations indicates getting closer to real consequences at a real specified time. To gauge the level of a particular threat, weďż˝d pay attention to how many of the four questionsďż˝What? Who? When? And how?ďż˝were addressed. When people issue threats, they consciously or subconsciously create ambiguities and loopholes they fully intend to exploit. As the loopholes started to close as the week progressed, and did so over and over again in similar ways with different kidnappings, the pattern emerged. -With this information in hand, I came to expect the kidnappings to be orderly, four-day events. It didn’t make the abductions any more pleasant for the victim, but it certainly made them more predictable—and a whole lot cheaper—for the families on the other end. +With this information in hand, I came to expect the kidnappings to be orderly, four-day events. It didnďż˝t make the abductions any more pleasant for the victim, but it certainly made them more predictableďż˝and a whole lot cheaperďż˝for the families on the other end. -It’s not just with hostage negotiations that deadlines can play into your hands. Car dealers are prone to give you the best price near the end of the month, when their transactions are assessed. And corporate salespeople work on a quarterly basis and are most vulnerable as the quarter comes to a close. +Itďż˝s not just with hostage negotiations that deadlines can play into your hands. Car dealers are prone to give you the best price near the end of the month, when their transactions are assessed. And corporate salespeople work on a quarterly basis and are most vulnerable as the quarter comes to a close. -Now, knowing how negotiators use their counterpart’s deadlines to gain leverage would seem to suggest that it’s best to keep your own deadlines secret. And that’s the advice you’ll get from most old-school negotiation experts. +Now, knowing how negotiators use their counterpartďż˝s deadlines to gain leverage would seem to suggest that itďż˝s best to keep your own deadlines secret. And thatďż˝s the advice youďż˝ll get from most old-school negotiation experts. In his bestselling 1980 book, You Can Negotiate Anything,1 negotiation expert Herb Cohen tells the story of his first big business deal, when his company sent him to Japan to negotiate with a supplier. -When he arrived, his counterparts asked him how long he was staying, and Cohen said a week. For the next seven days, his hosts proceeded to entertain him with parties, tours, and outings—everything but negotiation. In fact, Cohen’s counterparts didn’t start serious talks until he was about to leave, and the two sides hammered out the deal’s final details in the car to the airport. +When he arrived, his counterparts asked him how long he was staying, and Cohen said a week. For the next seven days, his hosts proceeded to entertain him with parties, tours, and outingsďż˝everything but negotiation. In fact, Cohenďż˝s counterparts didnďż˝t start serious talks until he was about to leave, and the two sides hammered out the dealďż˝s final details in the car to the airport. -Cohen landed in the United States with the sinking feeling that he’d been played, and that he had conceded too much under deadline pressure. Would he have told them his deadline in retrospect? No, Cohen says, because it gave them a tool he didn’t have: “They knew my deadline, but I didn’t know theirs.” +Cohen landed in the United States with the sinking feeling that heďż˝d been played, and that he had conceded too much under deadline pressure. Would he have told them his deadline in retrospect? No, Cohen says, because it gave them a tool he didnďż˝t have: ďż˝They knew my deadline, but I didnďż˝t know theirs.ďż˝ -That mentality is everywhere these days. Seeing a simple rule to follow and assuming that a deadline is a strategic weakness, most negotiators follow Cohen’s advice and hide their drop-dead date. +That mentality is everywhere these days. Seeing a simple rule to follow and assuming that a deadline is a strategic weakness, most negotiators follow Cohenďż˝s advice and hide their drop-dead date. -Allow me to let you in on a little secret: Cohen, and the herd of negotiation “experts” who follow his lead, are wrong. Deadlines cut both ways. Cohen may well have been nervous about what his boss would say if he left Japan without an agreement. But it’s also true that Cohen’s counterparts wouldn’t have won if he’d left without a deal. That’s the key: When the negotiation is over for one side, it’s over for the other too. +Allow me to let you in on a little secret: Cohen, and the herd of negotiation ďż˝expertsďż˝ who follow his lead, are wrong. Deadlines cut both ways. Cohen may well have been nervous about what his boss would say if he left Japan without an agreement. But itďż˝s also true that Cohenďż˝s counterparts wouldnďż˝t have won if heďż˝d left without a deal. Thatďż˝s the key: When the negotiation is over for one side, itďż˝s over for the other too. -In fact, Don A. Moore, a professor at the Haas School of Business at the University of California, Berkeley, says that hiding a deadline actually puts the negotiator in the worst possible position. In his research, he’s found that hiding your deadlines dramatically increases the risk of an impasse. That’s because having a deadline pushes you to speed up your concessions, but the other side, thinking that it has time, will just hold out for more. +In fact, Don A. Moore, a professor at the Haas School of Business at the University of California, Berkeley, says that hiding a deadline actually puts the negotiator in the worst possible position. In his research, heďż˝s found that hiding your deadlines dramatically increases the risk of an impasse. Thatďż˝s because having a deadline pushes you to speed up your concessions, but the other side, thinking that it has time, will just hold out for more. -Imagine if when NBA owners set a lockout deadline during contract negotiations they didn’t tell the players’ union. They would concede and concede as the deadline approached, inciting the union to keep negotiating past the secret deadline. In that sense, hiding a deadline means you’re negotiating with yourself, and you always lose when you do so. +Imagine if when NBA owners set a lockout deadline during contract negotiations they didnďż˝t tell the playersďż˝ union. They would concede and concede as the deadline approached, inciting the union to keep negotiating past the secret deadline. In that sense, hiding a deadline means youďż˝re negotiating with yourself, and you always lose when you do so. -Moore discovered that when negotiators tell their counterparts about their deadline, they get better deals. It’s true. First, by revealing your cutoff you reduce the risk of impasse. And second, when an opponent knows your deadline, he’ll get to the real deal- and concession-making more quickly. +Moore discovered that when negotiators tell their counterparts about their deadline, they get better deals. Itďż˝s true. First, by revealing your cutoff you reduce the risk of impasse. And second, when an opponent knows your deadline, heďż˝ll get to the real deal- and concession-making more quickly. -I’ve got one final point to make before we move on: Deadlines are almost never ironclad. What’s more important is engaging in the process and having a feel for how long that will take. You may see that you have more to accomplish than time will actually allow before the clock runs out. +Iďż˝ve got one final point to make before we move on: Deadlines are almost never ironclad. Whatďż˝s more important is engaging in the process and having a feel for how long that will take. You may see that you have more to accomplish than time will actually allow before the clock runs out. NO SUCH THING AS FAIR -In the third week of my negotiations class, we play my favorite type of game, that is, the kind that shows my students how much they don’t understand themselves (I know—I’m cruel). +In the third week of my negotiations class, we play my favorite type of game, that is, the kind that shows my students how much they donďż˝t understand themselves (I knowďż˝Iďż˝m cruel). -It’s called the Ultimatum Game, and it goes like this: After the students split into pairs of a “proposer” and an “accepter,” I give each proposer $10. The proposer then has to offer the accepter a round number of dollars. If the accepter agrees he or she receives what’s been offered and the proposer gets the rest. If the accepter refuses the offer, though, they both get nothing and the $10 goes back to me. +Itďż˝s called the Ultimatum Game, and it goes like this: After the students split into pairs of a ďż˝proposerďż˝ and an ďż˝accepter,ďż˝ I give each proposer $10. The proposer then has to offer the accepter a round number of dollars. If the accepter agrees he or she receives whatďż˝s been offered and the proposer gets the rest. If the accepter refuses the offer, though, they both get nothing and the $10 goes back to me. -Whether they “win” and keep the money or “lose” and have to give it back is irrelevant (except to my wallet). What’s important is the offer they make. The truly shocking thing is that, almost without exception, whatever selection anyone makes, they find themselves in a minority. No matter whether they chose $6/$4, $5/$5, $7/$3, $8/$2, etc., they look around and are inevitably surprised to find no split was chosen far more than any other. In something as simple as merely splitting $10 of “found” money, there is no consensus of what constitutes a “fair” or “rational” split. +Whether they ďż˝winďż˝ and keep the money or ďż˝loseďż˝ and have to give it back is irrelevant (except to my wallet). Whatďż˝s important is the offer they make. The truly shocking thing is that, almost without exception, whatever selection anyone makes, they find themselves in a minority. No matter whether they chose $6/$4, $5/$5, $7/$3, $8/$2, etc., they look around and are inevitably surprised to find no split was chosen far more than any other. In something as simple as merely splitting $10 of ďż˝foundďż˝ money, there is no consensus of what constitutes a ďż˝fairďż˝ or ďż˝rationalďż˝ split. -After we run this little experiment, I stand up in front of the class and make a point they don’t like to hear: the reasoning each and every student used was 100 percent irrational and emotional. +After we run this little experiment, I stand up in front of the class and make a point they donďż˝t like to hear: the reasoning each and every student used was 100 percent irrational and emotional. -“What?” they say. “I made a rational decision.” +ďż˝What?ďż˝ they say. ďż˝I made a rational decision.ďż˝ -Then I lay out how they’re wrong. First, how could they all be using reason if so many have made different offers? That’s the point: They didn’t. They assumed the other guy would reason just like them. “If you approach a negotiation thinking that the other guy thinks like you, you’re wrong,” I say. “That’s not empathy; that’s projection.” +Then I lay out how theyďż˝re wrong. First, how could they all be using reason if so many have made different offers? Thatďż˝s the point: They didnďż˝t. They assumed the other guy would reason just like them. ďż˝If you approach a negotiation thinking that the other guy thinks like you, youďż˝re wrong,ďż˝ I say. ďż˝Thatďż˝s not empathy; thatďż˝s projection.ďż˝ -And then I push it even further: Why, I ask, did none of the proposers offer $1, which is the best rational offer for them and logically unrejectable for the accepter? And if they did and they got rejected—which happens—why did the accepter turn them down? +And then I push it even further: Why, I ask, did none of the proposers offer $1, which is the best rational offer for them and logically unrejectable for the accepter? And if they did and they got rejectedďż˝which happensďż˝why did the accepter turn them down? -“Anyone who made any offer other than $1 made an emotional choice” I say. “And for you accepters who turned down $1, since when is getting $0 better than getting $1? Did the rules of finance suddenly change?” +ďż˝Anyone who made any offer other than $1 made an emotional choiceďż˝ I say. ďż˝And for you accepters who turned down $1, since when is getting $0 better than getting $1? Did the rules of finance suddenly change?ďż˝ -This rocks my students’ view of themselves as rational actors. But they’re not. None of us are. We’re all irrational, all emotional. Emotion is a necessary element to decision making that we ignore at our own peril. Realizing that hits people hard between the eyes. +This rocks my studentsďż˝ view of themselves as rational actors. But theyďż˝re not. None of us are. Weďż˝re all irrational, all emotional. Emotion is a necessary element to decision making that we ignore at our own peril. Realizing that hits people hard between the eyes. -In Descartes’ Error: Emotion, Reason, and the Human Brain,2 neuroscientist Antonio Damasio explained a groundbreaking discovery he made. Studying people who had damage in the part of the brain where emotions are generated, he found that they all had something peculiar in common: They couldn’t make decisions. They could describe what they should do in logical terms, but they found it impossible to make even the simplest choice. +In Descartesďż˝ Error: Emotion, Reason, and the Human Brain,2 neuroscientist Antonio Damasio explained a groundbreaking discovery he made. Studying people who had damage in the part of the brain where emotions are generated, he found that they all had something peculiar in common: They couldnďż˝t make decisions. They could describe what they should do in logical terms, but they found it impossible to make even the simplest choice. In other words, while we may use logic to reason ourselves toward a decision, the actual decision making is governed by emotion. -THE F-WORD: WHY IT’S SO POWERFUL, WHEN TO USE IT, AND HOW +THE F-WORD: WHY ITďż˝S SO POWERFUL, WHEN TO USE IT, AND HOW -The most powerful word in negotiations is “Fair.” As human beings, we’re mightily swayed by how much we feel we have been respected. People comply with agreements if they feel they’ve been treated fairly and lash out if they don’t. +The most powerful word in negotiations is ďż˝Fair.ďż˝ As human beings, weďż˝re mightily swayed by how much we feel we have been respected. People comply with agreements if they feel theyďż˝ve been treated fairly and lash out if they donďż˝t. A decade of brain-imaging studies has shown that human neural activity, particularly in the emotion-regulating insular cortex, reflects the degree of unfairness in social interactions. Even nonhuman primates are hardwired to reject unfairness. In one famous study, two capuchin monkeys were set to perform the same task, but one was rewarded with sweet grapes while the other received cucumbers. In response to such blatant unfairness, the cucumber-fed monkey literally went bananas. -In the Ultimatum Game, years of experience has shown me that most accepters will invariably reject any offer that is less than half of the proposer’s money. Once you get to a quarter of the proposer’s money you can forget it and the accepters are insulted. Most people make an irrational choice to let the dollar slip through their fingers rather than to accept a derisory offer, because the negative emotional value of unfairness outweighs the positive rational value of the money. +In the Ultimatum Game, years of experience has shown me that most accepters will invariably reject any offer that is less than half of the proposerďż˝s money. Once you get to a quarter of the proposerďż˝s money you can forget it and the accepters are insulted. Most people make an irrational choice to let the dollar slip through their fingers rather than to accept a derisory offer, because the negative emotional value of unfairness outweighs the positive rational value of the money. This irrational reaction to unfairness extends all the way to serious economic deals. -Remember Robin Williams’s great work as the voice of the genie in Disney’s Aladdin? Because he wanted to leave something wonderful behind for his kids, he said, he did the voice for a cut-rate fee of $75,000, far below his usual $8 million payday. But then something happened: the movie became a huge hit, raking in $504 million. +Remember Robin Williamsďż˝s great work as the voice of the genie in Disneyďż˝s Aladdin? Because he wanted to leave something wonderful behind for his kids, he said, he did the voice for a cut-rate fee of $75,000, far below his usual $8 million payday. But then something happened: the movie became a huge hit, raking in $504 million. And Williams went ballistic. -Now look at this with the Ultimatum Game in mind. Williams wasn’t angry because of the money; it was the perceived unfairness that pissed him off. He didn’t complain about his contract until Aladdin became a blockbuster, and then he and his agent went loud and long about how they got ripped off. +Now look at this with the Ultimatum Game in mind. Williams wasnďż˝t angry because of the money; it was the perceived unfairness that pissed him off. He didnďż˝t complain about his contract until Aladdin became a blockbuster, and then he and his agent went loud and long about how they got ripped off. -Lucky for Williams, Disney wanted to keep its star happy. After initially pointing out the obvious—that he’d happily signed the deal—Disney made the dramatic gesture of sending the star a Picasso painting worth a reported $1 million. +Lucky for Williams, Disney wanted to keep its star happy. After initially pointing out the obviousďż˝that heďż˝d happily signed the dealďż˝Disney made the dramatic gesture of sending the star a Picasso painting worth a reported $1 million. The nation of Iran was not so lucky. -In recent years, Iran has put up with sanctions that have cost it well over $100 billion in foreign investment and oil revenue in order to defend a uranium-enriching nuclear program that can only meet 2 percent of its energy needs. In other words, like the students who won’t take a free $1 because the offer seems insulting, Iran has screwed itself out of its chief source of income—oil and gas revenue—in order to pursue an energy project with little expected payoff. +In recent years, Iran has put up with sanctions that have cost it well over $100 billion in foreign investment and oil revenue in order to defend a uranium-enriching nuclear program that can only meet 2 percent of its energy needs. In other words, like the students who wonďż˝t take a free $1 because the offer seems insulting, Iran has screwed itself out of its chief source of incomeďż˝oil and gas revenueďż˝in order to pursue an energy project with little expected payoff. Why? Again, fairness. -For Iran, it’s not fair that the global powers—which together have several thousand nuclear weapons—should be able to decide if it can use nuclear energy. And why, Iran wonders, is it considered a pariah for enriching uranium when India and Pakistan, which clandestinely acquired nuclear weapons, are accepted members of the international community? +For Iran, itďż˝s not fair that the global powersďż˝which together have several thousand nuclear weaponsďż˝should be able to decide if it can use nuclear energy. And why, Iran wonders, is it considered a pariah for enriching uranium when India and Pakistan, which clandestinely acquired nuclear weapons, are accepted members of the international community? -In a TV interview, former Iranian nuclear negotiator Seyed Hossein Mousavian hit the nail on the head. “The nuclear issue today for Iranians is not nuclear,” he said, “it’s defending their integrity [as an] independent identity against the pressure of the rest.” +In a TV interview, former Iranian nuclear negotiator Seyed Hossein Mousavian hit the nail on the head. ďż˝The nuclear issue today for Iranians is not nuclear,ďż˝ he said, ďż˝itďż˝s defending their integrity [as an] independent identity against the pressure of the rest.ďż˝ You may not trust Iran, but its moves are pretty clear evidence that rejecting perceived unfairness, even at substantial cost, is a powerful motivation. -Once you understand what a messy, emotional, and destructive dynamic “fairness” can be, you can see why “Fair” is a tremendously powerful word that you need to use with care. +Once you understand what a messy, emotional, and destructive dynamic ďż˝fairnessďż˝ can be, you can see why ďż˝Fairďż˝ is a tremendously powerful word that you need to use with care. In fact, of the three ways that people drop this F-bomb, only one is positive. -The most common use is a judo-like defensive move that destabilizes the other side. This manipulation usually takes the form of something like, “We just want what’s fair.” +The most common use is a judo-like defensive move that destabilizes the other side. This manipulation usually takes the form of something like, ďż˝We just want whatďż˝s fair.ďż˝ -Think back to the last time someone made this implicit accusation of unfairness to you, and I bet you’ll have to admit that it immediately triggered feelings of defensiveness and discomfort. These feelings are often subconscious and often lead to an irrational concession. +Think back to the last time someone made this implicit accusation of unfairness to you, and I bet youďż˝ll have to admit that it immediately triggered feelings of defensiveness and discomfort. These feelings are often subconscious and often lead to an irrational concession. -A friend of mine was selling her Boston home in a bust market a few years back. The offer she got was much lower than she wanted—it meant a big loss for her—and out of frustration she dropped this F-bomb on the prospective buyer. +A friend of mine was selling her Boston home in a bust market a few years back. The offer she got was much lower than she wantedďż˝it meant a big loss for herďż˝and out of frustration she dropped this F-bomb on the prospective buyer. -“We just want what’s fair,” she said. +ďż˝We just want whatďż˝s fair,ďż˝ she said. Emotionally rattled by the implicit accusation, the guy raised his offer immediately. -If you’re on the business end of this accusation, you need to realize that the other side might not be trying to pick your pocket; like my friend, they might just be overwhelmed by circumstance. The best response either way is to take a deep breath and restrain your desire to concede. Then say, “Okay, I apologize. Let’s stop everything and go back to where I started treating you unfairly and we’ll fix it.” +If youďż˝re on the business end of this accusation, you need to realize that the other side might not be trying to pick your pocket; like my friend, they might just be overwhelmed by circumstance. The best response either way is to take a deep breath and restrain your desire to concede. Then say, ďż˝Okay, I apologize. Letďż˝s stop everything and go back to where I started treating you unfairly and weďż˝ll fix it.ďż˝ -The second use of the F-bomb is more nefarious. In this one, your counterpart will basically accuse you of being dense or dishonest by saying, “We’ve given you a fair offer.” It’s a terrible little jab meant to distract your attention and manipulate you into giving in. +The second use of the F-bomb is more nefarious. In this one, your counterpart will basically accuse you of being dense or dishonest by saying, ďż˝Weďż˝ve given you a fair offer.ďż˝ Itďż˝s a terrible little jab meant to distract your attention and manipulate you into giving in. Whenever someone tries this on me, I think back to the last NFL lockout. -Negotiations were getting down to the wire and the NFL Players Association (NFLPA) said that before they agreed to a final deal they wanted the owners to open their books. The owners’ answer? +Negotiations were getting down to the wire and the NFL Players Association (NFLPA) said that before they agreed to a final deal they wanted the owners to open their books. The ownersďż˝ answer? -“We’ve given the players a fair offer.” +ďż˝Weďż˝ve given the players a fair offer.ďż˝ -Notice the horrible genius of this: instead of opening their books or declining to do so, the owners shifted the focus to the NFLPA’s supposed lack of understanding of fairness. +Notice the horrible genius of this: instead of opening their books or declining to do so, the owners shifted the focus to the NFLPAďż˝s supposed lack of understanding of fairness. -If you find yourself in this situation, the best reaction is to simply mirror the “F” that has just been lobbed at you. “Fair?” you’d respond, pausing to let the word’s power do to them as it was intended to do to you. Follow that with a label: “It seems like you’re ready to provide the evidence that supports that,” which alludes to opening their books or otherwise handing over information that will either contradict their claim to fairness or give you more data to work with than you had previously. Right away, you declaw the attack. +If you find yourself in this situation, the best reaction is to simply mirror the ďż˝Fďż˝ that has just been lobbed at you. ďż˝Fair?ďż˝ youďż˝d respond, pausing to let the wordďż˝s power do to them as it was intended to do to you. Follow that with a label: ďż˝It seems like youďż˝re ready to provide the evidence that supports that,ďż˝ which alludes to opening their books or otherwise handing over information that will either contradict their claim to fairness or give you more data to work with than you had previously. Right away, you declaw the attack. -The last use of the F-word is my favorite because it’s positive and constructive. It sets the stage for honest and empathetic negotiation. +The last use of the F-word is my favorite because itďż˝s positive and constructive. It sets the stage for honest and empathetic negotiation. -Here’s how I use it: Early on in a negotiation, I say, “I want you to feel like you are being treated fairly at all times. So please stop me at any time if you feel I’m being unfair, and we’ll address it.” +Hereďż˝s how I use it: Early on in a negotiation, I say, ďż˝I want you to feel like you are being treated fairly at all times. So please stop me at any time if you feel Iďż˝m being unfair, and weďż˝ll address it.ďż˝ -It’s simple and clear and sets me up as an honest dealer. With that statement, I let people know it is okay to use that word with me if they use it honestly. As a negotiator, you should strive for a reputation of being fair. Your reputation precedes you. Let it precede you in a way that paves success. +Itďż˝s simple and clear and sets me up as an honest dealer. With that statement, I let people know it is okay to use that word with me if they use it honestly. As a negotiator, you should strive for a reputation of being fair. Your reputation precedes you. Let it precede you in a way that paves success. HOW TO DISCOVER THE EMOTIONAL DRIVERS BEHIND WHAT THE OTHER PARTY VALUES A few years ago, I stumbled upon the book How to Become a Rainmaker,3 and I like to review it occasionally to refresh my sense of the emotional drivers that fuel decisions. The book does a great job to explain the sales job not as a rational argument, but as an emotional framing job. -If you can get the other party to reveal their problems, pain, and unmet objectives—if you can get at what people are really buying—then you can sell them a vision of their problem that leaves your proposal as the perfect solution. +If you can get the other party to reveal their problems, pain, and unmet objectivesďż˝if you can get at what people are really buyingďż˝then you can sell them a vision of their problem that leaves your proposal as the perfect solution. -Look at this from the most basic level. What does a good babysitter sell, really? It’s not child care exactly, but a relaxed evening. A furnace salesperson? Cozy rooms for family time. A locksmith? A feeling of security. +Look at this from the most basic level. What does a good babysitter sell, really? Itďż˝s not child care exactly, but a relaxed evening. A furnace salesperson? Cozy rooms for family time. A locksmith? A feeling of security. Know the emotional drivers and you can frame the benefits of any deal in language that will resonate. @@ -2093,53 +2015,53 @@ Take the same person, change one or two variables, and $100 can be a glorious vi Let me give you an example. I have this coffee mug, red and white with the Swiss flag. No chips, but used. What would you pay for it, deep down in your heart of hearts? -You’re probably going to say something like $3.50. +Youďż˝re probably going to say something like $3.50. -Let’s say it’s your mug now. You’re going to sell it to me. So tell me what it’s worth. +Letďż˝s say itďż˝s your mug now. Youďż˝re going to sell it to me. So tell me what itďż˝s worth. -You’re probably going to say something between $5 and $7. +Youďż˝re probably going to say something between $5 and $7. In both cases, it was the exact same mug. All I did was move the mug in relation to you, and I totally changed its value. -Or imagine that I offer you $20 to run a three-minute errand and get me a cup of coffee. You’re going to think to yourself that $20 for three minutes is $400 an hour. You’re going to be thrilled. +Or imagine that I offer you $20 to run a three-minute errand and get me a cup of coffee. Youďż˝re going to think to yourself that $20 for three minutes is $400 an hour. Youďż˝re going to be thrilled. -What if then you find out that by getting you to run that errand I made a million dollars. You’d go from being ecstatic for making $400 an hour to being angry because you got ripped off. +What if then you find out that by getting you to run that errand I made a million dollars. Youďż˝d go from being ecstatic for making $400 an hour to being angry because you got ripped off. -The value of the $20, just like the value of the coffee mug, didn’t change. But your perspective of it did. Just by how I position the $20, I can make you happy or disgusted by it. +The value of the $20, just like the value of the coffee mug, didnďż˝t change. But your perspective of it did. Just by how I position the $20, I can make you happy or disgusted by it. -I tell you that not to expose our decision making as emotional and irrational. We’ve already seen that. What I am saying is that while our decisions may be largely irrational, that doesn’t mean there aren’t consistent patterns, principles, and rules behind how we act. And once you know those mental patterns, you start to see ways to influence them. +I tell you that not to expose our decision making as emotional and irrational. Weďż˝ve already seen that. What I am saying is that while our decisions may be largely irrational, that doesnďż˝t mean there arenďż˝t consistent patterns, principles, and rules behind how we act. And once you know those mental patterns, you start to see ways to influence them. -By far the best theory for describing the principles of our irrational decisions is something called Prospect Theory. Created in 1979 by the psychologists Daniel Kahneman and Amos Tversky, prospect theory describes how people choose between options that involve risk, like in a negotiation. The theory argues that people are drawn to sure things over probabilities, even when the probability is a better choice. That’s called the Certainty Effect. And people will take greater risks to avoid losses than to achieve gains. That’s called Loss Aversion. +By far the best theory for describing the principles of our irrational decisions is something called Prospect Theory. Created in 1979 by the psychologists Daniel Kahneman and Amos Tversky, prospect theory describes how people choose between options that involve risk, like in a negotiation. The theory argues that people are drawn to sure things over probabilities, even when the probability is a better choice. Thatďż˝s called the Certainty Effect. And people will take greater risks to avoid losses than to achieve gains. Thatďż˝s called Loss Aversion. -That’s why people who statistically have no need for insurance buy it. Or consider this: a person who’s told he has a 95 percent chance of receiving $10,000 or a 100 percent chance of getting $9,499 will usually avoid risk and take the 100 percent certain safe choice, while the same person who’s told he has a 95 percent chance of losing $10,000 or a 100 percent chance of losing $9,499 will make the opposite choice, risking the bigger 95 percent option to avoid the loss. The chance for loss incites more risk than the possibility of an equal gain. +Thatďż˝s why people who statistically have no need for insurance buy it. Or consider this: a person whoďż˝s told he has a 95 percent chance of receiving $10,000 or a 100 percent chance of getting $9,499 will usually avoid risk and take the 100 percent certain safe choice, while the same person whoďż˝s told he has a 95 percent chance of losing $10,000 or a 100 percent chance of losing $9,499 will make the opposite choice, risking the bigger 95 percent option to avoid the loss. The chance for loss incites more risk than the possibility of an equal gain. -Over the next few pages I’ll explain a few prospect theory tactics you can use to your advantage. But first let me leave you with a crucial lesson about loss aversion: In a tough negotiation, it’s not enough to show the other party that you can deliver the thing they want. +Over the next few pages Iďż˝ll explain a few prospect theory tactics you can use to your advantage. But first let me leave you with a crucial lesson about loss aversion: In a tough negotiation, itďż˝s not enough to show the other party that you can deliver the thing they want. To get real leverage, you have to persuade them that they have something concrete to lose if the deal falls through. 1. ANCHOR THEIR EMOTIONS -To bend your counterpart’s reality, you have to start with the basics of empathy. So start out with an accusation audit acknowledging all of their fears. By anchoring their emotions in preparation for a loss, you inflame the other side’s loss aversion so that they’ll jump at the chance to avoid it. +To bend your counterpartďż˝s reality, you have to start with the basics of empathy. So start out with an accusation audit acknowledging all of their fears. By anchoring their emotions in preparation for a loss, you inflame the other sideďż˝s loss aversion so that theyďż˝ll jump at the chance to avoid it. -On my first consulting project after leaving the FBI, I received the honor to train the national hostage negotiation team for the United Arab Emirates. Unfortunately, the prestige of the assignment was tempered during the project by problems with the general contractor (I was a subcontractor). The problems became so bad that I was going to have to go back to the contractors I’d signed up, who normally got $2,000 a day, and tell them that for several months, I could only offer $500. +On my first consulting project after leaving the FBI, I received the honor to train the national hostage negotiation team for the United Arab Emirates. Unfortunately, the prestige of the assignment was tempered during the project by problems with the general contractor (I was a subcontractor). The problems became so bad that I was going to have to go back to the contractors Iďż˝d signed up, who normally got $2,000 a day, and tell them that for several months, I could only offer $500. -I knew exactly what they would do if I just told them straight out: they’d laugh me out of town. So I got each of them on the phone and hit them hard with an accusation audit. +I knew exactly what they would do if I just told them straight out: theyďż˝d laugh me out of town. So I got each of them on the phone and hit them hard with an accusation audit. -“I got a lousy proposition for you,” I said, and paused until each asked me to go on. “By the time we get off the phone, you’re going to think I’m a lousy businessman. You’re going to think I can’t budget or plan. You’re going to think Chris Voss is a big talker. His first big project ever out of the FBI, he screws it up completely. He doesn’t know how to run an operation. And he might even have lied to me.” +ďż˝I got a lousy proposition for you,ďż˝ I said, and paused until each asked me to go on. ďż˝By the time we get off the phone, youďż˝re going to think Iďż˝m a lousy businessman. Youďż˝re going to think I canďż˝t budget or plan. Youďż˝re going to think Chris Voss is a big talker. His first big project ever out of the FBI, he screws it up completely. He doesnďż˝t know how to run an operation. And he might even have lied to me.ďż˝ -And then, once I’d anchored their emotions in a minefield of low expectations, I played on their loss aversion. +And then, once Iďż˝d anchored their emotions in a minefield of low expectations, I played on their loss aversion. -“Still, I wanted to bring this opportunity to you before I took it to someone else,” I said. +ďż˝Still, I wanted to bring this opportunity to you before I took it to someone else,ďż˝ I said. -Suddenly, their call wasn’t about being cut from $2,000 to $500 but how not to lose $500 to some other guy. +Suddenly, their call wasnďż˝t about being cut from $2,000 to $500 but how not to lose $500 to some other guy. -Every single one of them took the deal. No counteroffers, no complaints. Now, if I hadn’t anchored their emotions low, their perception of $500 would have been totally different. If I’d just called and said, “I can give you $500 per day. What do you think?” they’d have taken it as an insult and slammed down the phone. +Every single one of them took the deal. No counteroffers, no complaints. Now, if I hadnďż˝t anchored their emotions low, their perception of $500 would have been totally different. If Iďż˝d just called and said, ďż˝I can give you $500 per day. What do you think?ďż˝ theyďż˝d have taken it as an insult and slammed down the phone. 2. LET THE OTHER GUY GO FIRST . . . MOST OF THE TIME. -Now, it’s clear that the benefits of anchoring emotions are great when it comes to bending your counterpart’s reality. But going first is not necessarily the best thing when it comes to negotiating price. +Now, itďż˝s clear that the benefits of anchoring emotions are great when it comes to bending your counterpartďż˝s reality. But going first is not necessarily the best thing when it comes to negotiating price. -When the famous film director Billy Wilder went to hire the famous detective novelist Raymond Chandler to write the 1944 classic Double Indemnity, Chandler was new to Hollywood. But he came ready to negotiate, and in his meeting with Wilder and the movie’s producer, Chandler made the first salary offer: he bluffly demanded $150 per week and warned Wilder that it might take him three weeks to finish the project. +When the famous film director Billy Wilder went to hire the famous detective novelist Raymond Chandler to write the 1944 classic Double Indemnity, Chandler was new to Hollywood. But he came ready to negotiate, and in his meeting with Wilder and the movieďż˝s producer, Chandler made the first salary offer: he bluffly demanded $150 per week and warned Wilder that it might take him three weeks to finish the project. Wilder and the producer could barely stop from laughing, because they had been planning to pay Chandler $750 per week and they knew that movie scripts took months to write. Lucky for Chandler, Wilder and the producer valued their relationship with Chandler more than a few hundred dollars, so they took pity on him and called an agent to represent Chandler in the negotiations. @@ -2147,87 +2069,87 @@ Similarly, I had a student named Jerry who royally screwed up his salary negotia In an interview at a New York financial firm, he demanded $110,000, in large part because it represented a 30 percent raise. It was only after he started that he realized that the firm had started everybody else in his program at $125,000. -That’s why I suggest you let the other side anchor monetary negotiations. +Thatďż˝s why I suggest you let the other side anchor monetary negotiations. -The real issue is that neither side has perfect information going to the table. This often means you don’t know enough to open with confidence. That’s especially true anytime you don’t know the market value of what you are buying or selling, like with Jerry or Chandler. +The real issue is that neither side has perfect information going to the table. This often means you donďż˝t know enough to open with confidence. Thatďż˝s especially true anytime you donďż˝t know the market value of what you are buying or selling, like with Jerry or Chandler. -By letting them anchor you also might get lucky: I’ve experienced many negotiations when the other party’s first offer was higher than the closing figure I had in mind. If I’d gone first they would have agreed and I would have left with either the winner’s curse or buyer’s remorse, those gut-wrenching feelings that you’ve overpaid or undersold. +By letting them anchor you also might get lucky: Iďż˝ve experienced many negotiations when the other partyďż˝s first offer was higher than the closing figure I had in mind. If Iďż˝d gone first they would have agreed and I would have left with either the winnerďż˝s curse or buyerďż˝s remorse, those gut-wrenching feelings that youďż˝ve overpaid or undersold. -That said, you’ve got to be careful when you let the other guy anchor. You have to prepare yourself psychically to withstand the first offer. If the other guy’s a pro, a shark, he’s going to go for an extreme anchor in order to bend your reality. Then, when they come back with a merely absurd offer it will seem reasonable, just like an expensive $400 iPhone seems reasonable after they mark it down from a crazy $600. +That said, youďż˝ve got to be careful when you let the other guy anchor. You have to prepare yourself psychically to withstand the first offer. If the other guyďż˝s a pro, a shark, heďż˝s going to go for an extreme anchor in order to bend your reality. Then, when they come back with a merely absurd offer it will seem reasonable, just like an expensive $400 iPhone seems reasonable after they mark it down from a crazy $600. -The tendency to be anchored by extreme numbers is a psychological quirk known as the “anchor and adjustment” effect. Researchers have discovered that we tend to make adjustments from our first reference points. For example, most people glimpsing 8 × 7 × 6 × 5 × 4 × 3 × 2 × 1 estimate that it yields a higher result than the same string in reverse order. That’s because we focus on the first numbers and extrapolate. +The tendency to be anchored by extreme numbers is a psychological quirk known as the ďż˝anchor and adjustmentďż˝ effect. Researchers have discovered that we tend to make adjustments from our first reference points. For example, most people glimpsing 8 ďż˝ 7 ďż˝ 6 ďż˝ 5 ďż˝ 4 ďż˝ 3 ďż˝ 2 ďż˝ 1 estimate that it yields a higher result than the same string in reverse order. Thatďż˝s because we focus on the first numbers and extrapolate. -That’s not to say, “Never open.” Rules like that are easy to remember, but, like most simplistic approaches, they are not always good advice. If you’re dealing with a rookie counterpart, you might be tempted to be the shark and throw out an extreme anchor. Or if you really know the market and you’re dealing with an equally informed pro, you might offer a number just to make the negotiation go faster. +Thatďż˝s not to say, ďż˝Never open.ďż˝ Rules like that are easy to remember, but, like most simplistic approaches, they are not always good advice. If youďż˝re dealing with a rookie counterpart, you might be tempted to be the shark and throw out an extreme anchor. Or if you really know the market and youďż˝re dealing with an equally informed pro, you might offer a number just to make the negotiation go faster. -Here’s my personal advice on whether or not you want to be the shark that eats a rookie counterpart. Just remember, your reputation precedes you. I’ve run into CEOs whose reputation was to always badly beat their counterpart and pretty soon no one would deal with them. +Hereďż˝s my personal advice on whether or not you want to be the shark that eats a rookie counterpart. Just remember, your reputation precedes you. Iďż˝ve run into CEOs whose reputation was to always badly beat their counterpart and pretty soon no one would deal with them. 3. ESTABLISH A RANGE While going first rarely helps, there is one way to seem to make an offer and bend their reality in the process. That is, by alluding to a range. -What I mean is this: When confronted with naming your terms or price, counter by recalling a similar deal which establishes your “ballpark,” albeit the best possible ballpark you wish to be in. Instead of saying, “I’m worth $110,000,” Jerry might have said, “At top places like X Corp., people in this job get between $130,000 and $170,000.” +What I mean is this: When confronted with naming your terms or price, counter by recalling a similar deal which establishes your ďż˝ballpark,ďż˝ albeit the best possible ballpark you wish to be in. Instead of saying, ďż˝Iďż˝m worth $110,000,ďż˝ Jerry might have said, ďż˝At top places like X Corp., people in this job get between $130,000 and $170,000.ďż˝ That gets your point across without moving the other party into a defensive position. And it gets him thinking at higher levels. Research shows that people who hear extreme anchors unconsciously adjust their expectations in the direction of the opening number. Many even go directly to their price limit. If Jerry had given this range, the firm probably would have offered $130,000 because it looked so cheap next to $170,000. -In a recent study,4 Columbia Business School psychologists found that job applicants who named a range received significantly higher overall salaries than those who offered a number, especially if their range was a “bolstering range,” in which the low number in the range was what they actually wanted. +In a recent study,4 Columbia Business School psychologists found that job applicants who named a range received significantly higher overall salaries than those who offered a number, especially if their range was a ďż˝bolstering range,ďż˝ in which the low number in the range was what they actually wanted. -Understand, if you offer a range (and it’s a good idea to do so) expect them to come in at the low end. +Understand, if you offer a range (and itďż˝s a good idea to do so) expect them to come in at the low end. 4. PIVOT TO NONMONETARY TERMS -People get hung up on “How much?” But don’t deal with numbers in isolation. That leads to bargaining, a series of rigid positions defined by emotional views of fairness and pride. Negotiation is a more intricate and subtle dynamic than that. +People get hung up on ďż˝How much?ďż˝ But donďż˝t deal with numbers in isolation. That leads to bargaining, a series of rigid positions defined by emotional views of fairness and pride. Negotiation is a more intricate and subtle dynamic than that. -One of the easiest ways to bend your counterpart’s reality to your point of view is by pivoting to nonmonetary terms. After you’ve anchored them high, you can make your offer seem reasonable by offering things that aren’t important to you but could be important to them. Or if their offer is low you could ask for things that matter more to you than them. Since this is sometimes difficult, what we often do is throw out examples to start the brainstorming process. +One of the easiest ways to bend your counterpartďż˝s reality to your point of view is by pivoting to nonmonetary terms. After youďż˝ve anchored them high, you can make your offer seem reasonable by offering things that arenďż˝t important to you but could be important to them. Or if their offer is low you could ask for things that matter more to you than them. Since this is sometimes difficult, what we often do is throw out examples to start the brainstorming process. -Not long ago I did some training for the Memphis Bar Association. Normally, for the training they were looking for, I’d charge $25,000 a day. They came in with a much lower offer that I balked at. They then offered to do a cover story about me in their association magazine. For me to be on the cover of a magazine that went out to who knows how many of the country’s top lawyers was priceless advertising. (Plus my mom is really proud of it!) +Not long ago I did some training for the Memphis Bar Association. Normally, for the training they were looking for, Iďż˝d charge $25,000 a day. They came in with a much lower offer that I balked at. They then offered to do a cover story about me in their association magazine. For me to be on the cover of a magazine that went out to who knows how many of the countryďż˝s top lawyers was priceless advertising. (Plus my mom is really proud of it!) -They had to put something on the cover anyway, so it had zero cost to them and I gave them a steep discount on my fee. I constantly use that as an example in my negotiations now when I name a price. I want to stimulate my counterpart’s brainstorming to see what valuable nonmonetary gems they might have that are cheap to them but valuable to me. +They had to put something on the cover anyway, so it had zero cost to them and I gave them a steep discount on my fee. I constantly use that as an example in my negotiations now when I name a price. I want to stimulate my counterpartďż˝s brainstorming to see what valuable nonmonetary gems they might have that are cheap to them but valuable to me. 5. WHEN YOU DO TALK NUMBERS, USE ODD ONES -Every number has a psychological significance that goes beyond its value. And I’m not just talking about how you love 17 because you think it’s lucky. What I mean is that, in terms of negotiation, some numbers appear more immovable than others. +Every number has a psychological significance that goes beyond its value. And Iďż˝m not just talking about how you love 17 because you think itďż˝s lucky. What I mean is that, in terms of negotiation, some numbers appear more immovable than others. -The biggest thing to remember is that numbers that end in 0 inevitably feel like temporary placeholders, guesstimates that you can easily be negotiated off of. But anything you throw out that sounds less rounded—say, $37,263—feels like a figure that you came to as a result of thoughtful calculation. Such numbers feel serious and permanent to your counterpart, so use them to fortify your offers. +The biggest thing to remember is that numbers that end in 0 inevitably feel like temporary placeholders, guesstimates that you can easily be negotiated off of. But anything you throw out that sounds less roundedďż˝say, $37,263ďż˝feels like a figure that you came to as a result of thoughtful calculation. Such numbers feel serious and permanent to your counterpart, so use them to fortify your offers. 6. SURPRISE WITH A GIFT You can get your counterpart into a mood of generosity by staking an extreme anchor and then, after their inevitable first rejection, offering them a wholly unrelated surprise gift. -Unexpected conciliatory gestures like this are hugely effective because they introduce a dynamic called reciprocity; the other party feels the need to answer your generosity in kind. They will suddenly come up on their offer, or they’ll look to repay your kindness in the future. People feel obliged to repay debts of kindness. +Unexpected conciliatory gestures like this are hugely effective because they introduce a dynamic called reciprocity; the other party feels the need to answer your generosity in kind. They will suddenly come up on their offer, or theyďż˝ll look to repay your kindness in the future. People feel obliged to repay debts of kindness. -Let’s look at it in terms of international politics. In 1977 Egyptian president Anwar Sadat dramatically pushed negotiations on the Egypt-Israel peace treaty forward by making a surprise address to the Israeli Knesset, a generous gesture that did not involve making any actual concessions but did signify a big step toward peace. +Letďż˝s look at it in terms of international politics. In 1977 Egyptian president Anwar Sadat dramatically pushed negotiations on the Egypt-Israel peace treaty forward by making a surprise address to the Israeli Knesset, a generous gesture that did not involve making any actual concessions but did signify a big step toward peace. -Back in Haiti, a few hours after the kidnappers had snatched his aunt, I was on the phone with the politician’s nephew. +Back in Haiti, a few hours after the kidnappers had snatched his aunt, I was on the phone with the politicianďż˝s nephew. There was no way their family could come up with $150,000, he told me, but they could pay between $50,000 and $85,000. But since learning that the ransom was just party money, I was aiming much lower: $5,000. We were not going to compromise. It was a matter of professional pride. -I advised him to start off by anchoring the conversation in the idea that he didn’t have the money, but to do so without saying “No” so as not to hit their pride head-on. +I advised him to start off by anchoring the conversation in the idea that he didnďż˝t have the money, but to do so without saying ďż˝Noďż˝ so as not to hit their pride head-on. -“How am I supposed to do that?” he asked in the next call. +ďż˝How am I supposed to do that?ďż˝ he asked in the next call. The kidnapper made another general threat against the aunt and again demanded the cash. -That’s when I had the nephew subtly question the kidnapper’s fairness. +Thatďż˝s when I had the nephew subtly question the kidnapperďż˝s fairness. -“I’m sorry,” the nephew responded, “but how are we supposed to pay if you’re going to hurt her?” +ďż˝Iďż˝m sorry,ďż˝ the nephew responded, ďż˝but how are we supposed to pay if youďż˝re going to hurt her?ďż˝ -That brought up the aunt’s death, which was the thing the kidnappers most wanted to avoid. They needed to keep her unharmed if they hoped to get any money. They were commodity traders, after all. +That brought up the auntďż˝s death, which was the thing the kidnappers most wanted to avoid. They needed to keep her unharmed if they hoped to get any money. They were commodity traders, after all. -Notice that to this point the nephew hadn’t named a price. This game of attrition finally pushed the kidnappers to name a number first. Without prodding, they dropped to $50,000. +Notice that to this point the nephew hadnďż˝t named a price. This game of attrition finally pushed the kidnappers to name a number first. Without prodding, they dropped to $50,000. -Now that the kidnappers’ reality had been bent to a smaller number, my colleagues and I told the nephew to stand his ground. +Now that the kidnappersďż˝ reality had been bent to a smaller number, my colleagues and I told the nephew to stand his ground. -“How can I come up with that kind of money?” we told him to ask. +ďż˝How can I come up with that kind of money?ďż˝ we told him to ask. Again, the kidnapper dropped his demand, to $25,000. Now that we had him in our sights, we had the nephew make his first offer, an extreme low anchor of $3,000. -The line went silent and the nephew began to sweat profusely, but we told him to hold tight. This always happened at the moment the kidnapper’s economic reality got totally rearranged. +The line went silent and the nephew began to sweat profusely, but we told him to hold tight. This always happened at the moment the kidnapperďż˝s economic reality got totally rearranged. -When he spoke again, the kidnapper seemed shell-shocked. But he went on. His next offer was lower, $10,000. Then we had the nephew answer with a strange number that seemed to come from deep calculation of what his aunt’s life was worth: $4,751. +When he spoke again, the kidnapper seemed shell-shocked. But he went on. His next offer was lower, $10,000. Then we had the nephew answer with a strange number that seemed to come from deep calculation of what his auntďż˝s life was worth: $4,751. -His new price? $7,500. In response, we had the cousin “spontaneously” say he’d throw in a new portable CD stereo and repeated the $4,751. The kidnappers, who didn’t really want the CD stereo felt there was no more money to be had, said yes. +His new price? $7,500. In response, we had the cousin ďż˝spontaneouslyďż˝ say heďż˝d throw in a new portable CD stereo and repeated the $4,751. The kidnappers, who didnďż˝t really want the CD stereo felt there was no more money to be had, said yes. Six hours later, the family paid that sum and the aunt came back home safely. @@ -2235,77 +2157,77 @@ HOW TO NEGOTIATE A BETTER SALARY One of the critical factors in business school rankings is how well their graduates are compensated. So I tell every MBA class I lecture that my first objective is to single-handedly raise the ranking of their school by teaching them how to negotiate a better salary. -I break down the process into three parts that blend this chapter’s dynamics in a way that not only brings you better money, but convinces your boss to fight to get it for you. +I break down the process into three parts that blend this chapterďż˝s dynamics in a way that not only brings you better money, but convinces your boss to fight to get it for you. BE PLEASANTLY PERSISTENT ON NONSALARY TERMS -Pleasant persistence is a kind of emotional anchoring that creates empathy with the boss and builds the right psychological environment for constructive discussion. And the more you talk about nonsalary terms, the more likely you are to hear the full range of their options. If they can’t meet your nonsalary requests, they may even counter with more money, like they did with a French-born American former student of mine. She kept asking—with a big smile—for an extra week of vacation beyond what the company normally gave. She was “French,” she said, and that’s what French people did. The hiring company was completely handcuffed on the vacation issue, but because she was so darned delightful, and because she introduced a nonmonetary variable into the notion of her value, they countered by increasing her salary offer. +Pleasant persistence is a kind of emotional anchoring that creates empathy with the boss and builds the right psychological environment for constructive discussion. And the more you talk about nonsalary terms, the more likely you are to hear the full range of their options. If they canďż˝t meet your nonsalary requests, they may even counter with more money, like they did with a French-born American former student of mine. She kept askingďż˝with a big smileďż˝for an extra week of vacation beyond what the company normally gave. She was ďż˝French,ďż˝ she said, and thatďż˝s what French people did. The hiring company was completely handcuffed on the vacation issue, but because she was so darned delightful, and because she introduced a nonmonetary variable into the notion of her value, they countered by increasing her salary offer. SALARY TERMS WITHOUT SUCCESS TERMS IS RUSSIAN ROULETTE -Once you’ve negotiated a salary, make sure to define success for your position—as well as metrics for your next raise. That’s meaningful for you and free for your boss, much like giving me a magazine cover story was for the bar association. It gets you a planned raise and, by defining your success in relation to your boss’s supervision, it leads into the next step . . . +Once youďż˝ve negotiated a salary, make sure to define success for your positionďż˝as well as metrics for your next raise. Thatďż˝s meaningful for you and free for your boss, much like giving me a magazine cover story was for the bar association. It gets you a planned raise and, by defining your success in relation to your bossďż˝s supervision, it leads into the next step . . . SPARK THEIR INTEREST IN YOUR SUCCESS AND GAIN AN UNOFFICIAL MENTOR -Remember the idea of figuring what the other side is really buying? Well, when you are selling yourself to a manager, sell yourself as more than a body for a job; sell yourself, and your success, as a way they can validate their own intelligence and broadcast it to the rest of the company. Make sure they know you’ll act as a flesh-and-blood argument for their importance. Once you’ve bent their reality to include you as their ambassador, they’ll have a stake in your success. +Remember the idea of figuring what the other side is really buying? Well, when you are selling yourself to a manager, sell yourself as more than a body for a job; sell yourself, and your success, as a way they can validate their own intelligence and broadcast it to the rest of the company. Make sure they know youďż˝ll act as a flesh-and-blood argument for their importance. Once youďż˝ve bent their reality to include you as their ambassador, theyďż˝ll have a stake in your success. -Ask: “What does it take to be successful here?” +Ask: ďż˝What does it take to be successful here?ďż˝ -Please notice that this question is similar to questions that are suggested by many MBA career counseling centers, yet not exactly the same. And it’s the exact wording of this question that’s critical. +Please notice that this question is similar to questions that are suggested by many MBA career counseling centers, yet not exactly the same. And itďż˝s the exact wording of this question thatďż˝s critical. -Students from my MBA courses who have asked this question in job interviews have actually had interviewers lean forward and say, “No one ever asked us that before.” The interviewer then gave a great and detailed answer. +Students from my MBA courses who have asked this question in job interviews have actually had interviewers lean forward and say, ďż˝No one ever asked us that before.ďż˝ The interviewer then gave a great and detailed answer. -The key issue here is if someone gives you guidance, they will watch to see if you follow their advice. They will have a personal stake in seeing you succeed. You’ve just recruited your first unofficial mentor. +The key issue here is if someone gives you guidance, they will watch to see if you follow their advice. They will have a personal stake in seeing you succeed. Youďż˝ve just recruited your first unofficial mentor. To show how this can be done to near perfection, I can think of no better example than my former MBA student Angel Prado. -While Angel was finishing up his MBA, he went to his boss and began to lay the groundwork for his work post-MBA (which the company was paying). During his last semester, he set a nonspecific anchor—a kind of range—by suggesting to his boss that once he graduated and the company was done investing in his MBA (around $31,000 per year), that money should go to him as salary. +While Angel was finishing up his MBA, he went to his boss and began to lay the groundwork for his work post-MBA (which the company was paying). During his last semester, he set a nonspecific anchorďż˝a kind of rangeďż˝by suggesting to his boss that once he graduated and the company was done investing in his MBA (around $31,000 per year), that money should go to him as salary. -His boss made no commitment, but Angel was pleasantly persistent about it, which set the idea as an anchor in his boss’s mind. +His boss made no commitment, but Angel was pleasantly persistent about it, which set the idea as an anchor in his bossďż˝s mind. -Upon graduation, Angel and his boss had their big sit-down. In an assertive and calm manner, Angel broached a nonfinancial issue to move the focus away from “How much?”: he asked for a new title. +Upon graduation, Angel and his boss had their big sit-down. In an assertive and calm manner, Angel broached a nonfinancial issue to move the focus away from ďż˝How much?ďż˝: he asked for a new title. -Angel’s boss readily agreed that a new role was a no-brainer after Angel’s new degree. +Angelďż˝s boss readily agreed that a new role was a no-brainer after Angelďż˝s new degree. -At that point, Angel and his manager defined what his roles and responsibilities would be in his new role, thereby setting success metrics. Then Angel took a breath and paused so that his boss would be the first to throw out a number. At last, he did. Curiously enough, the number showed that Angel’s earlier efforts at anchoring had worked: he proposed to add $31,000 to Angel’s base salary, almost a 50 percent raise. +At that point, Angel and his manager defined what his roles and responsibilities would be in his new role, thereby setting success metrics. Then Angel took a breath and paused so that his boss would be the first to throw out a number. At last, he did. Curiously enough, the number showed that Angelďż˝s earlier efforts at anchoring had worked: he proposed to add $31,000 to Angelďż˝s base salary, almost a 50 percent raise. -But Angel was no rookie negotiator, not after taking my class. So instead of countering and getting stuck in “How much?” he kept talking, labeling the boss’s emotions and empathizing with his situation (at the time the company was going through difficult negotiations with its investors). +But Angel was no rookie negotiator, not after taking my class. So instead of countering and getting stuck in ďż˝How much?ďż˝ he kept talking, labeling the bossďż˝s emotions and empathizing with his situation (at the time the company was going through difficult negotiations with its investors). -And then Angel courteously asked for a moment to step away and print up the agreed-upon job description. This pause created a dynamic of pre-deadline urgency in his boss, which Angel exploited when he returned with the printout. On the bottom, he’d added his desired compensation: “$134.5k—$143k.” +And then Angel courteously asked for a moment to step away and print up the agreed-upon job description. This pause created a dynamic of pre-deadline urgency in his boss, which Angel exploited when he returned with the printout. On the bottom, heďż˝d added his desired compensation: ďż˝$134.5kďż˝$143k.ďż˝ -In that one little move, Angel weaved together a bunch of the lessons from this chapter. The odd numbers gave them the weight of thoughtful calculation. The numbers were high too, which exploited his boss’s natural tendency to go directly to his price limit when faced by an extreme anchor. And they were a range, which made Angel seem less aggressive and the lower end more reasonable in comparison. +In that one little move, Angel weaved together a bunch of the lessons from this chapter. The odd numbers gave them the weight of thoughtful calculation. The numbers were high too, which exploited his bossďż˝s natural tendency to go directly to his price limit when faced by an extreme anchor. And they were a range, which made Angel seem less aggressive and the lower end more reasonable in comparison. -From his boss’s body language—raised eyebrows—it was clear that he was surprised by the compensation request. But it had the desired effect: after some comments about the description, he countered with $120,000. +From his bossďż˝s body languageďż˝raised eyebrowsďż˝it was clear that he was surprised by the compensation request. But it had the desired effect: after some comments about the description, he countered with $120,000. -Angel didn’t say “No” or “Yes,” but kept talking and creating empathy. Then, in the middle of a sentence, seemingly out of the blue, his boss threw out $127,000. With his boss obviously negotiating with himself, Angel kept him going. Finally his boss said he agreed with the $134,500 and would pay that salary starting in three months, contingent on the board of directors’ approval. +Angel didnďż˝t say ďż˝Noďż˝ or ďż˝Yes,ďż˝ but kept talking and creating empathy. Then, in the middle of a sentence, seemingly out of the blue, his boss threw out $127,000. With his boss obviously negotiating with himself, Angel kept him going. Finally his boss said he agreed with the $134,500 and would pay that salary starting in three months, contingent on the board of directorsďż˝ approval. -As the icing on the cake, Angel worked in a positive use of the word “Fair” (“That’s fair,” he said), and then sold the raise to his boss as a marriage in which his boss would be the mentor. “I’m asking you, not the board, for the promotion, and all I need is for you to agree with it,” he said. +As the icing on the cake, Angel worked in a positive use of the word ďż˝Fairďż˝ (ďż˝Thatďż˝s fair,ďż˝ he said), and then sold the raise to his boss as a marriage in which his boss would be the mentor. ďż˝Iďż˝m asking you, not the board, for the promotion, and all I need is for you to agree with it,ďż˝ he said. -And how did Angel’s boss reply to his new ambassador? +And how did Angelďż˝s boss reply to his new ambassador? -“I’ll fight to get you this salary.” +ďż˝Iďż˝ll fight to get you this salary.ďż˝ -So follow Angel’s lead and make it rain! +So follow Angelďż˝s lead and make it rain! KEY LESSONS -Compared to the tools discussed in previous chapters, the techniques here seem concrete and easy to use. But many people shy away from them because they seem manipulative. Something that bends your counterpart’s reality must be cheating, right? +Compared to the tools discussed in previous chapters, the techniques here seem concrete and easy to use. But many people shy away from them because they seem manipulative. Something that bends your counterpartďż˝s reality must be cheating, right? In response, let me just say that these tools are used by all the best negotiators because they simply recognize the human psyche as it is. We are emotional, irrational beasts who are emotional and irrational in predictable, pattern-filled ways. Using that knowledge is only, well, rational. As you work these tools into your daily life, remember the following powerful lessons: -¦All negotiations are defined by a network of subterranean desires and needs. Don’t let yourself be fooled by the surface. Once you know that the Haitian kidnappers just want party money, you will be miles better prepared. +ďż˝All negotiations are defined by a network of subterranean desires and needs. Donďż˝t let yourself be fooled by the surface. Once you know that the Haitian kidnappers just want party money, you will be miles better prepared. -¦Splitting the difference is wearing one black and one brown shoe, so don’t compromise. Meeting halfway often leads to bad deals for both sides. +ďż˝Splitting the difference is wearing one black and one brown shoe, so donďż˝t compromise. Meeting halfway often leads to bad deals for both sides. -¦Approaching deadlines entice people to rush the negotiating process and do impulsive things that are against their best interests. +ďż˝Approaching deadlines entice people to rush the negotiating process and do impulsive things that are against their best interests. -¦The F-word—“Fair”—is an emotional term people usually exploit to put the other side on the defensive and gain concessions. When your counterpart drops the F-bomb, don’t get suckered into a concession. Instead, ask them to explain how you’re mistreating them. +ďż˝The F-word��Fair��is an emotional term people usually exploit to put the other side on the defensive and gain concessions. When your counterpart drops the F-bomb, donďż˝t get suckered into a concession. Instead, ask them to explain how youďż˝re mistreating them. -¦You can bend your counterpart’s reality by anchoring his starting point. Before you make an offer, emotionally anchor them by saying how bad it will be. When you get to numbers, set an extreme anchor to make your “real” offer seem reasonable, or use a range to seem less aggressive. The real value of anything depends on what vantage point you’re looking at it from. +ďż˝You can bend your counterpartďż˝s reality by anchoring his starting point. Before you make an offer, emotionally anchor them by saying how bad it will be. When you get to numbers, set an extreme anchor to make your ďż˝realďż˝ offer seem reasonable, or use a range to seem less aggressive. The real value of anything depends on what vantage point youďż˝re looking at it from. -¦People will take more risks to avoid a loss than to realize a gain. Make sure your counterpart sees that there is something to lose by inaction. +ďż˝People will take more risks to avoid a loss than to realize a gain. Make sure your counterpart sees that there is something to lose by inaction. @@ -2317,9 +2239,9 @@ CHAPTER 7 CREATE THE ILLUSION OF CONTROL -A month after I’d finished working the case of Jeffrey Schilling in May 2001, I got orders from headquarters to head back to Manila. The same bad guys who’d taken Schilling, a brutal group of radical Islamists named the Abu Sayyaf, had raided the Dos Palmas private diving resort and taken twenty hostages, including three Americans: Martin and Gracia Burnham, a missionary couple from Wichita, Kansas; and Guillermo Sobero, a guy who ran a California waterproofing firm. +A month after Iďż˝d finished working the case of Jeffrey Schilling in May 2001, I got orders from headquarters to head back to Manila. The same bad guys whoďż˝d taken Schilling, a brutal group of radical Islamists named the Abu Sayyaf, had raided the Dos Palmas private diving resort and taken twenty hostages, including three Americans: Martin and Gracia Burnham, a missionary couple from Wichita, Kansas; and Guillermo Sobero, a guy who ran a California waterproofing firm. -Dos Palmas was a negotiator’s nightmare from the start. The day after the kidnappings, the recently elected Philippine president, Gloria Macapagal-Arroyo, set up the most confrontational, nonconstructive dynamic possible by publicly declaring “all-out war” on the Abu Sayyaf. +Dos Palmas was a negotiatorďż˝s nightmare from the start. The day after the kidnappings, the recently elected Philippine president, Gloria Macapagal-Arroyo, set up the most confrontational, nonconstructive dynamic possible by publicly declaring ďż˝all-out warďż˝ on the Abu Sayyaf. Not exactly empathetic discourse, right? @@ -2333,35 +2255,35 @@ But failures plant the seeds of future success, and our failure in the Philippin If the Dos Palmas calamity showed me anything, it was that we all were still suffering under the notion that negotiation was a wrestling match where the point is to exhaust your opponent into submission, hope for the best, and never back down. -As my disappointment with Dos Palmas forced me to reckon with our failed techniques, I took a deep look into the newest negotiating theories—some great and some completely harebrained—and I had a chance encounter with a case in Pittsburgh that completely changed how I looked at the interpersonal dynamics of negotiation conversations. +As my disappointment with Dos Palmas forced me to reckon with our failed techniques, I took a deep look into the newest negotiating theoriesďż˝some great and some completely harebrainedďż˝and I had a chance encounter with a case in Pittsburgh that completely changed how I looked at the interpersonal dynamics of negotiation conversations. From the ashes of Dos Palmas, then, we learned a lesson that would forever change how the FBI negotiated kidnappings. We learned that negotiation was coaxing, not overcoming; co-opting, not defeating. Most important, we learned that successful negotiation involved getting your counterpart to do the work for you and suggest your solution himself. It involved giving him the illusion of control while you, in fact, were the one defining the conversation. The tool we developed is something I call the calibrated, or open-ended, question. What it does is remove aggression from conversations by acknowledging the other side openly, without resistance. In doing so, it lets you introduce ideas and requests without sounding pushy. It allows you to nudge. -I’ll explain it in depth later on, but for now let me say that it’s really as simple as removing the hostility from the statement “You can’t leave” and turning it into a question. +Iďż˝ll explain it in depth later on, but for now let me say that itďż˝s really as simple as removing the hostility from the statement ďż˝You canďż˝t leaveďż˝ and turning it into a question. -“What do you hope to achieve by going?” +ďż˝What do you hope to achieve by going?ďż˝ -DON’T TRY TO NEGOTIATE IN A FIREFIGHT +DONďż˝T TRY TO NEGOTIATE IN A FIREFIGHT The moment I arrived in Manila on the Burnham-Sobero case I was sent down to the Mindanao region, where the Philippine military was lobbing bullets and rockets into a hospital complex where the Abu Sayyaf and the hostages were holed up. -This was no place for a negotiator, because it’s impossible to have a dialogue in the middle of a firefight. Then things got worse: when I woke up the next morning, I learned that during the night the kidnappers had taken their hostages and escaped. +This was no place for a negotiator, because itďż˝s impossible to have a dialogue in the middle of a firefight. Then things got worse: when I woke up the next morning, I learned that during the night the kidnappers had taken their hostages and escaped. -The “escape” was the first sign that this operation was going to be a rolling train wreck and that the Philippine military was less than a trustworthy partner. +The ďż˝escapeďż˝ was the first sign that this operation was going to be a rolling train wreck and that the Philippine military was less than a trustworthy partner. -During debriefings following the episode, it was revealed that during a cease-fire a military guy had collected a suitcase from the thugs in the hospital, and not long after that all the soldiers on the rear perimeter of the hospital had been called away for a “meeting.” Coincidentally—or not—the bad guys chose that moment to slip away. +During debriefings following the episode, it was revealed that during a cease-fire a military guy had collected a suitcase from the thugs in the hospital, and not long after that all the soldiers on the rear perimeter of the hospital had been called away for a ďż˝meeting.ďż˝ Coincidentallyďż˝or notďż˝the bad guys chose that moment to slip away. -Things really blew up two weeks later, on the Philippines’ Independence Day, when Abu Sabaya announced that he was going to behead “one of the whites” unless the government called off its manhunt by midday. We knew this meant one of the Americans and anticipated it would be Guillermo Sobero. +Things really blew up two weeks later, on the Philippinesďż˝ Independence Day, when Abu Sabaya announced that he was going to behead ďż˝one of the whitesďż˝ unless the government called off its manhunt by midday. We knew this meant one of the Americans and anticipated it would be Guillermo Sobero. -We didn’t have any direct contact with the kidnappers at the time because our partners in the Philippine military had assigned us an intermediary who always “forgot” to make sure we were present for his phone calls with the kidnappers (and similarly “forgot” to tape them). All we could do was send text messages offering to schedule a time to speak. +We didnďż˝t have any direct contact with the kidnappers at the time because our partners in the Philippine military had assigned us an intermediary who always ďż˝forgotďż˝ to make sure we were present for his phone calls with the kidnappers (and similarly ďż˝forgotďż˝ to tape them). All we could do was send text messages offering to schedule a time to speak. -What ended up happening was that just before the noon deadline, Sabaya and a member of the Philippine presidential cabinet had a conversation on a radio talk show, and the government conceded to Sabaya’s demand to name a Malaysian senator as a negotiator. In exchange, Sabaya agreed not to kill a hostage. +What ended up happening was that just before the noon deadline, Sabaya and a member of the Philippine presidential cabinet had a conversation on a radio talk show, and the government conceded to Sabayaďż˝s demand to name a Malaysian senator as a negotiator. In exchange, Sabaya agreed not to kill a hostage. -But it was too late to fix this atmosphere of confrontation, distrust, and lies. That afternoon, the hostages heard Sabaya on the phone yelling, “But that was part of the agreement! That was a part of the agreement!” Not long after, the Abu Sayyaf beheaded Guillermo Sobero and for good measure the group took fifteen more hostages. +But it was too late to fix this atmosphere of confrontation, distrust, and lies. That afternoon, the hostages heard Sabaya on the phone yelling, ďż˝But that was part of the agreement! That was a part of the agreement!ďż˝ Not long after, the Abu Sayyaf beheaded Guillermo Sobero and for good measure the group took fifteen more hostages. -With none of the important moving parts anywhere near under our control and the United States largely uninterested in spite of Sobero’s murder, I headed back to Washington, D.C. It seemed like there was little we could do. +With none of the important moving parts anywhere near under our control and the United States largely uninterested in spite of Soberoďż˝s murder, I headed back to Washington, D.C. It seemed like there was little we could do. Then 9/11 changed everything. @@ -2371,69 +2293,69 @@ THERE IS ALWAYS A TEAM ON THE OTHER SIDE The FBI sent me back in. Now I was sent in to make sure a deal got made. It was all very high profile, too. Some of my contacts reported that FBI director Robert Mueller was personally briefing President George W. Bush every morning on what we were doing. When Director Mueller showed up in the U.S. Embassy in Manila and I was introduced to him, a look of recognition came over his face. That was a very heady moment. -But all the support in the world won’t work if your counterpart’s team is dysfunctional. If your negotiation efforts don’t reach past your counterpart and into the team behind him, then you’ve got a “hope”-based deal—and hope is not a strategy. +But all the support in the world wonďż˝t work if your counterpartďż˝s team is dysfunctional. If your negotiation efforts donďż˝t reach past your counterpart and into the team behind him, then youďż˝ve got a ďż˝hopeďż˝-based dealďż˝and hope is not a strategy. One of the things I failed to fully appreciate then was that the kidnappers had changed negotiators themselves. Sabaya had been replaced. -My boss Gary Noesner had, in a previous kidnapping, pointed out to me that a change in negotiators by the other side almost always signaled that they meant to take a harder line. What I didn’t realize at the time was this meant Sabaya was going to play a role as a deal breaker if he wasn’t accounted for. +My boss Gary Noesner had, in a previous kidnapping, pointed out to me that a change in negotiators by the other side almost always signaled that they meant to take a harder line. What I didnďż˝t realize at the time was this meant Sabaya was going to play a role as a deal breaker if he wasnďż˝t accounted for. -Our new tack was to buy the Burnhams back. Although the United States officially doesn’t pay ransoms, a donor had been found who would provide $300,000. The new Abu Sayyaf negotiator agreed to a release. +Our new tack was to buy the Burnhams back. Although the United States officially doesnďż˝t pay ransoms, a donor had been found who would provide $300,000. The new Abu Sayyaf negotiator agreed to a release. -The ransom drop was a disaster. The kidnappers decided that they wouldn’t release the Burnhams: or, rather, Sabaya, who was physically in charge of the hostages, refused to release them. He had cut his own side-deal—one we didn’t know about—and it had fallen through. The new negotiator, now embarrassed and in a foul mood, covered himself by claiming that the payment was short $600. We were baffled—“Six hundred dollars? You won’t let hostages go because of six hundred dollars?”—and we tried to argue that if the money was missing, it must have been the courier who had stolen the money. But we had no dynamic of trust and cooperation to back us up. The $300,000 was gone and we were back to rarely answered text messages. +The ransom drop was a disaster. The kidnappers decided that they wouldnďż˝t release the Burnhams: or, rather, Sabaya, who was physically in charge of the hostages, refused to release them. He had cut his own side-dealďż˝one we didnďż˝t know aboutďż˝and it had fallen through. The new negotiator, now embarrassed and in a foul mood, covered himself by claiming that the payment was short $600. We were baffled��Six hundred dollars? You wonďż˝t let hostages go because of six hundred dollars?��and we tried to argue that if the money was missing, it must have been the courier who had stolen the money. But we had no dynamic of trust and cooperation to back us up. The $300,000 was gone and we were back to rarely answered text messages. -The slow-motion wreck culminated about two months later with a botched “rescue.” A team of Philippine Scout Rangers walking around in the woods came across the Abu Sayyaf camp, or so they said. Later we heard another government agency had tipped them off. That other government agency (OGA) had not told us about their location because . . . because . . . why? That’s something I will never understand. +The slow-motion wreck culminated about two months later with a botched ďż˝rescue.ďż˝ A team of Philippine Scout Rangers walking around in the woods came across the Abu Sayyaf camp, or so they said. Later we heard another government agency had tipped them off. That other government agency (OGA) had not told us about their location because . . . because . . . why? Thatďż˝s something I will never understand. The Scout Rangers formed a skirmish line from a tree line above the camp and opened fire, indiscriminately pouring bullets into the area. Gracia and Martin were taking a nap in their hammocks when the fire started raining down. They both fell out of their hammocks and started to roll down the hill toward safety. But as a sheet of bullets from their rescuers fell on them, Gracia felt a searing burn flare through her right thigh. And then, she felt Martin go limp. -Minutes later, after the last rebels fled, the squad of Philippine soldiers tried to reassure Gracia that her husband was fine, but she shook her head. After a year in captivity, she had no time for fantasies. Gracia knew her husband was dead, and she was right: he’d been hit in the chest, three times, by “friendly” fire. +Minutes later, after the last rebels fled, the squad of Philippine soldiers tried to reassure Gracia that her husband was fine, but she shook her head. After a year in captivity, she had no time for fantasies. Gracia knew her husband was dead, and she was right: heďż˝d been hit in the chest, three times, by ďż˝friendlyďż˝ fire. -In the end, the supposed rescue mission killed two of the three hostages there that day (a Philippine nurse named Ediborah Yap also died), and the big fish—Sabaya—escaped to live a few more months. From beginning to end, the thirteen-month mission was a complete failure, a waste of lives and treasure. As I sat in the dark at home a few days later, dispirited and spent, I knew that something had to change. We couldn’t let this happen again. +In the end, the supposed rescue mission killed two of the three hostages there that day (a Philippine nurse named Ediborah Yap also died), and the big fishďż˝Sabayaďż˝escaped to live a few more months. From beginning to end, the thirteen-month mission was a complete failure, a waste of lives and treasure. As I sat in the dark at home a few days later, dispirited and spent, I knew that something had to change. We couldnďż˝t let this happen again. -If the hostages’ deaths were going to mean something, we would have to find a new way to negotiate, communicate, listen, and speak, both with our enemies and with our friends. Not for communication’s sake, though. +If the hostagesďż˝ deaths were going to mean something, we would have to find a new way to negotiate, communicate, listen, and speak, both with our enemies and with our friends. Not for communicationďż˝s sake, though. No. We had to do it to win. AVOID A SHOWDOWN -No two ways about it, my return to the United States was a time of reckoning. I questioned—I even doubted—some of what we were doing at the FBI. If what we knew wasn’t enough, we had to get better. +No two ways about it, my return to the United States was a time of reckoning. I questionedďż˝I even doubtedďż˝some of what we were doing at the FBI. If what we knew wasnďż˝t enough, we had to get better. -The real kick in the pants came after my return, when I was reviewing information about the case, a lot of which we hadn’t had in the field. Among the piles of information was one fact that totally blew my mind. +The real kick in the pants came after my return, when I was reviewing information about the case, a lot of which we hadnďż˝t had in the field. Among the piles of information was one fact that totally blew my mind. -Martin Burnham had been overheard on a phone call to someone. I wondered what in God’s name our hostage was doing talking on the phone without us knowing. And with whom was he talking? There’s only one reason a hostage ever gets on a phone. It’s to provide proof of life. Someone else had been trying to ransom the Burnhams out. +Martin Burnham had been overheard on a phone call to someone. I wondered what in Godďż˝s name our hostage was doing talking on the phone without us knowing. And with whom was he talking? Thereďż˝s only one reason a hostage ever gets on a phone. Itďż˝s to provide proof of life. Someone else had been trying to ransom the Burnhams out. -It turned out to be someone working for a crooked Philippine politician who’d been running a parallel negotiation for the Burnhams’ release. He wanted to buy the hostages out himself in order to show up Philippine president Arroyo. +It turned out to be someone working for a crooked Philippine politician whoďż˝d been running a parallel negotiation for the Burnhamsďż˝ release. He wanted to buy the hostages out himself in order to show up Philippine president Arroyo. -But it wasn’t so much that this guy was going behind our backs that bothered me. As is pretty clear already, there were a whole lot of underhanded things going on. What really ate at me was that this schmuck, who wasn’t an FBI-trained hostage negotiator, had pulled off something that I hadn’t been able to. +But it wasnďż˝t so much that this guy was going behind our backs that bothered me. As is pretty clear already, there were a whole lot of underhanded things going on. What really ate at me was that this schmuck, who wasnďż˝t an FBI-trained hostage negotiator, had pulled off something that I hadnďż˝t been able to. -He’d gotten to speak to Martin Burnham on the phone. For free. +Heďż˝d gotten to speak to Martin Burnham on the phone. For free. -That’s when I realized that this crooked pol’s success where we had failed was a kind of metaphor for everything that was wrong with our one-dimensional mindset. +Thatďż˝s when I realized that this crooked polďż˝s success where we had failed was a kind of metaphor for everything that was wrong with our one-dimensional mindset. -Beyond our problems with the Philippine military, the big reason we had no effective influence with the kidnappers and hostages was that we had this very tit-for-tat mentality. Under that mentality, if we called up the bad guys we were asking for something, and if they gave it to us we had to give them something back. And so, because we were positive that the Burnhams were alive, we’d never bothered to call and ask for proof of life. We were afraid to go into debt. +Beyond our problems with the Philippine military, the big reason we had no effective influence with the kidnappers and hostages was that we had this very tit-for-tat mentality. Under that mentality, if we called up the bad guys we were asking for something, and if they gave it to us we had to give them something back. And so, because we were positive that the Burnhams were alive, weďż˝d never bothered to call and ask for proof of life. We were afraid to go into debt. -If we made an “ask” and they granted it, we’d owe. Not making good on a debt risked the accusation of bad-faith negotiation and bad faith in kidnappings gets people killed. +If we made an ďż˝askďż˝ and they granted it, weďż˝d owe. Not making good on a debt risked the accusation of bad-faith negotiation and bad faith in kidnappings gets people killed. -And of course we didn’t ask the kidnappers to talk directly to the hostage because we knew they’d say “no” and we were afraid of being embarrassed. +And of course we didnďż˝t ask the kidnappers to talk directly to the hostage because we knew theyďż˝d say ďż˝noďż˝ and we were afraid of being embarrassed. That fear was a major flaw in our negotiating mindset. There is some information that you can only get through direct, extended interactions with your counterpart. -We also needed new ways to get things without asking for them. We needed to finesse making an “ask” with something more sophisticated than closed-ended questions with their yes-no dynamic. +We also needed new ways to get things without asking for them. We needed to finesse making an ďż˝askďż˝ with something more sophisticated than closed-ended questions with their yes-no dynamic. -That’s when I realized that what we had been doing wasn’t communication; it was verbal flexing. We wanted them to see things our way and they wanted us to see it their way. If you let this dynamic loose in the real world, negotiation breaks down and tensions flare. That whole ethos permeated everything the FBI was doing. Everything was a showdown. And it didn’t work. +Thatďż˝s when I realized that what we had been doing wasnďż˝t communication; it was verbal flexing. We wanted them to see things our way and they wanted us to see it their way. If you let this dynamic loose in the real world, negotiation breaks down and tensions flare. That whole ethos permeated everything the FBI was doing. Everything was a showdown. And it didnďż˝t work. Our approach to proof-of-life questions embodied all these problems. -At the time, we proved that our hostages were alive by devising questions that asked for a piece of information only the hostage could know. Computer-security-style questions, like, “What’s the name of Martin’s first dog?” or “What’s Martin’s dad’s middle name?” +At the time, we proved that our hostages were alive by devising questions that asked for a piece of information only the hostage could know. Computer-security-style questions, like, ďż˝Whatďż˝s the name of Martinďż˝s first dog?ďż˝ or ďż˝Whatďż˝s Martinďż˝s dadďż˝s middle name?ďż˝ -This particular type of question had many failings, however. For one thing, it had sort of become a signature of law enforcement in the kidnapping world. When a family starts asking a question of that type, it’s a near certainty that the cops are coaching them. And that makes kidnappers very nervous. +This particular type of question had many failings, however. For one thing, it had sort of become a signature of law enforcement in the kidnapping world. When a family starts asking a question of that type, itďż˝s a near certainty that the cops are coaching them. And that makes kidnappers very nervous. -Even beyond the nerves, you had the problem that answering questions like those required little, if any, effort. The bad guys go and get the fact and give it to you right away, because it’s so easy. Bang, bang, bang! It happens so fast that you didn’t gain any tactical advantage, any usable information, any effort on their part toward a goal that serves you. And all negotiation, done well, should be an information-gathering process that vests your counterpart in an outcome that serves you. +Even beyond the nerves, you had the problem that answering questions like those required little, if any, effort. The bad guys go and get the fact and give it to you right away, because itďż˝s so easy. Bang, bang, bang! It happens so fast that you didnďż˝t gain any tactical advantage, any usable information, any effort on their part toward a goal that serves you. And all negotiation, done well, should be an information-gathering process that vests your counterpart in an outcome that serves you. -Worst of all, the bad guys know that they have just given you something—a proof of life—which triggers this whole human reciprocity gene. Whether we like to recognize it or not, a universal rule of human nature, across all cultures, is that when somebody gives you something, they expect something in return. And they won’t give anything else until you pay them back. +Worst of all, the bad guys know that they have just given you somethingďż˝a proof of lifeďż˝which triggers this whole human reciprocity gene. Whether we like to recognize it or not, a universal rule of human nature, across all cultures, is that when somebody gives you something, they expect something in return. And they wonďż˝t give anything else until you pay them back. -Now, we didn’t want to trigger this whole reciprocity thing because we didn’t want to give anything. So what happened? All of our conversations became these paralyzed confrontations between two parties who wanted to extract something from each other but didn’t want to give. We didn’t communicate, out of pride and fear. +Now, we didnďż˝t want to trigger this whole reciprocity thing because we didnďż˝t want to give anything. So what happened? All of our conversations became these paralyzed confrontations between two parties who wanted to extract something from each other but didnďż˝t want to give. We didnďż˝t communicate, out of pride and fear. -That’s why we failed, while numbskulls like this crooked Philippine politician just stumbled in and got what we so desperately needed. That is, communication without reciprocity. I sat back and wondered to myself, How the hell do we do that? +Thatďż˝s why we failed, while numbskulls like this crooked Philippine politician just stumbled in and got what we so desperately needed. That is, communication without reciprocity. I sat back and wondered to myself, How the hell do we do that? SUSPEND UNBELIEF @@ -2441,113 +2363,113 @@ While I was racking my brains over how this sleazy politician managed to get Mar My partner Chuck brought me the tapes from the case because he thought it was funny. You see, one Pittsburgh drug dealer had kidnapped the girlfriend of another Pittsburgh drug dealer, and for whatever reason the victim drug dealer came to the FBI for help. Coming to the FBI seemed kind of contrary to his best interests, being a drug dealer and all, but he did it because no matter who you are, when you need help you go to the FBI. Right? -On the tapes, our hostage negotiators are riding around with this drug dealer while he’s negotiating with the other drug dealer. Normally we would have had the guy ask a bulletproof proof-of-life question, like, “What was the name of the girlfriend’s teddy bear when she was little?” But in this situation, this drug dealer hadn’t yet been coached on asking a “correct” question. So in the middle of the conversation with the kidnapper, he just blurts, “Hey, dog, how do I know she’s all right?” +On the tapes, our hostage negotiators are riding around with this drug dealer while heďż˝s negotiating with the other drug dealer. Normally we would have had the guy ask a bulletproof proof-of-life question, like, ďż˝What was the name of the girlfriendďż˝s teddy bear when she was little?ďż˝ But in this situation, this drug dealer hadnďż˝t yet been coached on asking a ďż˝correctďż˝ question. So in the middle of the conversation with the kidnapper, he just blurts, ďż˝Hey, dog, how do I know sheďż˝s all right?ďż˝ -And the funniest thing happened. The kidnapper actually went silent for ten seconds. He was completely taken aback. Then he said, in a much less confrontational tone of voice, “Well, I’ll put her on the phone.” I was floored because this unsophisticated drug dealer just pulled off a phenomenal victory in the negotiation. To get the kidnapper to volunteer to put the victim on the phone is massively huge. +And the funniest thing happened. The kidnapper actually went silent for ten seconds. He was completely taken aback. Then he said, in a much less confrontational tone of voice, ďż˝Well, Iďż˝ll put her on the phone.ďż˝ I was floored because this unsophisticated drug dealer just pulled off a phenomenal victory in the negotiation. To get the kidnapper to volunteer to put the victim on the phone is massively huge. -That’s when I had my “Holy shit!” moment and realized that this is the technique I’d been waiting for. Instead of asking some closed-ended question with a single correct answer, he’d asked an open-ended, yet calibrated one that forced the other guy to pause and actually think about how to solve the problem. I thought to myself, This is perfect! It’s a natural and normal question, not a request for a fact. It’s a “how” question, and “how” engages because “how” asks for help. +Thatďż˝s when I had my ďż˝Holy shit!ďż˝ moment and realized that this is the technique Iďż˝d been waiting for. Instead of asking some closed-ended question with a single correct answer, heďż˝d asked an open-ended, yet calibrated one that forced the other guy to pause and actually think about how to solve the problem. I thought to myself, This is perfect! Itďż˝s a natural and normal question, not a request for a fact. Itďż˝s a ďż˝howďż˝ question, and ďż˝howďż˝ engages because ďż˝howďż˝ asks for help. -Best of all, he doesn’t owe the kidnapper a damn thing. The guy volunteers to put the girlfriend on the phone: he thinks it’s his idea. The guy who just offered to put the girlfriend on the line thinks he’s in control. And the secret to gaining the upper hand in a negotiation is giving the other side the illusion of control. +Best of all, he doesnďż˝t owe the kidnapper a damn thing. The guy volunteers to put the girlfriend on the phone: he thinks itďż˝s his idea. The guy who just offered to put the girlfriend on the line thinks heďż˝s in control. And the secret to gaining the upper hand in a negotiation is giving the other side the illusion of control. -The genius of this technique is really well explained by something that the psychologist Kevin Dutton says in his book Split-Second Persuasion.1 He talks about what he calls “unbelief,” which is active resistance to what the other side is saying, complete rejection. That’s where the two parties in a negotiation usually start. +The genius of this technique is really well explained by something that the psychologist Kevin Dutton says in his book Split-Second Persuasion.1 He talks about what he calls ďż˝unbelief,ďż˝ which is active resistance to what the other side is saying, complete rejection. Thatďż˝s where the two parties in a negotiation usually start. -If you don’t ever get off that dynamic, you end up having showdowns, as each side tries to impose its point of view. You get two hard skulls banging against each other, like in Dos Palmas. But if you can get the other side to drop their unbelief, you can slowly work them to your point of view on the back of their energy, just like the drug dealer’s question got the kidnapper to volunteer to do what the drug dealer wanted. You don’t directly persuade them to see your ideas. Instead, you ride them to your ideas. As the saying goes, the best way to ride a horse is in the direction in which it is going. +If you donďż˝t ever get off that dynamic, you end up having showdowns, as each side tries to impose its point of view. You get two hard skulls banging against each other, like in Dos Palmas. But if you can get the other side to drop their unbelief, you can slowly work them to your point of view on the back of their energy, just like the drug dealerďż˝s question got the kidnapper to volunteer to do what the drug dealer wanted. You donďż˝t directly persuade them to see your ideas. Instead, you ride them to your ideas. As the saying goes, the best way to ride a horse is in the direction in which it is going. -Our job as persuaders is easier than we think. It’s not to get others believing what we say. It’s just to stop them unbelieving. Once we achieve that, the game’s half-won. “Unbelief is the friction that keeps persuasion in check,” Dutton says. “Without it, there’d be no limits.” +Our job as persuaders is easier than we think. Itďż˝s not to get others believing what we say. Itďż˝s just to stop them unbelieving. Once we achieve that, the gameďż˝s half-won. ďż˝Unbelief is the friction that keeps persuasion in check,ďż˝ Dutton says. ďż˝Without it, thereďż˝d be no limits.ďż˝ -Giving your counterpart the illusion of control by asking calibrated questions—by asking for help—is one of the most powerful tools for suspending unbelief. Not long ago, I read this great article in the New York Times2 by a medical student who was faced with a patient who had ripped out his IV, packed his bags, and was making a move to leave because his biopsy results were days late and he was tired of waiting. +Giving your counterpart the illusion of control by asking calibrated questionsďż˝by asking for helpďż˝is one of the most powerful tools for suspending unbelief. Not long ago, I read this great article in the New York Times2 by a medical student who was faced with a patient who had ripped out his IV, packed his bags, and was making a move to leave because his biopsy results were days late and he was tired of waiting. Just then a senior physician arrived. After calmly offering the patient a glass of water and asking if they could chat for a minute, he said he understood why the patient was pissed off and promised to call the lab to see why the results were delayed. -But what he did next is what really suspended the patient’s unbelief: he asked a calibrated question—what he felt was so important about leaving—and then when the patient said he had errands to handle, the doctor offered to connect the patient with services that could help him get them done. And, boom, the patient volunteered to stay. +But what he did next is what really suspended the patientďż˝s unbelief: he asked a calibrated questionďż˝what he felt was so important about leavingďż˝and then when the patient said he had errands to handle, the doctor offered to connect the patient with services that could help him get them done. And, boom, the patient volunteered to stay. -What’s so powerful about the senior doctor’s technique is that he took what was a showdown—“I’m going to leave” versus “You can’t leave”—and asked questions that led the patient to solve his own problem . . . in the way the doctor wanted. +Whatďż˝s so powerful about the senior doctorďż˝s technique is that he took what was a showdown��Iďż˝m going to leaveďż˝ versus ďż˝You canďż˝t leave��and asked questions that led the patient to solve his own problem . . . in the way the doctor wanted. -It was still a kind of showdown, of course, but the doctor took the confrontation and bravado out of it by giving the patient the illusion of control. As an old Washington Post editor named Robert Estabrook once said, “He who has learned to disagree without being disagreeable has discovered the most valuable secret of negotiation.” +It was still a kind of showdown, of course, but the doctor took the confrontation and bravado out of it by giving the patient the illusion of control. As an old Washington Post editor named Robert Estabrook once said, ďż˝He who has learned to disagree without being disagreeable has discovered the most valuable secret of negotiation.ďż˝ -This same technique for suspending unbelief that you use with kidnappers and escaping patients works for anything, even negotiating prices. When you go into a store, instead of telling the salesclerk what you “need,” you can describe what you’re looking for and ask for suggestions. +This same technique for suspending unbelief that you use with kidnappers and escaping patients works for anything, even negotiating prices. When you go into a store, instead of telling the salesclerk what you ďż˝need,ďż˝ you can describe what youďż˝re looking for and ask for suggestions. -Then, once you’ve picked out what you want, instead of hitting them with a hard offer, you can just say the price is a bit more than you budgeted and ask for help with one of the greatest-of-all-time calibrated questions: “How am I supposed to do that?” The critical part of this approach is that you really are asking for help and your delivery must convey that. With this negotiating scheme, instead of bullying the clerk, you’re asking for their advice and giving them the illusion of control. +Then, once youďż˝ve picked out what you want, instead of hitting them with a hard offer, you can just say the price is a bit more than you budgeted and ask for help with one of the greatest-of-all-time calibrated questions: ďż˝How am I supposed to do that?ďż˝ The critical part of this approach is that you really are asking for help and your delivery must convey that. With this negotiating scheme, instead of bullying the clerk, youďż˝re asking for their advice and giving them the illusion of control. -Asking for help in this manner, after you’ve already been engaged in a dialogue, is an incredibly powerful negotiating technique for transforming encounters from confrontational showdowns into joint problem-solving sessions. And calibrated questions are the best tool. +Asking for help in this manner, after youďż˝ve already been engaged in a dialogue, is an incredibly powerful negotiating technique for transforming encounters from confrontational showdowns into joint problem-solving sessions. And calibrated questions are the best tool. CALIBRATE YOUR QUESTIONS A few years ago, I was consulting with a client who had a small firm that did public relations for a large corporation. The folks at the big company were not paying their bills, and as time went on, they owed my client more and more money. They kept her on the hook by promising lots of repeat business, implying that she would get a pile of revenue if she just kept working. She felt trapped. -My advice for her was simple: I told her to engage them in a conversation where she summarized the situation and then asked, “How am I supposed to do that?” +My advice for her was simple: I told her to engage them in a conversation where she summarized the situation and then asked, ďż˝How am I supposed to do that?ďż˝ -She shook her head. No way. The idea of having to ask this question just terrified her. “If they tell me I have to, then I’m trapped!” was her reaction. +She shook her head. No way. The idea of having to ask this question just terrified her. ďż˝If they tell me I have to, then Iďż˝m trapped!ďż˝ was her reaction. -She also heard the question as “You’re screwing me out of money and it has to stop.” That sounded like the first step to her getting fired as a consultant. +She also heard the question as ďż˝Youďż˝re screwing me out of money and it has to stop.ďż˝ That sounded like the first step to her getting fired as a consultant. I explained to her that this implication, though real, was in her mind. Her client would hear the words and not the implication as long as she kept calm and avoided making it sound by her delivery like an accusation or threat. As long as she stayed cool, they would hear it as a problem to be solved. -She didn’t quite believe me. We walked through the script several times, but she was still afraid. Then a few days later she called me, totally giddy with happiness. The client had called with another request and she had finally gotten up the courage to summarize the situation, and ask, “How am I supposed to do that?” +She didnďż˝t quite believe me. We walked through the script several times, but she was still afraid. Then a few days later she called me, totally giddy with happiness. The client had called with another request and she had finally gotten up the courage to summarize the situation, and ask, ďż˝How am I supposed to do that?ďż˝ -And you know what? The answer she got was “You’re right, you can’t and I apologize.” Her client explained that they were going through some internal problems, but she was given a new accounting contact and told she’d be paid within forty-eight hours. And she was. +And you know what? The answer she got was ďż˝Youďż˝re right, you canďż˝t and I apologize.ďż˝ Her client explained that they were going through some internal problems, but she was given a new accounting contact and told sheďż˝d be paid within forty-eight hours. And she was. -Now, think about how my client’s question worked: without accusing them of anything, it pushed the big company to understand her problem and offer the solution she wanted. That in a nutshell is the whole point of open-ended questions that are calibrated for a specific effect. +Now, think about how my clientďż˝s question worked: without accusing them of anything, it pushed the big company to understand her problem and offer the solution she wanted. That in a nutshell is the whole point of open-ended questions that are calibrated for a specific effect. -Like the softening words and phrases “perhaps,” “maybe,” “I think,” and “it seems,” the calibrated open-ended question takes the aggression out of a confrontational statement or close-ended request that might otherwise anger your counterpart. What makes them work is that they are subject to interpretation by your counterpart instead of being rigidly defined. They allow you to introduce ideas and requests without sounding overbearing or pushy. +Like the softening words and phrases ďż˝perhaps,ďż˝ ďż˝maybe,ďż˝ ďż˝I think,ďż˝ and ďż˝it seems,ďż˝ the calibrated open-ended question takes the aggression out of a confrontational statement or close-ended request that might otherwise anger your counterpart. What makes them work is that they are subject to interpretation by your counterpart instead of being rigidly defined. They allow you to introduce ideas and requests without sounding overbearing or pushy. -And that’s the difference between “You’re screwing me out of money, and it has to stop” and “How am I supposed to do that?” +And thatďż˝s the difference between ďż˝Youďż˝re screwing me out of money, and it has to stopďż˝ and ďż˝How am I supposed to do that?ďż˝ The real beauty of calibrated questions is the fact that they offer no target for attack like statements do. Calibrated questions have the power to educate your counterpart on what the problem is rather than causing conflict by telling them what the problem is. -But calibrated questions are not just random requests for comment. They have a direction: once you figure out where you want a conversation to go, you have to design the questions that will ease the conversation in that direction while letting the other guy think it’s his choice to take you there. +But calibrated questions are not just random requests for comment. They have a direction: once you figure out where you want a conversation to go, you have to design the questions that will ease the conversation in that direction while letting the other guy think itďż˝s his choice to take you there. -That’s why I refer to these questions as calibrated questions. You have to calibrate them carefully, just like you would calibrate a gun sight or a measuring scale, to target a specific problem. +Thatďż˝s why I refer to these questions as calibrated questions. You have to calibrate them carefully, just like you would calibrate a gun sight or a measuring scale, to target a specific problem. The good news is that there are rules for that. -First off, calibrated questions avoid verbs or words like “can,” “is,” “are,” “do,” or “does.” These are closed-ended questions that can be answered with a simple “yes” or a “no.” Instead, they start with a list of words people know as reporter’s questions: “who,” “what,” “when,” “where,” “why,” and “how.” Those words inspire your counterpart to think and then speak expansively. +First off, calibrated questions avoid verbs or words like ďż˝can,ďż˝ ďż˝is,ďż˝ ďż˝are,ďż˝ ďż˝do,ďż˝ or ďż˝does.ďż˝ These are closed-ended questions that can be answered with a simple ďż˝yesďż˝ or a ďż˝no.ďż˝ Instead, they start with a list of words people know as reporterďż˝s questions: ďż˝who,ďż˝ ďż˝what,ďż˝ ďż˝when,ďż˝ ďż˝where,ďż˝ ďż˝why,ďż˝ and ďż˝how.ďż˝ Those words inspire your counterpart to think and then speak expansively. -But let me cut the list even further: it’s best to start with “what,” “how,” and sometimes “why.” Nothing else. “Who,” “when,” and “where” will often just get your counterpart to share a fact without thinking. And “why” can backfire. Regardless of what language the word “why” is translated into, it’s accusatory. There are very rare moments when this is to your advantage. +But let me cut the list even further: itďż˝s best to start with ďż˝what,ďż˝ ďż˝how,ďż˝ and sometimes ďż˝why.ďż˝ Nothing else. ďż˝Who,ďż˝ ďż˝when,ďż˝ and ďż˝whereďż˝ will often just get your counterpart to share a fact without thinking. And ďż˝whyďż˝ can backfire. Regardless of what language the word ďż˝whyďż˝ is translated into, itďż˝s accusatory. There are very rare moments when this is to your advantage. -The only time you can use “why” successfully is when the defensiveness that is created supports the change you are trying to get them to see. “Why would you ever change from the way you’ve always done things and try my approach?” is an example. “Why would your company ever change from your long-standing vendor and choose our company?” is another. As always, tone of voice, respectful and deferential, is critical. +The only time you can use ďż˝whyďż˝ successfully is when the defensiveness that is created supports the change you are trying to get them to see. ďż˝Why would you ever change from the way youďż˝ve always done things and try my approach?ďż˝ is an example. ďż˝Why would your company ever change from your long-standing vendor and choose our company?ďż˝ is another. As always, tone of voice, respectful and deferential, is critical. -Otherwise, treat “why” like a burner on a hot stove—don’t touch it. +Otherwise, treat ďż˝whyďż˝ like a burner on a hot stoveďż˝donďż˝t touch it. -Having just two words to start with might not seem like a lot of ammunition, but trust me, you can use “what” and “how” to calibrate nearly any question. “Does this look like something you would like?” can become “How does this look to you?” or “What about this works for you?” You can even ask, “What about this doesn’t work for you?” and you’ll probably trigger quite a bit of useful information from your counterpart. +Having just two words to start with might not seem like a lot of ammunition, but trust me, you can use ďż˝whatďż˝ and ďż˝howďż˝ to calibrate nearly any question. ďż˝Does this look like something you would like?ďż˝ can become ďż˝How does this look to you?ďż˝ or ďż˝What about this works for you?ďż˝ You can even ask, ďż˝What about this doesnďż˝t work for you?ďż˝ and youďż˝ll probably trigger quite a bit of useful information from your counterpart. -Even something as harsh as “Why did you do it?” can be calibrated to “What caused you to do it?” which takes away the emotion and makes the question less accusatory. +Even something as harsh as ďż˝Why did you do it?ďż˝ can be calibrated to ďż˝What caused you to do it?ďż˝ which takes away the emotion and makes the question less accusatory. -You should use calibrated questions early and often, and there are a few that you will find that you will use in the beginning of nearly every negotiation. “What is the biggest challenge you face?” is one of those questions. It just gets the other side to teach you something about themselves, which is critical to any negotiation because all negotiation is an information-gathering process. +You should use calibrated questions early and often, and there are a few that you will find that you will use in the beginning of nearly every negotiation. ďż˝What is the biggest challenge you face?ďż˝ is one of those questions. It just gets the other side to teach you something about themselves, which is critical to any negotiation because all negotiation is an information-gathering process. Here are some other great standbys that I use in almost every negotiation, depending on the situation: -¦What about this is important to you? +ďż˝What about this is important to you? -¦How can I help to make this better for us? +ďż˝How can I help to make this better for us? -¦How would you like me to proceed? +ďż˝How would you like me to proceed? -¦What is it that brought us into this situation? +ďż˝What is it that brought us into this situation? -¦How can we solve this problem? +ďż˝How can we solve this problem? -¦What’s the objective? / What are we trying to accomplish here? +ďż˝Whatďż˝s the objective? / What are we trying to accomplish here? -¦How am I supposed to do that? +ďż˝How am I supposed to do that? The implication of any well-designed calibrated question is that you want what the other guy wants but you need his intelligence to overcome the problem. This really appeals to very aggressive or egotistical counterparts. -You’ve not only implicitly asked for help—triggering goodwill and less defensiveness—but you’ve engineered a situation in which your formerly recalcitrant counterpart is now using his mental and emotional resources to overcome your challenges. It is the first step in your counterpart internalizing your way—and the obstacles in it—as his own. And that guides the other party toward designing a solution. +Youďż˝ve not only implicitly asked for helpďż˝triggering goodwill and less defensivenessďż˝but youďż˝ve engineered a situation in which your formerly recalcitrant counterpart is now using his mental and emotional resources to overcome your challenges. It is the first step in your counterpart internalizing your wayďż˝and the obstacles in itďż˝as his own. And that guides the other party toward designing a solution. Your solution. -Think back to how the doctor used calibrated questions to get his patient to stay. As his story showed, the key to getting people to see things your way is not to confront them on their ideas (“You can’t leave”) but to acknowledge their ideas openly (“I understand why you’re pissed off”) and then guide them toward solving the problem (“What do you hope to accomplish by leaving?”). +Think back to how the doctor used calibrated questions to get his patient to stay. As his story showed, the key to getting people to see things your way is not to confront them on their ideas (ďż˝You canďż˝t leaveďż˝) but to acknowledge their ideas openly (ďż˝I understand why youďż˝re pissed offďż˝) and then guide them toward solving the problem (ďż˝What do you hope to accomplish by leaving?ďż˝). -Like I said before, the secret to gaining the upper hand in a negotiation is giving the other side the illusion of control. That’s why calibrated questions are ingenious: Calibrated questions make your counterpart feel like they’re in charge, but it’s really you who are framing the conversation. Your counterpart will have no idea how constrained they are by your questions. +Like I said before, the secret to gaining the upper hand in a negotiation is giving the other side the illusion of control. Thatďż˝s why calibrated questions are ingenious: Calibrated questions make your counterpart feel like theyďż˝re in charge, but itďż˝s really you who are framing the conversation. Your counterpart will have no idea how constrained they are by your questions. Once I was negotiating with one of my FBI bosses about attending a Harvard executive program. He had already approved the expenditure for the travel, but on the day before I was supposed to leave he called me into his office and began to question the validity of the trip. -I knew him well enough to know that he was trying to show me that he was in charge. So after we talked for a while, I looked at him and asked, “When you originally approved this trip, what did you have in mind?” +I knew him well enough to know that he was trying to show me that he was in charge. So after we talked for a while, I looked at him and asked, ďż˝When you originally approved this trip, what did you have in mind?ďż˝ He visibly relaxed as he sat back in his chair and brought the top of his fingers and thumbs together in the shape of a steeple. Generally this is a body language that means the person feels superior and in charge. -“Listen,” he said, “just make sure you brief everyone when you get back.” +ďż˝Listen,ďż˝ he said, ďż˝just make sure you brief everyone when you get back.ďż˝ That question, calibrated to acknowledge his power and nudge him toward explaining himself, gave him the illusion of control. @@ -2555,51 +2477,51 @@ And it got me just what I wanted. HOW NOT TO GET PAID -Let’s pause for a minute here, because there’s one vitally important thing you have to remember when you enter a negotiation armed with your list of calibrated questions. That is, all of this is great, but there’s a rub: without self-control and emotional regulation, it doesn’t work. +Letďż˝s pause for a minute here, because thereďż˝s one vitally important thing you have to remember when you enter a negotiation armed with your list of calibrated questions. That is, all of this is great, but thereďż˝s a rub: without self-control and emotional regulation, it doesnďż˝t work. -The very first thing I talk about when I’m training new negotiators is the critical importance of self-control. If you can’t control your own emotions, how can you expect to influence the emotions of another party? +The very first thing I talk about when Iďż˝m training new negotiators is the critical importance of self-control. If you canďż˝t control your own emotions, how can you expect to influence the emotions of another party? To show you what I mean, let me tell you a story. -Not long ago, a freelance marketing strategist came to me with a problem. One of her clients had hired a new CEO, a penny pincher whose strategy was to cut costs by offshoring everything he could. He was also a male chauvinist who didn’t like the assertive style in which the strategist, a woman, conducted herself. +Not long ago, a freelance marketing strategist came to me with a problem. One of her clients had hired a new CEO, a penny pincher whose strategy was to cut costs by offshoring everything he could. He was also a male chauvinist who didnďż˝t like the assertive style in which the strategist, a woman, conducted herself. -Immediately my client and the CEO started to go at each other on conference calls in that passive-aggressive way that is ever present in corporate America. After a few weeks of this, my client decided she’d had enough and invoiced the CEO for the last bit of work she’d done (about $7,000) and politely said that the arrangement wasn’t working out. The CEO answered by saying the bill was too high, that he’d pay half of it and that they would talk about the rest. +Immediately my client and the CEO started to go at each other on conference calls in that passive-aggressive way that is ever present in corporate America. After a few weeks of this, my client decided sheďż˝d had enough and invoiced the CEO for the last bit of work sheďż˝d done (about $7,000) and politely said that the arrangement wasnďż˝t working out. The CEO answered by saying the bill was too high, that heďż˝d pay half of it and that they would talk about the rest. After that, he stopped answering her calls. -The underlying dynamic was that this guy didn’t like being questioned by anyone, especially a woman. So she and I developed a strategy that showed him she understood where she went wrong and acknowledged his power, while at the same time directing his energy toward solving her problem. +The underlying dynamic was that this guy didnďż˝t like being questioned by anyone, especially a woman. So she and I developed a strategy that showed him she understood where she went wrong and acknowledged his power, while at the same time directing his energy toward solving her problem. -The script we came up with hit all the best practices of negotiation we’ve talked about so far. Here it is by steps: +The script we came up with hit all the best practices of negotiation weďż˝ve talked about so far. Here it is by steps: -1.A “No”-oriented email question to reinitiate contact: “Have you given up on settling this amicably?” +1.A ďż˝Noďż˝-oriented email question to reinitiate contact: ďż˝Have you given up on settling this amicably?ďż˝ -2.A statement that leaves only the answer of “That’s right” to form a dynamic of agreement: “It seems that you feel my bill is not justified.” +2.A statement that leaves only the answer of ďż˝Thatďż˝s rightďż˝ to form a dynamic of agreement: ďż˝It seems that you feel my bill is not justified.ďż˝ -3.Calibrated questions about the problem to get him to reveal his thinking: “How does this bill violate our agreement?” +3.Calibrated questions about the problem to get him to reveal his thinking: ďż˝How does this bill violate our agreement?ďż˝ -4.More “No”-oriented questions to remove unspoken barriers: “Are you saying I misled you?” “Are you saying I didn’t do as you asked?” “Are you saying I reneged on our agreement?” or “Are you saying I failed you?” +4.More ďż˝Noďż˝-oriented questions to remove unspoken barriers: ďż˝Are you saying I misled you?ďż˝ ďż˝Are you saying I didnďż˝t do as you asked?ďż˝ ďż˝Are you saying I reneged on our agreement?ďż˝ or ďż˝Are you saying I failed you?ďż˝ -5.Labeling and mirroring the essence of his answers if they are not acceptable so he has to consider them again: “It seems like you feel my work was subpar.” Or “. . . my work was subpar?” +5.Labeling and mirroring the essence of his answers if they are not acceptable so he has to consider them again: ďż˝It seems like you feel my work was subpar.ďż˝ Or ďż˝. . . my work was subpar?ďż˝ -6.A calibrated question in reply to any offer other than full payment, in order to get him to offer a solution: “How am I supposed to accept that?” +6.A calibrated question in reply to any offer other than full payment, in order to get him to offer a solution: ďż˝How am I supposed to accept that?ďż˝ -7.If none of this gets an offer of full payment, a label that flatters his sense of control and power: “It seems like you are the type of person who prides himself on the way he does business—rightfully so—and has a knack for not only expanding the pie but making the ship run more efficiently.” +7.If none of this gets an offer of full payment, a label that flatters his sense of control and power: ďż˝It seems like you are the type of person who prides himself on the way he does businessďż˝rightfully soďż˝and has a knack for not only expanding the pie but making the ship run more efficiently.ďż˝ -8.A long pause and then one more “No”-oriented question: “Do you want to be known as someone who doesn’t fulfill agreements?” +8.A long pause and then one more ďż˝Noďż˝-oriented question: ďż˝Do you want to be known as someone who doesnďż˝t fulfill agreements?ďż˝ -From my long experience in negotiation, scripts like this have a 90 percent success rate. That is, if the negotiator stays calm and rational. And that’s a big if. +From my long experience in negotiation, scripts like this have a 90 percent success rate. That is, if the negotiator stays calm and rational. And thatďż˝s a big if. -In this case, she didn’t. +In this case, she didnďż˝t. -The first step—the magic email—worked better than she imagined, and the CEO called within ten minutes, surprising her. Almost immediately her anger flared at the sound of his patronizing voice. Her only desire became to show him how he was wrong, to impose her will, and the conversation became a showdown that went nowhere. +The first stepďż˝the magic emailďż˝worked better than she imagined, and the CEO called within ten minutes, surprising her. Almost immediately her anger flared at the sound of his patronizing voice. Her only desire became to show him how he was wrong, to impose her will, and the conversation became a showdown that went nowhere. -You probably don’t need me to tell you that she didn’t even get half. +You probably donďż˝t need me to tell you that she didnďż˝t even get half. With that in mind, I want to end this chapter with some advice on how to remain rational in a negotiation. Even with all the best techniques and strategy, you need to regulate your emotions if you want to have any hope of coming out on top. The first and most basic rule of keeping your emotional cool is to bite your tongue. Not literally, of course. But you have to keep away from knee-jerk, passionate reactions. Pause. Think. Let the passion dissipate. That allows you to collect your thoughts and be more circumspect in what you say. It also lowers your chance of saying more than you want to. -The Japanese have this figured out. When negotiating with a foreigner, it’s common practice for a Japanese businessman to use a translator even when he understands perfectly what the other side is saying. That’s because speaking through a translator forces him to step back. It gives him time to frame his response. +The Japanese have this figured out. When negotiating with a foreigner, itďż˝s common practice for a Japanese businessman to use a translator even when he understands perfectly what the other side is saying. Thatďż˝s because speaking through a translator forces him to step back. It gives him time to frame his response. Another simple rule is, when you are verbally assaulted, do not counterattack. Instead, disarm your counterpart by asking a calibrated question. The next time a waiter or salesclerk tries to engage you in a verbal skirmish, try this out. I promise you it will change the entire tenor of the conversation. @@ -2609,9 +2531,9 @@ Neurologically, in situations like this the fight-or-flight mechanism in the rep In a negotiation, like in the one between my client and the CEO, this always produces a negative outcome. So we have to train our neocortex to override the emotions from the other two brains. -That means biting your tongue and learning how to mindfully change your state to something more positive. And it means lowering the hostage mentality in your counterpart by asking a question or even offering an apology. (“You’re right. That was a bit harsh.”) +That means biting your tongue and learning how to mindfully change your state to something more positive. And it means lowering the hostage mentality in your counterpart by asking a question or even offering an apology. (ďż˝Youďż˝re right. That was a bit harsh.ďż˝) -If you were able to take an armed kidnapper who’d been surrounded by police and hook him up to a cardiac monitor, you’d find that every calibrated question and apology would lower his heart rate just a little bit. And that’s how you get to a dynamic where solutions can be found. +If you were able to take an armed kidnapper whoďż˝d been surrounded by police and hook him up to a cardiac monitor, youďż˝d find that every calibrated question and apology would lower his heart rate just a little bit. And thatďż˝s how you get to a dynamic where solutions can be found. KEY LESSONS @@ -2619,25 +2541,25 @@ Who has control in a conversation, the guy listening or the guy talking? The listener, of course. -That’s because the talker is revealing information while the listener, if he’s trained well, is directing the conversation toward his own goals. He’s harnessing the talker’s energy for his own ends. +Thatďż˝s because the talker is revealing information while the listener, if heďż˝s trained well, is directing the conversation toward his own goals. Heďż˝s harnessing the talkerďż˝s energy for his own ends. -When you try to work the skills from this chapter into your daily life, remember that these are listener’s tools. They are not about strong-arming your opponent into submission. Rather, they’re about using the counterpart’s power to get to your objective. They’re listener’s judo. +When you try to work the skills from this chapter into your daily life, remember that these are listenerďż˝s tools. They are not about strong-arming your opponent into submission. Rather, theyďż˝re about using the counterpartďż˝s power to get to your objective. Theyďż˝re listenerďż˝s judo. -As you put listener’s judo into practice, remember the following powerful lessons: +As you put listenerďż˝s judo into practice, remember the following powerful lessons: -¦Don’t try to force your opponent to admit that you are right. Aggressive confrontation is the enemy of constructive negotiation. +ďż˝Donďż˝t try to force your opponent to admit that you are right. Aggressive confrontation is the enemy of constructive negotiation. -¦Avoid questions that can be answered with “Yes” or tiny pieces of information. These require little thought and inspire the human need for reciprocity; you will be expected to give something back. +ďż˝Avoid questions that can be answered with ďż˝Yesďż˝ or tiny pieces of information. These require little thought and inspire the human need for reciprocity; you will be expected to give something back. -¦Ask calibrated questions that start with the words “How” or “What.” By implicitly asking the other party for help, these questions will give your counterpart an illusion of control and will inspire them to speak at length, revealing important information. +ďż˝Ask calibrated questions that start with the words ďż˝Howďż˝ or ďż˝What.ďż˝ By implicitly asking the other party for help, these questions will give your counterpart an illusion of control and will inspire them to speak at length, revealing important information. -¦Don’t ask questions that start with “Why” unless you want your counterpart to defend a goal that serves you. “Why” is always an accusation, in any language. +ďż˝Donďż˝t ask questions that start with ďż˝Whyďż˝ unless you want your counterpart to defend a goal that serves you. ďż˝Whyďż˝ is always an accusation, in any language. -¦Calibrate your questions to point your counterpart toward solving your problem. This will encourage them to expend their energy on devising a solution. +ďż˝Calibrate your questions to point your counterpart toward solving your problem. This will encourage them to expend their energy on devising a solution. -¦Bite your tongue. When you’re attacked in a negotiation, pause and avoid angry emotional reactions. Instead, ask your counterpart a calibrated question. +ďż˝Bite your tongue. When youďż˝re attacked in a negotiation, pause and avoid angry emotional reactions. Instead, ask your counterpart a calibrated question. -¦There is always a team on the other side. If you are not influencing those behind the table, you are vulnerable. +ďż˝There is always a team on the other side. If you are not influencing those behind the table, you are vulnerable. @@ -2651,65 +2573,65 @@ GUARANTEE EXECUTION During a dangerous and chaotic prison siege in St. Martin Parish, Louisiana, a few years ago, a group of inmates armed with makeshift knives took the warden and some of his staff hostage. The situation was especially nervy because the prisoners were both tense and disorganized, a worrisome mix that meant anything could happen. -The negotiators sensed that, beneath the bluster, the prisoners didn’t really want to hurt the staff. They knew that they felt backed into a corner and, more than anything, they wanted the situation to end. +The negotiators sensed that, beneath the bluster, the prisoners didnďż˝t really want to hurt the staff. They knew that they felt backed into a corner and, more than anything, they wanted the situation to end. But there was a stumbling block: the inmates were afraid that the prisoners who gave up after taking correctional officers hostage, not to mention the warden, would end up beaten, and badly. So the negotiators delivered a pair of walkie-talkies to the inmates and designed this elaborate surrender ritual to get the hostage-takers to end the siege. The idea was elegantly simple: -The inmates would send out one of their guys with a walkie-talkie, and he’d walk past the three perimeters of combined multiagency law enforcement that were stationed outside the prison. Once he’d walked past the final perimeter, he’d get into the paddy wagon and be transferred to jail. There, he’d use the walkie-talkie to call the guys back in the prison and say, essentially, “They didn’t kick my ass.” And they’d know it was okay to come out just like he did, one at a time. +The inmates would send out one of their guys with a walkie-talkie, and heďż˝d walk past the three perimeters of combined multiagency law enforcement that were stationed outside the prison. Once heďż˝d walked past the final perimeter, heďż˝d get into the paddy wagon and be transferred to jail. There, heďż˝d use the walkie-talkie to call the guys back in the prison and say, essentially, ďż˝They didnďż˝t kick my ass.ďż˝ And theyďż˝d know it was okay to come out just like he did, one at a time. -After some haggling, the inmates agreed with the plan and the first inmate comes out. It starts off great. He walks past the federal zone, then the SWAT zone, and then he makes it to the outer perimeter. But just as he’s about to climb into the paddy wagon, some guy sees the walkie-talkie and says, “What the hell are you doing with that?” and confiscates it before sending the guy off to the jail. +After some haggling, the inmates agreed with the plan and the first inmate comes out. It starts off great. He walks past the federal zone, then the SWAT zone, and then he makes it to the outer perimeter. But just as heďż˝s about to climb into the paddy wagon, some guy sees the walkie-talkie and says, ďż˝What the hell are you doing with that?ďż˝ and confiscates it before sending the guy off to the jail. -The inmates back in the prison start to freak out because their buddy hasn’t called. The one with the other walkie-talkie calls the negotiators and starts yelling, “Why didn’t he call? They’re kicking his ass. We told you!” He starts talking about cutting off a hostage’s finger, just to make sure the negotiators know the inmates are for real. +The inmates back in the prison start to freak out because their buddy hasnďż˝t called. The one with the other walkie-talkie calls the negotiators and starts yelling, ďż˝Why didnďż˝t he call? Theyďż˝re kicking his ass. We told you!ďż˝ He starts talking about cutting off a hostageďż˝s finger, just to make sure the negotiators know the inmates are for real. -Now it’s the negotiators who are freaking out. They sprint to the perimeter and start screaming at everyone. It’s life and death at stake. Or at least an amputated finger. +Now itďż˝s the negotiators who are freaking out. They sprint to the perimeter and start screaming at everyone. Itďż˝s life and death at stake. Or at least an amputated finger. -Finally, fifteen nail-biting minutes later, this SWAT guy comes striding up, all proud of himself. “Some idiot gave this dude a radio,” he says, and sort of smiles as he hands the negotiators the walkie-talkie. The negotiators barely stop themselves from slugging the guy before they tear off to the jail to have the first inmate call in. +Finally, fifteen nail-biting minutes later, this SWAT guy comes striding up, all proud of himself. ďż˝Some idiot gave this dude a radio,ďż˝ he says, and sort of smiles as he hands the negotiators the walkie-talkie. The negotiators barely stop themselves from slugging the guy before they tear off to the jail to have the first inmate call in. Crisis averted, but barely. -The point here is that your job as a negotiator isn’t just to get to an agreement. It’s getting to one that can be implemented and making sure that happens. Negotiators have to be decision architects: they have to dynamically and adaptively design the verbal and nonverbal elements of the negotiation to gain both consent and execution. +The point here is that your job as a negotiator isnďż˝t just to get to an agreement. Itďż˝s getting to one that can be implemented and making sure that happens. Negotiators have to be decision architects: they have to dynamically and adaptively design the verbal and nonverbal elements of the negotiation to gain both consent and execution. -“Yes” is nothing without “How.” While an agreement is nice, a contract is better, and a signed check is best. You don’t get your profits with the agreement. They come upon implementation. Success isn’t the hostage-taker saying, “Yes, we have a deal”; success comes afterward, when the freed hostage says to your face, “Thank you.” +ďż˝Yesďż˝ is nothing without ďż˝How.ďż˝ While an agreement is nice, a contract is better, and a signed check is best. You donďż˝t get your profits with the agreement. They come upon implementation. Success isnďż˝t the hostage-taker saying, ďż˝Yes, we have a dealďż˝; success comes afterward, when the freed hostage says to your face, ďż˝Thank you.ďż˝ -In this chapter, I’ll show how to drive toward and achieve consent, both with those at the negotiating table and with the invisible forces “underneath” it; distinguish true buy-in from fake acquiescence; and guarantee execution using the Rule of Three. +In this chapter, Iďż˝ll show how to drive toward and achieve consent, both with those at the negotiating table and with the invisible forces ďż˝underneathďż˝ it; distinguish true buy-in from fake acquiescence; and guarantee execution using the Rule of Three. -“YES” IS NOTHING WITHOUT “HOW” +ďż˝YESďż˝ IS NOTHING WITHOUT ďż˝HOWďż˝ -About a year after the Dos Palmas crisis, I was teaching at the FBI Academy in Quantico when the Bureau got an urgent call from the State Department: an American had been kidnapped in the Ecuadoran jungle by a Colombia-based rebel group. As the FBI’s lead international hostage negotiator, this was my baby, so I put a team together and set up operation headquarters in Quantico. +About a year after the Dos Palmas crisis, I was teaching at the FBI Academy in Quantico when the Bureau got an urgent call from the State Department: an American had been kidnapped in the Ecuadoran jungle by a Colombia-based rebel group. As the FBIďż˝s lead international hostage negotiator, this was my baby, so I put a team together and set up operation headquarters in Quantico. -For a few years, José and his wife, Julie, had been guiding tour groups through the jungle near the Colombian border. Born in Ecuador, José had become an American citizen and was working as a paramedic in New York City when he and Julie decided to set up an ecotourism business in his native country. José loved the Ecuadoran jungle, and he’d long dreamed of teaching visitors about the monkeys that swung through the trees and the flowers that perfumed the trails. +For a few years, Josďż˝ and his wife, Julie, had been guiding tour groups through the jungle near the Colombian border. Born in Ecuador, Josďż˝ had become an American citizen and was working as a paramedic in New York City when he and Julie decided to set up an ecotourism business in his native country. Josďż˝ loved the Ecuadoran jungle, and heďż˝d long dreamed of teaching visitors about the monkeys that swung through the trees and the flowers that perfumed the trails. -The business grew as ecotourists fell for the pair’s obvious passion, and on August 20, 2003, José and Julie took eleven people on a white-water rafting trip down the Mira River. After a great day on the water, everyone was smiling and soaked as they piled into Jeeps and pickups for the ride to an inn in a nearby village. José told tall tales as he drove the lead truck, Julie to his right with their eleven-month-old baby in her lap. +The business grew as ecotourists fell for the pairďż˝s obvious passion, and on August 20, 2003, Josďż˝ and Julie took eleven people on a white-water rafting trip down the Mira River. After a great day on the water, everyone was smiling and soaked as they piled into Jeeps and pickups for the ride to an inn in a nearby village. Josďż˝ told tall tales as he drove the lead truck, Julie to his right with their eleven-month-old baby in her lap. -They were five minutes from the inn when three men jumped into the road and aimed guns at the truck. A fourth man emerged and held a revolver to Julie’s head as the thugs pulled José from the car and forced him into the truck bed. The kidnappers then ordered the caravan through several small towns to a fork in the road, where they got out and walked José past Julie’s seat in the cab. +They were five minutes from the inn when three men jumped into the road and aimed guns at the truck. A fourth man emerged and held a revolver to Julieďż˝s head as the thugs pulled Josďż˝ from the car and forced him into the truck bed. The kidnappers then ordered the caravan through several small towns to a fork in the road, where they got out and walked Josďż˝ past Julieďż˝s seat in the cab. -“Just remember,” Julie said, “no matter what happens, I love you.” +ďż˝Just remember,ďż˝ Julie said, ďż˝no matter what happens, I love you.ďż˝ -“Don’t worry. I’ll be fine,” José answered. +ďż˝Donďż˝t worry. Iďż˝ll be fine,ďż˝ Josďż˝ answered. And then he and his captors disappeared into the jungle. The captors wanted $5 million. We wanted to buy time. -Ever since the Dos Palmas debacle and the Pittsburgh epiphany, I had been raring to employ the lessons we’d learned about calibrated questions. So when José was kidnapped, I sent my guys down to Ecuador and told them that we had a new strategy. The kidnapping would provide an opportunity to prove this approach. +Ever since the Dos Palmas debacle and the Pittsburgh epiphany, I had been raring to employ the lessons weďż˝d learned about calibrated questions. So when Josďż˝ was kidnapped, I sent my guys down to Ecuador and told them that we had a new strategy. The kidnapping would provide an opportunity to prove this approach. -“All we’re going to say is, ‘Hey, how do we know José is okay? How are we supposed to pay until we know José is okay?’ Again and again,” I told them. +ďż˝All weďż˝re going to say is, ďż˝Hey, how do we know Josďż˝ is okay? How are we supposed to pay until we know Josďż˝ is okay?ďż˝ Again and again,ďż˝ I told them. Although they were queasy about untested techniques, my guys were game. The local cops were livid, though, because they always did proof of life the old-fashioned way (which the FBI had taught them in the first place). Luckily Julie was with us 100 percent because she saw how the calibrated questions would stall for time, and she was convinced that with enough time her husband would find a way to get home. -The day after the kidnapping, the rebels marched José into the mountains along the Colombian border and settled in a cabin high in the jungle. There José built a rapport with the kidnappers to make himself harder for them to kill. He impressed them with his knowledge of the jungle and, with a black belt in karate, he filled the time by teaching them martial arts. +The day after the kidnapping, the rebels marched Josďż˝ into the mountains along the Colombian border and settled in a cabin high in the jungle. There Josďż˝ built a rapport with the kidnappers to make himself harder for them to kill. He impressed them with his knowledge of the jungle and, with a black belt in karate, he filled the time by teaching them martial arts. -My negotiators coached Julie every day as we waited for contact from the rebels. We learned later that the designated negotiator from José’s captors had to walk to town to negotiate by phone. +My negotiators coached Julie every day as we waited for contact from the rebels. We learned later that the designated negotiator from Josďż˝s captors had to walk to town to negotiate by phone. -My guys told Julie to answer every one of the kidnappers’ demands with a question. My strategy was to keep the kidnappers engaged but off balance. +My guys told Julie to answer every one of the kidnappersďż˝ demands with a question. My strategy was to keep the kidnappers engaged but off balance. -“How do I know José is alive?” she asked the first time they talked. +ďż˝How do I know Josďż˝ is alive?ďż˝ she asked the first time they talked. -To their demand for $5 million, she said, “We don’t have that kind of money. How can we raise that much?” +To their demand for $5 million, she said, ďż˝We donďż˝t have that kind of money. How can we raise that much?ďż˝ -“How can we pay you anything until we know José is okay?” Julie asked the next time they talked. +ďż˝How can we pay you anything until we know Josďż˝ is okay?ďż˝ Julie asked the next time they talked. Questions, always questions. @@ -2717,119 +2639,119 @@ The kidnapper who was negotiating with Julie seemed extremely perplexed by her p By constantly asking questions and making minuscule offers, Julie drove the ransom down to $16,500. When they came to that number, the kidnappers demanded she get it to them immediately. -“How can I do that when I have to sell my cars and trucks?” she asked. +ďż˝How can I do that when I have to sell my cars and trucks?ďż˝ she asked. Always buying more time. We were starting to grin because success was within reach; we were really close to a ransom that the family could afford. -And then I got a phone call in the middle of the night from one of my deployed guys in Ecuador, Kevin Rust. Kevin is a terrific negotiator and the same guy who’d called to tell me a year earlier that Martin Burnham had been killed. My stomach tied into a knot when I heard his voice. +And then I got a phone call in the middle of the night from one of my deployed guys in Ecuador, Kevin Rust. Kevin is a terrific negotiator and the same guy whoďż˝d called to tell me a year earlier that Martin Burnham had been killed. My stomach tied into a knot when I heard his voice. -“We just got a call from José,” Kevin said. “He’s still in guerrilla territory but he escaped and he’s on a bus and he’s making his way out.” +ďż˝We just got a call from Josďż˝,ďż˝ Kevin said. ďż˝Heďż˝s still in guerrilla territory but he escaped and heďż˝s on a bus and heďż˝s making his way out.ďż˝ -It took me half a minute to respond, and when I did all I could say was “Holy shit! That’s fantastic news!” +It took me half a minute to respond, and when I did all I could say was ďż˝Holy shit! Thatďż˝s fantastic news!ďż˝ -What had happened, we learned later, was that with all the delays and questions, some of the guerrillas peeled off and didn’t return. Pretty soon there was only one teenager guarding José at night. He saw an opening late one evening when it began to chuck down rain. Pounding on the metal roof, the rain drowned out all other sound as the lone guard slept. Knowing the wet leaves outside would absorb the sound of his footsteps, José climbed through the window, ran down jungle paths to a dirt road, and worked his way to a small town. +What had happened, we learned later, was that with all the delays and questions, some of the guerrillas peeled off and didnďż˝t return. Pretty soon there was only one teenager guarding Josďż˝ at night. He saw an opening late one evening when it began to chuck down rain. Pounding on the metal roof, the rain drowned out all other sound as the lone guard slept. Knowing the wet leaves outside would absorb the sound of his footsteps, Josďż˝ climbed through the window, ran down jungle paths to a dirt road, and worked his way to a small town. -Two days later he was back with Julie and their baby, just a few days before his daughter’s first birthday. +Two days later he was back with Julie and their baby, just a few days before his daughterďż˝s first birthday. Julie was right: with enough time he had found a way home. -Calibrated “How” questions are a surefire way to keep negotiations going. They put the pressure on your counterpart to come up with answers, and to contemplate your problems when making their demands. +Calibrated ďż˝Howďż˝ questions are a surefire way to keep negotiations going. They put the pressure on your counterpart to come up with answers, and to contemplate your problems when making their demands. -With enough of the right “How” questions you can read and shape the negotiating environment in such a way that you’ll eventually get to the answer you want to hear. You just have to have an idea of where you want the conversation to go when you’re devising your questions. +With enough of the right ďż˝Howďż˝ questions you can read and shape the negotiating environment in such a way that youďż˝ll eventually get to the answer you want to hear. You just have to have an idea of where you want the conversation to go when youďż˝re devising your questions. -The trick to “How” questions is that, correctly used, they are gentle and graceful ways to say “No” and guide your counterpart to develop a better solution—your solution. A gentle How/No invites collaboration and leaves your counterpart with a feeling of having been treated with respect. +The trick to ďż˝Howďż˝ questions is that, correctly used, they are gentle and graceful ways to say ďż˝Noďż˝ and guide your counterpart to develop a better solutionďż˝your solution. A gentle How/No invites collaboration and leaves your counterpart with a feeling of having been treated with respect. Look back at what Julie did when the Colombian rebel kidnappers made their first demands. -“How can we raise that much?” she asked. +ďż˝How can we raise that much?ďż˝ she asked. -Notice that she did not use the word “No.” But she still managed to elegantly deny the kidnappers’ $5 million demand. +Notice that she did not use the word ďż˝No.ďż˝ But she still managed to elegantly deny the kidnappersďż˝ $5 million demand. -As Julie did, the first and most common “No” question you’ll use is some version of “How am I supposed to do that?” (for example, “How can we raise that much?”). Your tone of voice is critical as this phrase can be delivered as either an accusation or a request for assistance. So pay attention to your voice. +As Julie did, the first and most common ďż˝Noďż˝ question youďż˝ll use is some version of ďż˝How am I supposed to do that?ďż˝ (for example, ďż˝How can we raise that much?ďż˝). Your tone of voice is critical as this phrase can be delivered as either an accusation or a request for assistance. So pay attention to your voice. -This question tends to have the positive effect of making the other side take a good look at your situation. This positive dynamic is what I refer to as “forced empathy,” and it’s especially effective if leading up to it you’ve already been empathic with your counterpart. This engages the dynamic of reciprocity to lead them to do something for you. Starting with José’s kidnapping, “How am I supposed to do that?” became our primary response to a kidnapper demanding a ransom. And we never had it backfire. +This question tends to have the positive effect of making the other side take a good look at your situation. This positive dynamic is what I refer to as ďż˝forced empathy,ďż˝ and itďż˝s especially effective if leading up to it youďż˝ve already been empathic with your counterpart. This engages the dynamic of reciprocity to lead them to do something for you. Starting with Josďż˝s kidnapping, ďż˝How am I supposed to do that?ďż˝ became our primary response to a kidnapper demanding a ransom. And we never had it backfire. Once I was working with an accounting consultant named Kelly who was owed a pile of money by a corporate client. She kept consulting because she believed she was developing a useful contact, and because the promise of a future payday seemed to justify continuing in good faith. -But at a certain point Kelly was so far behind on her own bills that she was in a bind. She couldn’t continue to work with only a vague idea of when she’d get paid, but she worried that if she pushed too hard she wouldn’t get paid at all. +But at a certain point Kelly was so far behind on her own bills that she was in a bind. She couldnďż˝t continue to work with only a vague idea of when sheďż˝d get paid, but she worried that if she pushed too hard she wouldnďż˝t get paid at all. I told her to wait until the client asked for more work, because if she made a firm payment demand right away she would be vulnerable if they refused. -Luckily for Kelly, the client soon called to ask her for more work. Once he finished his request, she calmly asked a “How” question: +Luckily for Kelly, the client soon called to ask her for more work. Once he finished his request, she calmly asked a ďż˝Howďż˝ question: -“I’d love to help,” she said, “but how am I supposed to do that?” +ďż˝Iďż˝d love to help,ďż˝ she said, ďż˝but how am I supposed to do that?ďż˝ By indicating her willingness to work but asking for help finding a way to do so, she left her deadbeat customer with no choice but to put her needs ahead of everything else. And she got paid. -Besides saying “No,” the other key benefit of asking “How?” is, quite literally, that it forces your counterpart to consider and explain how a deal will be implemented. A deal is nothing without good implementation. Poor implementation is the cancer that eats your profits. +Besides saying ďż˝No,ďż˝ the other key benefit of asking ďż˝How?ďż˝ is, quite literally, that it forces your counterpart to consider and explain how a deal will be implemented. A deal is nothing without good implementation. Poor implementation is the cancer that eats your profits. -By making your counterparts articulate implementation in their own words, your carefully calibrated “How” questions will convince them that the final solution is their idea. And that’s crucial. People always make more effort to implement a solution when they think it’s theirs. That is simply human nature. That’s why negotiation is often called “the art of letting someone else have your way.” +By making your counterparts articulate implementation in their own words, your carefully calibrated ďż˝Howďż˝ questions will convince them that the final solution is their idea. And thatďż˝s crucial. People always make more effort to implement a solution when they think itďż˝s theirs. That is simply human nature. Thatďż˝s why negotiation is often called ďż˝the art of letting someone else have your way.ďż˝ -There are two key questions you can ask to push your counterparts to think they are defining success their way: “How will we know we’re on track?” and “How will we address things if we find we’re off track?” When they answer, you summarize their answers until you get a “That’s right.” Then you’ll know they’ve bought in. +There are two key questions you can ask to push your counterparts to think they are defining success their way: ďż˝How will we know weďż˝re on track?ďż˝ and ďż˝How will we address things if we find weďż˝re off track?ďż˝ When they answer, you summarize their answers until you get a ďż˝Thatďż˝s right.ďż˝ Then youďż˝ll know theyďż˝ve bought in. -On the flip side, be wary of two telling signs that your counterpart doesn’t believe the idea is theirs. As I’ve noted, when they say, “You’re right,” it’s often a good indicator they are not vested in what is being discussed. And when you push for implementation and they say, “I’ll try,” you should get a sinking feeling in your stomach. Because this really means, “I plan to fail.” +On the flip side, be wary of two telling signs that your counterpart doesnďż˝t believe the idea is theirs. As Iďż˝ve noted, when they say, ďż˝Youďż˝re right,ďż˝ itďż˝s often a good indicator they are not vested in what is being discussed. And when you push for implementation and they say, ďż˝Iďż˝ll try,ďż˝ you should get a sinking feeling in your stomach. Because this really means, ďż˝I plan to fail.ďż˝ -When you hear either of these, dive back in with calibrated “How” questions until they define the terms of successful implementation in their own voice. Follow up by summarizing what they have said to get a “That’s right.” +When you hear either of these, dive back in with calibrated ďż˝Howďż˝ questions until they define the terms of successful implementation in their own voice. Follow up by summarizing what they have said to get a ďż˝Thatďż˝s right.ďż˝ -Let the other side feel victory. Let them think it was their idea. Subsume your ego. Remember: “Yes” is nothing without “How.” So keep asking “How?” And succeed. +Let the other side feel victory. Let them think it was their idea. Subsume your ego. Remember: ďż˝Yesďż˝ is nothing without ďż˝How.ďż˝ So keep asking ďż˝How?ďż˝ And succeed. INFLUENCING THOSE BEHIND THE TABLE -A few weeks after José got back to the United States, I drove to his family’s place in upstate New York. +A few weeks after Josďż˝ got back to the United States, I drove to his familyďż˝s place in upstate New York. -I was thrilled when José escaped, but the case left me with one nagging worry: Had my new strategy failed? You see, José had gotten home safely, but not because we’d negotiated his release. I worried that our winning had less to do with our brilliant strategy than with dumb luck. +I was thrilled when Josďż˝ escaped, but the case left me with one nagging worry: Had my new strategy failed? You see, Josďż˝ had gotten home safely, but not because weďż˝d negotiated his release. I worried that our winning had less to do with our brilliant strategy than with dumb luck. -After being greeted warmly by Julie and her parents, José and I grabbed some coffee and sat down. I’d gone there to do what CNU referred to as a hostage survival debriefing. I was after insights into how to better advise people facing potential kidnappings how best to survive, not just physically, but psychologically. I was also burning to find out what had occurred behind the scenes because it seemed as if my new strategy hadn’t worked. +After being greeted warmly by Julie and her parents, Josďż˝ and I grabbed some coffee and sat down. Iďż˝d gone there to do what CNU referred to as a hostage survival debriefing. I was after insights into how to better advise people facing potential kidnappings how best to survive, not just physically, but psychologically. I was also burning to find out what had occurred behind the scenes because it seemed as if my new strategy hadnďż˝t worked. Finally the conversation came around to our use of calibrated questions. -“You know what?” he said. “The craziest thing was that their negotiator was supposed to stay in town and negotiate the deal but because Julie kept asking him questions he didn’t really know for sure how to answer, he kept coming out to the jungle. They all would get together and have a huge discussion about how to respond. They even thought about taking me into town and putting me on the phone because Julie was so persistent with asking how did she know if I was okay.” +ďż˝You know what?ďż˝ he said. ďż˝The craziest thing was that their negotiator was supposed to stay in town and negotiate the deal but because Julie kept asking him questions he didnďż˝t really know for sure how to answer, he kept coming out to the jungle. They all would get together and have a huge discussion about how to respond. They even thought about taking me into town and putting me on the phone because Julie was so persistent with asking how did she know if I was okay.ďż˝ -Right then I knew we had the right tool. It was exactly the opposite of the Burnham case, where our negotiator cut the deal with one of the guys and then the rest of them took the $300,000 and said, “No, we’re not doing that.” Causing the other side to work that hard and forcing that much internal coordination in service of our own goals was unprecedented. +Right then I knew we had the right tool. It was exactly the opposite of the Burnham case, where our negotiator cut the deal with one of the guys and then the rest of them took the $300,000 and said, ďż˝No, weďż˝re not doing that.ďż˝ Causing the other side to work that hard and forcing that much internal coordination in service of our own goals was unprecedented. -Our negotiating strategy in Ecuador worked not just because the questions contributed to the environment that let José escape, but because they made sure the kidnappers—our counterparts—were all on the same page. +Our negotiating strategy in Ecuador worked not just because the questions contributed to the environment that let Josďż˝ escape, but because they made sure the kidnappersďż˝our counterpartsďż˝were all on the same page. -Yes, few hostage-takers—and few business deal makers—fly solo. But for the most part, there are almost always other players, people who can act as deal makers or deal killers. If you truly want to get to “Yes” and get your deal implemented, you have to discover how to affect these individuals. +Yes, few hostage-takersďż˝and few business deal makersďż˝fly solo. But for the most part, there are almost always other players, people who can act as deal makers or deal killers. If you truly want to get to ďż˝Yesďż˝ and get your deal implemented, you have to discover how to affect these individuals. -When implementation happens by committee, the support of that committee is key. You always have to identify and unearth their motivations, even if you haven’t yet identified each individual on that committee. That can be easy as asking a few calibrated questions, like “How does this affect the rest of your team?” or “How on board are the people not on this call?” or simply “What do your colleagues see as their main challenges in this area?” +When implementation happens by committee, the support of that committee is key. You always have to identify and unearth their motivations, even if you havenďż˝t yet identified each individual on that committee. That can be easy as asking a few calibrated questions, like ďż˝How does this affect the rest of your team?ďż˝ or ďż˝How on board are the people not on this call?ďż˝ or simply ďż˝What do your colleagues see as their main challenges in this area?ďż˝ -The larger concept I’m explaining here is that in any negotiation you have to analyze the entire negotiation space. +The larger concept Iďż˝m explaining here is that in any negotiation you have to analyze the entire negotiation space. -When other people will be affected by what is negotiated and can assert their rights or power later on, it’s just stupid to consider only the interests of those at the negotiation table. You have to beware of “behind the table” or “Level II” players—that is, parties that are not directly involved but who can help implement agreements they like and block ones they don’t. You can’t disregard them even when you’re talking to a CEO. There could always be someone whispering into his ear. At the end of the day, the deal killers often are more important than the deal makers. +When other people will be affected by what is negotiated and can assert their rights or power later on, itďż˝s just stupid to consider only the interests of those at the negotiation table. You have to beware of ďż˝behind the tableďż˝ or ďż˝Level IIďż˝ playersďż˝that is, parties that are not directly involved but who can help implement agreements they like and block ones they donďż˝t. You canďż˝t disregard them even when youďż˝re talking to a CEO. There could always be someone whispering into his ear. At the end of the day, the deal killers often are more important than the deal makers. -Think back to the prison siege: it was almost ruined because one bit player on our side was not totally on board. That’s what our use of calibrated questions in Ecuador avoided, and that’s why José’s case was a home run. +Think back to the prison siege: it was almost ruined because one bit player on our side was not totally on board. Thatďż˝s what our use of calibrated questions in Ecuador avoided, and thatďż˝s why Josďż˝s case was a home run. It only takes one bit player to screw up a deal. -A few years into private practice I’d lost sight of the importance of assessing and influencing the hidden negotiation that happens “behind the table,” and I paid a substantial price. +A few years into private practice Iďż˝d lost sight of the importance of assessing and influencing the hidden negotiation that happens ďż˝behind the table,ďż˝ and I paid a substantial price. -We were closing a deal with a big company in Florida that wanted negotiation training for one of its divisions. We’d been on the phone a bunch of times with the CEO and the head of HR, and they were both 100 percent gung ho on our offering. We were elated—we had what we thought was total buy-in from the top decision makers for an incredibly lucrative deal. +We were closing a deal with a big company in Florida that wanted negotiation training for one of its divisions. Weďż˝d been on the phone a bunch of times with the CEO and the head of HR, and they were both 100 percent gung ho on our offering. We were elatedďż˝we had what we thought was total buy-in from the top decision makers for an incredibly lucrative deal. And then, as we were figuring out the small print, the deal fell off the table. -It turns out that the head of the division that needed the training killed the deal. Maybe this guy felt threatened, slighted, or otherwise somehow personally injured by the notion that he and his people “needed” any training at all. (A surprisingly high percentage of negotiations hinge on something outside dollars and cents, often having more to do with self-esteem, status, and other nonfinancial needs.) We’ll never know now. +It turns out that the head of the division that needed the training killed the deal. Maybe this guy felt threatened, slighted, or otherwise somehow personally injured by the notion that he and his people ďż˝neededďż˝ any training at all. (A surprisingly high percentage of negotiations hinge on something outside dollars and cents, often having more to do with self-esteem, status, and other nonfinancial needs.) Weďż˝ll never know now. -The point is, we didn’t care until too late because we convinced ourselves that we were on the phone with the only decision makers that mattered. +The point is, we didnďż˝t care until too late because we convinced ourselves that we were on the phone with the only decision makers that mattered. -We could have avoided all that had we asked a few calibrated questions, like: How does this affect everybody else? How on board is the rest of your team? How do we make sure that we deliver the right material to the right people? How do we ensure the managers of those we’re training are fully on board? +We could have avoided all that had we asked a few calibrated questions, like: How does this affect everybody else? How on board is the rest of your team? How do we make sure that we deliver the right material to the right people? How do we ensure the managers of those weďż˝re training are fully on board? If we had asked questions like that, the CEO and HR head would have checked with this guy, maybe even brought him into the conversation. And saved us all a lot of pain. SPOTTING LIARS, DEALING WITH JERKS, AND CHARMING EVERYONE ELSE -As a negotiator, you’re going to run into guys who lie to your face and try to scare you into agreement. Aggressive jerks and serial fabricators come with the territory, and dealing with them is something you have to do. +As a negotiator, youďż˝re going to run into guys who lie to your face and try to scare you into agreement. Aggressive jerks and serial fabricators come with the territory, and dealing with them is something you have to do. -But learning how to handle aggression and identify falsehood is just part of a larger issue: that is, learning how to spot and interpret the subtleties of communication—both verbal and nonverbal—that reveal the mental states of your counterparts. +But learning how to handle aggression and identify falsehood is just part of a larger issue: that is, learning how to spot and interpret the subtleties of communicationďż˝both verbal and nonverbalďż˝that reveal the mental states of your counterparts. -Truly effective negotiators are conscious of the verbal, paraverbal (how it’s said), and nonverbal communications that pervade negotiations and group dynamics. And they know how to employ those subtleties to their benefit. Even changing a single word when you present options—like using “not lose” instead of “keep”—can unconsciously influence the conscious choices your counterpart makes. +Truly effective negotiators are conscious of the verbal, paraverbal (how itďż˝s said), and nonverbal communications that pervade negotiations and group dynamics. And they know how to employ those subtleties to their benefit. Even changing a single word when you present optionsďż˝like using ďż˝not loseďż˝ instead of ďż˝keep��can unconsciously influence the conscious choices your counterpart makes. -Here I want to talk about the tools you need to ID liars, disarm jerks, and charm everybody else. Of course, the open-ended “How” question is one of them—maybe the most important one—but there are many more. +Here I want to talk about the tools you need to ID liars, disarm jerks, and charm everybody else. Of course, the open-ended ďż˝Howďż˝ question is one of themďż˝maybe the most important oneďż˝but there are many more. -Alastair Onglingswan was living in the Philippines when, one evening in 2004, he hailed a taxi and settled in for a long ride home from Manila’s Greenhills shopping center. +Alastair Onglingswan was living in the Philippines when, one evening in 2004, he hailed a taxi and settled in for a long ride home from Manilaďż˝s Greenhills shopping center. He dozed off. @@ -2837,241 +2759,241 @@ And he woke up in chains. Unfortunately for Alastair, the cabbie had a second business as a kidnapper. He kept a bottle of ether in his front seat, and when a target fell asleep he would drug him, imprison him, and ask for ransom. -Within hours, the kidnapper used Alastair’s phone to contact his girlfriend in New York. He demanded a daily payment to “take care” of Alastair while he researched the family’s wealth. +Within hours, the kidnapper used Alastairďż˝s phone to contact his girlfriend in New York. He demanded a daily payment to ďż˝take careďż˝ of Alastair while he researched the familyďż˝s wealth. -“It’s okay if you don’t pay,” he said. “I can always sell his organs in Saudi Arabia.” +ďż˝Itďż˝s okay if you donďż˝t pay,ďż˝ he said. ďż˝I can always sell his organs in Saudi Arabia.ďż˝ -Within twenty-four hours, I’d been charged with heading the negotiation from Quantico. Alastair’s girlfriend was too nervous to handle the family side of the negotiation, and his mother, who lived in the Philippines, just wanted to accept any demand the kidnapper made. +Within twenty-four hours, Iďż˝d been charged with heading the negotiation from Quantico. Alastairďż˝s girlfriend was too nervous to handle the family side of the negotiation, and his mother, who lived in the Philippines, just wanted to accept any demand the kidnapper made. -But Alastair’s brother Aaron, in Manila, was different: he just got the idea of negotiation and he accepted that Alastair might die, which would make him a better and more effective negotiator. Aaron and I set up an always-on phone line and I became Aaron’s guru on the other side of the world. +But Alastairďż˝s brother Aaron, in Manila, was different: he just got the idea of negotiation and he accepted that Alastair might die, which would make him a better and more effective negotiator. Aaron and I set up an always-on phone line and I became Aaronďż˝s guru on the other side of the world. -Through the kidnapper’s comments and demands, I saw that he was experienced and patient. As a token of his intentions, he offered to cut off one of Alastair’s ears and send it to the family along with a video of him severing the ear. +Through the kidnapperďż˝s comments and demands, I saw that he was experienced and patient. As a token of his intentions, he offered to cut off one of Alastairďż˝s ears and send it to the family along with a video of him severing the ear. -The demand for the daily payment was clearly a trick to quickly drain the family of as much money as possible while at the same time gauging their wealth. We had to figure out who this guy was—Was he a lone operator or part of a group? Did he plan on killing Alastair or not?—and we had to do that before the family went broke. To get there, we were going to have to engage the kidnapper in a protracted negotiation. We were going to have to slow everything down. +The demand for the daily payment was clearly a trick to quickly drain the family of as much money as possible while at the same time gauging their wealth. We had to figure out who this guy wasďż˝Was he a lone operator or part of a group? Did he plan on killing Alastair or not?ďż˝and we had to do that before the family went broke. To get there, we were going to have to engage the kidnapper in a protracted negotiation. We were going to have to slow everything down. -From Quantico, I loaded Aaron up with calibrated questions. I instructed him to keep peppering the violent jerk with “How?” How am I supposed to . . . ? How do we know . . . ? How can we . . . ? There is great power in treating jerks with deference. It gives you the ability to be extremely assertive—to say “No”—in a hidden fashion. +From Quantico, I loaded Aaron up with calibrated questions. I instructed him to keep peppering the violent jerk with ďż˝How?ďż˝ How am I supposed to . . . ? How do we know . . . ? How can we . . . ? There is great power in treating jerks with deference. It gives you the ability to be extremely assertiveďż˝to say ďż˝No��in a hidden fashion. -“How do we know if we pay you that you won’t hurt Alastair?” Aaron asked. +ďż˝How do we know if we pay you that you wonďż˝t hurt Alastair?ďż˝ Aaron asked. -In the Chinese martial art of tai chi, the goal is to use your opponent’s aggressiveness against him—to turn his offense into your way to defeat him. That’s the approach we took with Alastair’s kidnapper: we wanted to absorb his threats and wear him down. We made sure that even scheduling a call with us was complex. We delayed making email responses. +In the Chinese martial art of tai chi, the goal is to use your opponentďż˝s aggressiveness against himďż˝to turn his offense into your way to defeat him. Thatďż˝s the approach we took with Alastairďż˝s kidnapper: we wanted to absorb his threats and wear him down. We made sure that even scheduling a call with us was complex. We delayed making email responses. -Through all these tactics, we gained the upper hand while giving the kidnapper the illusion of control. He thought he was solving Aaron’s problems while we were just reading him and wasting his time. You see, it’s best not to go chin to chin with aggressiveness like that of Alastair’s kidnapper; rather, default to using “what” and “how” questions to avoid making bids or adjusting your own negotiating position. Dodge and weave. +Through all these tactics, we gained the upper hand while giving the kidnapper the illusion of control. He thought he was solving Aaronďż˝s problems while we were just reading him and wasting his time. You see, itďż˝s best not to go chin to chin with aggressiveness like that of Alastairďż˝s kidnapper; rather, default to using ďż˝whatďż˝ and ďż˝howďż˝ questions to avoid making bids or adjusting your own negotiating position. Dodge and weave. -Finally, following days of back-and-forth bargaining on the daily rate, Aaron got the kidnapper down to a token amount and agreed to deposit a portion of the funds in his bank account. After that partial payment was made, Aaron came up with the perfect way to nonconfrontationally confront the cabbie with a calibrated “When/What” question. +Finally, following days of back-and-forth bargaining on the daily rate, Aaron got the kidnapper down to a token amount and agreed to deposit a portion of the funds in his bank account. After that partial payment was made, Aaron came up with the perfect way to nonconfrontationally confront the cabbie with a calibrated ďż˝When/Whatďż˝ question. -“When we run out of money, what will happen?” Aaron asked. +ďż˝When we run out of money, what will happen?ďż˝ Aaron asked. The kidnapper paused. -“It will be all right,” he finally responded. +ďż˝It will be all right,ďż˝ he finally responded. Yes! -Without realizing what he had just agreed to, our killer had just promised us he wouldn’t hurt Alastair. A repetitive series of “What” and “How” questions can help you overcome the aggressive tactics of a manipulative adversary. +Without realizing what he had just agreed to, our killer had just promised us he wouldnďż˝t hurt Alastair. A repetitive series of ďż˝Whatďż˝ and ďż˝Howďż˝ questions can help you overcome the aggressive tactics of a manipulative adversary. -As you can see in that last exchange, the kidnapper’s protracted chats with Aaron had turned Aaron almost into a friend. Over time the kidnapper had become unguarded about spending time on the phone with his “friend.” Finally, the Philippine National Police investigators tracked the phone to a house and raided it. The kidnapper and Alastair were not there, but the kidnapper’s wife was. She told the police about another house they owned. The police quickly raided the other house, freed Alastair, and arrested the kidnapper. +As you can see in that last exchange, the kidnapperďż˝s protracted chats with Aaron had turned Aaron almost into a friend. Over time the kidnapper had become unguarded about spending time on the phone with his ďż˝friend.ďż˝ Finally, the Philippine National Police investigators tracked the phone to a house and raided it. The kidnapper and Alastair were not there, but the kidnapperďż˝s wife was. She told the police about another house they owned. The police quickly raided the other house, freed Alastair, and arrested the kidnapper. There are plenty of other tactics, tools, and methods for using subtle verbal and nonverbal forms of communication to understand and modify the mental states of your counterpart. As I run through some of them here, I want you to take a moment to internalize each one. These are the kind of tools that can help observant negotiators hit home runs. THE 7-38-55 PERCENT RULE -In two famous studies on what makes us like or dislike somebody,1 UCLA psychology professor Albert Mehrabian created the 7-38-55 rule. That is, only 7 percent of a message is based on the words while 38 percent comes from the tone of voice and 55 percent from the speaker’s body language and face. +In two famous studies on what makes us like or dislike somebody,1 UCLA psychology professor Albert Mehrabian created the 7-38-55 rule. That is, only 7 percent of a message is based on the words while 38 percent comes from the tone of voice and 55 percent from the speakerďż˝s body language and face. -While these figures mainly relate to situations where we are forming an attitude about somebody, the rule nonetheless offers a useful ratio for negotiators. You see, body language and tone of voice—not words—are our most powerful assessment tools. That’s why I’ll often fly great distances to meet someone face-to-face, even when I can say much of what needs to be said over the phone. +While these figures mainly relate to situations where we are forming an attitude about somebody, the rule nonetheless offers a useful ratio for negotiators. You see, body language and tone of voiceďż˝not wordsďż˝are our most powerful assessment tools. Thatďż˝s why Iďż˝ll often fly great distances to meet someone face-to-face, even when I can say much of what needs to be said over the phone. -So how do you use this rule? First, pay very close attention to tone and body language to make sure they match up with the literal meaning of the words. If they don’t align, it’s quite possible that the speaker is lying or at least unconvinced. +So how do you use this rule? First, pay very close attention to tone and body language to make sure they match up with the literal meaning of the words. If they donďż˝t align, itďż˝s quite possible that the speaker is lying or at least unconvinced. -When someone’s tone of voice or body language does not align with the meaning of the words they say, use labels to discover the source of the incongruence. +When someoneďż˝s tone of voice or body language does not align with the meaning of the words they say, use labels to discover the source of the incongruence. -Here’s an example: +Hereďż˝s an example: -You: “So we’re agreed?” +You: ďż˝So weďż˝re agreed?ďż˝ -Them: “Yes . . .” +Them: ďż˝Yes . . .ďż˝ -You: “I heard you say, ‘Yes,’ but it seemed like there was hesitation in your voice.” +You: ďż˝I heard you say, ďż˝Yes,ďż˝ but it seemed like there was hesitation in your voice.ďż˝ -Them: “Oh, it’s nothing really.” +Them: ďż˝Oh, itďż˝s nothing really.ďż˝ -You: “No, this is important, let’s make sure we get this right.” +You: ďż˝No, this is important, letďż˝s make sure we get this right.ďż˝ -Them: “Thanks, I appreciate it.” +Them: ďż˝Thanks, I appreciate it.ďż˝ This is the way to make sure your agreement gets implemented with no surprises. And your counterpart will be grateful. Your act of recognizing the incongruence and gently dealing with it through a label will make them feel respected. Consequently, your relationship of trust will be improved. THE RULE OF THREE -I’m positive that sometime in your life you’ve been involved in a negotiation where you got a “Yes” that later turned out to be a “No.” Maybe the other party was lying to you, or maybe they were just engaged in wishful thinking. Either way, this is not an uncommon experience. +Iďż˝m positive that sometime in your life youďż˝ve been involved in a negotiation where you got a ďż˝Yesďż˝ that later turned out to be a ďż˝No.ďż˝ Maybe the other party was lying to you, or maybe they were just engaged in wishful thinking. Either way, this is not an uncommon experience. -This happens because there are actually three kinds of “Yes”: Commitment, Confirmation, and Counterfeit. +This happens because there are actually three kinds of ďż˝Yesďż˝: Commitment, Confirmation, and Counterfeit. -As we discussed in Chapter 5, so many pushy salesman try to trap their clients into the Commitment “Yes” that many people get very good at the Counterfeit “Yes. “ +As we discussed in Chapter 5, so many pushy salesman try to trap their clients into the Commitment ďż˝Yesďż˝ that many people get very good at the Counterfeit ďż˝Yes. ďż˝ One great tool for avoiding this trap is the Rule of Three. -The Rule of Three is simply getting the other guy to agree to the same thing three times in the same conversation. It’s tripling the strength of whatever dynamic you’re trying to drill into at the moment. In doing so, it uncovers problems before they happen. It’s really hard to repeatedly lie or fake conviction. +The Rule of Three is simply getting the other guy to agree to the same thing three times in the same conversation. Itďż˝s tripling the strength of whatever dynamic youďż˝re trying to drill into at the moment. In doing so, it uncovers problems before they happen. Itďż˝s really hard to repeatedly lie or fake conviction. When I first learned this skill, my biggest fear was how to avoid sounding like a broken record or coming off as really pushy. The answer, I learned, is to vary your tactics. -The first time they agree to something or give you a commitment, that’s No. 1. For No. 2 you might label or summarize what they said so they answer, “That’s right.” And No. 3 could be a calibrated “How” or “What” question about implementation that asks them to explain what will constitute success, something like “What do we do if we get off track?” +The first time they agree to something or give you a commitment, thatďż˝s No. 1. For No. 2 you might label or summarize what they said so they answer, ďż˝Thatďż˝s right.ďż˝ And No. 3 could be a calibrated ďż˝Howďż˝ or ďż˝Whatďż˝ question about implementation that asks them to explain what will constitute success, something like ďż˝What do we do if we get off track?ďż˝ -Or the three times might just be the same calibrated question phrased three different ways, like “What’s the biggest challenge you faced? What are we up against here? What do you see as being the most difficult thing to get around?” +Or the three times might just be the same calibrated question phrased three different ways, like ďż˝Whatďż˝s the biggest challenge you faced? What are we up against here? What do you see as being the most difficult thing to get around?ďż˝ -Either way, going at the same issue three times uncovers falsehoods as well as the incongruences between words and body language we mentioned in the last section. So next time you’re not sure your counterpart is truthful and committed, try it. +Either way, going at the same issue three times uncovers falsehoods as well as the incongruences between words and body language we mentioned in the last section. So next time youďż˝re not sure your counterpart is truthful and committed, try it. THE PINOCCHIO EFFECT -With Carlo Collodi’s famous character Pinocchio, it was easy to tell when he was lying: you just had to watch the nose. +With Carlo Collodiďż˝s famous character Pinocchio, it was easy to tell when he was lying: you just had to watch the nose. -It turns out that Collodi wasn’t far off reality. Most people offer obvious telltale signs when they’re lying. Not a growing nose, but close enough. +It turns out that Collodi wasnďż˝t far off reality. Most people offer obvious telltale signs when theyďż˝re lying. Not a growing nose, but close enough. In a study of the components of lying,2 Harvard Business School professor Deepak Malhotra and his coauthors found that, on average, liars use more words than truth tellers and use far more third-person pronouns. They start talking about him, her, it, one, they, and their rather than I, in order to put some distance between themselves and the lie. -And they discovered that liars tend to speak in more complex sentences in an attempt to win over their suspicious counterparts. It’s what W. C. Fields meant when he talked about baffling someone with bullshit. The researchers dubbed this the Pinocchio Effect because, just like Pinocchio’s nose, the number of words grew along with the lie. People who are lying are, understandably, more worried about being believed, so they work harder—too hard, as it were—at being believable. +And they discovered that liars tend to speak in more complex sentences in an attempt to win over their suspicious counterparts. Itďż˝s what W. C. Fields meant when he talked about baffling someone with bullshit. The researchers dubbed this the Pinocchio Effect because, just like Pinocchioďż˝s nose, the number of words grew along with the lie. People who are lying are, understandably, more worried about being believed, so they work harderďż˝too hard, as it wereďż˝at being believable. PAY ATTENTION TO THEIR USAGE OF PRONOUNS -The use of pronouns by a counterpart can also help give you a feel for their actual importance in the decision and implementation chains on the other side of the table. The more in love they are with “I,” “me,” and “my” the less important they are. +The use of pronouns by a counterpart can also help give you a feel for their actual importance in the decision and implementation chains on the other side of the table. The more in love they are with ďż˝I,ďż˝ ďż˝me,ďż˝ and ďż˝myďż˝ the less important they are. -Conversely, the harder it is to get a first person pronoun out of a negotiator’s mouth, the more important they are. Just like in the Malhotra study where the liar is distancing himself from the lie, in a negotiation, smart decision makers don’t want to be cornered at the table into making a decision. They will defer to the people away from the table to keep from getting pinned down. +Conversely, the harder it is to get a first person pronoun out of a negotiatorďż˝s mouth, the more important they are. Just like in the Malhotra study where the liar is distancing himself from the lie, in a negotiation, smart decision makers donďż˝t want to be cornered at the table into making a decision. They will defer to the people away from the table to keep from getting pinned down. -Our cabdriver kidnapper in the Philippines of Alastair Onglingswan used “we,” “they,” and “them” so rigorously early on in the kidnapping I was convinced we were engaged with their leader. I just never knew how literally true it was until the rescue. In the Chase Manhattan Bank robbery from Chapter 2, the bank robber Chris Watts consistently talked out how dangerous the “others” were and how little influence he had on them, all a lie. +Our cabdriver kidnapper in the Philippines of Alastair Onglingswan used ďż˝we,ďż˝ ďż˝they,ďż˝ and ďż˝themďż˝ so rigorously early on in the kidnapping I was convinced we were engaged with their leader. I just never knew how literally true it was until the rescue. In the Chase Manhattan Bank robbery from Chapter 2, the bank robber Chris Watts consistently talked out how dangerous the ďż˝othersďż˝ were and how little influence he had on them, all a lie. THE CHRIS DISCOUNT -People always talk about remembering and using (but not overusing) your counterpart’s name in a negotiation. And that’s important. The reality though is people are often tired of being hammered with their own name. The slick salesman trying to drive them to “Yes” will hit them with it over and over. +People always talk about remembering and using (but not overusing) your counterpartďż˝s name in a negotiation. And thatďż˝s important. The reality though is people are often tired of being hammered with their own name. The slick salesman trying to drive them to ďż˝Yesďż˝ will hit them with it over and over. -Instead, take a different tack and use your own name. That’s how I get the Chris discount. +Instead, take a different tack and use your own name. Thatďż˝s how I get the Chris discount. -Just as using Alastair’s name with the kidnapper and getting him to use it back humanized the hostage and made it less likely he would be harmed, using your own name creates the dynamic of “forced empathy.” It makes the other side see you as a person. +Just as using Alastairďż˝s name with the kidnapper and getting him to use it back humanized the hostage and made it less likely he would be harmed, using your own name creates the dynamic of ďż˝forced empathy.ďż˝ It makes the other side see you as a person. -A few years ago I was in a bar in Kansas with a bunch of fellow FBI negotiators. The bar was packed, but I saw one empty chair. I moved toward it but just as I got ready to sit the guy next to it said, “Don’t even think about it.” +A few years ago I was in a bar in Kansas with a bunch of fellow FBI negotiators. The bar was packed, but I saw one empty chair. I moved toward it but just as I got ready to sit the guy next to it said, ďż˝Donďż˝t even think about it.ďż˝ -“Why?” I asked, and he said, “Because I’ll kick your ass.” +ďż˝Why?ďż˝ I asked, and he said, ďż˝Because Iďż˝ll kick your ass.ďż˝ -He was big, burly, and already drunk, but look, I’m a lifelong hostage negotiator—I gravitate toward tense situations that need mediation like a moth to the flame. +He was big, burly, and already drunk, but look, Iďż˝m a lifelong hostage negotiatorďż˝I gravitate toward tense situations that need mediation like a moth to the flame. -I held out my hand to shake his and said, “My name is Chris.” +I held out my hand to shake his and said, ďż˝My name is Chris.ďż˝ -The dude froze, and in the pause my fellow FBI guys moved in, patted him on the shoulders, and offered to buy him a drink. Turned out he was a Vietnam veteran at a particularly low point. He was in a packed bar where the entire world seemed to be celebrating. The only thing he could think of was to fight. But as soon as I became “Chris,” everything changed. +The dude froze, and in the pause my fellow FBI guys moved in, patted him on the shoulders, and offered to buy him a drink. Turned out he was a Vietnam veteran at a particularly low point. He was in a packed bar where the entire world seemed to be celebrating. The only thing he could think of was to fight. But as soon as I became ďż˝Chris,ďż˝ everything changed. Now take that mindset to a financial negotiation. I was in an outlet mall a few months after the Kansas experience and I picked out some shirts in one of the stores. At the front counter the young lady asked me if I wanted to join their frequent buyer program. -I asked her if I got a discount for joining and she said, “No.” +I asked her if I got a discount for joining and she said, ďż˝No.ďż˝ -So I decided to try another angle. I said in a friendly manner, “My name is Chris. What’s the Chris discount?” +So I decided to try another angle. I said in a friendly manner, ďż˝My name is Chris. Whatďż˝s the Chris discount?ďż˝ She looked from the register, met my eyes, and gave a little laugh. -“I’ll have to ask my manager, Kathy,” she said and turned to the woman who’d been standing next to her. +ďż˝Iďż˝ll have to ask my manager, Kathy,ďż˝ she said and turned to the woman whoďż˝d been standing next to her. -Kathy, who’d heard the whole exchange, said, “The best I can do is ten percent.” +Kathy, whoďż˝d heard the whole exchange, said, ďż˝The best I can do is ten percent.ďż˝ Humanize yourself. Use your name to introduce yourself. Say it in a fun, friendly way. Let them enjoy the interaction, too. And get your own special price. HOW TO GET YOUR COUNTERPARTS TO BID AGAINST THEMSELVES -Like you saw Aaron and Julie do with their kidnappers, the best way to get your counterparts to lower their demands is to say “No” using “How” questions. These indirect ways of saying “No” won’t shut down your counterpart the way a blunt, pride-piercing “No” would. In fact, these responses will sound so much like counterbids that your counterparts will often keep bidding against themselves. +Like you saw Aaron and Julie do with their kidnappers, the best way to get your counterparts to lower their demands is to say ďż˝Noďż˝ using ďż˝Howďż˝ questions. These indirect ways of saying ďż˝Noďż˝ wonďż˝t shut down your counterpart the way a blunt, pride-piercing ďż˝Noďż˝ would. In fact, these responses will sound so much like counterbids that your counterparts will often keep bidding against themselves. -We’ve found that you can usually express “No” four times before actually saying the word. +Weďż˝ve found that you can usually express ďż˝Noďż˝ four times before actually saying the word. -The first step in the “No” series is the old standby: +The first step in the ďż˝Noďż˝ series is the old standby: -“How am I supposed to do that?” +ďż˝How am I supposed to do that?ďż˝ You have to deliver it in a deferential way, so it becomes a request for help. Properly delivered, it invites the other side to participate in your dilemma and solve it with a better offer. -After that, some version of “Your offer is very generous, I’m sorry, that just doesn’t work for me” is an elegant second way to say “No.” +After that, some version of ďż˝Your offer is very generous, Iďż˝m sorry, that just doesnďż˝t work for meďż˝ is an elegant second way to say ďż˝No.ďż˝ -This well-tested response avoids making a counteroffer, and the use of “generous” nurtures your counterpart to live up to the word. The “I’m sorry” also softens the “No” and builds empathy. (You can ignore the so-called negotiating experts who say apologies are always signs of weakness.) +This well-tested response avoids making a counteroffer, and the use of ďż˝generousďż˝ nurtures your counterpart to live up to the word. The ďż˝Iďż˝m sorryďż˝ also softens the ďż˝Noďż˝ and builds empathy. (You can ignore the so-called negotiating experts who say apologies are always signs of weakness.) -Then you can use something like “I’m sorry but I’m afraid I just can’t do that.” It’s a little more direct, and the “can’t do that” does great double duty. By expressing an inability to perform, it can trigger the other side’s empathy toward you. +Then you can use something like ďż˝Iďż˝m sorry but Iďż˝m afraid I just canďż˝t do that.ďż˝ Itďż˝s a little more direct, and the ďż˝canďż˝t do thatďż˝ does great double duty. By expressing an inability to perform, it can trigger the other sideďż˝s empathy toward you. -“I’m sorry, no” is a slightly more succinct version for the fourth “No.” If delivered gently, it barely sounds negative at all. +ďż˝Iďż˝m sorry, noďż˝ is a slightly more succinct version for the fourth ďż˝No.ďż˝ If delivered gently, it barely sounds negative at all. -If you have to go further, of course, “No” is the last and most direct way. Verbally, it should be delivered with a downward inflection and a tone of regard; it’s not meant to be “NO!” +If you have to go further, of course, ďż˝Noďż˝ is the last and most direct way. Verbally, it should be delivered with a downward inflection and a tone of regard; itďż˝s not meant to be ďż˝NO!ďż˝ -One of my students, a guy named Jesus Bueno, wrote me not long ago to tell me an amazing story about how he’d used the multi-step “No” to help his brother Joaquin out of a sticky business situation. +One of my students, a guy named Jesus Bueno, wrote me not long ago to tell me an amazing story about how heďż˝d used the multi-step ďż˝Noďż˝ to help his brother Joaquin out of a sticky business situation. -His brother and two friends had bought a cannabis grow shop franchise in northern Spain, where the cultivation of marijuana for personal use is legal. Joaquin and his partner, Bruno, each invested 20,000 euros in the business for a 46 percent stake (a minority partner invested another €3,500 for 8 percent). +His brother and two friends had bought a cannabis grow shop franchise in northern Spain, where the cultivation of marijuana for personal use is legal. Joaquin and his partner, Bruno, each invested 20,000 euros in the business for a 46 percent stake (a minority partner invested another ďż˝3,500 for 8 percent). From the beginning, Joaquin and Bruno had a rocky relationship. Joaquin is an excellent salesman, while Bruno was more of a bookkeeper. The minority partner was also an excellent salesman, and he and Joaquin believed that growing sales was the correct strategy. That meant offering discounts for large orders and repeat customers, which Bruno disagreed with. Their planned spending on launching a website and expanding inventory also rubbed Bruno the wrong way. -Then Bruno’s wife became a problem as she started nagging Joaquin about how he should not spend so much on expansion and instead take more profits. One day, Joaquin was reviewing inventory purchases and noticed that some items they had ordered had not been placed on the store’s shelves. He began searching for them online and to his surprise he found an eBay store set up with the wife’s first name that was selling exactly those missing products. +Then Brunoďż˝s wife became a problem as she started nagging Joaquin about how he should not spend so much on expansion and instead take more profits. One day, Joaquin was reviewing inventory purchases and noticed that some items they had ordered had not been placed on the storeďż˝s shelves. He began searching for them online and to his surprise he found an eBay store set up with the wifeďż˝s first name that was selling exactly those missing products. This started a huge argument between Bruno and Joaquin, and soured their relationship. In the heat of the moment, Bruno told Joaquin that he was open to selling his shares because he felt the business risks they were taking were too large. So Joaquin consulted with his brother: my student Jesus. -Because they believed that pressure from Bruno’s wife was why he wanted to sell, Jesus helped Joaquin craft an empathy message around that: “It seems like you are under a lot of pressure from your wife.” Joaquin was also in the middle of a divorce, so they decided to use that to relate to the wife issues, and they prepared an accusation audit—“I know you think I don’t care about costs and taking profits from the company”—in order to diffuse the negative energy and get Bruno talking. +Because they believed that pressure from Brunoďż˝s wife was why he wanted to sell, Jesus helped Joaquin craft an empathy message around that: ďż˝It seems like you are under a lot of pressure from your wife.ďż˝ Joaquin was also in the middle of a divorce, so they decided to use that to relate to the wife issues, and they prepared an accusation audit��I know you think I donďż˝t care about costs and taking profits from the company��in order to diffuse the negative energy and get Bruno talking. -It worked like a charm. Bruno immediately agreed with the accusation audit and began explaining why he thought Joaquin was careless with spending. Bruno also noted that he didn’t have someone to bail him out like Joaquin did (Joaquin got a start-up loan from his mother). Joaquin used mirrors to keep Bruno talking, and he did. +It worked like a charm. Bruno immediately agreed with the accusation audit and began explaining why he thought Joaquin was careless with spending. Bruno also noted that he didnďż˝t have someone to bail him out like Joaquin did (Joaquin got a start-up loan from his mother). Joaquin used mirrors to keep Bruno talking, and he did. -Finally, Joaquin said, “I know how the pressure from your wife can feel, I’m going through a divorce myself and it really takes a lot out of you.” Bruno then went on a ten-minute rant about his wife and let slip a huge piece of information: the wife was very upset because the bank that lent them the €20,000 had reviewed their loan and had given them two options: repay the loan in full, or pay a much higher interest rate. +Finally, Joaquin said, ďż˝I know how the pressure from your wife can feel, Iďż˝m going through a divorce myself and it really takes a lot out of you.ďż˝ Bruno then went on a ten-minute rant about his wife and let slip a huge piece of information: the wife was very upset because the bank that lent them the ďż˝20,000 had reviewed their loan and had given them two options: repay the loan in full, or pay a much higher interest rate. Bingo! -Joaquin and Jesus huddled after learning that, and decided that Joaquin could reasonably pay just above the loan price because Bruno had already taken €14,000 in salary from the business. The letter from the bank put Bruno in a bad spot, and Joaquin figured he could bid low because there wasn’t really a market for Bruno to sell his shares. +Joaquin and Jesus huddled after learning that, and decided that Joaquin could reasonably pay just above the loan price because Bruno had already taken ďż˝14,000 in salary from the business. The letter from the bank put Bruno in a bad spot, and Joaquin figured he could bid low because there wasnďż˝t really a market for Bruno to sell his shares. -They decided that €23,000 would be the magic number, with €11,000 up front with the remaining €12,000 over a year period. +They decided that ďż˝23,000 would be the magic number, with ďż˝11,000 up front with the remaining ďż˝12,000 over a year period. Then things went sideways. -Instead of waiting for Bruno to name a price, Joaquin jumped the gun and made his full offer, telling Bruno that he thought it was “very fair.” If there’s one way to put off your counterpart, it’s by implying that disagreeing with you is unfair. +Instead of waiting for Bruno to name a price, Joaquin jumped the gun and made his full offer, telling Bruno that he thought it was ďż˝very fair.ďż˝ If thereďż˝s one way to put off your counterpart, itďż˝s by implying that disagreeing with you is unfair. What happened next proved that. -Bruno angrily hung up the phone and two days later Joaquin received an email from a guy saying he’d been hired to represent Bruno. They wanted €30,812: €20,000 for the loan, €4,000 for salary, €6,230 for equity, and €582 for interest. +Bruno angrily hung up the phone and two days later Joaquin received an email from a guy saying heďż˝d been hired to represent Bruno. They wanted ďż˝30,812: ďż˝20,000 for the loan, ďż˝4,000 for salary, ďż˝6,230 for equity, and ďż˝582 for interest. Nonround figures that seemed unchangeable in their specificity. This guy was a pro. -Jesus told Joaquin that he’d truly screwed up. But they both knew that Bruno was pretty desperate to sell. So they decided to use the multi-step “No” strategy to get Bruno to bid against himself. The worst-case scenario, they decided, was that Bruno would just change his mind about selling his shares and the status quo would continue. It was a risk they’d have to take. +Jesus told Joaquin that heďż˝d truly screwed up. But they both knew that Bruno was pretty desperate to sell. So they decided to use the multi-step ďż˝Noďż˝ strategy to get Bruno to bid against himself. The worst-case scenario, they decided, was that Bruno would just change his mind about selling his shares and the status quo would continue. It was a risk theyďż˝d have to take. -They crafted their first “No” message: +They crafted their first ďż˝Noďż˝ message: The price you offered is very fair, and I certainly wish that I could afford it. Bruno has worked very hard for this business, and he deserves to be compensated appropriately. I am very sorry, but wish you the best of luck. -Notice how they made no counteroffer and said “No” without using the word? +Notice how they made no counteroffer and said ďż˝Noďż˝ without using the word? -Joaquin was shocked when the following day he received an email from the advisor lowering the price to €28,346. +Joaquin was shocked when the following day he received an email from the advisor lowering the price to ďż˝28,346. -Joaquin and Jesus then crafted their second gentle “No”: +Joaquin and Jesus then crafted their second gentle ďż˝Noďż˝: Thank you for your offer. You were generous to reduce the price, which I greatly appreciate. I really wish that I could pay you this amount, but I am sincere in that I cannot afford this amount at this time. As you know, I am in the middle of a divorce and I just cannot come up with that type of money. Again, I wish you the best of luck. -The next day Joaquin received a one-line email from the advisor dropping the price to €25,000. Joaquin wanted to take it but Jesus told him that he had some “No” steps to go. Joaquin fought him, but in the end he relented. +The next day Joaquin received a one-line email from the advisor dropping the price to ďż˝25,000. Joaquin wanted to take it but Jesus told him that he had some ďż˝Noďż˝ steps to go. Joaquin fought him, but in the end he relented. -There’s a critical lesson there: The art of closing a deal is staying focused to the very end. There are crucial points at the finale when you must draw on your mental discipline. Don’t think about what time the last flight leaves, or what it would be like to get home early and play golf. Do not let your mind wander. Remain focused. +Thereďż˝s a critical lesson there: The art of closing a deal is staying focused to the very end. There are crucial points at the finale when you must draw on your mental discipline. Donďż˝t think about what time the last flight leaves, or what it would be like to get home early and play golf. Do not let your mind wander. Remain focused. They wrote: -Thank you again for the generous offer. You have really come down on the price and I have tried very hard to come up with that amount. Unfortunately, no one is willing to lend me the money, not even my mother. I have tried various avenues but cannot come up with the funding. In the end, I can offer you €23,567, although I can only pay €15,321.37 up front. I could pay you the remainder over a one-year period, but that is really the most I can do. I wish you the best in your decision. +Thank you again for the generous offer. You have really come down on the price and I have tried very hard to come up with that amount. Unfortunately, no one is willing to lend me the money, not even my mother. I have tried various avenues but cannot come up with the funding. In the end, I can offer you ďż˝23,567, although I can only pay ďż˝15,321.37 up front. I could pay you the remainder over a one-year period, but that is really the most I can do. I wish you the best in your decision. -Brilliant use of specific numbers, and what an empathy-building way to say “No” without using the word! +Brilliant use of specific numbers, and what an empathy-building way to say ďż˝Noďż˝ without using the word! And it worked. Within one hour, the advisor responded to accept. -Look at this closely: see how the mixture of mirroring and open-ended questions dragged out the information about Bruno’s financial problems, and then the “No” method exploited his desperation? It might not have been a great idea to use this method if there’d been another buyer, but with no one else it was a brilliant way to get Bruno to bid against himself. +Look at this closely: see how the mixture of mirroring and open-ended questions dragged out the information about Brunoďż˝s financial problems, and then the ďż˝Noďż˝ method exploited his desperation? It might not have been a great idea to use this method if thereďż˝d been another buyer, but with no one else it was a brilliant way to get Bruno to bid against himself. KEY LESSONS -Superstar negotiators—real rainmakers—know that a negotiation is a playing field beneath the words, where really getting to a good deal involves detecting and manipulating subtle, nonobvious signals beneath the surface. It is only by visualizing and modifying these subsurface issues that you can craft a great deal and make sure that it is implemented. +Superstar negotiatorsďż˝real rainmakersďż˝know that a negotiation is a playing field beneath the words, where really getting to a good deal involves detecting and manipulating subtle, nonobvious signals beneath the surface. It is only by visualizing and modifying these subsurface issues that you can craft a great deal and make sure that it is implemented. - As you put the following tools to use, remember this chapter’s most important concept. That is, “Yes” is nothing without “How.” Asking “How,” knowing “How,” and defining “How” are all part of the effective negotiator’s arsenal. He would be unarmed without them. + As you put the following tools to use, remember this chapterďż˝s most important concept. That is, ďż˝Yesďż˝ is nothing without ďż˝How.ďż˝ Asking ďż˝How,ďż˝ knowing ďż˝How,ďż˝ and defining ďż˝Howďż˝ are all part of the effective negotiatorďż˝s arsenal. He would be unarmed without them. -¦Ask calibrated “How” questions, and ask them again and again. Asking “How” keeps your counterparts engaged but off balance. Answering the questions will give them the illusion of control. It will also lead them to contemplate your problems when making their demands. +ďż˝Ask calibrated ďż˝Howďż˝ questions, and ask them again and again. Asking ďż˝Howďż˝ keeps your counterparts engaged but off balance. Answering the questions will give them the illusion of control. It will also lead them to contemplate your problems when making their demands. -¦Use “How” questions to shape the negotiating environment. You do this by using “How can I do that?” as a gentle version of “No.” This will subtly push your counterpart to search for other solutions—your solutions. And very often it will get them to bid against themselves. +ďż˝Use ďż˝Howďż˝ questions to shape the negotiating environment. You do this by using ďż˝How can I do that?ďż˝ as a gentle version of ďż˝No.ďż˝ This will subtly push your counterpart to search for other solutionsďż˝your solutions. And very often it will get them to bid against themselves. -¦Don’t just pay attention to the people you’re negotiating with directly; always identify the motivations of the players “behind the table.” You can do so by asking how a deal will affect everybody else and how on board they are. +ďż˝Donďż˝t just pay attention to the people youďż˝re negotiating with directly; always identify the motivations of the players ďż˝behind the table.ďż˝ You can do so by asking how a deal will affect everybody else and how on board they are. -¦Follow the 7-38-55 Percent Rule by paying close attention to tone of voice and body language. Incongruence between the words and nonverbal signs will show when your counterpart is lying or uncomfortable with a deal. +ďż˝Follow the 7-38-55 Percent Rule by paying close attention to tone of voice and body language. Incongruence between the words and nonverbal signs will show when your counterpart is lying or uncomfortable with a deal. -¦Is the “Yes” real or counterfeit? Test it with the Rule of Three: use calibrated questions, summaries, and labels to get your counterpart to reaffirm their agreement at least three times. It’s really hard to repeatedly lie or fake conviction. +ďż˝Is the ďż˝Yesďż˝ real or counterfeit? Test it with the Rule of Three: use calibrated questions, summaries, and labels to get your counterpart to reaffirm their agreement at least three times. Itďż˝s really hard to repeatedly lie or fake conviction. -¦A person’s use of pronouns offers deep insights into his or her relative authority. If you’re hearing a lot of “I,” “me,” and “my,” the real power to decide probably lies elsewhere. Picking up a lot of “we,” “they,” and “them,” it’s more likely you’re dealing directly with a savvy decision maker keeping his options open. +ďż˝A personďż˝s use of pronouns offers deep insights into his or her relative authority. If youďż˝re hearing a lot of ďż˝I,ďż˝ ďż˝me,ďż˝ and ďż˝my,ďż˝ the real power to decide probably lies elsewhere. Picking up a lot of ďż˝we,ďż˝ ďż˝they,ďż˝ and ďż˝them,ďż˝ itďż˝s more likely youďż˝re dealing directly with a savvy decision maker keeping his options open. -¦Use your own name to make yourself a real person to the other side and even get your own personal discount. Humor and humanity are the best ways to break the ice and remove roadblocks. +ďż˝Use your own name to make yourself a real person to the other side and even get your own personal discount. Humor and humanity are the best ways to break the ice and remove roadblocks. @@ -3083,111 +3005,111 @@ CHAPTER 9 BARGAIN HARD -A few years ago I fell in love with a red Toyota 4Runner. Actually not just “red,” but “Salsa Red Pearl.” Kind of a smoldering red that seemed to glow at night. How sexy is that? I just had to have it; getting one became my obsession. +A few years ago I fell in love with a red Toyota 4Runner. Actually not just ďż˝red,ďż˝ but ďż˝Salsa Red Pearl.ďż˝ Kind of a smoldering red that seemed to glow at night. How sexy is that? I just had to have it; getting one became my obsession. -I searched the dealers in metropolitan Washington, D.C., and I quickly realized that I wasn’t the only one obsessed with getting that truck: there weren’t any in that color in the entire area, none at all, save at one dealer. +I searched the dealers in metropolitan Washington, D.C., and I quickly realized that I wasnďż˝t the only one obsessed with getting that truck: there werenďż˝t any in that color in the entire area, none at all, save at one dealer. -You know how they tell you not to shop for groceries when you’re hungry? Well, I was hungry. Very hungry. Actually, I was in love. . . . I sat down, centered myself, and strategized. This lot was my only shot. I had to make it count +You know how they tell you not to shop for groceries when youďż˝re hungry? Well, I was hungry. Very hungry. Actually, I was in love. . . . I sat down, centered myself, and strategized. This lot was my only shot. I had to make it count I drove to the dealer on a sunny Friday afternoon. I sat down across from the salesman, a nice enough guy named Stan, and told him how gorgeous the vehicle was. -He offered me the usual smile—he had me, he thought—and mentioned the sticker price on “that beautiful vehicle”: $36,000. +He offered me the usual smileďż˝he had me, he thoughtďż˝and mentioned the sticker price on ďż˝that beautiful vehicleďż˝: $36,000. I gave him an understanding nod and pursed my lips. The key to beginning a haggle is to rattle the other guy ever so gently. You do it in the nicest way possible. If I could thread that needle, I had a good chance at getting my price. -“I can pay $30,000,” I said. “And I can pay it up front, all cash. I’ll write a check today for the full amount. I’m sorry, I’m afraid I just can’t pay any more.” +ďż˝I can pay $30,000,ďż˝ I said. ďż˝And I can pay it up front, all cash. Iďż˝ll write a check today for the full amount. Iďż˝m sorry, Iďż˝m afraid I just canďż˝t pay any more.ďż˝ His smile flickered a little bit at the edges, as if it were losing focus. But he tightened it down and shook his head. -“I’m sure you can understand we can’t do that. The sticker price is $36,000, after all.” +ďż˝Iďż˝m sure you can understand we canďż˝t do that. The sticker price is $36,000, after all.ďż˝ -“How am I supposed to do that?” I asked deferentially. +ďż˝How am I supposed to do that?ďż˝ I asked deferentially. -“I’m sure,” he said, then paused as if he wasn’t sure what he’d meant to say. “I’m sure we can figure something out with financing the $36,000.” +ďż˝Iďż˝m sure,ďż˝ he said, then paused as if he wasnďż˝t sure what heďż˝d meant to say. ďż˝Iďż˝m sure we can figure something out with financing the $36,000.ďż˝ -“It’s a beautiful truck. Really amazing. I can’t tell you how much I’d love to have it. It’s worth more than what I’m offering. I’m sorry, this is really embarrassing. I just can’t do that price.” +ďż˝Itďż˝s a beautiful truck. Really amazing. I canďż˝t tell you how much Iďż˝d love to have it. Itďż˝s worth more than what Iďż˝m offering. Iďż˝m sorry, this is really embarrassing. I just canďż˝t do that price.ďż˝ -He stared at me in silence, a little befuddled now. Then he stood and went into the back for what seemed like an eternity. He was gone so long that I remember saying to myself, “Damn! I should have come in lower! They’re going to come all the way down.” Any response that’s not an outright rejection of your offer means you have the edge. +He stared at me in silence, a little befuddled now. Then he stood and went into the back for what seemed like an eternity. He was gone so long that I remember saying to myself, ďż˝Damn! I should have come in lower! Theyďż˝re going to come all the way down.ďż˝ Any response thatďż˝s not an outright rejection of your offer means you have the edge. He returned and told me like it was Christmas that his boss had okayed a new price: $34,000. -“Wow, your offer is very generous and this is the car of my dreams,” I said. “I really wish I could do that. I really do. This is so embarrassing. I simply can’t.” +ďż˝Wow, your offer is very generous and this is the car of my dreams,ďż˝ I said. ďż˝I really wish I could do that. I really do. This is so embarrassing. I simply canďż˝t.ďż˝ -He dropped into silence and I didn’t take the bait. I let the silence linger. And then with a sigh he trudged off again. +He dropped into silence and I didnďż˝t take the bait. I let the silence linger. And then with a sigh he trudged off again. He returned after another eternity. -“You win,” he said. “My manager okayed $32,500.” +ďż˝You win,ďż˝ he said. ďż˝My manager okayed $32,500.ďż˝ -He pushed a paper across the desk that even said “YOU WIN” in big letters. The words were even surrounded with smiley faces. +He pushed a paper across the desk that even said ďż˝YOU WINďż˝ in big letters. The words were even surrounded with smiley faces. -“I am so grateful. You’ve been very generous, and I can’t thank you enough. The truck is no doubt worth more than my price,” I said. “I’m sorry, I just can’t do that.” +ďż˝I am so grateful. Youďż˝ve been very generous, and I canďż˝t thank you enough. The truck is no doubt worth more than my price,ďż˝ I said. ďż˝Iďż˝m sorry, I just canďż˝t do that.ďż˝ -Up he stood again. No smile now. Still befuddled. After a few seconds, he walked back to his manager and I leaned back. I could taste victory. A minute later—no eternity this time—he returned and sat. +Up he stood again. No smile now. Still befuddled. After a few seconds, he walked back to his manager and I leaned back. I could taste victory. A minute laterďż˝no eternity this timeďż˝he returned and sat. -“We can do that,” he said. +ďż˝We can do that,ďż˝ he said. -Two days later, I drove off in my Salsa Red Pearl Toyota 4Runner—for $30,000. +Two days later, I drove off in my Salsa Red Pearl Toyota 4Runnerďż˝for $30,000. God I love that truck. Still drive it today. -Most negotiations hit that inevitable point where the slightly loose and informal interplay between two people turns to confrontation and the proverbial “brass tacks.” You know the moment: you’ve mirrored and labeled your way to a degree of rapport; an accusation audit has cleared any lingering mental or emotional obstacles, and you’ve identified and summarized the interests and positions at stake, eliciting a “That’s right,” and . . . +Most negotiations hit that inevitable point where the slightly loose and informal interplay between two people turns to confrontation and the proverbial ďż˝brass tacks.ďż˝ You know the moment: youďż˝ve mirrored and labeled your way to a degree of rapport; an accusation audit has cleared any lingering mental or emotional obstacles, and youďż˝ve identified and summarized the interests and positions at stake, eliciting a ďż˝Thatďż˝s right,ďż˝ and . . . -Now it’s time to bargain. +Now itďż˝s time to bargain. -Here it is: the clash for cash, an uneasy dance of offers and counters that send most people into a cold sweat. If you count yourself among that majority, regarding the inevitable moment as nothing more than a necessary evil, there’s a good chance you regularly get your clock cleaned by those who have learned to embrace it. +Here it is: the clash for cash, an uneasy dance of offers and counters that send most people into a cold sweat. If you count yourself among that majority, regarding the inevitable moment as nothing more than a necessary evil, thereďż˝s a good chance you regularly get your clock cleaned by those who have learned to embrace it. -No part of a negotiation induces more anxiety and unfocused aggression than bargaining, which is why it’s the part that is more often fumbled and mishandled than any other. It’s simply not a comfortable dynamic for most people. Even when we have the best-laid plans, a lot of us wimp out when we get to the moment of exchanging prices. +No part of a negotiation induces more anxiety and unfocused aggression than bargaining, which is why itďż˝s the part that is more often fumbled and mishandled than any other. Itďż˝s simply not a comfortable dynamic for most people. Even when we have the best-laid plans, a lot of us wimp out when we get to the moment of exchanging prices. -In this chapter, I’m going to explain the tactics that make up the bargaining process, and look at how psychological dynamics determine which tactics should be used and how they should be implemented. +In this chapter, Iďż˝m going to explain the tactics that make up the bargaining process, and look at how psychological dynamics determine which tactics should be used and how they should be implemented. -Now, bargaining is not rocket science, but it’s not simple intuition or mathematics, either. To bargain well, you need to shed your assumptions about the haggling process and learn to recognize the subtle psychological strategies that play vital roles at the bargaining table. Skilled bargainers see more than just opening offers, counteroffers, and closing moves. They see the psychological currents that run below the surface. +Now, bargaining is not rocket science, but itďż˝s not simple intuition or mathematics, either. To bargain well, you need to shed your assumptions about the haggling process and learn to recognize the subtle psychological strategies that play vital roles at the bargaining table. Skilled bargainers see more than just opening offers, counteroffers, and closing moves. They see the psychological currents that run below the surface. -Once you’ve learned to identify these currents, you’ll be able to “read” bargaining situations more accurately and confidently answer the tactical questions that dog even the best negotiators. +Once youďż˝ve learned to identify these currents, youďż˝ll be able to ďż˝readďż˝ bargaining situations more accurately and confidently answer the tactical questions that dog even the best negotiators. -You’ll be ready for the “bare-knuckle bargaining.” And they’ll never see it coming. +Youďż˝ll be ready for the ďż˝bare-knuckle bargaining.ďż˝ And theyďż˝ll never see it coming. WHAT TYPE ARE YOU? A few years ago I was on my boat with one of my employees, a great guy named Keenon; I was supposed to be giving him a pep talk and performance review. -“When I think of what we do, I describe it as ‘uncovering the riptide,’” I said. +ďż˝When I think of what we do, I describe it as ďż˝uncovering the riptide,�� I said. -“Uncovering the riptide,” Keenon said. +ďż˝Uncovering the riptide,ďż˝ Keenon said. -“Yes, the idea is that we—you and I and everyone here—have the skills to identify the psychological forces that are pulling us away from shore and use them to get somewhere more productive.” +ďż˝Yes, the idea is that weďż˝you and I and everyone hereďż˝have the skills to identify the psychological forces that are pulling us away from shore and use them to get somewhere more productive.ďż˝ -“Somewhere more productive,” Keenon said. +ďż˝Somewhere more productive,ďż˝ Keenon said. -“Exactly,” I said. “To a place where we can . . .” +ďż˝Exactly,ďż˝ I said. ďż˝To a place where we can . . .ďż˝ We had talked for about forty-five minutes when my son Brandon, who runs operations for The Black Swan Group, broke out laughing. -“I can’t take it anymore! Don’t you see? Really, Dad, don’t you see?” +ďż˝I canďż˝t take it anymore! Donďż˝t you see? Really, Dad, donďż˝t you see?ďż˝ I blinked. Did I see what? I asked him. -“All Keenon is doing is mirroring you. And he’s been doing it for almost an hour.” +ďż˝All Keenon is doing is mirroring you. And heďż˝s been doing it for almost an hour.ďż˝ -“Oh,” I said, my face going red as Keenon began to laugh. +ďż˝Oh,ďż˝ I said, my face going red as Keenon began to laugh. He was totally right. Keenon had been playing with me the entire time, using the psychological tool that works most effectively with assertive guys like me: the mirror. -Your personal negotiation style—and that of your counterpart—is formed through childhood, schooling, family, culture, and a million other factors; by recognizing it you can identify your negotiating strengths and weaknesses (and those of your counterpart) and adjust your mindset and strategies accordingly. +Your personal negotiation styleďż˝and that of your counterpartďż˝is formed through childhood, schooling, family, culture, and a million other factors; by recognizing it you can identify your negotiating strengths and weaknesses (and those of your counterpart) and adjust your mindset and strategies accordingly. -Negotiation style is a crucial variable in bargaining. If you don’t know what instinct will tell you or the other side to do in various circumstances, you’ll have massive trouble gaming out effective strategies and tactics. You and your counterpart have habits of mind and behavior, and once you identify them you can leverage them in a strategic manner. +Negotiation style is a crucial variable in bargaining. If you donďż˝t know what instinct will tell you or the other side to do in various circumstances, youďż˝ll have massive trouble gaming out effective strategies and tactics. You and your counterpart have habits of mind and behavior, and once you identify them you can leverage them in a strategic manner. Just like Keenon did. -There’s an entire library unto itself of research into the archetypes and behavioral profiles of all the possible people you’re bound to meet at the negotiating table. It’s flat-out overwhelming, so much so that it loses its utility. Over the last few years, in an effort primarily led by my son Brandon, we’ve consolidated and simplified all that research, cross-referencing it with our experiences in the field and the case studies of our business school students, and found that people fall into three broad categories. Some people are Accommodators; others—like me—are basically Assertive; and the rest are data-loving Analysts. +Thereďż˝s an entire library unto itself of research into the archetypes and behavioral profiles of all the possible people youďż˝re bound to meet at the negotiating table. Itďż˝s flat-out overwhelming, so much so that it loses its utility. Over the last few years, in an effort primarily led by my son Brandon, weďż˝ve consolidated and simplified all that research, cross-referencing it with our experiences in the field and the case studies of our business school students, and found that people fall into three broad categories. Some people are Accommodators; othersďż˝like meďż˝are basically Assertive; and the rest are data-loving Analysts. Hollywood negotiation scenes suggest that an Assertive style is required for effective bargaining, but each of the styles can be effective. And to truly be effective you need elements from all three. -A study of American lawyer-negotiators1 found that 65 percent of attorneys from two major U.S. cities used a cooperative style while only 24 percent were truly assertive. And when these lawyers were graded for effectiveness, more than 75 percent of the effective group came from the cooperative type; only 12 percent were Assertive. So if you’re not Assertive, don’t despair. Blunt assertion is actually counterproductive most of the time. +A study of American lawyer-negotiators1 found that 65 percent of attorneys from two major U.S. cities used a cooperative style while only 24 percent were truly assertive. And when these lawyers were graded for effectiveness, more than 75 percent of the effective group came from the cooperative type; only 12 percent were Assertive. So if youďż˝re not Assertive, donďż˝t despair. Blunt assertion is actually counterproductive most of the time. And remember, your personal negotiating style is not a straitjacket. No one is exclusively one style. Most of us have the capacity to throttle up our nondominant styles should the situation call for it. But there is one basic truth about a successful bargaining style: To be good, you have to learn to be yourself at the bargaining table. To be great you have to add to your strengths, not replace them. -Here’s a quick guide to classifying the type of negotiator you’re facing and the tactics that will be most fitting for you. +Hereďż˝s a quick guide to classifying the type of negotiator youďż˝re facing and the tactics that will be most fitting for you. ANALYST @@ -3197,91 +3119,91 @@ Classic analysts prefer to work on their own and rarely deviate from their goals Analysts pride themselves on not missing any details in their extensive preparation. They will research for two weeks to get data they might have gotten in fifteen minutes at the negotiating table, just to keep from being surprised. Analysts hate surprises. -They are reserved problem solvers, and information aggregators, and are hypersensitive to reciprocity. They will give you a piece, but if they don’t get a piece in return within a certain period of time, they lose trust and will disengage. This can often seem to come out of nowhere, but remember, since they like working on things alone the fact that they are talking to you at all is, from their perspective, a concession. They will often view concessions by their counterpart as a new piece of information to be taken back and evaluated. Don’t expect immediate counterproposals from them. +They are reserved problem solvers, and information aggregators, and are hypersensitive to reciprocity. They will give you a piece, but if they donďż˝t get a piece in return within a certain period of time, they lose trust and will disengage. This can often seem to come out of nowhere, but remember, since they like working on things alone the fact that they are talking to you at all is, from their perspective, a concession. They will often view concessions by their counterpart as a new piece of information to be taken back and evaluated. Donďż˝t expect immediate counterproposals from them. -People like this are skeptical by nature. So asking too many questions to start is a bad idea, because they’re not going to want to answer until they understand all the implications. With them, it’s vital to be prepared. Use clear data to drive your reason; don’t ad-lib; use data comparisons to disagree and focus on the facts; warn them of issues early; and avoid surprises. +People like this are skeptical by nature. So asking too many questions to start is a bad idea, because theyďż˝re not going to want to answer until they understand all the implications. With them, itďż˝s vital to be prepared. Use clear data to drive your reason; donďż˝t ad-lib; use data comparisons to disagree and focus on the facts; warn them of issues early; and avoid surprises. -Silence to them is an opportunity to think. They’re not mad at you and they’re not trying to give you a chance to talk more. If you feel they don’t see things the way you do, give them a chance to think first. +Silence to them is an opportunity to think. Theyďż˝re not mad at you and theyďż˝re not trying to give you a chance to talk more. If you feel they donďż˝t see things the way you do, give them a chance to think first. -Apologies have little value to them since they see the negotiation and their relationship with you as a person largely as separate things. They respond fairly well in the moment to labels. They are not quick to answer calibrated questions, or closed-ended questions when the answer is “Yes.” They may need a few days to respond. +Apologies have little value to them since they see the negotiation and their relationship with you as a person largely as separate things. They respond fairly well in the moment to labels. They are not quick to answer calibrated questions, or closed-ended questions when the answer is ďż˝Yes.ďż˝ They may need a few days to respond. -If you’re an analyst you should be worried about cutting yourself off from an essential source of data, your counterpart. The single biggest thing you can do is to smile when you speak. People will be more forthcoming with information to you as a result. Smiling can also become a habit that makes it easy for you to mask any moments you’ve been caught off guard. +If youďż˝re an analyst you should be worried about cutting yourself off from an essential source of data, your counterpart. The single biggest thing you can do is to smile when you speak. People will be more forthcoming with information to you as a result. Smiling can also become a habit that makes it easy for you to mask any moments youďż˝ve been caught off guard. ACCOMMODATOR -The most important thing to this type of negotiator is the time spent building the relationship. Accommodators think as long as there is a free-flowing continuous exchange of information time is being well spent. As long as they’re communicating, they’re happy. Their goal is to be on great terms with their counterpart. They love the win-win. +The most important thing to this type of negotiator is the time spent building the relationship. Accommodators think as long as there is a free-flowing continuous exchange of information time is being well spent. As long as theyďż˝re communicating, theyďż˝re happy. Their goal is to be on great terms with their counterpart. They love the win-win. Of the three types, they are most likely to build great rapport without actually accomplishing anything. -Accommodators want to remain friends with their counterpart even if they can’t reach an agreement. They are very easy to talk to, extremely friendly, and have pleasant voices. They will yield a concession to appease or acquiesce and hope the other side reciprocates. +Accommodators want to remain friends with their counterpart even if they canďż˝t reach an agreement. They are very easy to talk to, extremely friendly, and have pleasant voices. They will yield a concession to appease or acquiesce and hope the other side reciprocates. -If your counterparts are sociable, peace-seeking, optimistic, distractible, and poor time managers, they’re probably Accommodators. +If your counterparts are sociable, peace-seeking, optimistic, distractible, and poor time managers, theyďż˝re probably Accommodators. -If they’re your counterpart, be sociable and friendly. Listen to them talk about their ideas and use calibrated questions focused specifically on implementation to nudge them along and find ways to translate their talk into action. Due to their tendency to be the first to activate the reciprocity cycle, they may have agreed to give you something they can’t actually deliver. +If theyďż˝re your counterpart, be sociable and friendly. Listen to them talk about their ideas and use calibrated questions focused specifically on implementation to nudge them along and find ways to translate their talk into action. Due to their tendency to be the first to activate the reciprocity cycle, they may have agreed to give you something they canďż˝t actually deliver. Their approach to preparation can be lacking as they are much more focused on the person behind the table. They want to get to know you. They have a tremendous passion for the spirit of negotiation and what it takes not only to manage emotions but also to satisfy them. While it is very easy to disagree with an Accommodator, because they want nothing more that to hear what you have to say, uncovering their objections can be difficult. They will have identified potential problem areas beforehand and will leave those areas unaddressed out of fear of the conflict they may cause. -If you have identified yourself as an Accommodator, stick to your ability to be very likable, but do not sacrifice your objections. Not only do the other two types need to hear your point of view; if you are dealing with another Accommodator they will welcome it. Also be conscious of excess chitchat: the other two types have no use for it, and if you’re sitting across the table from someone like yourself you will be prone to interactions where nothing gets done. +If you have identified yourself as an Accommodator, stick to your ability to be very likable, but do not sacrifice your objections. Not only do the other two types need to hear your point of view; if you are dealing with another Accommodator they will welcome it. Also be conscious of excess chitchat: the other two types have no use for it, and if youďż˝re sitting across the table from someone like yourself you will be prone to interactions where nothing gets done. ASSERTIVE -The Assertive type believes time is money; every wasted minute is a wasted dollar. Their self-image is linked to how many things they can get accomplished in a period of time. For them, getting the solution perfect isn’t as important as getting it done. +The Assertive type believes time is money; every wasted minute is a wasted dollar. Their self-image is linked to how many things they can get accomplished in a period of time. For them, getting the solution perfect isnďż˝t as important as getting it done. -Assertives are fiery people who love winning above all else, often at the expense of others. Their colleagues and counterparts never question where they stand because they are always direct and candid. They have an aggressive communication style and they don’t worry about future interactions. Their view of business relationships is based on respect, nothing more and nothing less. +Assertives are fiery people who love winning above all else, often at the expense of others. Their colleagues and counterparts never question where they stand because they are always direct and candid. They have an aggressive communication style and they donďż˝t worry about future interactions. Their view of business relationships is based on respect, nothing more and nothing less. -Most of all, the Assertive wants to be heard. And not only do they want to be heard, but they don’t actually have the ability to listen to you until they know that you’ve heard them. They focus on their own goals rather than people. And they tell rather than ask. +Most of all, the Assertive wants to be heard. And not only do they want to be heard, but they donďż˝t actually have the ability to listen to you until they know that youďż˝ve heard them. They focus on their own goals rather than people. And they tell rather than ask. -When you’re dealing with Assertive types, it’s best to focus on what they have to say, because once they are convinced you understand them, then and only then will they listen for your point of view. +When youďż˝re dealing with Assertive types, itďż˝s best to focus on what they have to say, because once they are convinced you understand them, then and only then will they listen for your point of view. -To an Assertive, every silence is an opportunity to speak more. Mirrors are a wonderful tool with this type. So are calibrated questions, labels, and summaries. The most important thing to get from an Assertive will be a “that’s right” that may come in the form of a “that’s it exactly” or “you hit it on the head.” +To an Assertive, every silence is an opportunity to speak more. Mirrors are a wonderful tool with this type. So are calibrated questions, labels, and summaries. The most important thing to get from an Assertive will be a ďż˝thatďż˝s rightďż˝ that may come in the form of a ďż˝thatďż˝s it exactlyďż˝ or ďż˝you hit it on the head.ďż˝ -When it comes to reciprocity, this type is of the “give an inch/take a mile” mentality. They will have figured they deserve whatever you have given them so they will be oblivious to expectations of owing something in return. They will actually simply be looking for the opportunity to receive more. If they have given some kind of concession, they are surely counting the seconds until they get something in return. +When it comes to reciprocity, this type is of the ďż˝give an inch/take a mileďż˝ mentality. They will have figured they deserve whatever you have given them so they will be oblivious to expectations of owing something in return. They will actually simply be looking for the opportunity to receive more. If they have given some kind of concession, they are surely counting the seconds until they get something in return. If you are an Assertive, be particularly conscious of your tone. You will not intend to be overly harsh but you will often come off that way. Intentionally soften your tone and work to make it more pleasant. Use calibrated questions and labels with your counterpart since that will also make you more approachable and increase the chances for collaboration. -We’ve seen how each of these groups views the importance of time differently (time = preparation; time = relationship; time = money). They also have completely different interpretations of silence. +Weďż˝ve seen how each of these groups views the importance of time differently (time = preparation; time = relationship; time = money). They also have completely different interpretations of silence. -I’m definitely an Assertive, and at a conference this Accommodator type told me that he blew up a deal. I thought, What did you do, scream at the other guy and leave? Because that’s me blowing up a deal. +Iďż˝m definitely an Assertive, and at a conference this Accommodator type told me that he blew up a deal. I thought, What did you do, scream at the other guy and leave? Because thatďż˝s me blowing up a deal. But it turned out that he went silent; for an Accommodator type, silence is anger. -For Analysts, though, silence means they want to think. And Assertive types interpret your silence as either you don’t have anything to say or you want them to talk. I’m one, so I know: the only time I’m silent is when I’ve run out of things to say. +For Analysts, though, silence means they want to think. And Assertive types interpret your silence as either you donďż˝t have anything to say or you want them to talk. Iďż˝m one, so I know: the only time Iďż˝m silent is when Iďż˝ve run out of things to say. -The funny thing is when these cross over. When an Analyst pauses to think, their Accommodator counterpart gets nervous and an Assertive one starts talking, thereby annoying the Analyst, who thinks to herself, Every time I try to think you take that as an opportunity to talk some more. Won’t you ever shut up? +The funny thing is when these cross over. When an Analyst pauses to think, their Accommodator counterpart gets nervous and an Assertive one starts talking, thereby annoying the Analyst, who thinks to herself, Every time I try to think you take that as an opportunity to talk some more. Wonďż˝t you ever shut up? -Before we move on I want to talk about why people often fail to identify their counterpart’s style. +Before we move on I want to talk about why people often fail to identify their counterpartďż˝s style. -The greatest obstacle to accurately identifying someone else’s style is what I call the “I am normal” paradox. That is, our hypothesis that the world should look to others as it looks to us. After all, who wouldn’t make that assumption? +The greatest obstacle to accurately identifying someone elseďż˝s style is what I call the ďż˝I am normalďż˝ paradox. That is, our hypothesis that the world should look to others as it looks to us. After all, who wouldnďż˝t make that assumption? -But while innocent and understandable, thinking you’re normal is one of the most damaging assumptions in negotiations. With it, we unconsciously project our own style on the other side. But with three types of negotiators in the world, there’s a 66 percent chance your counterpart has a different style than yours. A different “normal.” +But while innocent and understandable, thinking youďż˝re normal is one of the most damaging assumptions in negotiations. With it, we unconsciously project our own style on the other side. But with three types of negotiators in the world, thereďż˝s a 66 percent chance your counterpart has a different style than yours. A different ďż˝normal.ďż˝ A CEO once told me he expected nine of ten negotiations to fail. This CEO was likely projecting his beliefs onto the other side. In reality, he probably only matched with someone like-minded one of ten times. If he understood that his counterpart was different from him, he would most surely have increased his success rate. -From the way they prepare to the way they engage in dialogue, the three types negotiate differently. So before you can even think about bargaining effectively, you have to understand your counterpart’s “normal.” You have to identify their type by opening yourself to their difference. Because when it comes to negotiating, the Golden Rule is wrong. +From the way they prepare to the way they engage in dialogue, the three types negotiate differently. So before you can even think about bargaining effectively, you have to understand your counterpartďż˝s ďż˝normal.ďż˝ You have to identify their type by opening yourself to their difference. Because when it comes to negotiating, the Golden Rule is wrong. -The Black Swan rule is don’t treat others the way you want to be treated; treat them the way they need to be treated. +The Black Swan rule is donďż˝t treat others the way you want to be treated; treat them the way they need to be treated. -(I’ve got a complementary PDF available that will help you identify your type and that of those around you. Please visit http://info .blackswanltd.com/3-types.) +(Iďż˝ve got a complementary PDF available that will help you identify your type and that of those around you. Please visit http://info .blackswanltd.com/3-types.) TAKING A PUNCH -Negotiation academics like to treat bargaining as a rational process devoid of emotion. They talk about the ZOPA—or Zone of Possible Agreement—which is where the seller’s and buyer’s zones cross. Say Tony wants to sell his car and won’t take less than $5,000 and Samantha wants to buy but won’t pay more than $6,000. The ZOPA runs from $5,000 to $6,000. Some deals have ZOPAs and some don’t. It’s all very rational. +Negotiation academics like to treat bargaining as a rational process devoid of emotion. They talk about the ZOPAďż˝or Zone of Possible Agreementďż˝which is where the sellerďż˝s and buyerďż˝s zones cross. Say Tony wants to sell his car and wonďż˝t take less than $5,000 and Samantha wants to buy but wonďż˝t pay more than $6,000. The ZOPA runs from $5,000 to $6,000. Some deals have ZOPAs and some donďż˝t. Itďż˝s all very rational. -Or so they’d have you think. +Or so theyďż˝d have you think. -You need to disabuse yourself of that notion. In a real bargaining session, kick-ass negotiators don’t use ZOPA. Experienced negotiators often lead with a ridiculous offer, an extreme anchor. And if you’re not prepared to handle it, you’ll lose your moorings and immediately go to your maximum. It’s human nature. Like the great ear-biting pugilist Mike Tyson once said, “Everybody has a plan until they get punched in the mouth.” +You need to disabuse yourself of that notion. In a real bargaining session, kick-ass negotiators donďż˝t use ZOPA. Experienced negotiators often lead with a ridiculous offer, an extreme anchor. And if youďż˝re not prepared to handle it, youďż˝ll lose your moorings and immediately go to your maximum. Itďż˝s human nature. Like the great ear-biting pugilist Mike Tyson once said, ďż˝Everybody has a plan until they get punched in the mouth.ďż˝ -As a well-prepared negotiator who seeks information and gathers it relentlessly, you’re actually going to want the other guy to name a price first, because you want to see his hand. You’re going to welcome the extreme anchor. But extreme anchoring is powerful and you’re human: your emotions may well up. If they do there are ways to weather the storm without bidding against yourself or responding with anger. Once you learn these tactics, you’ll be prepared to withstand the hit and counter with panache. +As a well-prepared negotiator who seeks information and gathers it relentlessly, youďż˝re actually going to want the other guy to name a price first, because you want to see his hand. Youďż˝re going to welcome the extreme anchor. But extreme anchoring is powerful and youďż˝re human: your emotions may well up. If they do there are ways to weather the storm without bidding against yourself or responding with anger. Once you learn these tactics, youďż˝ll be prepared to withstand the hit and counter with panache. -First, deflect the punch in a way that opens up your counterpart. Successful negotiators often say “No” in one of the many ways we’ve talked about (“How am I supposed to accept that?”) or deflect the anchor with questions like “What are we trying to accomplish here?” Responses like these are great ways to refocus your counterpart when you feel you’re being pulled into the compromise trap. +First, deflect the punch in a way that opens up your counterpart. Successful negotiators often say ďż˝Noďż˝ in one of the many ways weďż˝ve talked about (ďż˝How am I supposed to accept that?ďż˝) or deflect the anchor with questions like ďż˝What are we trying to accomplish here?ďż˝ Responses like these are great ways to refocus your counterpart when you feel youďż˝re being pulled into the compromise trap. -You can also respond to a punch-in-the-face anchor by simply pivoting to terms. What I mean by this is that when you feel you’re being dragged into a haggle you can detour the conversation to the nonmonetary issues that make any final price work. +You can also respond to a punch-in-the-face anchor by simply pivoting to terms. What I mean by this is that when you feel youďż˝re being dragged into a haggle you can detour the conversation to the nonmonetary issues that make any final price work. -You can do this directly by saying, in an encouraging tone of voice, “Let’s put price off to the side for a moment and talk about what would make this a good deal.” Or you could go at it more obliquely by asking, “What else would you be able to offer to make that a good price for me?” +You can do this directly by saying, in an encouraging tone of voice, ďż˝Letďż˝s put price off to the side for a moment and talk about what would make this a good deal.ďż˝ Or you could go at it more obliquely by asking, ďż˝What else would you be able to offer to make that a good price for me?ďż˝ -And if the other side pushes you to go first, wriggle from his grip. Instead of naming a price, allude to an incredibly high number that someone else might charge. Once when a hospital chain wanted me to name a price first, I said, “Well, if you go to Harvard Business School, they’re going to charge you $2,500 a day per student.” +And if the other side pushes you to go first, wriggle from his grip. Instead of naming a price, allude to an incredibly high number that someone else might charge. Once when a hospital chain wanted me to name a price first, I said, ďż˝Well, if you go to Harvard Business School, theyďż˝re going to charge you $2,500 a day per student.ďż˝ No matter what happens, the point here is to sponge up information from your counterpart. Letting your counterpart anchor first will give you a tremendous feel for him. All you need to learn is how to take the first punch. @@ -3291,107 +3213,107 @@ At the meeting, Farouq told the dean about how excited the students were about t Before he could even finish, the dean jumped in. -“Sounds like a great trip you guys are planning,” she said. “But money is tight and I could authorize no more than $300.” +ďż˝Sounds like a great trip you guys are planning,ďż˝ she said. ďż˝But money is tight and I could authorize no more than $300.ďż˝ -Farouq hadn’t expected the dean to go so quickly. But things don’t always go according to plan. +Farouq hadnďż˝t expected the dean to go so quickly. But things donďż˝t always go according to plan. -“That is a very generous offer given your budget limits, but I am not sure how that would help us achieve a great reception for the alums in the region,” Farouq said, acknowledging her limits but saying no without using the word. Then he dropped an extreme anchor. “I have a very high amount in my head: $1,000 is what we need.” +ďż˝That is a very generous offer given your budget limits, but I am not sure how that would help us achieve a great reception for the alums in the region,ďż˝ Farouq said, acknowledging her limits but saying no without using the word. Then he dropped an extreme anchor. ďż˝I have a very high amount in my head: $1,000 is what we need.ďż˝ As expected, the extreme anchor quickly knocked the dean off her limit. -“That is severely out of my range and I am sure I can’t authorize that. However, I will give you $500.” +ďż˝That is severely out of my range and I am sure I canďż˝t authorize that. However, I will give you $500.ďż˝ -Farouq was half-tempted to fold—being $100 short wasn’t make-or-break—but he remembered the curse of aiming low. He decided to push forward. +Farouq was half-tempted to foldďż˝being $100 short wasnďż˝t make-or-breakďż˝but he remembered the curse of aiming low. He decided to push forward. The $500 got him closer to the goal but not quite there, he said; $850 would work. The dean replied by saying that she was already giving more than what she wanted and $500 was reasonable. At this point, if Farouq had been less prepared he would have given up, but he was ready for the punches. -“I think your offer is very reasonable and I understand your restrictions, but I need more money to put on a great show for the school,” he said. “How about $775?” +ďż˝I think your offer is very reasonable and I understand your restrictions, but I need more money to put on a great show for the school,ďż˝ he said. ďż˝How about $775?ďż˝ The dean smiled, and Farouq knew he had her. -“You seem to have a specific number in your head that you are trying to get to,” she said. “Just tell it to me.” +ďż˝You seem to have a specific number in your head that you are trying to get to,ďż˝ she said. ďż˝Just tell it to me.ďż˝ At that point Farouq was happy to give her his number as he felt she was sincere. -“I need $737.50 to make this work and you are my last stop,” he said. +ďż˝I need $737.50 to make this work and you are my last stop,ďż˝ he said. She laughed. -The dean then praised him for knowing what he wanted and said she’d check her budget. Two days later, Farouq got an email saying her office would put in $750. +The dean then praised him for knowing what he wanted and said sheďż˝d check her budget. Two days later, Farouq got an email saying her office would put in $750. PUNCHING BACK: USING ASSERTION WITHOUT GETTING USED BY IT When a negotiation is far from resolution and going nowhere fast, you need to shake things up and get your counterpart out of their rigid mindset. In times like this, strong moves can be enormously effective tools. Sometimes a situation simply calls for you to be the aggressor and punch the other side in the face. -That said, if you are basically a nice person, it will be a real stretch to hit the other guy like Mike Tyson. You can’t be what you’re not. As the Danish folk saying goes, “You bake with the flour you have.” But anyone can learn a few tools. +That said, if you are basically a nice person, it will be a real stretch to hit the other guy like Mike Tyson. You canďż˝t be what youďż˝re not. As the Danish folk saying goes, ďż˝You bake with the flour you have.ďż˝ But anyone can learn a few tools. Here are effective ways to assert smartly: REAL ANGER, THREATS WITHOUT ANGER, AND STRATEGIC UMBRAGE -Marwan Sinaceur of INSEAD and Stanford University’s Larissa Tiedens found that expressions of anger increase a negotiator’s advantage and final take.2 Anger shows passion and conviction that can help sway the other side to accept less. However, by heightening your counterpart’s sensitivity to danger and fear, your anger reduces the resources they have for other cognitive activity, setting them up to make bad concessions that will likely lead to implementation problems, thus reducing your gains. +Marwan Sinaceur of INSEAD and Stanford Universityďż˝s Larissa Tiedens found that expressions of anger increase a negotiatorďż˝s advantage and final take.2 Anger shows passion and conviction that can help sway the other side to accept less. However, by heightening your counterpartďż˝s sensitivity to danger and fear, your anger reduces the resources they have for other cognitive activity, setting them up to make bad concessions that will likely lead to implementation problems, thus reducing your gains. -Also beware: researchers have also found that disingenuous expressions of unfelt anger—you know, faking it—backfire, leading to intractable demands and destroying trust. For anger to be effective, it has to be real, the key for it is to be under control because anger also reduces our cognitive ability. +Also beware: researchers have also found that disingenuous expressions of unfelt angerďż˝you know, faking itďż˝backfire, leading to intractable demands and destroying trust. For anger to be effective, it has to be real, the key for it is to be under control because anger also reduces our cognitive ability. -And so when someone puts out a ridiculous offer, one that really pisses you off, take a deep breath, allow little anger, and channel it—at the proposal, not the person—and say, “I don’t see how that would ever work.” +And so when someone puts out a ridiculous offer, one that really pisses you off, take a deep breath, allow little anger, and channel itďż˝at the proposal, not the personďż˝and say, ďż˝I donďż˝t see how that would ever work.ďż˝ -Such well-timed offense-taking—known as “strategic umbrage”—can wake your counterpart to the problem. In studies by Columbia University academics Daniel Ames and Abbie Wazlawek, people on the receiving end of strategic umbrage were more likely to rate themselves as overassertive, even when the counterpart didn’t think so.3 The real lesson here is being aware of how this might be used on you. Please don’t allow yourself to fall victim to “strategic umbrage.” +Such well-timed offense-takingďż˝known as ďż˝strategic umbrage��can wake your counterpart to the problem. In studies by Columbia University academics Daniel Ames and Abbie Wazlawek, people on the receiving end of strategic umbrage were more likely to rate themselves as overassertive, even when the counterpart didnďż˝t think so.3 The real lesson here is being aware of how this might be used on you. Please donďż˝t allow yourself to fall victim to ďż˝strategic umbrage.ďż˝ -Threats delivered without anger but with “poise”—that is, confidence and self-control—are great tools. Saying, “I’m sorry that just doesn’t work for me,” with poise, works. +Threats delivered without anger but with ďż˝poise��that is, confidence and self-controlďż˝are great tools. Saying, ďż˝Iďż˝m sorry that just doesnďż˝t work for me,ďż˝ with poise, works. -“WHY” QUESTIONS +ďż˝WHYďż˝ QUESTIONS -Back in Chapter 7, I talked about the problems with “Why?” Across our planet and around the universe, “Why?” makes people defensive. +Back in Chapter 7, I talked about the problems with ďż˝Why?ďż˝ Across our planet and around the universe, ďż˝Why?ďż˝ makes people defensive. -As an experiment, the next time your boss wants something done ask him or her “Why?” and watch what happens. Then try it with a peer, a subordinate, and a friend. Observe their reactions and tell me if you don’t find some level of defensiveness across the spectrum. Don’t do this too much, though, or you’ll lose your job and all your friends. +As an experiment, the next time your boss wants something done ask him or her ďż˝Why?ďż˝ and watch what happens. Then try it with a peer, a subordinate, and a friend. Observe their reactions and tell me if you donďż˝t find some level of defensiveness across the spectrum. Donďż˝t do this too much, though, or youďż˝ll lose your job and all your friends. -The only time I say, “Why did you do that?” in a negotiation is when I want to knock someone back. It’s an iffy technique, though, and I wouldn’t advocate it. +The only time I say, ďż˝Why did you do that?ďż˝ in a negotiation is when I want to knock someone back. Itďż˝s an iffy technique, though, and I wouldnďż˝t advocate it. -There is, however, another way to use “Why?” effectively. The idea is to employ the defensiveness the question triggers to get your counterpart to defend your position. +There is, however, another way to use ďż˝Why?ďż˝ effectively. The idea is to employ the defensiveness the question triggers to get your counterpart to defend your position. -I know it sounds weird, but it works. The basic format goes like this: When you want to flip a dubious counterpart to your side, ask them, “Why would you do that?” but in a way that the “that” favors you. Let me explain. If you are working to lure a client away from a competitor, you might say, “Why would you ever do business with me? Why would you ever change from your existing supplier? They’re great!” +I know it sounds weird, but it works. The basic format goes like this: When you want to flip a dubious counterpart to your side, ask them, ďż˝Why would you do that?ďż˝ but in a way that the ďż˝thatďż˝ favors you. Let me explain. If you are working to lure a client away from a competitor, you might say, ďż˝Why would you ever do business with me? Why would you ever change from your existing supplier? Theyďż˝re great!ďż˝ -In these questions, the “Why?” coaxes your counterpart into working for you. +In these questions, the ďż˝Why?ďż˝ coaxes your counterpart into working for you. -“I” MESSAGES +ďż˝Iďż˝ MESSAGES Using the first-person singular pronoun is another great way to set a boundary without escalating into confrontation. -When you say, “I’m sorry, that doesn’t work for me,” the word “I” strategically focuses your counterpart’s attention onto you long enough for you to make a point. +When you say, ďż˝Iďż˝m sorry, that doesnďż˝t work for me,ďż˝ the word ďż˝Iďż˝ strategically focuses your counterpartďż˝s attention onto you long enough for you to make a point. -The traditional “I” message is to use “I” to hit the pause button and step out of a bad dynamic. When you want to counteract unproductive statements from your counterpart, you can say, “I feel ___ when you ___ because ___,” and that demands a time-out from the other person. +The traditional ďż˝Iďż˝ message is to use ďż˝Iďż˝ to hit the pause button and step out of a bad dynamic. When you want to counteract unproductive statements from your counterpart, you can say, ďż˝I feel ___ when you ___ because ___,ďż˝ and that demands a time-out from the other person. -But be careful with the big “I”: You have to be mindful not to use a tone that is aggressive or creates an argument. It’s got to be cool and level. +But be careful with the big ďż˝Iďż˝: You have to be mindful not to use a tone that is aggressive or creates an argument. Itďż˝s got to be cool and level. NO NEEDINESS: HAVING THE READY-TO-WALK MINDSET -We’ve said previously that no deal is better than a bad deal. If you feel you can’t say “No” then you’ve taken yourself hostage. +Weďż˝ve said previously that no deal is better than a bad deal. If you feel you canďż˝t say ďż˝Noďż˝ then youďż˝ve taken yourself hostage. -Once you’re clear on what your bottom line is, you have to be willing to walk away. Never be needy for a deal. +Once youďż˝re clear on what your bottom line is, you have to be willing to walk away. Never be needy for a deal. -Before we move on, I want to emphasize how important it is to maintain a collaborative relationship even when you’re setting boundaries. Your response must always be expressed in the form of strong, yet empathic, limit-setting boundaries—that is, tough love—not as hatred or violence. Anger and other strong emotions can on rare occasions be effective. But only as calculated acts, never a personal attack. In any bare-knuckle bargaining session, the most vital principle to keep in mind is never to look at your counterpart as an enemy. +Before we move on, I want to emphasize how important it is to maintain a collaborative relationship even when youďż˝re setting boundaries. Your response must always be expressed in the form of strong, yet empathic, limit-setting boundariesďż˝that is, tough loveďż˝not as hatred or violence. Anger and other strong emotions can on rare occasions be effective. But only as calculated acts, never a personal attack. In any bare-knuckle bargaining session, the most vital principle to keep in mind is never to look at your counterpart as an enemy. The person across the table is never the problem. The unsolved issue is. So focus on the issue. This is one of the most basic tactics for avoiding emotional escalations. Our culture demonizes people in movies and politics, which creates the mentality that if we only got rid of the person then everything would be okay. But this dynamic is toxic to any negotiation. -Punching back is a last resort. Before you go there, I always suggest an attempt at de-escalating the situation. Suggest a time-out. When your counterparts step back and take a breath, they’ll no longer feel that they are hostage to a bad situation. They’ll regain a sense of agency and power. And they’ll appreciate you for that. +Punching back is a last resort. Before you go there, I always suggest an attempt at de-escalating the situation. Suggest a time-out. When your counterparts step back and take a breath, theyďż˝ll no longer feel that they are hostage to a bad situation. Theyďż˝ll regain a sense of agency and power. And theyďż˝ll appreciate you for that. -Think of punching back and boundary-setting tactics as a flattened S-curve: you’ve accelerated up the slope of a negotiation and hit a plateau that requires you to temporarily stop any progress, escalate or de-escalate the issue acting as the obstacle, and eventually bring the relationship back to a state of rapport and get back on the slope. Taking a positive, constructive approach to conflict involves understanding that the bond is fundamental to any resolution. Never create an enemy. +Think of punching back and boundary-setting tactics as a flattened S-curve: youďż˝ve accelerated up the slope of a negotiation and hit a plateau that requires you to temporarily stop any progress, escalate or de-escalate the issue acting as the obstacle, and eventually bring the relationship back to a state of rapport and get back on the slope. Taking a positive, constructive approach to conflict involves understanding that the bond is fundamental to any resolution. Never create an enemy. ACKERMAN BARGAINING -I’ve spent a lot of time talking about the psychological judo that I’ve made my stock in trade: the calibrated questions, the mirrors, the tools for knocking my counterpart off his game and getting him to bid against himself. +Iďż˝ve spent a lot of time talking about the psychological judo that Iďż˝ve made my stock in trade: the calibrated questions, the mirrors, the tools for knocking my counterpart off his game and getting him to bid against himself. -But negotiation still comes down to determining who gets which slice of the pie, and from time to time you’re going to be forced into some real bare-knuckle bargaining with a hard-ass haggler. +But negotiation still comes down to determining who gets which slice of the pie, and from time to time youďż˝re going to be forced into some real bare-knuckle bargaining with a hard-ass haggler. -I faced bare-knuckle bargaining all the time in the hostage world. I haggled with a lot of guys who stuck to their game plan and were used to getting their way. “Pay or we’ll kill,” they’d say, and they meant it. You had to have your skills drum-tight to negotiate them down. You need tools. +I faced bare-knuckle bargaining all the time in the hostage world. I haggled with a lot of guys who stuck to their game plan and were used to getting their way. ďż˝Pay or weďż˝ll kill,ďż˝ theyďż˝d say, and they meant it. You had to have your skills drum-tight to negotiate them down. You need tools. Back at FBI negotiation training, I learned the haggling system that I use to this day. And I swear by it. -I call the system the Ackerman model because it came from this guy Mike Ackerman, an ex-CIA type who founded a kidnap-for-ransom consulting company based out of Miami. On many kidnappings we’d constantly be paired with “Ackerman guys”—never Mike himself—who helped design the haggle. +I call the system the Ackerman model because it came from this guy Mike Ackerman, an ex-CIA type who founded a kidnap-for-ransom consulting company based out of Miami. On many kidnappings weďż˝d constantly be paired with ďż˝Ackerman guys��never Mike himselfďż˝who helped design the haggle. -After I retired from the FBI, I finally met Mike on a trip to Miami. When I told him I also used the system for business negotiations, he laughed and said he’d run the system by Howard Raiffa, a legendary Harvard negotiation guy, and Howard had said it would work in any situation. So I felt pretty justified by that. +After I retired from the FBI, I finally met Mike on a trip to Miami. When I told him I also used the system for business negotiations, he laughed and said heďż˝d run the system by Howard Raiffa, a legendary Harvard negotiation guy, and Howard had said it would work in any situation. So I felt pretty justified by that. The Ackerman model is an offer-counteroffer method, at least on the surface. But it is a very effective system for beating the usual lackluster bargaining dynamic, which has the predictable result of meeting in the middle. @@ -3403,41 +3325,41 @@ The systematized and easy-to-remember process has only four steps: 3.Calculate three raises of decreasing increments (to 85, 95, and 100 percent). -4.Use lots of empathy and different ways of saying “No” to get the other side to counter before you increase your offer. +4.Use lots of empathy and different ways of saying ďż˝Noďż˝ to get the other side to counter before you increase your offer. 5.When calculating the final amount, use precise, nonround numbers like, say, $37,893 rather than $38,000. It gives the number credibility and weight. -6.On your final number, throw in a nonmonetary item (that they probably don’t want) to show you’re at your limit. +6.On your final number, throw in a nonmonetary item (that they probably donďż˝t want) to show youďż˝re at your limit. -The genius of this system is that it incorporates the psychological tactics we’ve discussed—reciprocity, extreme anchors, loss aversion, and so on—without you needing to think about them. +The genius of this system is that it incorporates the psychological tactics weďż˝ve discussedďż˝reciprocity, extreme anchors, loss aversion, and so onďż˝without you needing to think about them. -If you’ll bear with me for a moment, I’ll go over the steps so you see what I mean. +If youďż˝ll bear with me for a moment, Iďż˝ll go over the steps so you see what I mean. First, the original offer of 65 percent of your target price will set an extreme anchor, a big slap in the face that might bring your counterpart right to their price limit. The shock of an extreme anchor will induce a fight-or-flight reaction in all but the most experienced negotiators, limiting their cognitive abilities and pushing them into rash action. -Now look at the progressive offer increases to 85, 95, and 100 percent of the target price. You’re going to drop these in sparingly: after the counterpart has made another offer on their end, and after you’ve thrown out a few calibrated questions to see if you can bait them into bidding against themselves. +Now look at the progressive offer increases to 85, 95, and 100 percent of the target price. Youďż˝re going to drop these in sparingly: after the counterpart has made another offer on their end, and after youďż˝ve thrown out a few calibrated questions to see if you can bait them into bidding against themselves. When you make these offers, they work on various levels. First, they play on the norm of reciprocity; they inspire your counterpart to make a concession, too. Just like people are more likely to send Christmas cards to people who first send cards to them, they are more likely to make bargaining concessions to those who have made compromises in their direction. -Second, the diminishing size of the increases—notice that they decrease by half each time—convinces your counterpart that he’s squeezing you to the point of breaking. By the time they get to the last one, they’ll feel that they’ve really gotten every last drop. +Second, the diminishing size of the increasesďż˝notice that they decrease by half each timeďż˝convinces your counterpart that heďż˝s squeezing you to the point of breaking. By the time they get to the last one, theyďż˝ll feel that theyďż˝ve really gotten every last drop. -This really juices their self-esteem. Researchers have found that people getting concessions often feel better about the bargaining process than those who are given a single firm, “fair” offer. In fact, they feel better even when they end up paying more—or receiving less—than they otherwise might. +This really juices their self-esteem. Researchers have found that people getting concessions often feel better about the bargaining process than those who are given a single firm, ďż˝fairďż˝ offer. In fact, they feel better even when they end up paying moreďż˝or receiving lessďż˝than they otherwise might. Finally, the power of nonround numbers bears reiterating. Back in Haiti, I used to use the Ackerman system ferociously. Over eighteen months we got two or three kidnappings a week, so from experience, we knew the market prices were $15,000 to $75,000 per victim. Because I was a hard-ass, I made it my goal to get in under $5,000 in every kidnapping that I ran. -One really stands out, the first one I mentioned in this book. I went through the Ackerman process, knocking them off their game with an extreme anchor, hitting them with calibrated questions, and slowly gave progressively smaller concessions. Finally, I dropped the weird number that closed the deal. I’ll never forget the head of the Miami FBI office calling my colleague the next day and saying, “Voss got this guy out for $4,751? How does $1 make a difference?” +One really stands out, the first one I mentioned in this book. I went through the Ackerman process, knocking them off their game with an extreme anchor, hitting them with calibrated questions, and slowly gave progressively smaller concessions. Finally, I dropped the weird number that closed the deal. Iďż˝ll never forget the head of the Miami FBI office calling my colleague the next day and saying, ďż˝Voss got this guy out for $4,751? How does $1 make a difference?ďż˝ -They were howling with laughter, and they had a point. That $1 is ridiculous. But it works on our human nature. Notice that you can’t buy anything for $2, but you can buy a million things for $1.99. How does a cent change anything? It doesn’t. But it makes a difference every time. We just like $1.99 more than $2.00 even if we know it’s a trick. +They were howling with laughter, and they had a point. That $1 is ridiculous. But it works on our human nature. Notice that you canďż˝t buy anything for $2, but you can buy a million things for $1.99. How does a cent change anything? It doesnďż˝t. But it makes a difference every time. We just like $1.99 more than $2.00 even if we know itďż˝s a trick. NEGOTIATING A RENT CUT AFTER RECEIVING NOTICE OF AN INCREASE Eight months after a Georgetown MBA student of mine named Mishary signed a rental contract for $1,850/month, he got some unwelcome news: his landlord informed him that if he wanted to re-up, it would be $2,100/month for ten months, or $2,000/month for a year. -Mishary loved the place and didn’t think he’d find a better one, but the price was already high and he couldn’t afford more. +Mishary loved the place and didnďż˝t think heďż˝d find a better one, but the price was already high and he couldnďż˝t afford more. -Taking to heart our class slogan, “You fall to your highest level of preparation,” he dove into the real estate listings and found that prices for comparable apartments were $1,800–$1,950/month, but none of them were in as good a building. He then examined his own finances and figured the rent he wanted to pay was $1,830. +Taking to heart our class slogan, ďż˝You fall to your highest level of preparation,ďż˝ he dove into the real estate listings and found that prices for comparable apartments were $1,800ďż˝$1,950/month, but none of them were in as good a building. He then examined his own finances and figured the rent he wanted to pay was $1,830. He requested a sit-down with his rental agent. @@ -3445,81 +3367,81 @@ This was going to be tough. At their meeting, Mishary laid out his situation. His experience in the building had been really positive, he said. And, he pointed out, he always paid on time. It would be sad for him to leave, he said, and sad for the landlord to lose a good tenant. The agent nodded. -“Totally in agreement,” he said. “That’s why I think it will benefit both of us to agree on renewing the lease.” +ďż˝Totally in agreement,ďż˝ he said. ďż˝Thatďż˝s why I think it will benefit both of us to agree on renewing the lease.ďż˝ -Here Mishary pulled out his research: buildings around the neighborhood were offering “much” lower prices, he said. “Even though your building is better in terms of location and services, how am I supposed to pay $200 extra?” +Here Mishary pulled out his research: buildings around the neighborhood were offering ďż˝muchďż˝ lower prices, he said. ďż˝Even though your building is better in terms of location and services, how am I supposed to pay $200 extra?ďż˝ The negotiation was on. -The agent went silent for a few moments and then said, “You make a good point, but this is still a good price. And as you noted, we can charge a premium.” +The agent went silent for a few moments and then said, ďż˝You make a good point, but this is still a good price. And as you noted, we can charge a premium.ďż˝ Mishary then dropped an extreme anchor. -“I fully understand, you do have a better location and amenities. But I’m sorry, I just can’t,” he said. “Would $1,730 a month for a year lease sound fair to you?” +ďż˝I fully understand, you do have a better location and amenities. But Iďż˝m sorry, I just canďż˝t,ďż˝ he said. ďż˝Would $1,730 a month for a year lease sound fair to you?ďż˝ The agent laughed and when he finished said there was no way to accept that number, because it was way below market price. Instead of getting pulled into a haggle, Mishary smartly pivoted to calibrated questions. -“Okay, so please help me understand: how do you price lease renewals?” +ďż˝Okay, so please help me understand: how do you price lease renewals?ďż˝ -The agent didn’t say anything shocking—merely that they used factors like area prices and supply-and-demand—but that gave Mishary the opening to argue that his leaving would open the landlord to the risk of having an unrented apartment and the cost of repainting. One month unrented would be a $2,000 loss, he said. +The agent didnďż˝t say anything shockingďż˝merely that they used factors like area prices and supply-and-demandďż˝but that gave Mishary the opening to argue that his leaving would open the landlord to the risk of having an unrented apartment and the cost of repainting. One month unrented would be a $2,000 loss, he said. -Then he made another offer. Now, you’re probably shaking your head that he’s making two offers without receiving one in return. And you’re right; normally that’s verboten. But you have to be able to improvise. If you feel in control of a negotiation, you can do two or three moves at a time. Don’t let the rules ruin the flow. +Then he made another offer. Now, youďż˝re probably shaking your head that heďż˝s making two offers without receiving one in return. And youďż˝re right; normally thatďż˝s verboten. But you have to be able to improvise. If you feel in control of a negotiation, you can do two or three moves at a time. Donďż˝t let the rules ruin the flow. -“Let me try and move along with you: how about $1,790 for 12 months?” +ďż˝Let me try and move along with you: how about $1,790 for 12 months?ďż˝ The agent paused. -“Sir, I understand your concerns, and what you said makes sense,” he said. “Your number, though, is very low. However, give me time to think this out and we can meet at another time. How does that sound?” +ďż˝Sir, I understand your concerns, and what you said makes sense,ďż˝ he said. ďż˝Your number, though, is very low. However, give me time to think this out and we can meet at another time. How does that sound?ďż˝ Remember, any response that is not an outright rejection means you have the edge. Five days later the two met again. -“I ran the numbers, and believe me this is a good deal,” the agent started. “I am able to offer you $1,950 a month for a year.” +ďż˝I ran the numbers, and believe me this is a good deal,ďż˝ the agent started. ďż˝I am able to offer you $1,950 a month for a year.ďż˝ -Mishary knew he’d won. The agent just needed a little push. So he praised the agent and said no without saying, “No.” And notice how he brilliantly mislabels in order to get the guy to open up? +Mishary knew heďż˝d won. The agent just needed a little push. So he praised the agent and said no without saying, ďż˝No.ďż˝ And notice how he brilliantly mislabels in order to get the guy to open up? -“That is generous of you, but how am I supposed to accept it when I can move a few blocks away and stay for $1,800? A hundred and fifty dollars a month means a lot to me. You know I am a student. I don’t know, it seems like you would rather run the risk of keeping the place unrented.” +ďż˝That is generous of you, but how am I supposed to accept it when I can move a few blocks away and stay for $1,800? A hundred and fifty dollars a month means a lot to me. You know I am a student. I donďż˝t know, it seems like you would rather run the risk of keeping the place unrented.ďż˝ -“It’s not that,” the agent answered. “But I can’t give you a number lower than the market.” +ďż˝Itďż˝s not that,ďż˝ the agent answered. ďż˝But I canďż˝t give you a number lower than the market.ďż˝ Mishary made a dramatic pause, as if the agent was extracting every cent he had. -“Then I tell you what, I initially went up from $1,730 to $1,790,” he said, sighing. “I will bring it up to $1,810. And I think this works well for both.” +ďż˝Then I tell you what, I initially went up from $1,730 to $1,790,ďż˝ he said, sighing. ďż˝I will bring it up to $1,810. And I think this works well for both.ďż˝ The agent shook his head. -“This is still lower than the market, sir. And I cannot do that.” +ďż˝This is still lower than the market, sir. And I cannot do that.ďż˝ Mishary then prepared to give the last of his Ackerman offers. He went silent for a while and then asked the agent for a pen and paper. Then he started doing fake calculations to seem like he was really pushing himself. -Finally, he looked up at the agent and said, “I did some numbers, and the maximum I can afford is $1,829.” +Finally, he looked up at the agent and said, ďż˝I did some numbers, and the maximum I can afford is $1,829.ďż˝ The agent bobbed his head from side to side, as if getting his mind around the offer. At last, he spoke. -“Wow. $1,829,” he said. “You seem very precise. You must be an accountant. [Mishary was not.] Listen, I value you wanting to renew with us and for that I think we can make this work for a twelve-month lease.” +ďż˝Wow. $1,829,ďż˝ he said. ďż˝You seem very precise. You must be an accountant. [Mishary was not.] Listen, I value you wanting to renew with us and for that I think we can make this work for a twelve-month lease.ďż˝ -Ka-ching! Notice this brilliant combination of decreasing Ackerman offers, nonround numbers, deep research, smart labeling, and saying no without saying “No”? That’s what gets you a rent discount when a landlord wanted to raise his monthly take. +Ka-ching! Notice this brilliant combination of decreasing Ackerman offers, nonround numbers, deep research, smart labeling, and saying no without saying ďż˝Noďż˝? Thatďż˝s what gets you a rent discount when a landlord wanted to raise his monthly take. KEY LESSONS -When push comes to shove—and it will—you’re going to find yourself sitting across the table from a bare-knuckle negotiator. After you’ve finished all the psychologically nuanced stuff—the labeling and mirroring and calibrating—you are going to have to hash out the “brass tacks.” +When push comes to shoveďż˝and it willďż˝youďż˝re going to find yourself sitting across the table from a bare-knuckle negotiator. After youďż˝ve finished all the psychologically nuanced stuffďż˝the labeling and mirroring and calibratingďż˝you are going to have to hash out the ďż˝brass tacks.ďż˝ -For most of us, that ain’t fun. +For most of us, that ainďż˝t fun. Top negotiators know, however, that conflict is often the path to great deals. And the best find ways to actually have fun engaging in it. Conflict brings out truth, creativity, and resolution. So the next time you find yourself face-to-face with a bare-knuckle bargainer, remember the lessons in this chapter. -¦Identify your counterpart’s negotiating style. Once you know whether they are Accommodator, Assertive, or Analyst, you’ll know the correct way to approach them. +ďż˝Identify your counterpartďż˝s negotiating style. Once you know whether they are Accommodator, Assertive, or Analyst, youďż˝ll know the correct way to approach them. -¦Prepare, prepare, prepare. When the pressure is on, you don’t rise to the occasion; you fall to your highest level of preparation. So design an ambitious but legitimate goal and then game out the labels, calibrated questions, and responses you’ll use to get there. That way, once you’re at the bargaining table, you won’t have to wing it. +ďż˝Prepare, prepare, prepare. When the pressure is on, you donďż˝t rise to the occasion; you fall to your highest level of preparation. So design an ambitious but legitimate goal and then game out the labels, calibrated questions, and responses youďż˝ll use to get there. That way, once youďż˝re at the bargaining table, you wonďż˝t have to wing it. -¦Get ready to take a punch. Kick-ass negotiators usually lead with an extreme anchor to knock you off your game. If you’re not ready, you’ll flee to your maximum without a fight. So prepare your dodging tactics to avoid getting sucked into the compromise trap. +ďż˝Get ready to take a punch. Kick-ass negotiators usually lead with an extreme anchor to knock you off your game. If youďż˝re not ready, youďż˝ll flee to your maximum without a fight. So prepare your dodging tactics to avoid getting sucked into the compromise trap. -¦Set boundaries, and learn to take a punch or punch back, without anger. The guy across the table is not the problem; the situation is. +ďż˝Set boundaries, and learn to take a punch or punch back, without anger. The guy across the table is not the problem; the situation is. -¦Prepare an Ackerman plan. Before you head into the weeds of bargaining, you’ll need a plan of extreme anchor, calibrated questions, and well-defined offers. Remember: 65, 85, 95, 100 percent. Decreasing raises and ending on nonround numbers will get your counterpart to believe that he’s squeezing you for all you’re worth when you’re really getting to the number you want. +ďż˝Prepare an Ackerman plan. Before you head into the weeds of bargaining, youďż˝ll need a plan of extreme anchor, calibrated questions, and well-defined offers. Remember: 65, 85, 95, 100 percent. Decreasing raises and ending on nonround numbers will get your counterpart to believe that heďż˝s squeezing you for all youďż˝re worth when youďż˝re really getting to the number you want. @@ -3531,19 +3453,19 @@ CHAPTER 10 FIND THE BLACK SWAN -At 11:30 a.m. on June 17, 1981, a beautiful 70-degree spring day with an insistent westerly breeze, thirty-seven-year-old William Griffin left the second-floor bedroom where he lived in his parent’s Rochester, New York, home and trod down the shoe-buffed stairs that led to their meticulous living room. +At 11:30 a.m. on June 17, 1981, a beautiful 70-degree spring day with an insistent westerly breeze, thirty-seven-year-old William Griffin left the second-floor bedroom where he lived in his parentďż˝s Rochester, New York, home and trod down the shoe-buffed stairs that led to their meticulous living room. At the bottom he stopped, paused, and then, without a word of warning, shot off three shotgun blasts that killed his mother and a handyman who was hanging wallpaper and critically wounded his stepfather. The sound reverberated in the enclosed space. Griffin then left the house and shot a workman and two bystanders as he jogged two blocks to the Security Trust Company, a neighborhood bank. Seconds after he entered, people began sprinting from the bank as Griffin took nine bank employees hostage and ordered the customers to leave. -For the next three and a half hours, Griffin led police and FBI agents in a violent standoff in which he shot and wounded the first two police officers who responded to the bank’s silent alarm, and shot six people who happened to be walking near the bank. Griffin shot off so many rounds—more than one hundred in all—that the police used a garbage truck to shield one officer as he was being rescued. +For the next three and a half hours, Griffin led police and FBI agents in a violent standoff in which he shot and wounded the first two police officers who responded to the bankďż˝s silent alarm, and shot six people who happened to be walking near the bank. Griffin shot off so many roundsďż˝more than one hundred in allďż˝that the police used a garbage truck to shield one officer as he was being rescued. Waving the nine bank employees into a small office at 2:30 p.m., Griffin told the manager to call the police and deliver a message. -Outside, FBI agent Clint Van Zandt stood by while Rochester police officer Jim O’Brien picked up the phone. +Outside, FBI agent Clint Van Zandt stood by while Rochester police officer Jim Oďż˝Brien picked up the phone. -“Either you come to the front entrance doors of the bank at three o’clock and have a shoot-out with him in the parking lot,” the manager blurted through her tears, “or he’s going to start killing hostages and throwing out bodies.” +ďż˝Either you come to the front entrance doors of the bank at three oďż˝clock and have a shoot-out with him in the parking lot,ďż˝ the manager blurted through her tears, ďż˝or heďż˝s going to start killing hostages and throwing out bodies.ďż˝ Then the line went dead. @@ -3551,71 +3473,71 @@ Now, never in the history of the United States had a hostage-taker killed a host But that permanent and inalterable truth was about to change. -What came next showed the power of Black Swans, those hidden and unexpected pieces of information—those unknown unknowns—whose unearthing has game-changing effects on a negotiation dynamic. +What came next showed the power of Black Swans, those hidden and unexpected pieces of informationďż˝those unknown unknownsďż˝whose unearthing has game-changing effects on a negotiation dynamic. -Negotiation breakthroughs—when the game shifts inalterably in your favor—are created by those who can identify and utilize Black Swans. +Negotiation breakthroughsďż˝when the game shifts inalterably in your favorďż˝are created by those who can identify and utilize Black Swans. -Here’s how. +Hereďż˝s how. FINDING LEVERAGE IN THE PREDICTABLY UNPREDICTABLE At exactly 3 p.m., Griffin gestured toward one of his hostages, a twenty-nine-year-old teller named Margaret Moore, and told her to walk to the glass bank doors. Petrified, Moore did as she was ordered, but first cried out that she was a single parent with a young son. -Griffin didn’t seem to hear her, or to care. Once the weeping Moore made it to the vestibule, Griffin shot off two blasts from his twelve-gauge shotgun. Both of the heavy rounds struck Moore in the midsection, violently blowing her through the glass door and almost cutting her body in half. +Griffin didnďż˝t seem to hear her, or to care. Once the weeping Moore made it to the vestibule, Griffin shot off two blasts from his twelve-gauge shotgun. Both of the heavy rounds struck Moore in the midsection, violently blowing her through the glass door and almost cutting her body in half. -Outside, law enforcement was stunned into silence. It was obvious that Griffin didn’t want money or respect or an escape route. The only way he was coming out was in a body bag. +Outside, law enforcement was stunned into silence. It was obvious that Griffin didnďż˝t want money or respect or an escape route. The only way he was coming out was in a body bag. -At that moment, Griffin walked over to a full-length bank window and pressed his body against the glass. He was in full view of a sniper stationed in the church across the street. Griffin knew quite well the sniper was there; earlier in the day he’d shot at him. +At that moment, Griffin walked over to a full-length bank window and pressed his body against the glass. He was in full view of a sniper stationed in the church across the street. Griffin knew quite well the sniper was there; earlier in the day heďż˝d shot at him. -Less than a second after Griffin’s silhouette appeared in his scope, the sniper pulled the trigger. +Less than a second after Griffinďż˝s silhouette appeared in his scope, the sniper pulled the trigger. Griffin crumpled to the floor, dead. -Black Swan theory tells us that things happen that were previously thought to be impossible—or never thought of at all. This is not the same as saying that sometimes things happen against one-in-a-million odds, but rather that things never imagined do come to pass. +Black Swan theory tells us that things happen that were previously thought to be impossibleďż˝or never thought of at all. This is not the same as saying that sometimes things happen against one-in-a-million odds, but rather that things never imagined do come to pass. -The idea of the Black Swan was popularized by risk analyst Nassim Nicholas Taleb in his bestselling books Fooled by Randomness (2001)1 and The Black Swan (2007),2 but the term goes back much further. Until the seventeenth century, people could only imagine white swans because all swans ever seen had possessed white feathers. In seventeenth-century London it was common to refer to impossible things as “Black Swans.” +The idea of the Black Swan was popularized by risk analyst Nassim Nicholas Taleb in his bestselling books Fooled by Randomness (2001)1 and The Black Swan (2007),2 but the term goes back much further. Until the seventeenth century, people could only imagine white swans because all swans ever seen had possessed white feathers. In seventeenth-century London it was common to refer to impossible things as ďż˝Black Swans.ďż˝ -But then the Dutch explorer Willem de Vlamingh went to western Australia in 1697—and saw a black swan. Suddenly the unthinkable and unthought was real. People had always predicted that the next swan they saw would be white, but the discovery of black swans shattered this worldview. +But then the Dutch explorer Willem de Vlamingh went to western Australia in 1697ďż˝and saw a black swan. Suddenly the unthinkable and unthought was real. People had always predicted that the next swan they saw would be white, but the discovery of black swans shattered this worldview. Black Swans are just a metaphor, of course. Think of Pearl Harbor, the rise of the Internet, 9/11, and the recent banking crisis. -None of the events above was predicted—yet on reflection, the markers were all there. It’s just that people weren’t paying attention. +None of the events above was predictedďż˝yet on reflection, the markers were all there. Itďż˝s just that people werenďż˝t paying attention. As Taleb uses the term, the Black Swan symbolizes the uselessness of predictions based on previous experience. Black Swans are events or pieces of knowledge that sit outside our regular expectations and therefore cannot be predicted. -This is a crucial concept in negotiation. In every negotiating session, there are different kinds of information. There are those things we know, like our counterpart’s name and their offer and our experiences from other negotiations. Those are known knowns. There are those things we are certain that exist but we don’t know, like the possibility that the other side might get sick and leave us with another counterpart. Those are known unknowns and they are like poker wild cards; you know they’re out there but you don’t know who has them. But most important are those things we don’t know that we don’t know, pieces of information we’ve never imagined but that would be game changing if uncovered. Maybe our counterpart wants the deal to fail because he’s leaving for a competitor. +This is a crucial concept in negotiation. In every negotiating session, there are different kinds of information. There are those things we know, like our counterpartďż˝s name and their offer and our experiences from other negotiations. Those are known knowns. There are those things we are certain that exist but we donďż˝t know, like the possibility that the other side might get sick and leave us with another counterpart. Those are known unknowns and they are like poker wild cards; you know theyďż˝re out there but you donďż˝t know who has them. But most important are those things we donďż˝t know that we donďż˝t know, pieces of information weďż˝ve never imagined but that would be game changing if uncovered. Maybe our counterpart wants the deal to fail because heďż˝s leaving for a competitor. These unknown unknowns are Black Swans. -With their known knowns and prior expectations so firmly guiding their approach, Van Zandt, and really, the entire FBI, were blind to the clues and connections that showed there was something outside of the predictable at play. They couldn’t see the Black Swans in front of them. +With their known knowns and prior expectations so firmly guiding their approach, Van Zandt, and really, the entire FBI, were blind to the clues and connections that showed there was something outside of the predictable at play. They couldnďż˝t see the Black Swans in front of them. -I don’t mean to single out Van Zandt here. He did all of law enforcement a service by highlighting this event and he told me and a room full of agents the story of that horrible June day during a training session at Quantico. It was an introduction to the suicide-by-cop phenomenon—when an individual deliberately creates a crisis situation to provoke a lethal response from law enforcement—but there was an even greater lesson at stake: the point of the story then, and now, was how important it is to recognize the unexpected to make sure things like Moore’s death never happen again. +I donďż˝t mean to single out Van Zandt here. He did all of law enforcement a service by highlighting this event and he told me and a room full of agents the story of that horrible June day during a training session at Quantico. It was an introduction to the suicide-by-cop phenomenonďż˝when an individual deliberately creates a crisis situation to provoke a lethal response from law enforcementďż˝but there was an even greater lesson at stake: the point of the story then, and now, was how important it is to recognize the unexpected to make sure things like Mooreďż˝s death never happen again. -On that day in June 1981, O’Brien kept calling the bank, but each time the bank employee who answered quickly hung up. It was at that moment they should have realized the situation was outside the known. Hostage-takers always talked because they always had demands; they always wanted to be heard, respected, and paid. +On that day in June 1981, Oďż˝Brien kept calling the bank, but each time the bank employee who answered quickly hung up. It was at that moment they should have realized the situation was outside the known. Hostage-takers always talked because they always had demands; they always wanted to be heard, respected, and paid. -But this guy didn’t. +But this guy didnďż˝t. Then, midway through the standoff, a police officer entered the command post with the news that a double homicide with a third person critically wounded had been reported a few blocks away. -“Do we need to know this?” Van Zandt said. “Is there a connection?” +ďż˝Do we need to know this?ďż˝ Van Zandt said. ďż˝Is there a connection?ďż˝ No one knew or found out in time. If they had, they might have uncovered a second Black Swan: that Griffin had already killed several people without making monetary demands. -And then, a few hours in, the hostage-taker had one of the hostages read a note to the police over the phone. Curiously, there were no demands. Instead, it was a rambling diatribe about Griffin’s life and the wrongs he’d endured. The note was so long and unfocused it was never read in its entirety. Because of this, one important line—another Black Swan—wasn’t registered: +And then, a few hours in, the hostage-taker had one of the hostages read a note to the police over the phone. Curiously, there were no demands. Instead, it was a rambling diatribe about Griffinďż˝s life and the wrongs heďż˝d endured. The note was so long and unfocused it was never read in its entirety. Because of this, one important lineďż˝another Black Swanďż˝wasnďż˝t registered: -“. . . after the police take my life . . .” +ďż˝. . . after the police take my life . . .ďż˝ -Because these Black Swans weren’t uncovered, Van Zandt and his colleagues never saw the situation for what it was: Griffin wanted to die, and he wanted the police to do it for him. +Because these Black Swans werenďż˝t uncovered, Van Zandt and his colleagues never saw the situation for what it was: Griffin wanted to die, and he wanted the police to do it for him. -Nothing like this—a shootout on a deadline?—had ever happened to the FBI, so they tried to fit the information into what had happened in the past. Into the old templates. They wondered, What does he actually want? After scaring them for a bit, they expected Griffin to pick up the phone and start a dialogue. No one gets killed on deadline. +Nothing like thisďż˝a shootout on a deadline?ďż˝had ever happened to the FBI, so they tried to fit the information into what had happened in the past. Into the old templates. They wondered, What does he actually want? After scaring them for a bit, they expected Griffin to pick up the phone and start a dialogue. No one gets killed on deadline. Or so they thought. UNCOVERING UNKNOWN UNKNOWNS -The lesson of what happened at 3 p.m. on June 17, 1981, in Rochester, New York, was that when bits and pieces of a case don’t add up it’s usually because our frames of reference are off; they will never add up unless we break free of our expectations. +The lesson of what happened at 3 p.m. on June 17, 1981, in Rochester, New York, was that when bits and pieces of a case donďż˝t add up itďż˝s usually because our frames of reference are off; they will never add up unless we break free of our expectations. -Every case is new. We must let what we know—our known knowns—guide us but not blind us to what we do not know; we must remain flexible and adaptable to any situation; we must always retain a beginner’s mind; and we must never overvalue our experience or undervalue the informational and emotional realities served up moment by moment in whatever situation we face. +Every case is new. We must let what we knowďż˝our known knownsďż˝guide us but not blind us to what we do not know; we must remain flexible and adaptable to any situation; we must always retain a beginnerďż˝s mind; and we must never overvalue our experience or undervalue the informational and emotional realities served up moment by moment in whatever situation we face. But those were not the only important lessons of that tragic event. If an overreliance on known knowns can shackle a negotiator to assumptions that prevent him from seeing and hearing all that a situation presents, then perhaps an enhanced receptivity to the unknown unknowns can free that same negotiator to see and hear the things that can produce dramatic breakthroughs. @@ -3625,43 +3547,43 @@ My experience since has proven this to be true. Now, I should note here that this is not just a small tweak to negotiation technique. It is not coincidence that I embraced Black Swan as the name of my company and the symbol of our approach. -Finding and acting on Black Swans mandates a shift in your mindset. It takes negotiation from being a one-dimensional move-countermove game of checkers to a three-dimensional game that’s more emotional, adaptive, intuitive . . . and truly effective. +Finding and acting on Black Swans mandates a shift in your mindset. It takes negotiation from being a one-dimensional move-countermove game of checkers to a three-dimensional game thatďż˝s more emotional, adaptive, intuitive . . . and truly effective. -Finding Blacks Swans is no easy task, of course. We are all to some degree blind. We do not know what is around the corner until we turn it. By definition we do not know what we don’t know. +Finding Blacks Swans is no easy task, of course. We are all to some degree blind. We do not know what is around the corner until we turn it. By definition we do not know what we donďż˝t know. -That’s why I say that finding and understanding Black Swans requires a change of mindset. You have to open up your established pathways and embrace more intuitive and nuanced ways of listening. +Thatďż˝s why I say that finding and understanding Black Swans requires a change of mindset. You have to open up your established pathways and embrace more intuitive and nuanced ways of listening. -This is vital to people of all walks of life, from negotiators to inventors and marketers. What you don’t know can kill you, or your deal. But to find it out is incredibly difficult. The most basic challenge is that people don’t know the questions to ask the customer, the user . . . the counterpart. Unless correctly interrogated, most people aren’t able to articulate the information you want. The world didn’t tell Steve Jobs that it wanted an iPad: he uncovered our need, that Black Swan, without us knowing the information was there. +This is vital to people of all walks of life, from negotiators to inventors and marketers. What you donďż˝t know can kill you, or your deal. But to find it out is incredibly difficult. The most basic challenge is that people donďż˝t know the questions to ask the customer, the user . . . the counterpart. Unless correctly interrogated, most people arenďż˝t able to articulate the information you want. The world didnďż˝t tell Steve Jobs that it wanted an iPad: he uncovered our need, that Black Swan, without us knowing the information was there. -The problem is that conventional questioning and research techniques are designed to confirm known knowns and reduce uncertainty. They don’t dig into the unknown. +The problem is that conventional questioning and research techniques are designed to confirm known knowns and reduce uncertainty. They donďż˝t dig into the unknown. -Negotiations will always suffer from limited predictability. Your counterpart might tell you, “It’s a lovely plot of land,” without mentioning that it is also a Superfund site. They’ll say, “Are the neighbors noisy? Well, everyone makes a bit of noise, don’t they?” when the actual fact is that a heavy metal band practices there nightly. +Negotiations will always suffer from limited predictability. Your counterpart might tell you, ďż˝Itďż˝s a lovely plot of land,ďż˝ without mentioning that it is also a Superfund site. Theyďż˝ll say, ďż˝Are the neighbors noisy? Well, everyone makes a bit of noise, donďż˝t they?ďż˝ when the actual fact is that a heavy metal band practices there nightly. It is the person best able to unearth, adapt to, and exploit the unknowns that will come out on top. To uncover these unknowns, we must interrogate our world, must put out a call, and intensely listen to the response. Ask lots of questions. Read nonverbal clues and always voice your observations with your counterpart. -This is nothing beyond what you’ve been learning up to now. It is merely more intense and intuitive. You have to feel for the truth behind the camouflage; you have to note the small pauses that suggest discomfort and lies. Don’t look to verify what you expect. If you do, that’s what you’ll find. Instead, you must open yourself up to the factual reality that is in front of you. +This is nothing beyond what youďż˝ve been learning up to now. It is merely more intense and intuitive. You have to feel for the truth behind the camouflage; you have to note the small pauses that suggest discomfort and lies. Donďż˝t look to verify what you expect. If you do, thatďż˝s what youďż˝ll find. Instead, you must open yourself up to the factual reality that is in front of you. -This is why my company changed its format for preparing and engaging in a negotiation. No matter how much research our team has done prior to the interaction, we always ask ourselves, “Why are they communicating what they are communicating right now?” Remember, negotiation is more like walking on a tightrope than competing against an opponent. Focusing so much on the end objective will only distract you from the next step, and that can cause you to fall off the rope. Concentrate on the next step because the rope will lead you to the end as long as all the steps are completed. +This is why my company changed its format for preparing and engaging in a negotiation. No matter how much research our team has done prior to the interaction, we always ask ourselves, ďż˝Why are they communicating what they are communicating right now?ďż˝ Remember, negotiation is more like walking on a tightrope than competing against an opponent. Focusing so much on the end objective will only distract you from the next step, and that can cause you to fall off the rope. Concentrate on the next step because the rope will lead you to the end as long as all the steps are completed. Most people expect that Black Swans are highly proprietary or closely guarded information, when in fact the information may seem completely innocuous. Either side may be completely oblivious to its importance. Your counterpart always has pieces of information whose value they do not understand. THE THREE TYPES OF LEVERAGE -I’m going to come back to specific techniques for uncovering Black Swans, but first I’d like to examine what makes them so useful. +Iďż˝m going to come back to specific techniques for uncovering Black Swans, but first Iďż˝d like to examine what makes them so useful. The answer is leverage. Black Swans are leverage multipliers. They give you the upper hand. -Now, “leverage” is the magic word, but it’s also one of those concepts that negotiation experts casually throw about but rarely delve into, so I’d like to do so here. +Now, ďż˝leverageďż˝ is the magic word, but itďż˝s also one of those concepts that negotiation experts casually throw about but rarely delve into, so Iďż˝d like to do so here. -In theory, leverage is the ability to inflict loss and withhold gain. Where does your counterpart want to gain and what do they fear losing? Discover these pieces of information, we are told, and you’ll build leverage over the other side’s perceptions, actions, and decisions. In practice, where our irrational perceptions are our reality, loss and gain are slippery notions, and it often doesn’t matter what leverage actually exists against you; what really matters is the leverage they think you have on them. That’s why I say there’s always leverage: as an essentially emotional concept, it can be manufactured whether it exists or not. +In theory, leverage is the ability to inflict loss and withhold gain. Where does your counterpart want to gain and what do they fear losing? Discover these pieces of information, we are told, and youďż˝ll build leverage over the other sideďż˝s perceptions, actions, and decisions. In practice, where our irrational perceptions are our reality, loss and gain are slippery notions, and it often doesnďż˝t matter what leverage actually exists against you; what really matters is the leverage they think you have on them. Thatďż˝s why I say thereďż˝s always leverage: as an essentially emotional concept, it can be manufactured whether it exists or not. -If they’re talking to you, you have leverage. Who has leverage in a kidnapping? The kidnapper or the victim’s family? Most people think the kidnapper has all the leverage. Sure, the kidnapper has something you love, but you have something they lust for. Which is more powerful? Moreover, how many buyers do the kidnappers have for the commodity they are trying to sell? What business is successful if there’s only one buyer? +If theyďż˝re talking to you, you have leverage. Who has leverage in a kidnapping? The kidnapper or the victimďż˝s family? Most people think the kidnapper has all the leverage. Sure, the kidnapper has something you love, but you have something they lust for. Which is more powerful? Moreover, how many buyers do the kidnappers have for the commodity they are trying to sell? What business is successful if thereďż˝s only one buyer? -Leverage has a lot of inputs, like time and necessity and competition. If you need to sell your house now, you have less leverage than if you don’t have a deadline. If you want to sell it but don’t have to, you have more. And if various people are bidding on it at once, good on you. +Leverage has a lot of inputs, like time and necessity and competition. If you need to sell your house now, you have less leverage than if you donďż˝t have a deadline. If you want to sell it but donďż˝t have to, you have more. And if various people are bidding on it at once, good on you. -I should note that leverage isn’t the same thing as power. Donald Trump has tons of power, but if he’s stranded in a desert and the owner of the only store for miles has the water he wants, the vendor has the leverage. +I should note that leverage isnďż˝t the same thing as power. Donald Trump has tons of power, but if heďż˝s stranded in a desert and the owner of the only store for miles has the water he wants, the vendor has the leverage. One way to understand leverage is as a fluid that sloshes between the parties. As a negotiator you should always be aware of which side, at any given moment, feels they have the most to lose if negotiations collapse. The party who feels they have more to lose and are the most afraid of that loss has less leverage, and vice versa. To get leverage, you have to persuade your counterpart that they have something real to lose if the deal falls through. @@ -3669,41 +3591,41 @@ At a taxonomic level, there are three kinds: Positive, Negative, and Normative. POSITIVE LEVERAGE -Positive leverage is quite simply your ability as a negotiator to provide—or withhold—things that your counterpart wants. Whenever the other side says, “I want . . .” as in, “I want to buy your car,” you have positive leverage. +Positive leverage is quite simply your ability as a negotiator to provideďż˝or withholdďż˝things that your counterpart wants. Whenever the other side says, ďż˝I want . . .ďż˝ as in, ďż˝I want to buy your car,ďż˝ you have positive leverage. When they say that, you have power: you can make their desire come true; you can withhold it and thereby inflict pain; or you can use their desire to get a better deal with another party. -Here’s an example: +Hereďż˝s an example: -Three months after you’ve put your business on the market, a potential buyer finally tells you, “Yes, I’d like to buy it.” You’re thrilled, but a few days later your joy turns to disappointment when he delivers an offer so low it’s insulting. This is the only offer you have, so what do you do? +Three months after youďż˝ve put your business on the market, a potential buyer finally tells you, ďż˝Yes, Iďż˝d like to buy it.ďż˝ Youďż˝re thrilled, but a few days later your joy turns to disappointment when he delivers an offer so low itďż˝s insulting. This is the only offer you have, so what do you do? -Now, hopefully you’ve had contact with other buyers, even casually. If you have, you can use the offer to create a sense of competition, and thereby kick off a bidding war. At least you’ll force them to make a choice. +Now, hopefully youďż˝ve had contact with other buyers, even casually. If you have, you can use the offer to create a sense of competition, and thereby kick off a bidding war. At least youďż˝ll force them to make a choice. -But even if you don’t have other offers or the interested buyer is your first choice, you have more power than before your counterpart revealed his desire. You control what they want. That’s why experienced negotiators delay making offers—they don’t want to give up leverage. +But even if you donďż˝t have other offers or the interested buyer is your first choice, you have more power than before your counterpart revealed his desire. You control what they want. Thatďż˝s why experienced negotiators delay making offersďż˝they donďż˝t want to give up leverage. -Positive leverage should improve your psychology during negotiation. You’ve gone from a situation where you want something from the investor to a situation where you both want something from each other. +Positive leverage should improve your psychology during negotiation. Youďż˝ve gone from a situation where you want something from the investor to a situation where you both want something from each other. -Once you have it, you can then identify other things your opponent wants. Maybe he wants to buy your firm over time. Help him do that, if he’ll increase the price. Maybe his offer is all the money he has. Help him get what he wants—your business—by saying you can only sell him 75 percent for his offer. +Once you have it, you can then identify other things your opponent wants. Maybe he wants to buy your firm over time. Help him do that, if heďż˝ll increase the price. Maybe his offer is all the money he has. Help him get what he wantsďż˝your businessďż˝by saying you can only sell him 75 percent for his offer. NEGATIVE LEVERAGE -Negative leverage is what most civilians picture when they hear the word “leverage.” It’s a negotiator’s ability to make his counterpart suffer. And it is based on threats: you have negative leverage if you can tell your counterpart, “If you don’t fulfill your commitment/pay your bill/etc., I will destroy your reputation.” +Negative leverage is what most civilians picture when they hear the word ďż˝leverage.ďż˝ Itďż˝s a negotiatorďż˝s ability to make his counterpart suffer. And it is based on threats: you have negative leverage if you can tell your counterpart, ďż˝If you donďż˝t fulfill your commitment/pay your bill/etc., I will destroy your reputation.ďż˝ -This sort of leverage gets people’s attention because of a concept we’ve discussed: loss aversion. As effective negotiators have long known and psychologists have repeatedly proved, potential losses loom larger in the human mind than do similar gains. Getting a good deal may push us toward making a risky bet, but saving our reputation from destruction is a much stronger motivation. +This sort of leverage gets peopleďż˝s attention because of a concept weďż˝ve discussed: loss aversion. As effective negotiators have long known and psychologists have repeatedly proved, potential losses loom larger in the human mind than do similar gains. Getting a good deal may push us toward making a risky bet, but saving our reputation from destruction is a much stronger motivation. So what kind of Black Swans do you look to be aware of as negative leverage? Effective negotiators look for pieces of information, often obliquely revealed, that show what is important to their counterpart: Who is their audience? What signifies status and reputation to them? What most worries them? To find this information, one method is to go outside the negotiating table and speak to a third party that knows your counterpart. The most effective method is to gather it from interactions with your counterpart. That said, a word of warning: I do not believe in making direct threats and am extremely careful with even subtle ones. Threats can be like nuclear bombs. There will be a toxic residue that will be difficult to clean up. You have to handle the potential of negative consequences with care, or you will hurt yourself and poison or blow up the whole process. -If you shove your negative leverage down your counterpart’s throat, it might be perceived as you taking away their autonomy. People will often sooner die than give up their autonomy. They’ll at least act irrationally and shut off the negotiation. +If you shove your negative leverage down your counterpartďż˝s throat, it might be perceived as you taking away their autonomy. People will often sooner die than give up their autonomy. Theyďż˝ll at least act irrationally and shut off the negotiation. -A more subtle technique is to label your negative leverage and thereby make it clear without attacking. Sentences like “It seems like you strongly value the fact that you’ve always paid on time” or “It seems like you don’t care what position you are leaving me in” can really open up the negotiation process. +A more subtle technique is to label your negative leverage and thereby make it clear without attacking. Sentences like ďż˝It seems like you strongly value the fact that youďż˝ve always paid on timeďż˝ or ďż˝It seems like you donďż˝t care what position you are leaving me inďż˝ can really open up the negotiation process. NORMATIVE LEVERAGE Every person has a set of rules and a moral framework. -Normative leverage is using the other party’s norms and standards to advance your position. If you can show inconsistencies between their beliefs and their actions, you have normative leverage. No one likes to look like a hypocrite. +Normative leverage is using the other partyďż˝s norms and standards to advance your position. If you can show inconsistencies between their beliefs and their actions, you have normative leverage. No one likes to look like a hypocrite. For example, if your counterpart lets slip that they generally pay a certain multiple of cash flow when they buy a company, you can frame your desired price in a way that reflects that valuation. @@ -3715,147 +3637,147 @@ In March 2003 I led the negotiation with a farmer who became one of the most unl The drama started when Dwight Watson, a North Carolina tobacco grower, hooked up his jeep to a John Deere tractor festooned with banners and an inverted U.S. flag and towed it to Washington, D.C., to protest government policies he thought were putting tobacco farmers out of business. -When Watson got to the capital, he pulled his tractor into a pond between the Washington Monument and the Vietnam Veterans Memorial and threatened to blow it up with the “organophosphate” bombs he claimed were inside. +When Watson got to the capital, he pulled his tractor into a pond between the Washington Monument and the Vietnam Veterans Memorial and threatened to blow it up with the ďż˝organophosphateďż˝ bombs he claimed were inside. -The capital went into lockdown as the police blocked off an eight-block area from the Lincoln Memorial to the Washington Monument. Coming just months after the Beltway sniper attacks and alongside the buildup to the Iraq War, the ease with which Watson threw the nation’s capital into turmoil freaked people out. +The capital went into lockdown as the police blocked off an eight-block area from the Lincoln Memorial to the Washington Monument. Coming just months after the Beltway sniper attacks and alongside the buildup to the Iraq War, the ease with which Watson threw the nationďż˝s capital into turmoil freaked people out. -Talking on his cell phone, Watson told the Washington Post that he was on a do-or-die mission to show how reduced subsidies were killing tobacco farmers. He told the Post that God had instructed him to stage his protest and he wasn’t going to leave. +Talking on his cell phone, Watson told the Washington Post that he was on a do-or-die mission to show how reduced subsidies were killing tobacco farmers. He told the Post that God had instructed him to stage his protest and he wasnďż˝t going to leave. -“If this is the way America will be run, the hell with it,” he said. “I will not surrender. They can blow [me] out of the water. I’m ready to go to heaven.” +ďż˝If this is the way America will be run, the hell with it,ďż˝ he said. ďż˝I will not surrender. They can blow [me] out of the water. Iďż˝m ready to go to heaven.ďż˝ The FBI deployed me to a converted RV on the National Mall, where I was to guide a team of FBI agents and U.S. Park Police as we tried to talk Watson out of killing himself and who knows how many others. And then we got down to business. -Like you’d expect of a negotiation with a guy threatening to destroy a good part of the U.S. capital, it was righteously tense. Sharpshooters had their weapons trained on Watson, and they had the “green light” to shoot if he made any crazy moves. +Like youďż˝d expect of a negotiation with a guy threatening to destroy a good part of the U.S. capital, it was righteously tense. Sharpshooters had their weapons trained on Watson, and they had the ďż˝green lightďż˝ to shoot if he made any crazy moves. -In any negotiation, but especially in a tense one like this, it’s not how well you speak but how well you listen that determines your success. Understanding the “other” is a precondition to be able to speak persuasively and develop options that resonate for them. There is the visible negotiation and then all the things that are hidden under the surface (the secret negotiation space wherein the Black Swans dwell). +In any negotiation, but especially in a tense one like this, itďż˝s not how well you speak but how well you listen that determines your success. Understanding the ďż˝otherďż˝ is a precondition to be able to speak persuasively and develop options that resonate for them. There is the visible negotiation and then all the things that are hidden under the surface (the secret negotiation space wherein the Black Swans dwell). -Access to this hidden space very often comes through understanding the other side’s worldview, their reason for being, their religion. Indeed, digging into your counterpart’s “religion” (sometimes involving God but not always) inherently implies moving beyond the negotiating table and into the life, emotional and otherwise, of your counterpart. +Access to this hidden space very often comes through understanding the other sideďż˝s worldview, their reason for being, their religion. Indeed, digging into your counterpartďż˝s ďż˝religionďż˝ (sometimes involving God but not always) inherently implies moving beyond the negotiating table and into the life, emotional and otherwise, of your counterpart. -Once you’ve understood your counterpart’s worldview, you can build influence. That’s why as we talked with Watson I spent my energy trying to unearth who he was rather than logically arguing him into surrender. +Once youďż˝ve understood your counterpartďż˝s worldview, you can build influence. Thatďż˝s why as we talked with Watson I spent my energy trying to unearth who he was rather than logically arguing him into surrender. -From this we learned that Watson had been finding it increasingly hard to make a living on his 1,200-acre tobacco farm, which had been in his family for five generations. After being hit by a drought and having his crop quota cut by half, Watson decided he couldn’t afford the farm anymore and drove to Washington to make his point. He wanted attention, and knowing what he wanted gave us positive leverage. +From this we learned that Watson had been finding it increasingly hard to make a living on his 1,200-acre tobacco farm, which had been in his family for five generations. After being hit by a drought and having his crop quota cut by half, Watson decided he couldnďż˝t afford the farm anymore and drove to Washington to make his point. He wanted attention, and knowing what he wanted gave us positive leverage. -Watson also told us he was a veteran, and veterans had rules. This is the kind of music you want to hear, as it provides normative leverage. He told us that he would be willing to surrender, but not right away. As a military police officer in the 82nd Airborne in the 1970s, he’d learned that if he was trapped behind enemy lines, he could withdraw with honor if reinforcements didn’t arrive within three days. But not before. +Watson also told us he was a veteran, and veterans had rules. This is the kind of music you want to hear, as it provides normative leverage. He told us that he would be willing to surrender, but not right away. As a military police officer in the 82nd Airborne in the 1970s, heďż˝d learned that if he was trapped behind enemy lines, he could withdraw with honor if reinforcements didnďż˝t arrive within three days. But not before. -Now, we had articulated rules we could hold him to, and the admission that he could withdraw also implied that, despite his bluster about dying, he wanted to live. One of the first things you try to decide in a hostage negotiation is whether your counterpart’s vision of the future involves them living. And Watson had answered yes. +Now, we had articulated rules we could hold him to, and the admission that he could withdraw also implied that, despite his bluster about dying, he wanted to live. One of the first things you try to decide in a hostage negotiation is whether your counterpartďż˝s vision of the future involves them living. And Watson had answered yes. -We used this information—a piece of negative leverage, as we could take away something he wanted: life—and started working it alongside the positive leverage of his desire to be heard. We emphasized to Watson that he had already made national news and if he wanted his message to survive he was going to have to live. +We used this informationďż˝a piece of negative leverage, as we could take away something he wanted: lifeďż˝and started working it alongside the positive leverage of his desire to be heard. We emphasized to Watson that he had already made national news and if he wanted his message to survive he was going to have to live. -Watson was smart enough to understand that there was a real chance he wouldn’t make it out alive, but he still had his rules of military honor. His own desires and fears helped generate some positive and negative leverage, but they were secondary to the norms by which he lived his life. +Watson was smart enough to understand that there was a real chance he wouldnďż˝t make it out alive, but he still had his rules of military honor. His own desires and fears helped generate some positive and negative leverage, but they were secondary to the norms by which he lived his life. -It was tempting to just wait until the third day, but I doubted we’d get that far. With each passing hour the atmosphere was growing tenser. The capital was under siege and we had reason to believe he might have explosives. If he made one wrong move, one spastic freak-out, the snipers would kill him. He’d already had several angry outbursts, so every hour that passed endangered him. He could still get himself killed. +It was tempting to just wait until the third day, but I doubted weďż˝d get that far. With each passing hour the atmosphere was growing tenser. The capital was under siege and we had reason to believe he might have explosives. If he made one wrong move, one spastic freak-out, the snipers would kill him. Heďż˝d already had several angry outbursts, so every hour that passed endangered him. He could still get himself killed. -But we couldn’t hit on that at all; we couldn’t threaten to kill him and expect that to work. The reason for that is something called the “paradox of power”—namely, the harder we push the more likely we are to be met with resistance. That’s why you have to use negative leverage sparingly. +But we couldnďż˝t hit on that at all; we couldnďż˝t threaten to kill him and expect that to work. The reason for that is something called the ďż˝paradox of power��namely, the harder we push the more likely we are to be met with resistance. Thatďż˝s why you have to use negative leverage sparingly. Still, time was short and we had to speed things up. But how? -What happened next was one of those glorious examples of how deeply listening to understand your counterpart’s worldview can reveal a Black Swan that transforms a negotiation dynamic. Watson didn’t directly tell us what we needed to know, but by close attention we uncovered a subtle truth that informed everything he said. +What happened next was one of those glorious examples of how deeply listening to understand your counterpartďż˝s worldview can reveal a Black Swan that transforms a negotiation dynamic. Watson didnďż˝t directly tell us what we needed to know, but by close attention we uncovered a subtle truth that informed everything he said. -About thirty-six hours in, Winnie Miller, an FBI agent on our team who’d been listening intently to subtle references Watson had been making, turned to me. +About thirty-six hours in, Winnie Miller, an FBI agent on our team whoďż˝d been listening intently to subtle references Watson had been making, turned to me. -“He’s a devout Christian,” she told me. “Tell him tomorrow is the Dawn of the Third Day. That’s the day Christians believe Jesus Christ left his tomb and ascended to Heaven. If Christ came out on the Dawn of the Third Day, why not Watson?” +ďż˝Heďż˝s a devout Christian,ďż˝ she told me. ďż˝Tell him tomorrow is the Dawn of the Third Day. Thatďż˝s the day Christians believe Jesus Christ left his tomb and ascended to Heaven. If Christ came out on the Dawn of the Third Day, why not Watson?ďż˝ -It was a brilliant use of deep listening. By combining that subtext of Watson’s words with knowledge of his worldview she let us show Watson that we not only were listening, but that we had also heard him. +It was a brilliant use of deep listening. By combining that subtext of Watsonďż˝s words with knowledge of his worldview she let us show Watson that we not only were listening, but that we had also heard him. -If we’d understood his subtext correctly, this would let him end the standoff honorably and to do so with the feeling that he was surrendering to an adversary that respected him and his beliefs. +If weďż˝d understood his subtext correctly, this would let him end the standoff honorably and to do so with the feeling that he was surrendering to an adversary that respected him and his beliefs. -By positioning your demands within the worldview your counterpart uses to make decisions, you show them respect and that gets you attention and results. Knowing your counterpart’s religion is more than just gaining normative leverage per se. Rather, it’s gaining a holistic understanding of your counterpart’s worldview—in this case, literally a religion—and using that knowledge to inform your negotiating moves. +By positioning your demands within the worldview your counterpart uses to make decisions, you show them respect and that gets you attention and results. Knowing your counterpartďż˝s religion is more than just gaining normative leverage per se. Rather, itďż˝s gaining a holistic understanding of your counterpartďż˝s worldviewďż˝in this case, literally a religionďż˝and using that knowledge to inform your negotiating moves. -Using your counterpart’s religion is extremely effective in large part because it has authority over them. The other guy’s “religion” is what the market, the experts, God, or society—whatever matters to him—has determined to be fair and just. And people defer to that authority. +Using your counterpartďż˝s religion is extremely effective in large part because it has authority over them. The other guyďż˝s ďż˝religionďż˝ is what the market, the experts, God, or societyďż˝whatever matters to himďż˝has determined to be fair and just. And people defer to that authority. In the next conversation with Watson, we mentioned that the next morning was the Dawn of the Third Day. There was a long moment of silence on the other end of the line. Our Negotiation Operation Center was so quiet you could hear the heartbeat of the guy next to you. Watson coughed. -“I’ll come out,” he said. +ďż˝Iďż˝ll come out,ďż˝ he said. -And he did, ending a forty-eight-hour standoff, saving himself from harm, and allowing the nation’s capital to resume its normal life. +And he did, ending a forty-eight-hour standoff, saving himself from harm, and allowing the nationďż˝s capital to resume its normal life. No explosives were found. -While the importance of “knowing their religion” should be clear from Watson’s story, here are two tips for reading religion correctly: +While the importance of ďż˝knowing their religionďż˝ should be clear from Watsonďż˝s story, here are two tips for reading religion correctly: -¦Review everything you hear. You will not hear everything the first time, so double-check. Compare notes with your team members. You will often discover new information that will help you advance the negotiation. +ďż˝Review everything you hear. You will not hear everything the first time, so double-check. Compare notes with your team members. You will often discover new information that will help you advance the negotiation. -¦Use backup listeners whose only job is to listen between the lines. They will hear things you miss. +ďż˝Use backup listeners whose only job is to listen between the lines. They will hear things you miss. In other words: listen, listen again, and listen some more. -We’ve seen how a holistic understanding of your counterpart’s “religion”—a huge Black Swan—can provide normative leverage that leads to negotiating results. But there are other ways in which learning your counterpart’s “religion” enables you to achieve better outcomes. +Weďż˝ve seen how a holistic understanding of your counterpartďż˝s ďż˝religion��a huge Black Swanďż˝can provide normative leverage that leads to negotiating results. But there are other ways in which learning your counterpartďż˝s ďż˝religionďż˝ enables you to achieve better outcomes. THE SIMILARITY PRINCIPLE Research by social scientists has confirmed something effective negotiators have known for ages: namely, we trust people more when we view them as being similar or familiar. -People trust those who are in their in-group. Belonging is a primal instinct. And if you can trigger that instinct, that sense that, “Oh, we see the world the same way,” then you immediately gain influence. +People trust those who are in their in-group. Belonging is a primal instinct. And if you can trigger that instinct, that sense that, ďż˝Oh, we see the world the same way,ďż˝ then you immediately gain influence. -When our counterpart displays attitudes, beliefs, ideas—even modes of dress—that are similar to our own, we tend to like and trust them more. Similarities as shallow as club memberships or college alumni status increase rapport. +When our counterpart displays attitudes, beliefs, ideasďż˝even modes of dressďż˝that are similar to our own, we tend to like and trust them more. Similarities as shallow as club memberships or college alumni status increase rapport. -That’s why in many cultures negotiators spend large amounts of time building rapport before they even think of offers. Both sides know that the information they glean could be vital to effective deal making and leverage building. It’s a bit like dogs circling each other, smelling each other’s behind. +Thatďż˝s why in many cultures negotiators spend large amounts of time building rapport before they even think of offers. Both sides know that the information they glean could be vital to effective deal making and leverage building. Itďż˝s a bit like dogs circling each other, smelling each otherďż˝s behind. I once worked a deal for our services with this CEO in Ohio where the similarity principle played a major role. -My counterpart was constantly making references that I recognized as being sort of born-again Christian material. As we talked he kept going back and forth on whether he should bring in his advisors. The whole issue of his advisors clearly pained him; at one point he even said, “Nobody understands me.” +My counterpart was constantly making references that I recognized as being sort of born-again Christian material. As we talked he kept going back and forth on whether he should bring in his advisors. The whole issue of his advisors clearly pained him; at one point he even said, ďż˝Nobody understands me.ďż˝ -At that moment I began to rack my brain for the Christian word that captured the essence of what he was saying. And then the term came to my mind, a term people often used in church to describe the duty one had to administer our own and our world’s—and therefore God’s—resources with honesty, accountability, and responsibility. +At that moment I began to rack my brain for the Christian word that captured the essence of what he was saying. And then the term came to my mind, a term people often used in church to describe the duty one had to administer our own and our worldďż˝sďż˝and therefore Godďż˝sďż˝resources with honesty, accountability, and responsibility. -“This is really stewardship for you, isn’t it?” I said. +ďż˝This is really stewardship for you, isnďż˝t it?ďż˝ I said. His voice immediately strengthened. -“Yes! You’re the only one who understands,” he said. +ďż˝Yes! Youďż˝re the only one who understands,ďż˝ he said. And he hired us at that moment. By showing that I understood his deeper reasons for being and accessing a sense of similarity, of mutual belongingness, I was able to bring him to the deal. The minute I established a kind of shared identity with this Christian, we were in. Not simply because of similarity alone, but because of the understanding implied by that moment of similarity. THE POWER OF HOPES AND DREAMS -Once you know your counterpart’s religion and can visualize what he truly wants out of life, you can employ those aspirations as a way to get him to follow you. +Once you know your counterpartďż˝s religion and can visualize what he truly wants out of life, you can employ those aspirations as a way to get him to follow you. -Every engineer, every executive, every child—all of us want to believe we are capable of the extraordinary. As children, our daydreams feature ourselves as primary players in great moments: an actor winning an Oscar, an athlete hitting the game-winning shot. As we grow older, however, our parents, teachers, and friends talk more of what we can’t and shouldn’t do than what is possible. We begin to lose faith. +Every engineer, every executive, every childďż˝all of us want to believe we are capable of the extraordinary. As children, our daydreams feature ourselves as primary players in great moments: an actor winning an Oscar, an athlete hitting the game-winning shot. As we grow older, however, our parents, teachers, and friends talk more of what we canďż˝t and shouldnďż˝t do than what is possible. We begin to lose faith. -But when someone displays a passion for what we’ve always wanted and conveys a purposeful plan of how to get there, we allow our perceptions of what’s possible to change. We’re all hungry for a map to joy, and when someone is courageous enough to draw it for us, we naturally follow. +But when someone displays a passion for what weďż˝ve always wanted and conveys a purposeful plan of how to get there, we allow our perceptions of whatďż˝s possible to change. Weďż˝re all hungry for a map to joy, and when someone is courageous enough to draw it for us, we naturally follow. -So when you ascertain your counterpart’s unattained goals, invoke your own power and follow-ability by expressing passion for their goals—and for their ability to achieve them. +So when you ascertain your counterpartďż˝s unattained goals, invoke your own power and follow-ability by expressing passion for their goalsďż˝and for their ability to achieve them. -Ted Leonsis is great at this. As the owner of the Washington Wizards professional basketball team and the Washington Capitals professional hockey team, he is always talking about creating the immortal moments in sports that people will tell their grandchildren about. Who doesn’t want to come to an agreement with someone who is going to make them immortal? +Ted Leonsis is great at this. As the owner of the Washington Wizards professional basketball team and the Washington Capitals professional hockey team, he is always talking about creating the immortal moments in sports that people will tell their grandchildren about. Who doesnďż˝t want to come to an agreement with someone who is going to make them immortal? RELIGION AS A REASON -Research studies have shown that people respond favorably to requests made in a reasonable tone of voice and followed with a “because” reason. +Research studies have shown that people respond favorably to requests made in a reasonable tone of voice and followed with a ďż˝becauseďż˝ reason. -In a famous study from the late 1970s,3 Harvard psychology professor Ellen Langer and her colleagues approached people waiting for copy machines and asked if they could cut the line. Sometimes they gave a reason; sometimes they didn’t. What she found was crazy: without her giving a reason, 60 percent let her through, but when she did give one, more than 90 percent did. And it didn’t matter if the reason made sense. (“Excuse me, I have five pages. May I cut in line because I have to make copies?” worked great.) People just responded positively to the framework. +In a famous study from the late 1970s,3 Harvard psychology professor Ellen Langer and her colleagues approached people waiting for copy machines and asked if they could cut the line. Sometimes they gave a reason; sometimes they didnďż˝t. What she found was crazy: without her giving a reason, 60 percent let her through, but when she did give one, more than 90 percent did. And it didnďż˝t matter if the reason made sense. (ďż˝Excuse me, I have five pages. May I cut in line because I have to make copies?ďż˝ worked great.) People just responded positively to the framework. -While idiotic reasons worked with something simple like photocopying, on more complicated issues you can increase your effectiveness by offering reasons that reference your counterpart’s religion. Had that Christian CEO offered me a lowball offer when he agreed to hire my firm, I might have answered, “I’d love to but I too have a duty to be a responsible steward of my resources.” +While idiotic reasons worked with something simple like photocopying, on more complicated issues you can increase your effectiveness by offering reasons that reference your counterpartďż˝s religion. Had that Christian CEO offered me a lowball offer when he agreed to hire my firm, I might have answered, ďż˝Iďż˝d love to but I too have a duty to be a responsible steward of my resources.ďż˝ -IT’S NOT CRAZY, IT’S A CLUE +ITďż˝S NOT CRAZY, ITďż˝S A CLUE -It’s not human nature to embrace the unknown. It scares us. When we are confronted by it, we ignore it, we run away, or we label it in ways that allow us to dismiss it. In negotiations, that label most often takes the form of the statement, “They’re crazy!” +Itďż˝s not human nature to embrace the unknown. It scares us. When we are confronted by it, we ignore it, we run away, or we label it in ways that allow us to dismiss it. In negotiations, that label most often takes the form of the statement, ďż˝Theyďż˝re crazy!ďż˝ -That’s one reason I’ve been highly critical of some of the implementation of America’s hostage negotiation policy—which is that we don’t negotiate with those we refer broadly to as “the Terrorists,” including groups from the Taliban to ISIS. +Thatďż˝s one reason Iďż˝ve been highly critical of some of the implementation of Americaďż˝s hostage negotiation policyďż˝which is that we donďż˝t negotiate with those we refer broadly to as ďż˝the Terrorists,ďż˝ including groups from the Taliban to ISIS. -The rationale for this nonengagement is summarized well by the journalist Peter Bergen, CNN’s national security analyst: “Negotiations with religious fanatics who have delusions of grandeur generally do not go well.” +The rationale for this nonengagement is summarized well by the journalist Peter Bergen, CNNďż˝s national security analyst: ďż˝Negotiations with religious fanatics who have delusions of grandeur generally do not go well.ďż˝ -The alternative we’ve chosen is to not understand their religion, their fanaticism, and their delusions. Instead of negotiations that don’t go well, we shrug our shoulders and say, “They’re crazy!” +The alternative weďż˝ve chosen is to not understand their religion, their fanaticism, and their delusions. Instead of negotiations that donďż˝t go well, we shrug our shoulders and say, ďż˝Theyďż˝re crazy!ďż˝ -But that’s absolutely wrongheaded. We must understand these things. I’m not saying that because I’m a softheaded pacifist (the FBI doesn’t hire agents like that) but because I know understanding such things is the best way to discover the other side’s vulnerabilities and wants and thereby gain influence. You can’t get that stuff unless you talk. +But thatďż˝s absolutely wrongheaded. We must understand these things. Iďż˝m not saying that because Iďż˝m a softheaded pacifist (the FBI doesnďż˝t hire agents like that) but because I know understanding such things is the best way to discover the other sideďż˝s vulnerabilities and wants and thereby gain influence. You canďż˝t get that stuff unless you talk. -No one is immune to “They’re crazy!” You can see it rear its head in every kind of negotiation, from parenting to congressional deal making to corporate bargaining. +No one is immune to ďż˝Theyďż˝re crazy!ďż˝ You can see it rear its head in every kind of negotiation, from parenting to congressional deal making to corporate bargaining. -But the moment when we’re most ready to throw our hands up and declare “They’re crazy!” is often the best moment for discovering Black Swans that transform a negotiation. It is when we hear or see something that doesn’t make sense—something “crazy”—that a crucial fork in the road is presented: push forward, even more forcefully, into that which we initially can’t process; or take the other path, the one to guaranteed failure, in which we tell ourselves that negotiating was useless anyway. +But the moment when weďż˝re most ready to throw our hands up and declare ďż˝Theyďż˝re crazy!ďż˝ is often the best moment for discovering Black Swans that transform a negotiation. It is when we hear or see something that doesnďż˝t make senseďż˝something ďż˝crazy��that a crucial fork in the road is presented: push forward, even more forcefully, into that which we initially canďż˝t process; or take the other path, the one to guaranteed failure, in which we tell ourselves that negotiating was useless anyway. -In their great book Negotiation Genius,4 Harvard Business School professors Deepak Malhotra and Max H. Bazerman provide a look at the common reasons negotiators mistakenly call their counterparts crazy. I’d like to talk through them here. +In their great book Negotiation Genius,4 Harvard Business School professors Deepak Malhotra and Max H. Bazerman provide a look at the common reasons negotiators mistakenly call their counterparts crazy. Iďż˝d like to talk through them here. MISTAKE #1: THEY ARE ILL-INFORMED -Often the other side is acting on bad information, and when people have bad information they make bad choices. There’s a great computer industry term for this: GIGO—Garbage In, Garbage Out. +Often the other side is acting on bad information, and when people have bad information they make bad choices. Thereďż˝s a great computer industry term for this: GIGOďż˝Garbage In, Garbage Out. As an example, Malhotra talks about a student of his who was in a dispute with an ex-employee who claimed he was owed $130,000 in commissions for work he had done before being fired; he was threatening a lawsuit. -Confused, the executive turned to the company’s accountants. There he discovered the problem: the accounts had been a mess when the employee was fired but had since been put into order. With the clean information, the accountants assured the executive that in fact the employee owed the company $25,000. +Confused, the executive turned to the companyďż˝s accountants. There he discovered the problem: the accounts had been a mess when the employee was fired but had since been put into order. With the clean information, the accountants assured the executive that in fact the employee owed the company $25,000. Eager to avoid a lawsuit, the executive called the employee, explained the situation, and made an offer: if the employee dropped the lawsuit he could keep the $25,000. To his surprise, the employee said that he was going forward with the suit anyway; he acted irrational, crazy. @@ -3867,21 +3789,21 @@ The clear point here is that people operating with incomplete information appear MISTAKE #2: THEY ARE CONSTRAINED -In any negotiation where your counterpart is acting wobbly, there exists a distinct possibility that they have things they can’t do but aren’t eager to reveal. Such constraints can make the sanest counterpart seem irrational. The other side might not be able to do something because of legal advice, or because of promises already made, or even to avoid setting a precedent. +In any negotiation where your counterpart is acting wobbly, there exists a distinct possibility that they have things they canďż˝t do but arenďż˝t eager to reveal. Such constraints can make the sanest counterpart seem irrational. The other side might not be able to do something because of legal advice, or because of promises already made, or even to avoid setting a precedent. Or they may just not have the power to close the deal. That last situation is one that a client of mine faced as he was trying to land Coca-Cola as a client for his marketing firm. -The guy had been negotiating a deal for months and it was getting on to November. He was petrified that if he didn’t close it before the calendar year ended he would have to wait for Coca-Cola to set a new budget and he might lose the client. +The guy had been negotiating a deal for months and it was getting on to November. He was petrified that if he didnďż˝t close it before the calendar year ended he would have to wait for Coca-Cola to set a new budget and he might lose the client. -The problem was that his contact had suddenly stopped responding. So we told him to send a version of our classic email for nonresponders, the one that always works: “Have you given up on finalizing this deal this year?” +The problem was that his contact had suddenly stopped responding. So we told him to send a version of our classic email for nonresponders, the one that always works: ďż˝Have you given up on finalizing this deal this year?ďż˝ -Then something weird happened. The Coca-Cola contact didn’t respond to the perfect email. What was up? +Then something weird happened. The Coca-Cola contact didnďż˝t respond to the perfect email. What was up? -This was superficially quite irrational, but the contact had been a straight-up guy until then. We told our client this could mean only one thing: that the guy had given up on closing the deal by the end of the year, but he didn’t want to admit it. There had to be some constraint. +This was superficially quite irrational, but the contact had been a straight-up guy until then. We told our client this could mean only one thing: that the guy had given up on closing the deal by the end of the year, but he didnďż˝t want to admit it. There had to be some constraint. -With this knowledge in hand, we had our client dig deep. After a batch of phone calls and emails he tracked down someone who knew his contact. And it turned out we had been right: the contact’s division had been in chaos for weeks, and in the midst of corporate infighting he had completely lost influence. Not surprisingly, he was embarrassed to admit it. That’s why he was avoiding my client. +With this knowledge in hand, we had our client dig deep. After a batch of phone calls and emails he tracked down someone who knew his contact. And it turned out we had been right: the contactďż˝s division had been in chaos for weeks, and in the midst of corporate infighting he had completely lost influence. Not surprisingly, he was embarrassed to admit it. Thatďż˝s why he was avoiding my client. To put it simply, he had major constraints. @@ -3889,37 +3811,37 @@ MISTAKE #3: THEY HAVE OTHER INTERESTS Think back to William Griffin, the first man ever to kill a hostage on deadline. -What the FBI and police negotiators on the scene simply did not know was that his main interest was not negotiating a deal to release the hostages for money. He wanted to be killed by a cop. Had they been able to dig up that hidden interest, they might have been able to avoid some of that day’s tragedy. +What the FBI and police negotiators on the scene simply did not know was that his main interest was not negotiating a deal to release the hostages for money. He wanted to be killed by a cop. Had they been able to dig up that hidden interest, they might have been able to avoid some of that dayďż˝s tragedy. -The presence of hidden interests isn’t as rare as you might think. Your counterpart will often reject offers for reasons that have nothing to do with their merits. +The presence of hidden interests isnďż˝t as rare as you might think. Your counterpart will often reject offers for reasons that have nothing to do with their merits. A client may put off buying your product so that their calendar year closes before the invoice hits, increasing his chance for a promotion. Or an employee might quit in the middle of a career-making project, just before bonus season, because he or she has learned that colleagues are making more money. For that employee, fairness is as much an interest as money. -Whatever the specifics of the situation, these people are not acting irrationally. They are simply complying with needs and desires that you don’t yet understand, what the world looks like to them based on their own set of rules. Your job is to bring these Black Swans to light. +Whatever the specifics of the situation, these people are not acting irrationally. They are simply complying with needs and desires that you donďż˝t yet understand, what the world looks like to them based on their own set of rules. Your job is to bring these Black Swans to light. -As we’ve seen, when you recognize that your counterpart is not irrational, but simply ill-informed, constrained, or obeying interests that you do not yet know, your field of movement greatly expands. And that allows you to negotiate much more effectively. +As weďż˝ve seen, when you recognize that your counterpart is not irrational, but simply ill-informed, constrained, or obeying interests that you do not yet know, your field of movement greatly expands. And that allows you to negotiate much more effectively. Here are a few ways to unearth these powerful Black Swans: GET FACE TIME -Black Swans are incredibly hard to uncover if you’re not literally at the table. +Black Swans are incredibly hard to uncover if youďż˝re not literally at the table. -No matter how much research you do, there’s just some information that you are not going to find out unless you sit face-to-face. +No matter how much research you do, thereďż˝s just some information that you are not going to find out unless you sit face-to-face. -Today, a lot of younger people do almost everything over email. It’s just how things are done. But it’s very difficult to find Black Swans with email for the simple reason that, even if you knock your counterpart off their moorings with great labels and calibrated questions, email gives them too much time to think and re-center themselves to avoid revealing too much. +Today, a lot of younger people do almost everything over email. Itďż˝s just how things are done. But itďż˝s very difficult to find Black Swans with email for the simple reason that, even if you knock your counterpart off their moorings with great labels and calibrated questions, email gives them too much time to think and re-center themselves to avoid revealing too much. -In addition, email doesn’t allow for tone-of-voice effects, and it doesn’t let you read the nonverbal parts of your counterpart’s response (remember 7-38-55). +In addition, email doesnďż˝t allow for tone-of-voice effects, and it doesnďż˝t let you read the nonverbal parts of your counterpartďż˝s response (remember 7-38-55). -Let’s return now to the tale of my client who was trying to get Coca-Cola as a client, only to learn that his contact at the company had been pushed aside. +Letďż˝s return now to the tale of my client who was trying to get Coca-Cola as a client, only to learn that his contact at the company had been pushed aside. I realized that the only way my client was going to get a deal with Coca-Cola was by getting his contact to admit that he was useless for the situation and pass my client on to the correct executive. But there was no way this guy wanted to do that, because he still imagined that he could be important. -So I told my client to get his contact out of the Coca-Cola complex. “You got to get him to dinner. You’re going to say, ‘Would it be a bad idea for me to take you to your favorite steak house and we just have a few laughs, and we don’t talk business?’” +So I told my client to get his contact out of the Coca-Cola complex. ďż˝You got to get him to dinner. Youďż˝re going to say, ďż˝Would it be a bad idea for me to take you to your favorite steak house and we just have a few laughs, and we donďż˝t talk business?�� -The idea was that no matter the reason—whether the contact was embarrassed, or didn’t like my client, or just didn’t want to discuss the situation—the only way the process was going to move forward was through direct human interaction. +The idea was that no matter the reasonďż˝whether the contact was embarrassed, or didnďż˝t like my client, or just didnďż˝t want to discuss the situationďż˝the only way the process was going to move forward was through direct human interaction. -So my client got this guy out for dinner and as promised he didn’t bring up business. But there was no way not to talk about it, and just because my client created personal, face-to-face interaction, the contact admitted he was the wrong guy. He admitted that his division was a mess and he’d have to hand things off to somebody else to get the deal done. +So my client got this guy out for dinner and as promised he didnďż˝t bring up business. But there was no way not to talk about it, and just because my client created personal, face-to-face interaction, the contact admitted he was the wrong guy. He admitted that his division was a mess and heďż˝d have to hand things off to somebody else to get the deal done. And he did. It took more than a year to get the deal signed, but they did it. @@ -3929,15 +3851,15 @@ While you have to get face time, formal business meetings, structured encounters Hunting for Black Swans is also effective during unguarded moments at the fringes, whether at meals like my client had with his Coca-Cola contact, or the brief moments of relaxation before or after formal interactions. -During a typical business meeting, the first few minutes, before you actually get down to business, and the last few moments, as everyone is leaving, often tell you more about the other side than anything in between. That’s why reporters have a credo to never turn off their recorders: you always get the best stuff at the beginning and the end of an interview. +During a typical business meeting, the first few minutes, before you actually get down to business, and the last few moments, as everyone is leaving, often tell you more about the other side than anything in between. Thatďż˝s why reporters have a credo to never turn off their recorders: you always get the best stuff at the beginning and the end of an interview. -Also pay close attention to your counterpart during interruptions, odd exchanges, or anything that interrupts the flow. When someone breaks ranks, people’s façades crack just a little. Simply noticing whose cracks and how others respond verbally and nonverbally can reveal a gold mine. +Also pay close attention to your counterpart during interruptions, odd exchanges, or anything that interrupts the flow. When someone breaks ranks, peopleďż˝s faďż˝ades crack just a little. Simply noticing whose cracks and how others respond verbally and nonverbally can reveal a gold mine. -WHEN IT DOESN’T MAKE SENSE, THERE’S CENTS TO BE MADE +WHEN IT DOESNďż˝T MAKE SENSE, THEREďż˝S CENTS TO BE MADE -Students often ask me whether Black Swans are specific kinds of information or any kind that helps. I always answer that they are anything that you don’t know that changes things. +Students often ask me whether Black Swans are specific kinds of information or any kind that helps. I always answer that they are anything that you donďż˝t know that changes things. -To drive this home, here’s the story of one of my MBA students who was interning for a private equity real estate firm in Washington. Faced with actions from his counterpart that didn’t pass the sense test, he innocently turned up one of the greatest Black Swans I’ve seen in years by using a label. +To drive this home, hereďż˝s the story of one of my MBA students who was interning for a private equity real estate firm in Washington. Faced with actions from his counterpart that didnďż˝t pass the sense test, he innocently turned up one of the greatest Black Swans Iďż˝ve seen in years by using a label. My student had been performing due diligence on potential targets when a principal at the firm asked him to look into a mixed-use property in the heart of Charleston, South Carolina. He had no experience in the Charleston market, so he called the broker selling the property and requested the marketing package. @@ -3945,119 +3867,119 @@ After discussing the deal and the market, my student and his boss decided that t After initial pleasantries, the broker asked my student what he thought of the property. -“It looks like an interesting property,” he said. “Unfortunately, we don’t know the market fundamentals. We like downtown and King Street in particular, but we have a lot of questions.” +ďż˝It looks like an interesting property,ďż˝ he said. ďż˝Unfortunately, we donďż˝t know the market fundamentals. We like downtown and King Street in particular, but we have a lot of questions.ďż˝ -The broker then told him that he had been in the market for more than fifteen years, so he was well informed. At this point, my student pivoted to calibrated “How” and “What” questions in order to gather information and judge the broker’s skills. +The broker then told him that he had been in the market for more than fifteen years, so he was well informed. At this point, my student pivoted to calibrated ďż˝Howďż˝ and ďż˝Whatďż˝ questions in order to gather information and judge the brokerďż˝s skills. -“Great,” my student said. “First and foremost, how has Charleston been affected by the economic downturn?” +ďż˝Great,ďż˝ my student said. ďż˝First and foremost, how has Charleston been affected by the economic downturn?ďż˝ The broker replied with a detailed answer, citing specific examples of market improvement. In the process, he showed my student that he was very knowledgeable. -“It sounds like I’m in good hands!” he said, using a label to build empathy. “Next question: What sort of cap rate can be expected in this type of building?” +ďż˝It sounds like Iďż˝m in good hands!ďż˝ he said, using a label to build empathy. ďż˝Next question: What sort of cap rate can be expected in this type of building?ďż˝ Through the ensuing back-and-forth, my student learned that owners could expect rates of 6 to 7 percent because buildings like this were popular with students at the local university, a growing school where 60 percent of the student body lived off campus. -He also learned that it would be prohibitively expensive—if not physically impossible—to buy land nearby and build a similar building. In the last five years no one had built on the street because of historic preservation rules. Even if they could buy land, the broker said a similar building would cost $2.5 million just in construction. +He also learned that it would be prohibitively expensiveďż˝if not physically impossibleďż˝to buy land nearby and build a similar building. In the last five years no one had built on the street because of historic preservation rules. Even if they could buy land, the broker said a similar building would cost $2.5 million just in construction. -“The building is in great shape, especially compared to the other options available to students,” the broker said. +ďż˝The building is in great shape, especially compared to the other options available to students,ďż˝ the broker said. -“It seems like this building functions more as a glorified dormitory than a classic multifamily building,” my student said, using a label to extract more information. +ďż˝It seems like this building functions more as a glorified dormitory than a classic multifamily building,ďż˝ my student said, using a label to extract more information. And he got it. -“Fortunately and unfortunately, yes,” the broker said. “The occupancy has historically been one hundred percent and it is a cash cow, but the students act like college students . . .” +ďż˝Fortunately and unfortunately, yes,ďż˝ the broker said. ďż˝The occupancy has historically been one hundred percent and it is a cash cow, but the students act like college students . . .ďż˝ -A lightbulb went on in my student’s head: there was something strange afoot. If it were such a cash cow, why would someone sell a 100 percent occupied building located next to a growing campus in an affluent city? That was irrational by any measure. A little befuddled but still in the negotiation mindset, my student constructed a label. Inadvertently he mislabeled the situation, triggering the broker to correct him and reveal a Black Swan. +A lightbulb went on in my studentďż˝s head: there was something strange afoot. If it were such a cash cow, why would someone sell a 100 percent occupied building located next to a growing campus in an affluent city? That was irrational by any measure. A little befuddled but still in the negotiation mindset, my student constructed a label. Inadvertently he mislabeled the situation, triggering the broker to correct him and reveal a Black Swan. -“If he or she is selling such a cash cow, it seems like the seller must have doubts about future market fundamentals,” he said. +ďż˝If he or she is selling such a cash cow, it seems like the seller must have doubts about future market fundamentals,ďż˝ he said. -“Well,” he said, “the seller has some tougher properties in Atlanta and Savannah, so he has to get out of this property to pay back the other mortgages.” +ďż˝Well,ďż˝ he said, ďż˝the seller has some tougher properties in Atlanta and Savannah, so he has to get out of this property to pay back the other mortgages.ďż˝ Bingo! With that, my student had unearthed a fantastic Black Swan. The seller was suffering constraints that, until that moment, had been unknown. -My student put the broker on mute as he described other properties and used the moment to discuss pricing with his boss. He quickly gave him the green light to make a lowball offer—an extreme anchor—to try to yank the broker to his minimum. +My student put the broker on mute as he described other properties and used the moment to discuss pricing with his boss. He quickly gave him the green light to make a lowball offerďż˝an extreme anchorďż˝to try to yank the broker to his minimum. -After quizzing the broker if the seller would be willing to close quickly, and getting a “yes,” my student set his anchor. +After quizzing the broker if the seller would be willing to close quickly, and getting a ďż˝yes,ďż˝ my student set his anchor. -“I think I have heard enough,” he said. “We are willing to offer $3.4 million.” +ďż˝I think I have heard enough,ďż˝ he said. ďż˝We are willing to offer $3.4 million.ďż˝ -“Okay,” the broker answered. “That is well below the asking price. However, I can bring the offer to the seller and see what he thinks.” +ďż˝Okay,ďż˝ the broker answered. ďż˝That is well below the asking price. However, I can bring the offer to the seller and see what he thinks.ďż˝ -Later that day, the broker came back with a counteroffer. The seller had told him that the number was too low, but he was willing to take $3.7 million. My student could barely keep from falling off his chair; the counteroffer was lower than his goal. But rather than jump at the amount—and risk leaving value on the table with a wimp-win deal—my student pushed further. He said “No” without using the word. +Later that day, the broker came back with a counteroffer. The seller had told him that the number was too low, but he was willing to take $3.7 million. My student could barely keep from falling off his chair; the counteroffer was lower than his goal. But rather than jump at the amountďż˝and risk leaving value on the table with a wimp-win dealďż˝my student pushed further. He said ďż˝Noďż˝ without using the word. -“That is closer to what we believe the value to be,” he said, “but we cannot in good conscience pay more than $3.55 million.” +ďż˝That is closer to what we believe the value to be,ďż˝ he said, ďż˝but we cannot in good conscience pay more than $3.55 million.ďż˝ -(Later, my student told me—and I agreed—that he should have used a label or calibrated question here to push the broker to bid against himself. But he was so surprised by how far the price had dropped that he stumbled into old-school haggling.) +(Later, my student told meďż˝and I agreedďż˝that he should have used a label or calibrated question here to push the broker to bid against himself. But he was so surprised by how far the price had dropped that he stumbled into old-school haggling.) -“I am only authorized to go down to $3.6 million,” the broker answered, clearly showing that he’d never taken a negotiation class that taught the Ackerman model and how to pivot to terms to avoid the haggle. +ďż˝I am only authorized to go down to $3.6 million,ďż˝ the broker answered, clearly showing that heďż˝d never taken a negotiation class that taught the Ackerman model and how to pivot to terms to avoid the haggle. -My student’s boss signaled to him that $3.6 million worked and he agreed to the price. +My studentďż˝s boss signaled to him that $3.6 million worked and he agreed to the price. -I’ve teased several of the techniques my student used to effectively negotiate a great deal for his firm, from the use of labels and calibrated questions to the probing of constraints to unearth a beautiful Black Swan. It also bears noting that my student did tons of work beforehand and had prepared labels and questions so that he was ready to jump on the Black Swan when the broker offered it. +Iďż˝ve teased several of the techniques my student used to effectively negotiate a great deal for his firm, from the use of labels and calibrated questions to the probing of constraints to unearth a beautiful Black Swan. It also bears noting that my student did tons of work beforehand and had prepared labels and questions so that he was ready to jump on the Black Swan when the broker offered it. Once he knew that the seller was trying to get money out of this building to pay off mortgages on the underperforming ones, he knew that timing was important. -Of course, there’s always room for improvement. Afterward my student told me he wished he hadn’t lowballed the offer so quickly and instead used the opportunity to discuss the other properties. He might have found more investment opportunities within the seller’s portfolio. +Of course, thereďż˝s always room for improvement. Afterward my student told me he wished he hadnďż˝t lowballed the offer so quickly and instead used the opportunity to discuss the other properties. He might have found more investment opportunities within the sellerďż˝s portfolio. -In addition, he could have potentially built more empathy and teased out more unknown unknowns with labels or calibrated questions like “What markets are you finding difficult right now?” Maybe even gotten face time with the seller directly. +In addition, he could have potentially built more empathy and teased out more unknown unknowns with labels or calibrated questions like ďż˝What markets are you finding difficult right now?ďż˝ Maybe even gotten face time with the seller directly. Still, well done! OVERCOMING FEAR AND LEARNING TO GET WHAT YOU WANT OUT OF LIFE -People generally fear conflict, so they avoid useful arguments out of fear that the tone will escalate into personal attacks they cannot handle. People in close relationships often avoid making their own interests known and instead compromise across the board to avoid being perceived as greedy or self-interested. They fold, they grow bitter, and they grow apart. We’ve all heard of marriages that ended in divorce and the couple never fought. +People generally fear conflict, so they avoid useful arguments out of fear that the tone will escalate into personal attacks they cannot handle. People in close relationships often avoid making their own interests known and instead compromise across the board to avoid being perceived as greedy or self-interested. They fold, they grow bitter, and they grow apart. Weďż˝ve all heard of marriages that ended in divorce and the couple never fought. Families are just an extreme version of all parts of humanity, from government to business. Except for a few naturals, everyone hates negotiation at first. Your hands sweat, your fight-or-flight kicks in (with a strong emphasis on flight), and your thoughts trip drunkenly over themselves. -The natural first impulse for most of us is to chicken out, throw in the towel, run. The mere idea of tossing out an extreme anchor is traumatic. That’s why wimp-win deals are the norm in the kitchen and in the boardroom. +The natural first impulse for most of us is to chicken out, throw in the towel, run. The mere idea of tossing out an extreme anchor is traumatic. Thatďż˝s why wimp-win deals are the norm in the kitchen and in the boardroom. -But stop and think about that. Are we really afraid of the guy across the table? I can promise you that, with very few exceptions, he’s not going to reach across and slug you. +But stop and think about that. Are we really afraid of the guy across the table? I can promise you that, with very few exceptions, heďż˝s not going to reach across and slug you. -No, our sweaty palms are just an expression of physiological fear, a few trigger-happy neurons firing because of something more base: our innate human desire to get along with other members of the tribe. It’s not the guy across the table who scares us: it’s conflict itself. +No, our sweaty palms are just an expression of physiological fear, a few trigger-happy neurons firing because of something more base: our innate human desire to get along with other members of the tribe. Itďż˝s not the guy across the table who scares us: itďż˝s conflict itself. -If this book accomplishes only one thing, I hope it gets you over that fear of conflict and encourages you to navigate it with empathy. If you’re going to be great at anything—a great negotiator, a great manager, a great husband, a great wife—you’re going to have to do that. You’re going to have to ignore that little genie who’s telling you to give up, to just get along—as well as that other genie who’s telling you to lash out and yell. +If this book accomplishes only one thing, I hope it gets you over that fear of conflict and encourages you to navigate it with empathy. If youďż˝re going to be great at anythingďż˝a great negotiator, a great manager, a great husband, a great wifeďż˝youďż˝re going to have to do that. Youďż˝re going to have to ignore that little genie whoďż˝s telling you to give up, to just get alongďż˝as well as that other genie whoďż˝s telling you to lash out and yell. -You’re going to have to embrace regular, thoughtful conflict as the basis of effective negotiation—and of life. Please remember that our emphasis throughout the book is that the adversary is the situation and that the person that you appear to be in conflict with is actually your partner. +Youďż˝re going to have to embrace regular, thoughtful conflict as the basis of effective negotiationďż˝and of life. Please remember that our emphasis throughout the book is that the adversary is the situation and that the person that you appear to be in conflict with is actually your partner. More than a little research has shown that genuine, honest conflict between people over their goals actually helps energize the problem-solving process in a collaborative way. Skilled negotiators have a talent for using conflict to keep the negotiation going without stumbling into a personal battle. -Remember, pushing hard for what you believe is not selfish. It is not bullying. It is not just helping you. Your amygdala, the part of the brain that processes fear, will try to convince you to give up, to flee, because the other guy is right, or you’re being cruel. +Remember, pushing hard for what you believe is not selfish. It is not bullying. It is not just helping you. Your amygdala, the part of the brain that processes fear, will try to convince you to give up, to flee, because the other guy is right, or youďż˝re being cruel. But if you are an honest, decent person looking for a reasonable outcome, you can ignore the amygdala. -With the style of negotiation taught in the book—an information-obsessed, empathic search for the best possible deal—you are trying to uncover value, period. Not to strong-arm or to humiliate. +With the style of negotiation taught in the bookďż˝an information-obsessed, empathic search for the best possible dealďż˝you are trying to uncover value, period. Not to strong-arm or to humiliate. When you ask calibrated questions, yes, you are leading your counterpart to your goals. But you are also leading them to examine and articulate what they want and why and how they can achieve it. You are demanding creativity of them, and therefore pushing them toward a collaborative solution. -When I bought my red 4Runner, no doubt I disappointed the salesman by giving him a smaller payday than he would have liked. But I helped him reach his quota, and no doubt I paid more for the truck than the car lot had paid Toyota. If all I’d wanted was to “win,” to humiliate, I would have stolen the thing. +When I bought my red 4Runner, no doubt I disappointed the salesman by giving him a smaller payday than he would have liked. But I helped him reach his quota, and no doubt I paid more for the truck than the car lot had paid Toyota. If all Iďż˝d wanted was to ďż˝win,ďż˝ to humiliate, I would have stolen the thing. -And so I’m going to leave you with one request: Whether it’s in the office or around the family dinner table, don’t avoid honest, clear conflict. It will get you the best car price, the higher salary, and the largest donation. It will also save your marriage, your friendship, and your family. +And so Iďż˝m going to leave you with one request: Whether itďż˝s in the office or around the family dinner table, donďż˝t avoid honest, clear conflict. It will get you the best car price, the higher salary, and the largest donation. It will also save your marriage, your friendship, and your family. -One can only be an exceptional negotiator, and a great person, by both listening and speaking clearly and empathetically; by treating counterparts—and oneself—with dignity and respect; and most of all by being honest about what one wants and what one can—and cannot—do. Every negotiation, every conversation, every moment of life, is a series of small conflicts that, managed well, can rise to creative beauty. +One can only be an exceptional negotiator, and a great person, by both listening and speaking clearly and empathetically; by treating counterpartsďż˝and oneselfďż˝with dignity and respect; and most of all by being honest about what one wants and what one canďż˝and cannotďż˝do. Every negotiation, every conversation, every moment of life, is a series of small conflicts that, managed well, can rise to creative beauty. Embrace them. KEY LESSONS -What we don’t know can kill us or our deals. But uncovering it can totally change the course of a negotiation and bring us unexpected success. +What we donďż˝t know can kill us or our deals. But uncovering it can totally change the course of a negotiation and bring us unexpected success. -Finding the Black Swans—those powerful unknown unknowns—is intrinsically difficult, however, for the simple reason that we don’t know the questions to ask. Because we don’t know what the treasure is, we don’t know where to dig. +Finding the Black Swansďż˝those powerful unknown unknownsďż˝is intrinsically difficult, however, for the simple reason that we donďż˝t know the questions to ask. Because we donďż˝t know what the treasure is, we donďż˝t know where to dig. -Here are some of the best techniques for flushing out the Black Swans—and exploiting them. Remember, your counterpart might not even know how important the information is, or even that they shouldn’t reveal it. So keep pushing, probing, and gathering information. +Here are some of the best techniques for flushing out the Black Swansďż˝and exploiting them. Remember, your counterpart might not even know how important the information is, or even that they shouldnďż˝t reveal it. So keep pushing, probing, and gathering information. -¦Let what you know—your known knowns—guide you but not blind you. Every case is new, so remain flexible and adaptable. Remember the Griffin bank crisis: no hostage-taker had killed a hostage on deadline, until he did. +ďż˝Let what you knowďż˝your known knownsďż˝guide you but not blind you. Every case is new, so remain flexible and adaptable. Remember the Griffin bank crisis: no hostage-taker had killed a hostage on deadline, until he did. -¦Black Swans are leverage multipliers. Remember the three types of leverage: positive (the ability to give someone what they want); negative (the ability to hurt someone); and normative (using your counterpart’s norms to bring them around). +ďż˝Black Swans are leverage multipliers. Remember the three types of leverage: positive (the ability to give someone what they want); negative (the ability to hurt someone); and normative (using your counterpartďż˝s norms to bring them around). -¦Work to understand the other side’s “religion.” Digging into worldviews inherently implies moving beyond the negotiating table and into the life, emotional and otherwise, of your counterpart. That’s where Black Swans live. +ďż˝Work to understand the other sideďż˝s ďż˝religion.ďż˝ Digging into worldviews inherently implies moving beyond the negotiating table and into the life, emotional and otherwise, of your counterpart. Thatďż˝s where Black Swans live. -¦Review everything you hear from your counterpart. You will not hear everything the first time, so double-check. Compare notes with team members. Use backup listeners whose job is to listen between the lines. They will hear things you miss. +ďż˝Review everything you hear from your counterpart. You will not hear everything the first time, so double-check. Compare notes with team members. Use backup listeners whose job is to listen between the lines. They will hear things you miss. -¦Exploit the similarity principle. People are more apt to concede to someone they share a cultural similarity with, so dig for what makes them tick and show that you share common ground. +ďż˝Exploit the similarity principle. People are more apt to concede to someone they share a cultural similarity with, so dig for what makes them tick and show that you share common ground. -¦When someone seems irrational or crazy, they most likely aren’t. Faced with this situation, search for constraints, hidden desires, and bad information. +ďż˝When someone seems irrational or crazy, they most likely arenďż˝t. Faced with this situation, search for constraints, hidden desires, and bad information. -¦Get face time with your counterpart. Ten minutes of face time often reveals more than days of research. Pay special attention to your counterpart’s verbal and nonverbal communication at unguarded moments—at the beginning and the end of the session or when someone says something out of line. +ďż˝Get face time with your counterpart. Ten minutes of face time often reveals more than days of research. Pay special attention to your counterpartďż˝s verbal and nonverbal communication at unguarded momentsďż˝at the beginning and the end of the session or when someone says something out of line. @@ -4066,9 +3988,9 @@ Here are some of the best techniques for flushing out the Black Swans ACKNOWLEDGMENTS -This book would not have been possible without my son Brandon’s help. Brandon has been involved in helping me shape and create these ideas since I first began teaching at Georgetown University. He was initially just there to video-record the classes but he also provided me feedback on how it was going and what was working. To be fair, he actually has been negotiating with me since he was two years old. I think I’ve known that ever since I found out he was using empathy to get out of trouble with his vice-principal in high school. In my first meeting with my brilliant cowriter, Tahl Raz, Brandon was there to keep the information flow going as Tahl soaked it up. In the first progress conference call with my amazing publisher, Hollis Heimbouch, Hollis asked about Brandon’s role and Tahl said having Brandon around was like having another Chris in the room. Brandon has been indispensable. +This book would not have been possible without my son Brandonďż˝s help. Brandon has been involved in helping me shape and create these ideas since I first began teaching at Georgetown University. He was initially just there to video-record the classes but he also provided me feedback on how it was going and what was working. To be fair, he actually has been negotiating with me since he was two years old. I think Iďż˝ve known that ever since I found out he was using empathy to get out of trouble with his vice-principal in high school. In my first meeting with my brilliant cowriter, Tahl Raz, Brandon was there to keep the information flow going as Tahl soaked it up. In the first progress conference call with my amazing publisher, Hollis Heimbouch, Hollis asked about Brandonďż˝s role and Tahl said having Brandon around was like having another Chris in the room. Brandon has been indispensable. -Tahl Raz is a flat-out genius. Anyone who writes a business book without him hasn’t gotten as far as they could have. It’s that simple. I can’t believe how smart he is or how quickly he gets it. He is a true business-writing artist. He’s a great person as well. +Tahl Raz is a flat-out genius. Anyone who writes a business book without him hasnďż˝t gotten as far as they could have. Itďż˝s that simple. I canďż˝t believe how smart he is or how quickly he gets it. He is a true business-writing artist. Heďż˝s a great person as well. Steve Ross, my agent, is a man of integrity and was perfect for this book. He has great industry knowledge and made this book happen. I am grateful to know him. @@ -4076,23 +3998,23 @@ Hollis Heimbouch rocks! I am thrilled that she led the HarperCollins team and be Thank you, Maya Stevenson, for coming onto the Black Swan team and holding us together. We are going farther because of you. -Sheila Heen and John Richardson are two amazing people. They are the ones who really paved the way to show that these hostage negotiation ideas belong in the business world. Sheila was my teacher at Harvard Law School. She inspired me with how she taught and who she is. She asked me to teach alongside her two years later. John asked me to teach International Business Negotiation at Harvard alongside him a year after that. He guided me through that process, which led to the opportunity to become an adjunct at Georgetown. When nothing was happening for me, both John and Sheila were there. Without them I don’t know where I’d be. Thank you both. +Sheila Heen and John Richardson are two amazing people. They are the ones who really paved the way to show that these hostage negotiation ideas belong in the business world. Sheila was my teacher at Harvard Law School. She inspired me with how she taught and who she is. She asked me to teach alongside her two years later. John asked me to teach International Business Negotiation at Harvard alongside him a year after that. He guided me through that process, which led to the opportunity to become an adjunct at Georgetown. When nothing was happening for me, both John and Sheila were there. Without them I donďż˝t know where Iďż˝d be. Thank you both. -Gary Noesner was my mentor at the FBI. He inspired and remade the hostage negotiation world (with the help of his team at the Crisis Negotiation Unit—CNU). He supported me in whatever I wanted to do. He made me the FBI’s lead international kidnapping negotiator. I could call Gary at five a.m. and tell him I was getting on a plane in three hours to go to a kidnapping and he would say, “Go.” His support never wavered. At CNU he pulled together the most talented collection of hostage negotiators ever assembled. CNU hit its zenith when we were there. None of us knew how lucky we were. John Flood, Vince Dalfonzo, Chuck Regini, Winnie Miller, Manny Suarez, Dennis Braiden, Neil Purtell, and Steve Romano were all rock stars. I learned from you all. I can’t believe what Chuck put up with from me as my partner. Dennis was a mentor and great friend. I constantly clashed with Vince and grew because of his talent. +Gary Noesner was my mentor at the FBI. He inspired and remade the hostage negotiation world (with the help of his team at the Crisis Negotiation Unitďż˝CNU). He supported me in whatever I wanted to do. He made me the FBIďż˝s lead international kidnapping negotiator. I could call Gary at five a.m. and tell him I was getting on a plane in three hours to go to a kidnapping and he would say, ďż˝Go.ďż˝ His support never wavered. At CNU he pulled together the most talented collection of hostage negotiators ever assembled. CNU hit its zenith when we were there. None of us knew how lucky we were. John Flood, Vince Dalfonzo, Chuck Regini, Winnie Miller, Manny Suarez, Dennis Braiden, Neil Purtell, and Steve Romano were all rock stars. I learned from you all. I canďż˝t believe what Chuck put up with from me as my partner. Dennis was a mentor and great friend. I constantly clashed with Vince and grew because of his talent. All those who were on the FBI Critical Incident Negotiation Team during that time taught me as well. Thank you. Tommy Corrigan and John Liguori were my brothers when I was in New York City. The three of us did extraordinary things together. I am inspired by the memory of Tommy Corrigan to this day. I was privileged to be a member of the Joint Terrorist Task Force. We fought evil. Richie DeFilippo and Charlie Beaudoin were exceptional wingmen on the Crisis Negotiation Team. Thank you both for all you taught me. -Hugh McGowan and Bob Louden from the NYPD’s Hostage Negotiation Team shared their wisdom with me. Both of you have been indispensable assets to the hostage negotiation world. Thank you. +Hugh McGowan and Bob Louden from the NYPDďż˝s Hostage Negotiation Team shared their wisdom with me. Both of you have been indispensable assets to the hostage negotiation world. Thank you. Derek Gaunt has been a great wingman in the Washington, D.C., metropolitan area. Derek gets it. Thank you, Derek. Kathy Ellingsworth and her late husband, Bill, have been dear friends and a sounding board for years. I am grateful for your support and friendship. -Tom Strentz is the godfather of the FBI’s hostage/crisis negotiation program and has been an unwavering friend. I can’t believe he still takes my calls. +Tom Strentz is the godfather of the FBIďż˝s hostage/crisis negotiation program and has been an unwavering friend. I canďż˝t believe he still takes my calls. -My students at Georgetown and USC have constantly proved that these ideas work everywhere. More than one student has stopped breathing when I looked at them and said, “I need a car in sixty seconds or she dies.” Thanks for coming along for the ride. Georgetown and USC have both been phenomenal places to teach. Both are truly dedicated to higher learning, the highest academic standards, and the success of their students. +My students at Georgetown and USC have constantly proved that these ideas work everywhere. More than one student has stopped breathing when I looked at them and said, ďż˝I need a car in sixty seconds or she dies.ďż˝ Thanks for coming along for the ride. Georgetown and USC have both been phenomenal places to teach. Both are truly dedicated to higher learning, the highest academic standards, and the success of their students. -The hostages and their families who allowed me in during their darkest hours to try to help are all blessed people. I am grateful to still be in touch with some of you today. What wisdom there is in the universe that decided your paths were necessary, I don’t understand. I was blessed by your grace. (I need all the help I can get.) +The hostages and their families who allowed me in during their darkest hours to try to help are all blessed people. I am grateful to still be in touch with some of you today. What wisdom there is in the universe that decided your paths were necessary, I donďż˝t understand. I was blessed by your grace. (I need all the help I can get.) @@ -4104,15 +4026,15 @@ APPENDIX PREPARE A NEGOTIATION ONE SHEET -Negotiation is a psychological investigation. You can gain a measure of confidence going into such an investigation with a simple preparatory exercise we advise all our clients to do. Basically, it’s a list of the primary tools you anticipate using, such as labels and calibrated questions, customized to the particular negotiation. +Negotiation is a psychological investigation. You can gain a measure of confidence going into such an investigation with a simple preparatory exercise we advise all our clients to do. Basically, itďż˝s a list of the primary tools you anticipate using, such as labels and calibrated questions, customized to the particular negotiation. -When the pressure is on, you don’t rise to the occasion—you fall to your highest level of preparation. +When the pressure is on, you donďż˝t rise to the occasionďż˝you fall to your highest level of preparation. -One note of caution before going into greater depth on this exercise: some negotiation experts fetishize preparation to such a degree that they advise people to create the equivalent of preordained scripts for exactly how the negotiation will unfold and the exact form and substance the agreement will take on. By now, after reading this far, you’ll understand why that’s a fool’s errand. Not only will such an approach make you less agile and creative at the table, it will make you more susceptible to those who are. +One note of caution before going into greater depth on this exercise: some negotiation experts fetishize preparation to such a degree that they advise people to create the equivalent of preordained scripts for exactly how the negotiation will unfold and the exact form and substance the agreement will take on. By now, after reading this far, youďż˝ll understand why thatďż˝s a foolďż˝s errand. Not only will such an approach make you less agile and creative at the table, it will make you more susceptible to those who are. -Based on my company’s experiences, I believe that good initial preparation for each negotiation yields at least a 7:1 rate of return on time saved renegotiating deals or clarifying implementation. +Based on my companyďż˝s experiences, I believe that good initial preparation for each negotiation yields at least a 7:1 rate of return on time saved renegotiating deals or clarifying implementation. -In the entertainment industry, they have a single document that summarizes a product for publicity and sales that they call a “one sheet.” Along the same lines, we want to produce a negotiation “one sheet” that summarizes the tools we are going to use. +In the entertainment industry, they have a single document that summarizes a product for publicity and sales that they call a ďż˝one sheet.ďż˝ Along the same lines, we want to produce a negotiation ďż˝one sheetďż˝ that summarizes the tools we are going to use. It will have five short sections @@ -4120,101 +4042,101 @@ SECTION I: THE GOAL Think through best/worst-case scenarios but only write down a specific goal that represents the best case. -Typically, negotiation experts will tell you to prepare by making a list: your bottom line; what you really want; how you’re going to try to get there; and counters to your counterpart’s arguments. +Typically, negotiation experts will tell you to prepare by making a list: your bottom line; what you really want; how youďż˝re going to try to get there; and counters to your counterpartďż˝s arguments. -But this typical preparation fails in many ways. It’s unimaginative and leads to the predictable bargaining dynamic of offer/counteroffer/meet in the middle. In other words, it gets results, but they’re often mediocre. +But this typical preparation fails in many ways. Itďż˝s unimaginative and leads to the predictable bargaining dynamic of offer/counteroffer/meet in the middle. In other words, it gets results, but theyďż˝re often mediocre. -The centerpiece of the traditional preparation dynamic—and its greatest Achilles’ heel—is something called the BATNA. +The centerpiece of the traditional preparation dynamicďż˝and its greatest Achillesďż˝ heelďż˝is something called the BATNA. -Roger Fisher and William Ury coined the term in their 1981 bestseller, Getting to Yes, and it stands for Best Alternative To a Negotiated Agreement. Basically, it’s the best possible option you have if negotiations fail. Your last resort. Say you’re on a car lot trying to sell your old BMW 3-series. If you already have another dealer who’s given you a written offer for $10,000, that’s your BATNA. +Roger Fisher and William Ury coined the term in their 1981 bestseller, Getting to Yes, and it stands for Best Alternative To a Negotiated Agreement. Basically, itďż˝s the best possible option you have if negotiations fail. Your last resort. Say youďż˝re on a car lot trying to sell your old BMW 3-series. If you already have another dealer whoďż˝s given you a written offer for $10,000, thatďż˝s your BATNA. The problem is that BATNA tricks negotiators into aiming low. Researchers have found that humans have a limited capacity for keeping focus in complex, stressful situations like negotiations. And so, once a negotiation is under way, we tend to gravitate toward the focus point that has the most psychological significance for us. -In that context, obsessing over a BATNA turns it into your target, and thereby sets the upper limit of what you will ask for. After you’ve spent hours on a BATNA, you mentally concede everything beyond it. +In that context, obsessing over a BATNA turns it into your target, and thereby sets the upper limit of what you will ask for. After youďż˝ve spent hours on a BATNA, you mentally concede everything beyond it. -God knows aiming low is seductive. Self-esteem is a huge factor in negotiation, and many people set modest goals to protect it. It’s easier to claim victory when you aim low. That’s why some negotiation experts say that many people who think they have “win-win” goals really have a “wimp-win” mentality. The “wimp-win” negotiator focuses on his or her bottom line, and that’s where they end up. +God knows aiming low is seductive. Self-esteem is a huge factor in negotiation, and many people set modest goals to protect it. Itďż˝s easier to claim victory when you aim low. Thatďż˝s why some negotiation experts say that many people who think they have ďż˝win-winďż˝ goals really have a ďż˝wimp-winďż˝ mentality. The ďż˝wimp-winďż˝ negotiator focuses on his or her bottom line, and thatďż˝s where they end up. -So if BATNA isn’t your centerpiece, what should be? +So if BATNA isnďż˝t your centerpiece, what should be? -I tell my clients that as part of their preparation they should think about the outcome extremes: best and worst. If you’ve got both ends covered, you’ll be ready for anything. So know what you cannot accept and have an idea about the best-case outcome, but keep in mind that since there’s information yet to be acquired from the other side, it’s quite possible that best case might be even better than you know. +I tell my clients that as part of their preparation they should think about the outcome extremes: best and worst. If youďż˝ve got both ends covered, youďż˝ll be ready for anything. So know what you cannot accept and have an idea about the best-case outcome, but keep in mind that since thereďż˝s information yet to be acquired from the other side, itďż˝s quite possible that best case might be even better than you know. -Remember, never be so sure of what you want that you wouldn’t take something better. Once you’ve got flexibility in the forefront of your mind you come into a negotiation with a winning mindset. +Remember, never be so sure of what you want that you wouldnďż˝t take something better. Once youďż˝ve got flexibility in the forefront of your mind you come into a negotiation with a winning mindset. -Let’s say you’re selling old speakers because you need $100 to put toward a new set. If you concentrate on the $100 minimum, you’ll relax when you hear that number and that’s what you’ll get. But if you know that they are for sale in used audio stores for $140, you could set a high-end goal of $150, while remaining open to better things. +Letďż˝s say youďż˝re selling old speakers because you need $100 to put toward a new set. If you concentrate on the $100 minimum, youďż˝ll relax when you hear that number and thatďż˝s what youďż˝ll get. But if you know that they are for sale in used audio stores for $140, you could set a high-end goal of $150, while remaining open to better things. -Now, while I counsel thinking about a best/worst range to give my clients the security of some structure, when it comes to what actually goes on your one sheet, my advice is to just stick with the high-end goal, as it will motivate and focus your psychological powers, priming you to think you are facing a “loss” for any term that falls short. Decades of goal-setting research is clear that people who set specific, challenging, but realistic goals end up getting better deals than those who don’t set goals or simply strive to do their best. +Now, while I counsel thinking about a best/worst range to give my clients the security of some structure, when it comes to what actually goes on your one sheet, my advice is to just stick with the high-end goal, as it will motivate and focus your psychological powers, priming you to think you are facing a ďż˝lossďż˝ for any term that falls short. Decades of goal-setting research is clear that people who set specific, challenging, but realistic goals end up getting better deals than those who donďż˝t set goals or simply strive to do their best. Bottom line: People who expect more (and articulate it) get more. Here are the four steps for setting your goal: -¦Set an optimistic but reasonable goal and define it clearly. +ďż˝Set an optimistic but reasonable goal and define it clearly. -¦Write it down. +ďż˝Write it down. -¦Discuss your goal with a colleague (this makes it harder to wimp out). +ďż˝Discuss your goal with a colleague (this makes it harder to wimp out). -¦Carry the written goal into the negotiation. +ďż˝Carry the written goal into the negotiation. SECTION II: SUMMARY Summarize and write out in just a couple of sentences the known facts that have led up to the negotiation. -You’re going to have to have something to talk about beyond a self-serving assessment of what you want. And you had better be ready to respond with tactical empathy to your counterpart’s arguments; unless they’re incompetent, the other party will come prepared to argue an interpretation of the facts that favors them. +Youďż˝re going to have to have something to talk about beyond a self-serving assessment of what you want. And you had better be ready to respond with tactical empathy to your counterpartďż˝s arguments; unless theyďż˝re incompetent, the other party will come prepared to argue an interpretation of the facts that favors them. Get on the same page at the outset. You have to clearly describe the lay of the land before you can think about acting in its confines. Why are you there? What do you want? What do they want? Why? -You must be able to summarize a situation in a way that your counterpart will respond with a “That’s right.” If they don’t, you haven’t done it right. +You must be able to summarize a situation in a way that your counterpart will respond with a ďż˝Thatďż˝s right.ďż˝ If they donďż˝t, you havenďż˝t done it right. SECTION III: LABELS/ACCUSATION AUDIT Prepare three to five labels to perform an accusation audit. -Anticipate how your counterpart feels about these facts you’ve just summarized. Make a concise list of any accusations they might make—no matter how unfair or ridiculous they might be. Then turn each accusation into a list of no more than five labels and spend a little time role-playing it. +Anticipate how your counterpart feels about these facts youďż˝ve just summarized. Make a concise list of any accusations they might makeďż˝no matter how unfair or ridiculous they might be. Then turn each accusation into a list of no more than five labels and spend a little time role-playing it. There are fill-in-the-blank labels that can be used in nearly every situation to extract information from your counterpart, or defuse an accusation: It seems like _________ is valuable to you. -It seems like you don’t like _________. +It seems like you donďż˝t like _________. It seems like you value __________. It seems like _________ makes it easier. -It seems like you’re reluctant to _________. +It seems like youďż˝re reluctant to _________. -As an example, if you’re trying to renegotiate an apartment lease to allow subletters and you know the landlord is opposed to them, your prepared labels would be on the lines of “It seems as though you’re not a fan of subletters” or “It seems like you want stability with your tenants.” +As an example, if youďż˝re trying to renegotiate an apartment lease to allow subletters and you know the landlord is opposed to them, your prepared labels would be on the lines of ďż˝It seems as though youďż˝re not a fan of sublettersďż˝ or ďż˝It seems like you want stability with your tenants.ďż˝ SECTION IV: CALIBRATED QUESTIONS Prepare three to five calibrated questions to reveal value to you and your counterpart and identify and overcome potential deal killers. -Effective negotiators look past their counterparts’ stated positions (what the party demands) and delve into their underlying motivations (what is making them want what they want). Motivations are what they are worried about and what they hope for, even lust for. +Effective negotiators look past their counterpartsďż˝ stated positions (what the party demands) and delve into their underlying motivations (what is making them want what they want). Motivations are what they are worried about and what they hope for, even lust for. Figuring out what the other party is worried about sounds simple, but our basic human expectations about negotiation often get in the way. Most of us tend to assume that the needs of the other side conflict with our own. We tend to limit our field of vision to our issues and problems, and forget that the other side has its own unique issues based on its own unique worldview. Great negotiators get past these blinders by being relentlessly curious about what is really motivating the other side. -Harry Potter author J. K. Rowling has a great quote that sums up this concept: “You must accept the reality of other people. You think that reality is up for negotiation, that we think it’s whatever you say it is. You must accept that we are as real as you are; you must accept that you are not God.” +Harry Potter author J. K. Rowling has a great quote that sums up this concept: ďż˝You must accept the reality of other people. You think that reality is up for negotiation, that we think itďż˝s whatever you say it is. You must accept that we are as real as you are; you must accept that you are not God.ďż˝ -There will be a small group of “What” and “How” questions that you will find yourself using in nearly every situation. Here are a few of them: +There will be a small group of ďż˝Whatďż˝ and ďż˝Howďż˝ questions that you will find yourself using in nearly every situation. Here are a few of them: What are we trying to accomplish? How is that worthwhile? -What’s the core issue here? +Whatďż˝s the core issue here? How does that affect things? -What’s the biggest challenge you face? +Whatďż˝s the biggest challenge you face? How does this fit into what the objective is? QUESTIONS TO IDENTIFY BEHIND-THE-TABLE DEAL KILLERS -When implementation happens by committee, the support of that committee is key. You’ll want to tailor your calibrated questions to identify and unearth the motivations of those behind the table, including: +When implementation happens by committee, the support of that committee is key. Youďż˝ll want to tailor your calibrated questions to identify and unearth the motivations of those behind the table, including: How does this affect the rest of your team? @@ -4224,13 +4146,13 @@ What do your colleagues see as their main challenges in this area? QUESTIONS TO IDENTIFY AND DIFFUSE DEAL-KILLING ISSUES -Internal negotiating influence often sits with the people who are most comfortable with things as they are. Change may make them look as if they haven’t been doing their job. Your dilemma in such a negotiation is how to make them look good in the face of that change. +Internal negotiating influence often sits with the people who are most comfortable with things as they are. Change may make them look as if they havenďż˝t been doing their job. Your dilemma in such a negotiation is how to make them look good in the face of that change. -You’ll be tempted to concentrate on money, but put that aside for now. A surprisingly high percentage of negotiations hinge on something outside dollars and cents. Often they have more to do with self-esteem, status, autonomy, and other nonfinancial needs. +Youďż˝ll be tempted to concentrate on money, but put that aside for now. A surprisingly high percentage of negotiations hinge on something outside dollars and cents. Often they have more to do with self-esteem, status, autonomy, and other nonfinancial needs. Think about their perceived losses. Never forget that a loss stings at least twice as much as an equivalent gain. -For example, the guy across the table may be hesitating to install the new accounting system he needs (and you are selling) because he doesn’t want to screw anything up before his annual review in four months’ time. Instead of lowering your price, you can offer to help impress his boss, and do it safely, by promising to finish the installation in ninety days, guaranteed. +For example, the guy across the table may be hesitating to install the new accounting system he needs (and you are selling) because he doesnďż˝t want to screw anything up before his annual review in four monthsďż˝ time. Instead of lowering your price, you can offer to help impress his boss, and do it safely, by promising to finish the installation in ninety days, guaranteed. QUESTIONS TO USE TO UNEARTH THE DEAL-KILLING ISSUES @@ -4246,13 +4168,13 @@ What does doing nothing cost you? How does making this deal resonate with what your company prides itself on? -It’s often very effective to ask these in groups of two or three as they are similar enough that they help your counterpart think about the same thing from different angles. +Itďż˝s often very effective to ask these in groups of two or three as they are similar enough that they help your counterpart think about the same thing from different angles. -Every situation is unique, of course, but choosing the right mix of these questions will lead your counterpart to reveal information about what they want and need—and simultaneously push them to see things from your point of view. +Every situation is unique, of course, but choosing the right mix of these questions will lead your counterpart to reveal information about what they want and needďż˝and simultaneously push them to see things from your point of view. Be ready to execute follow-up labels to their answers to your calibrated questions. -Having labels prepared will allow you to quickly turn your counterpart’s responses back to them, which will keep them feeding you new and expanding information. Again, these are fill-in-the-blank labels that you can use quickly without tons of thought: +Having labels prepared will allow you to quickly turn your counterpartďż˝s responses back to them, which will keep them feeding you new and expanding information. Again, these are fill-in-the-blank labels that you can use quickly without tons of thought: It seems like __________ is important. @@ -4264,7 +4186,7 @@ SECTION V: NONCASH OFFERS Prepare a list of noncash items possessed by your counterpart that would be valuable. -Ask yourself: “What could they give that would almost get us to do it for free?” Think of the anecdote I told a few chapters ago about my work for the lawyers’ association: My counterpart’s interest was to pay me as little cash as possible in order to look good in front of his board. We came upon the idea that they pay in part by publishing a cover story about me in their magazine. That was low-cost for them and it advanced my interests considerably. +Ask yourself: ďż˝What could they give that would almost get us to do it for free?ďż˝ Think of the anecdote I told a few chapters ago about my work for the lawyersďż˝ association: My counterpartďż˝s interest was to pay me as little cash as possible in order to look good in front of his board. We came upon the idea that they pay in part by publishing a cover story about me in their magazine. That was low-cost for them and it advanced my interests considerably. For more information on my company, The Black Swan Group, any additional information or guidance we can give you on negotiation, or for contacting me about speaking to your company, please visit our website at www.blackswanltd.com. @@ -4289,47 +4211,47 @@ CHAPTER 1: THE NEW RULES CHAPTER 2: BE A MIRROR -1.George A. Miller, “The Magical Number Seven, Plus or Minus Two: Some Limits on Our Capacity for Processing Information,” Psychological Review 63, no. 2 (1956): 81–97. +1.George A. Miller, ďż˝The Magical Number Seven, Plus or Minus Two: Some Limits on Our Capacity for Processing Information,ďż˝ Psychological Review 63, no. 2 (1956): 81ďż˝97. -CHAPTER 3: DON’T FEEL THEIR PAIN, LABEL IT +CHAPTER 3: DONďż˝T FEEL THEIR PAIN, LABEL IT -1.Greg J. Stephens, Lauren J. Silbert, and Uri Hasson, “Speaker–Listener Neural Coupling Underlies Successful Communication,” Proceedings of the National Academy of Sciences of the USA 107, no. 32 (August 10, 2010): 14425–30. +1.Greg J. Stephens, Lauren J. Silbert, and Uri Hasson, ďż˝Speakerďż˝Listener Neural Coupling Underlies Successful Communication,ďż˝ Proceedings of the National Academy of Sciences of the USA 107, no. 32 (August 10, 2010): 14425ďż˝30. -2.Matthew D. Lieberman et al., “Putting Feelings into Words: Affect Labeling Disrupts Amygdala Activity in Response to Affective Stimuli,” Psychological Science 18, no. 5 (May 2007): 421–28. +2.Matthew D. Lieberman et al., ďż˝Putting Feelings into Words: Affect Labeling Disrupts Amygdala Activity in Response to Affective Stimuli,ďż˝ Psychological Science 18, no. 5 (May 2007): 421ďż˝28. -CHAPTER 4: BEWARE “YES”—MASTER “NO” +CHAPTER 4: BEWARE ďż˝YES��MASTER ďż˝NOďż˝ -1.Jim Camp, Start with NO: The Negotiating Tools That the Pros Don‘t Want You to Know (New York: Crown Business, 2002). +1.Jim Camp, Start with NO: The Negotiating Tools That the Pros Donďż˝t Want You to Know (New York: Crown Business, 2002). CHAPTER 6: BEND THEIR REALITY 1.Herb Cohen, You Can Negotiate Anything (Secaucus, NJ: Lyle Stuart, 1980). -2.Antonio R. Damasio, Descartes’ Error: Emotion, Reason, and the Human Brain (New York: Quill, 2000). +2.Antonio R. Damasio, Descartesďż˝ Error: Emotion, Reason, and the Human Brain (New York: Quill, 2000). 3.Jeffrey J. Fox, How to Become a Rainmaker: The People Who Get and Keep Customers (New York: Hyperion, 2000). -4.Daniel Ames and Malia Mason, “Tandem Anchoring: Informational and Politeness Effects of Range Offers in Social Exchange,” Journal of Personality and Social Psychology 108, no. 2 (February 2015): 254–74. +4.Daniel Ames and Malia Mason, ďż˝Tandem Anchoring: Informational and Politeness Effects of Range Offers in Social Exchange,ďż˝ Journal of Personality and Social Psychology 108, no. 2 (February 2015): 254ďż˝74. CHAPTER 7: CREATE THE ILLUSION OF CONTROL 1.Kevin Dutton, Split-Second Persuasion: The Ancient Art and New Science of Changing Minds (Boston: Houghton Mifflin Harcourt, 2011). -2.Dhruv Khullar, “Teaching Doctors the Art of Negotiation,” New York Times, January 23, 2014, http://well.blogs.nytimes.com /2014/01/23/teaching-doctors-the-art-of-negotiation/, accessed September 4, 2015. +2.Dhruv Khullar, ďż˝Teaching Doctors the Art of Negotiation,ďż˝ New York Times, January 23, 2014, http://well.blogs.nytimes.com /2014/01/23/teaching-doctors-the-art-of-negotiation/, accessed September 4, 2015. CHAPTER 8: GUARANTEE EXECUTION 1.Albert Mehrabian, Silent Messages: Implicit Communication of Emotions and Attitudes, 2nd ed. (Belmont, CA: Wadsworth, 1981), and Albert Mehrabian, Nonverbal Communication (Chicago: Aldine-Atherton, 1972). -2.Lyn M. Van Swol, Michael T. Braun, and Deepak Malhotra, “Evidence for the Pinocchio Effect: Linguistic Differences Between Lies, Deception by Omissions, and Truths,” Discourse Processes 49, no. 2 (2012): 79–106. +2.Lyn M. Van Swol, Michael T. Braun, and Deepak Malhotra, ďż˝Evidence for the Pinocchio Effect: Linguistic Differences Between Lies, Deception by Omissions, and Truths,ďż˝ Discourse Processes 49, no. 2 (2012): 79ďż˝106. CHAPTER 9: BARGAIN HARD 1.Gerald R. Williams, Legal Negotiations and Settlement (St. Paul, MN: West, 1983). -2.Marwan Sinaceur and Larissa Tiedens, “Get Mad and Get More than Even: The Benefits of Anger Expressions in Negotiations,” Journal of Experimental Social Psychology 42, no. 3 (2006): 314–22. +2.Marwan Sinaceur and Larissa Tiedens, ďż˝Get Mad and Get More than Even: The Benefits of Anger Expressions in Negotiations,ďż˝ Journal of Experimental Social Psychology 42, no. 3 (2006): 314ďż˝22. -3.Daniel R. Ames and Abbie Wazlawek, “Pushing in the Dark: Causes and Consequences of Limited Self-Awareness for Interpersonal Assertiveness,” Personality and Social Psychology Bulletin 40, no. 6 (2014): 1–16. +3.Daniel R. Ames and Abbie Wazlawek, ďż˝Pushing in the Dark: Causes and Consequences of Limited Self-Awareness for Interpersonal Assertiveness,ďż˝ Personality and Social Psychology Bulletin 40, no. 6 (2014): 1ďż˝16. CHAPTER 10: FIND THE BLACK SWAN @@ -4337,7 +4259,7 @@ CHAPTER 10: FIND THE BLACK SWAN 2.Nassim Nicholas Taleb, The Black Swan: The Impact of the Highly Improbable (New York: Random House, 2007). -3.Ellen J. Langer, Arthur Blank, and Benzion Chanowitz, “The Mindlessness of Ostensibly Thoughtful Action: The Role of ‘Placebic’ Information in Interpersonal Interaction,” Journal of Personality and Social Psychology 36, no. 6 (1978): 635–42. +3.Ellen J. Langer, Arthur Blank, and Benzion Chanowitz, ďż˝The Mindlessness of Ostensibly Thoughtful Action: The Role of ďż˝Placebicďż˝ Information in Interpersonal Interaction,ďż˝ Journal of Personality and Social Psychology 36, no. 6 (1978): 635ďż˝42. 4.Deepak Malhotra and Max H. Bazerman, Negotiation Genius: How to Overcome Obstacles and Achieve Brilliant Results at the Bargaining Table and Beyond (New York: Bantam Books, 2007). @@ -4348,25 +4270,25 @@ CHAPTER 10: FIND THE BLACK SWAN INDEX -The pagination of this electronic edition does not match the edition from which it was created. To locate a specific entry, please use your e-book reader’s search tools. +The pagination of this electronic edition does not match the edition from which it was created. To locate a specific entry, please use your e-book readerďż˝s search tools. -Abu Sayyaf (militant Islamic group), 96, 99, 100, 140, 142–44 +Abu Sayyaf (militant Islamic group), 96, 99, 100, 140, 142ďż˝44 -Accommodators (bargaining style), 192, 194–96 +Accommodators (bargaining style), 192, 194ďż˝96 -accusation audit, 19, 64–68, 73, 128, 182–83, 254–55 +accusation audit, 19, 64ďż˝68, 73, 128, 182ďż˝83, 254ďż˝55 -example, contract negotiation, 65–68 +example, contract negotiation, 65ďż˝68 -Ackerman, Mike, 205–6 +Ackerman, Mike, 205ďż˝6 -Ackerman model, 21, 205–8, 212, 240 +Ackerman model, 21, 205ďż˝8, 212, 240 -example, getting a rent cut, 208–11 +example, getting a rent cut, 208ďż˝11 four steps of, 206 -Haitian kidnappings and, 207–8 +Haitian kidnappings and, 207ďż˝8 active listening, 16, 19, 53. See also tactical empathy @@ -4374,7 +4296,7 @@ BCSM and, 97 crisis negotiations and, 225 -difficulty of listening, 27–28 +difficulty of listening, 27ďż˝28 effective pauses, 103 @@ -4388,13 +4310,13 @@ mirroring and, 19, 103 paraphrasing and, 103 -Schilling kidnapping case and, 102–4 +Schilling kidnapping case and, 102ďż˝4 silences, 19, 103 summaries, 103 -uncovering Black Swans and, 228, 244–45 +uncovering Black Swans and, 228, 244ďż˝45 aggressiveness, 155, 160, 172, 173, 175 @@ -4406,7 +4328,7 @@ best/worst range, 253 clearing barriers to, 72 -commitment “yes” and, 81 +commitment ďż˝yesďż˝ and, 81 dynamic of, 157 @@ -4416,9 +4338,9 @@ fairness and, 122 liars and, 172 -“no” and, 89 +ďż˝noďż˝ and, 89 -Rule of Three and, 177–78, 186 +Rule of Three and, 177ďż˝78, 186 Aladdin (film), 123 @@ -4426,83 +4348,83 @@ Al Qaeda, 140, 143 Ames, Daniel, 202 -Analysts (bargaining style), 192, 193–94 +Analysts (bargaining style), 192, 193ďż˝94 -“anchor and adjustment” effect, 130 +ďż˝anchor and adjustmentďż˝ effect, 130 anchoring bending reality with, 139 -emotions and, 20, 128–29 +emotions and, 20, 128ďż˝29 -establishing a range, 131–32, 139 +establishing a range, 131ďż˝32, 139 -extreme, 199, 200, 206–7, 212, 240 +extreme, 199, 200, 206ďż˝7, 212, 240 -in kidnapping case, 133–35 +in kidnapping case, 133ďż˝35 -monetary negotiations, 129–30 +monetary negotiations, 129ďż˝30 -anger, 57–58, 158, 161, 202, 204 +anger, 57ďż˝58, 158, 161, 202, 204 -apologizing, 3, 58–59, 125, 152, 159, 181, 194 +apologizing, 3, 58ďż˝59, 125, 152, 159, 181, 194 Aristide, Jean-Bertrand, 113 -Assertive (bargaining style), 192, 193, 196–97 +Assertive (bargaining style), 192, 193, 196ďż˝97 real anger, threats without anger, and strategic umbrage, 202 -assumptions, 19, 24–26, 44, 47, 191 +assumptions, 19, 24ďż˝26, 44, 47, 191 -bargaining styles and, 197–98 +bargaining styles and, 197ďż˝98 of Fisher and Ury, 11 known knowns and, 218 -bargaining hard, 20–21, 188–212 +bargaining hard, 20ďż˝21, 188ďż˝212 -Accommodators, 192, 194–96 +Accommodators, 192, 194ďż˝96 -Ackerman model and, 205–8, 212 +Ackerman model and, 205ďż˝8, 212 -Analysts, 192, 193–94 +Analysts, 192, 193ďż˝94 -Assertive style, 192, 193, 196–97 +Assertive style, 192, 193, 196ďż˝97 Black Swan rule, 198 -effective ways to assert smartly, 201–5 +effective ways to assert smartly, 201ďż˝5 -example, MBA student soliciting funds, 200–201 +example, MBA student soliciting funds, 200ďż˝201 -“fall to your highest level of preparation,” 208, 211, 251 +ďż˝fall to your highest level of preparation,ďż˝ 208, 211, 251 -identifying your counterpart’s style, 197–98, 211 +identifying your counterpartďż˝s style, 197ďż˝98, 211 -information gathering and, 199–200, 211–12 +information gathering and, 199ďż˝200, 211ďż˝12 -key lessons of, 211–12 +key lessons of, 211ďż˝12 -lawyer-negotiators, 192–93 +lawyer-negotiators, 192ďż˝93 no deal is better than a bad deal, 115, 117, 204 outcome goals and, 253 -personal negotiation styles, 192–98 +personal negotiation styles, 192ďż˝98 pivoting to noncash terms, 199, 206, 258 psychological currents and, 191 -punching back (using assertion), 201–5, 212 +punching back (using assertion), 201ďż˝5, 212 -taking a punch, 198–201, 212 +taking a punch, 198ďż˝201, 212 -Voss and buying a truck, 188–90 +Voss and buying a truck, 188ďż˝90 Bargaining with the Devil: When to Negotiate, When to Fight (Mnookin), 2 @@ -4524,21 +4446,21 @@ health issues and, 97 lessons that lay the foundation for, 112 -psychological environment necessary for, 97–98 +psychological environment necessary for, 97ďż˝98 -“that’s right” and, 98, 101–5, 107 +ďż˝thatďż˝s rightďż˝ and, 98, 101ďż˝5, 107 -“you’re right” as ineffective, 105–7 +ďż˝youďż˝re rightďż˝ as ineffective, 105ďż˝7 -behind the table or Level II players, 171–72, 186 +behind the table or Level II players, 171ďż˝72, 186 pronoun usage and, 179, 187 questions to identify, 256 -bending reality, 126–35. See also prospect theory +bending reality, 126ďż˝35. See also prospect theory -key lessons of, 138–39 +key lessons of, 138ďż˝39 Bergen, Peter, 232 @@ -4550,65 +4472,65 @@ complementary PDF form, bargaining types, 198 website and more information, 258 -Black Swans, 19, 21, 213–45 +Black Swans, 19, 21, 213ďż˝45 -ascertaining counterpart’s unattained goals, 231 +ascertaining counterpartďż˝s unattained goals, 231 asking questions to reveal, 110 -“crazy” vs. a clue, 232–33, 245 +ďż˝crazyďż˝ vs. a clue, 232ďż˝33, 245 -example, Griffin hostage case, 213–14, 216–17, 235, 244 +example, Griffin hostage case, 213ďż˝14, 216ďż˝17, 235, 244 -example, MBA student uncovers seller’s constraints, 238–41 +example, MBA student uncovers sellerďż˝s constraints, 238ďż˝41 -example, Watson standoff, Washington DC, 224–28 +example, Watson standoff, Washington DC, 224ďż˝28 -getting face time to unearth hidden factors, 236–37 +getting face time to unearth hidden factors, 236ďż˝37 -key lessons of, 244–45 +key lessons of, 244ďż˝45 -knowing a counterpart’s “religion” and, 225, 228–29, 244 +knowing a counterpartďż˝s ďż˝religionďż˝ and, 225, 228ďż˝29, 244 -as leverage multipliers, 220–24, 244 +as leverage multipliers, 220ďż˝24, 244 -listening and uncovering, 228, 244–45 +listening and uncovering, 228, 244ďż˝45 -mistaking acting on bad information for craziness, 233–34 +mistaking acting on bad information for craziness, 233ďż˝34 -mistaking constrained for acting crazy, 234–35 +mistaking constrained for acting crazy, 234ďż˝35 mistaking having other interests for acting crazy, 235 observing unguarded moments to unearth hidden factors, 237 -Taleb’s use of term, 216 +Talebďż˝s use of term, 216 theory of, 215 tips for reading religion correctly, 228 -uncovering unknown unknowns, 218–20 +uncovering unknown unknowns, 218ďż˝20 what they are, 238 -Blum, Gabriella, 2–4, 5 +Blum, Gabriella, 2ďż˝4, 5 body language. See nonverbal communication -Bonderow, Amy, 76–77, 81, 85 +Bonderow, Amy, 76ďż˝77, 81, 85 Branch Davidian siege, Waco, Texas, 13 -Bueno, Jesus, 182–85 +Bueno, Jesus, 182ďż˝85 Burnham, Martin and Gracia, 140, 143, 144, 145, 146, 166 -Burnham-Sobero case, Dos Palmas, 140–41, 142–48, 170 +Burnham-Sobero case, Dos Palmas, 140ďż˝41, 142ďż˝48, 170 Bush, George W., 143 -calibrated, or open-ended, questions, 20, 141, 149, 150, 151–56, 243 +calibrated, or open-ended, questions, 20, 141, 149, 150, 151ďż˝56, 243 Ackerman model and, 207 @@ -4616,7 +4538,7 @@ to analyze negotiation team and behind the table/Level II players, 171, 172 Assertive (bargaining style) and, 196 -caution about using “why,” 153–54, 160, 203 +caution about using ďż˝why,ďż˝ 153ďż˝54, 160, 203 Ecuador kidnapping and, 160, 165, 166, 167 @@ -4626,27 +4548,27 @@ example, doctor and unhappy patient, 150, 155 examples to use, 154, 256 -“forced empathy” and, 168 +ďż˝forced empathyďż˝ and, 168 greatest-of-all-time question, 151, 168 -“How” questions, 167–69, 181, 186 +ďż˝Howďż˝ questions, 167ďż˝69, 181, 186 -key lessons of, 160–61 +key lessons of, 160ďż˝61 -Negotiation One Sheet and, 255–58 +Negotiation One Sheet and, 255ďż˝58 -questions to identify and diffuse deal-killing issues, 256–57 +questions to identify and diffuse deal-killing issues, 256ďż˝57 questions to identify the behind-the-table deal killers, 256 responses to aggressiveness and, 141, 152, 159, 175 -Rule of Three and, 177–78 +Rule of Three and, 177ďż˝78 -script for, 157–58 +script for, 157ďż˝58 -tone of voice for, 167–68 +tone of voice for, 167ďż˝68 when to use, 154 @@ -4656,15 +4578,15 @@ words to begin with, 153, 160 Camp, Jim, 78, 90 -car-buying negotiations, 119, 188–90, 243 +car-buying negotiations, 119, 188ďż˝90, 243 certainty effect, 127 Chandler, Raymond, 129 -Chris discount, 179–80 +Chris discount, 179ďż˝80 -clearing the barriers to agreement, 61–63, 72 +clearing the barriers to agreement, 61ďż˝63, 72 Clinton, Hillary, 53 @@ -4674,9 +4596,9 @@ Cohen, Herb, 119 collaboration, 21 -How/No questions and, 167–68 +How/No questions and, 167ďż˝68 -never create an enemy, 204–5 +never create an enemy, 204ďż˝5 Collodi, Carlo, 178 @@ -4684,55 +4606,55 @@ Columbia Business School, 131 communication. See also active listening; calibrated, or open-ended, question; voice tones -calibrated, or open-ended, question, 20, 141, 149, 150, 151–56, 165, 166, 167–69, 170, 174–75, 255–58 +calibrated, or open-ended, question, 20, 141, 149, 150, 151ďż˝56, 165, 166, 167ďż˝69, 170, 174ďż˝75, 255ďż˝58 Chinese expression about, 111 control in, 160, 166 -empathy as “soft” skill, 53 +empathy as ďż˝softďż˝ skill, 53 hidden aspects of, 77 -“I” messages, 203–4 +ďż˝Iďż˝ messages, 203ďż˝4 literal interpretations, mistake of, 77 lying and, 178 -“no” and, 75–80 +ďż˝noďż˝ and, 75ďż˝80 -pronoun usage and person’s importance, 179, 187 +pronoun usage and personďż˝s importance, 179, 187 -7-38-55 Percent Rule, 176–77, 186 +7-38-55 Percent Rule, 176ďż˝77, 186 -subtleties, spotting and interpreting, 173–76 +subtleties, spotting and interpreting, 173ďż˝76 uncovering lying, 176 -using your own name (Chris discount), 179–80, 187 +using your own name (Chris discount), 179ďż˝80, 187 -“yes” and, 80–81 +ďż˝yesďż˝ and, 80ďż˝81 -“yes” and “no,” values inherent in, 86 +ďż˝yesďż˝ and ďż˝no,ďż˝ values inherent in, 86 -compromise, 18–19, 115–16, 139 +compromise, 18ďż˝19, 115ďż˝16, 139 reasons for, 116 win-win and, 115, 253 -control, 140–61 +control, 140ďż˝61 -calibrated, or open-ended, question and, 141, 149, 150, 151–56 +calibrated, or open-ended, question and, 141, 149, 150, 151ďż˝56 in communication, 160 -creating the illusion of, 149–61, 166, 174–75 +creating the illusion of, 149ďż˝61, 166, 174ďż˝75 influence vs., 84 -key lessons of, 160–61 +key lessons of, 160ďż˝61 lack of, and hostage mentality, 159 @@ -4740,19 +4662,19 @@ late-night FM DJ voice and, 33 as primal urge, 84 -saying “no” and, 78–79, 86–92, 94 +saying ďż˝noďż˝ and, 78ďż˝79, 86ďż˝92, 94 -self-control, 156–59, 161, 202, 204 +self-control, 156ďż˝59, 161, 202, 204 -crisis negotiations, 4–5, 9–10, 13–16, 18–19, 54. See also kidnapping or hostage negotiations +crisis negotiations, 4ďż˝5, 9ďż˝10, 13ďż˝16, 18ďż˝19, 54. See also kidnapping or hostage negotiations -Harlem standoff, 49–51, 54–55 +Harlem standoff, 49ďż˝51, 54ďż˝55 Voss and, 76 -Watson standoff, 224–28 +Watson standoff, 224ďż˝28 -Crisis Negotiation Unit (CNU), 96–97 +Crisis Negotiation Unit (CNU), 96ďż˝97 Behavioral Change Stairway Model (BCSM), 97 @@ -4762,7 +4684,7 @@ Cuban, Mark, 91 Damasio, Antonio, 122 -deadlines, 20, 116–20, 139 +deadlines, 20, 116ďż˝20, 139 mistake of hiding a deadline, 120 @@ -4772,11 +4694,11 @@ discovering emotional drivers of, 126 emotion and, 122, 123 -prospect theory and, 127–35 +prospect theory and, 127ďż˝35 -Descartes’ Error: Emotion, Reason, and the Human Brain (Damasio), 122 +Descartesďż˝ Error: Emotion, Reason, and the Human Brain (Damasio), 122 -direct or assertive voice, 32–33, 48 +direct or assertive voice, 32ďż˝33, 48 Double Indemnity (film), 129 @@ -4784,17 +4706,17 @@ Downs v. United States, 10 Dutton, Kevin, 149, 150 -Ecuador kidnapping, 164–67, 169–70 +Ecuador kidnapping, 164ďż˝67, 169ďż˝70 Egypt-Israel peace treaty, 133 -email technique, 20, 92–93, 95 +email technique, 20, 92ďż˝93, 95 emotion amygdala and fear, 55, 61, 62 -anchoring emotions, 20, 128–29 +anchoring emotions, 20, 128ďż˝29 avoiding escalations, 204 @@ -4806,45 +4728,45 @@ contract for Robin Williams in Aladdin and, 123 decision-making and, 122, 123 -detecting the other person’s, 55–56 +detecting the other personďż˝s, 55ďż˝56 -Harlem stand-off negotiation, 49–51, 54–55 +Harlem stand-off negotiation, 49ďż˝51, 54ďż˝55 intentionally mislabeling, reason for, 91, 94 -Iranian sanctions and, 123–24 +Iranian sanctions and, 123ďż˝24 Japanese regulating technique, 159 -labeling, 50, 54–73 +labeling, 50, 54ďż˝73 -negative emotions, 57–61 +negative emotions, 57ďż˝61 -“presenting” behavior and “underlying” feeling, 57 +ďż˝presentingďż˝ behavior and ďż˝underlyingďż˝ feeling, 57 primal needs and, 84 -regulating, during negotiation, 156–59, 161 +regulating, during negotiation, 156ďż˝59, 161 replacing negative with positive, 59, 73 responses to verbal assaults, 159 -role in negotiation, 49–50 +role in negotiation, 49ďż˝50 -Ultimatum Game and, 121–22 +Ultimatum Game and, 121ďż˝22 emotional intelligence, 19, 33, 50, 52. See also tactical empathy -empathy, 15, 53–54, 72, 128. See also tactical empathy +empathy, 15, 53ďż˝54, 72, 128. See also tactical empathy BCSM and, 97 -definition, 51–52 +definition, 51ďż˝52 FBI crisis negotiation techniques and, 16 -“forced empathy,” 168, 180 +ďż˝forced empathy,ďż˝ 168, 180 Hillary Clinton and, 53 @@ -4852,7 +4774,7 @@ labeling and, 68 as a mood enhancer, 62 -negotiation and, 16, 53–54, 61, 70–71 +negotiation and, 16, 53ďż˝54, 61, 70ďż˝71 neural resonance and, 53 @@ -4860,53 +4782,53 @@ projection versus, 120 rapport based on, 70 -as “soft” communication skill, 53 +as ďż˝softďż˝ communication skill, 53 using an empathy message in negotiations, 182 using labeling to create, 239 -using your own name (Chris discount) and, 179–80, 187 +using your own name (Chris discount) and, 179ďż˝80, 187 verbal and nonverbal language to signal, 46 encouragers, 103 -Estabrook, Robert, 150–51 +Estabrook, Robert, 150ďż˝51 -Evelsizer, Marti, 86–87, 88 +Evelsizer, Marti, 86ďż˝87, 88 -execution of agreements, 20, 162–87 +execution of agreements, 20, 162ďż˝87 articulation of implementation, 169 -How as necessary with Yes, 164–69 +How as necessary with Yes, 164ďż˝69 -How question and implementation, 168–69, 186 +How question and implementation, 168ďż˝69, 186 -prison siege, St. Martin Parish, Louisiana, 162–63 +prison siege, St. Martin Parish, Louisiana, 162ďż˝63 -Rule of Three and, 177–78 +Rule of Three and, 177ďż˝78 fairness, 20, 139 -compromise as a bad deal, 115–16, 139 +compromise as a bad deal, 115ďż˝16, 139 contract for Robin Williams in Aladdin and, 123 error in using, 183 -Iranian sanctions and, 123–24 +Iranian sanctions and, 123ďż˝24 NFL lockout and, 125 -Ultimatum Game, 120–23 +Ultimatum Game, 120ďż˝23 -Voss’s use of, 125–26 +Vossďż˝s use of, 125ďż˝26 -when and how to use in negotiation, 124–26 +when and how to use in negotiation, 124ďż˝26 -why it’s powerful, 122–24 +why itďż˝s powerful, 122ďż˝24 falsehoods and liars, 172, 173, 176 @@ -4914,7 +4836,7 @@ number of words used, 178 Pinocchio effect, 178 -Rule of Three and, 177–78, 186 +Rule of Three and, 177ďż˝78, 186 use of pronouns, 178 @@ -4930,21 +4852,21 @@ Federal Bureau of Investigation (FBI) Ackerman system, 21 -“country clearance,” 58 +ďż˝country clearance,ďż˝ 58 -Crisis Negotiation Teams, 49–51, 76–77, 86–87 +Crisis Negotiation Teams, 49ďż˝51, 76ďż˝77, 86ďż˝87 -crisis negotiation techniques, 4–5, 13–16, 141, 149, 165, 166, 167, 170, 174 +crisis negotiation techniques, 4ďż˝5, 13ďż˝16, 141, 149, 165, 166, 167, 170, 174 -Crisis Negotiation Unit (CNU), 96–97, 170 +Crisis Negotiation Unit (CNU), 96ďż˝97, 170 Critical Incident Response Group (CIRG), 14 -Giffe hijacking hostages, mishandling of, 9–10 +Giffe hijacking hostages, mishandling of, 9ďż˝10 Hostage Rescue Team (HRT), 96 -Joint Terrorism Task Force (JTTF), 24, 76, 77–78, 98 +Joint Terrorism Task Force (JTTF), 24, 76, 77ďż˝78, 98 kidnapping negotiations, 141 @@ -4952,7 +4874,7 @@ number of agents, 1 Quantico, 96, 164, 173, 216 -Ruby Ridge, Waco, and negotiation approach, 13–14 +Ruby Ridge, Waco, and negotiation approach, 13ďż˝14 Supervisory Special Agent (SSA), 96 @@ -4966,23 +4888,23 @@ Voss begins career with, 76 Voss begins negotiator career at, 85 -Voss on the JTTF, New York, 76, 77–78, 98 +Voss on the JTTF, New York, 76, 77ďż˝78, 98 Fields, W. C., 178 financial negotiations. See also bargaining -car-buying, 119, 188–90, 243 +car-buying, 119, 188ďż˝90, 243 Chris discount, 180 -getting a rent cut, 208–11 +getting a rent cut, 208ďż˝11 -getting your counterparts to bid against themselves and, 181–85 +getting your counterparts to bid against themselves and, 181ďż˝85 -MBA student and soliciting funds, 200–201 +MBA student and soliciting funds, 200ďż˝201 -Fisher, Roger, 10–11, 252 +Fisher, Roger, 10ďż˝11, 252 Fooled by Randomness (Taleb), 215 @@ -4990,21 +4912,21 @@ framing effect, 12, 20 Freeh, Louis, 14 -fundraising, 89–91 +fundraising, 89ďż˝91 -Gaddafi, Muammar, 99–100 +Gaddafi, Muammar, 99ďż˝100 Getting to Yes (Fisher and Ury), 11, 13, 14, 16, 20, 80, 98, 252 -Giffe, George, Jr., 9–10 +Giffe, George, Jr., 9ďż˝10 goals/outcome goals, 12, 52, 81, 95, 112, 160, 170, 174, 201, 211, 240, 242, 243 Ackerman model and, 206, 208 -agreement or “yes” as, 94 +agreement or ďż˝yesďż˝ as, 94 -ascertaining counterpart’s, 28, 231 +ascertaining counterpartďż˝s, 28, 231 bargaining styles and, 193, 195, 196 @@ -5014,35 +4936,35 @@ best/worst range, 69, 253 extracting information as, 25, 47, 110, 147 -four steps for setting, 253–54 +four steps for setting, 253ďż˝54 human connection as, 72 -Negotiation One Sheet, 252–54 +Negotiation One Sheet, 252ďż˝54 win-win or compromise, 115, 116, 253 -Griffin, William, 213–14, 216–17, 235, 244 +Griffin, William, 213ďż˝14, 216ďż˝17, 235, 244 Haiti -as kidnap capital, 113–14 +as kidnap capital, 113ďż˝14 -kidnapping case, 113–15, 133–35, 207–8 +kidnapping case, 113ďż˝15, 133ďż˝35, 207ďż˝8 -Harvard Negotiation Research Project, 2, 10–11 +Harvard Negotiation Research Project, 2, 10ďż˝11 Harvard University, 4 -executive negotiating course, 1, 5–8 +executive negotiating course, 1, 5ďż˝8 -Heen, Sheila, 5–6, 7 +Heen, Sheila, 5ďż˝6, 7 HelpLine, 81 -“CareFronting,” 82, 84 +ďż˝CareFronting,ďż˝ 82, 84 -Voss answering phones for, 81–84, 85 +Voss answering phones for, 81ďż˝84, 85 Heymann, Philip B., 14 @@ -5054,7 +4976,7 @@ How to Become a Rainmaker, 126 humor, 187 -“I” messages, 203–4 +ďż˝Iďż˝ messages, 203ďż˝4 influence, 16, 20 @@ -5062,7 +4984,7 @@ BCSM and, 97, 98 demeanor, delivery, and, 32 -FBI’s psychological tactics and, 43 +FBIďż˝s psychological tactics and, 43 identifying and influencing emotions, 50 @@ -5070,9 +4992,9 @@ negative, clearing out, 72 negotiation and, 18 -persuading from other’s perspective and, 84, 225, 227–29 +persuading from otherďż˝s perspective and, 84, 225, 227ďż˝29 -Iran, 123–24 +Iran, 123ďż˝24 ISIS, 232 @@ -5084,39 +5006,39 @@ Jobs, Steve, 219 Kahneman, Daniel, 11, 12, 13, 127 -kidnapping or hostage negotiations, 9–10, 21, 78 +kidnapping or hostage negotiations, 9ďż˝10, 21, 78 -airplane hijacking, 9–10 +airplane hijacking, 9ďż˝10 -America’s hostage negotiation policy, 232 +Americaďż˝s hostage negotiation policy, 232 Attica prison riots, 9 -bank robbery, Brooklyn, 23–43, 179 +bank robbery, Brooklyn, 23ďż˝43, 179 -Burnham-Sobero case, 140–48 +Burnham-Sobero case, 140ďż˝48 calibrated, or open-ended, questions, use of, 141, 149, 165, 166, 167, 170 compromise as a bad deal, 115, 133 -Ecuador kidnapping, 164–67, 169–70 +Ecuador kidnapping, 164ďż˝67, 169ďż˝70 -exercise called “sixty seconds or she dies,” 64 +exercise called ďż˝sixty seconds or she dies,ďż˝ 64 FBI and, 1, 141, 147, 170 -FBI Pittsburgh case, 148–49 +FBI Pittsburgh case, 148ďż˝49 gauging the level of a threat in, 118 -Griffin case, 213–14, 216–17, 235, 244 +Griffin case, 213ďż˝14, 216ďż˝17, 235, 244 -Haitian kidnapping 113–15, 133–35 +Haitian kidnapping 113ďż˝15, 133ďż˝35 hostage survival debriefing, 170 -late-night FM DJ voice and, 33–34, 38 +late-night FM DJ voice and, 33ďż˝34, 38 leverage in, 114, 118 @@ -5126,41 +5048,41 @@ Negotiation Operation Center (NOC), 27 negotiator teams, 27 -never split the difference in, 18–19 +never split the difference in, 18ďż˝19 -Onglingswan kidnapping, 173–75, 179 +Onglingswan kidnapping, 173ďż˝75, 179 -prison siege, St. Martin Parish, Louisiana, 162–63, 171 +prison siege, St. Martin Parish, Louisiana, 162ďż˝63, 171 -“proof of life” and, 34, 147, 148–49, 165, 170 +ďż˝proof of lifeďż˝ and, 34, 147, 148ďż˝49, 165, 170 -Schilling case, 96, 98–105 +Schilling case, 96, 98ďż˝105 terrorists and, 232 -“that’s right” and, 101–5 +ďż˝thatďż˝s rightďż˝ and, 101ďż˝5 -“knowing their religion,” 225, 228–29, 244 +ďż˝knowing their religion,ďż˝ 225, 228ďż˝29, 244 -offering reasons that reference counterpart’s religion, 231 +offering reasons that reference counterpartďż˝s religion, 231 -power of hopes and dreams and, 230–31 +power of hopes and dreams and, 230ďż˝31 -similarity principle and, 229–30 +similarity principle and, 229ďż˝30 Koresh, David, 13 -labeling, 19, 50, 54–73, 112 +labeling, 19, 50, 54ďż˝73, 112 -accusation audit, 64–68, 73, 254–55 +accusation audit, 64ďż˝68, 73, 254ďż˝55 Assertive (bargaining style) and, 196 -avoiding “I,” 56 +avoiding ďż˝I,ďż˝ 56 cranky grandfather example, 59 -deescalating angry confrontations with, 58–59 +deescalating angry confrontations with, 58ďż˝59 to discover source of incongruence, 176 @@ -5168,25 +5090,25 @@ empathy as a mood enhancer, 62 empathy building and, 239 -to extract information, 239, 257–58 +to extract information, 239, 257ďż˝58 -of fears, 61–62 +of fears, 61ďż˝62 fill-in-the-blank examples, 255, 258 -Girl Scout fundraiser and, 62–63 +Girl Scout fundraiser and, 62ďż˝63 intentionally mislabeling an emotion, 91, 94 -key lessons of, 71–73 +key lessons of, 71ďż˝73 labeling and calming fear, 61, 63, 64, 67, 73 -lawyers and “taking the sting out” technique, 65 +lawyers and ďż˝taking the sting outďż˝ technique, 65 Lieberman brain imaging study, 55 -negativity and, 57–61, 64–68, 70 +negativity and, 57ďż˝61, 64ďż˝68, 70 phrasing the label, 56 @@ -5196,23 +5118,23 @@ rules about form and delivery, 55 Schilling kidnapping case and, 103 -silences and, 56–57, 71, 72 +silences and, 56ďż˝57, 71, 72 -step one: detecting the other person’s emotional state, 55–56 +step one: detecting the other personďż˝s emotional state, 55ďż˝56 step two: labeling it aloud, 56 as transformative, 63 -Washington Redskins ticket holder script, 60–61 +Washington Redskins ticket holder script, 60ďż˝61 -“words, music, and dance” and, 55 +ďż˝words, music, and danceďż˝ and, 55 -Lanceley, Fred, 14–15 +Lanceley, Fred, 14ďż˝15 Langer, Ellen, 231 -late-night FM DJ voice, 19, 31–33, 47 +late-night FM DJ voice, 19, 31ďż˝33, 47 contract discussion and, 34 @@ -5222,29 +5144,29 @@ general demeanor and delivery, 32 Harlem fugitive stand-off negotiation and, 51 -hostage negotiation and, 33–34, 38 +hostage negotiation and, 33ďż˝34, 38 -lawyer-negotiators, 192–93 +lawyer-negotiators, 192ďż˝93 Leonsis, Ted, 231 -“Lessons of Waco: Proposed Changes in Federal Law Enforcement” (Heymann), 14 +ďż˝Lessons of Waco: Proposed Changes in Federal Law Enforcementďż˝ (Heymann), 14 -leverage, 220–24 +leverage, 220ďż˝24 -Black Swans as leverage multipliers, 220–21, 224, 244 +Black Swans as leverage multipliers, 220ďż˝21, 224, 244 in a kidnapping, 221 loss aversion and, 128 -negative, 222–23, 226, 227, 244 +negative, 222ďż˝23, 226, 227, 244 normative, 224, 226, 244 personal negotiation styles and, 192 -positive, 221–22, 226, 244 +positive, 221ďż˝22, 226, 244 what it is, 220 @@ -5254,7 +5176,7 @@ Lieberman, Matthew, 55 listening. See active listening -loss aversion, 12, 127–28, 139, 223, 257 +loss aversion, 12, 127ďż˝28, 139, 223, 257 Macapagal-Arroyo, Gloria, 140 @@ -5280,11 +5202,11 @@ multiple hypotheses approach, 25 positive, 33, 47 -ready-to-walk, 204–5 +ready-to-walk, 204ďż˝5 win-win, 115 -mirroring (isopraxism), 19, 35–36, 44, 48, 70, 71, 183 +mirroring (isopraxism), 19, 35ďż˝36, 44, 48, 70, 71, 183 active listening and, 103 @@ -5292,27 +5214,27 @@ body language and, 36 to elicit information, 185 -four step process for workplace negotiation, 44–46 +four step process for workplace negotiation, 44ďż˝46 -reaction to use of “fair” in negotiations, 125 +reaction to use of ďż˝fairďż˝ in negotiations, 125 silences and, 37, 44, 72 use with Assertive bargainers, 196 -use with assertive people, 191–92 +use with assertive people, 191ďż˝92 verbal, 36 Wiseman waiter study, 36 -Misino, Dominick, 41–42 +Misino, Dominick, 41ďż˝42 -Mnookin, Robert, 2–4, 5 +Mnookin, Robert, 2ďż˝4, 5 Moore, Don A., 120 -Moore, Margaret, 214–15, 217 +Moore, Margaret, 214ďż˝15, 217 Mousavian, Seyed Hossein, 124 @@ -5322,31 +5244,31 @@ Mueller, Robert, 143 negotiation. See also bargaining hard; specific situations; specific techniques -clearing the barriers to agreement, 61–63, 72 +clearing the barriers to agreement, 61ďż˝63, 72 confrontational showdowns or joint problem-solving sessions, 151 -creating breakthroughs by uncovering unknowns, 213–45 +creating breakthroughs by uncovering unknowns, 213ďż˝45 -example, Anna and contract negotiation, 65–68 +example, Anna and contract negotiation, 65ďż˝68 -example, getting an airline ticket and upgrade, 68–71 +example, getting an airline ticket and upgrade, 68ďż˝71 -example, getting a rent cut, 208–11 +example, getting a rent cut, 208ďż˝11 extreme anchor to begin, 199 -gaining permission to persuade, 96–112 +gaining permission to persuade, 96ďż˝112 -getting your counterparts to bid against themselves and, 181–85 +getting your counterparts to bid against themselves and, 181ďż˝85 -guaranteeing execution of a deal, 162–81 +guaranteeing execution of a deal, 162ďż˝81 -how to get your price (bargaining hard), 188–212 +how to get your price (bargaining hard), 188ďż˝212 as information-gathering process, 147, 154 -labeling and tactical empathy, 49–73 +labeling and tactical empathy, 49ďż˝73 life as, 17 @@ -5354,23 +5276,23 @@ limited predictability and, 219 mantra for, 115, 117, 204 -mirroring to establish rapport, 23–48 +mirroring to establish rapport, 23ďż˝48 -never split the difference, 18–19, 115, 116, 139 +never split the difference, 18ďż˝19, 115, 116, 139 -“no” and generating momentum, 74–95 +ďż˝noďż˝ and generating momentum, 74ďż˝95 -preparation for, 211, 251–58 (see also Negotiation One Sheet) +preparation for, 211, 251ďż˝58 (see also Negotiation One Sheet) problem-solving approach, 8, 11, 14, 15 -psychological tactics and strategies, 15–16, 18 +psychological tactics and strategies, 15ďż˝16, 18 -questions to transform conflict into collaboration, 140–61 +questions to transform conflict into collaboration, 140ďż˝61 -research on and study of, 10–13 +research on and study of, 10ďż˝13 -shaping what’s fair, 113–39 +shaping whatďż˝s fair, 113ďż˝39 sweetest two words for, 98 @@ -5378,15 +5300,15 @@ System 1 and 2 concepts and, 13 timing and success of, 119 -Voss in Harvard course, 5–8 +Voss in Harvard course, 5ďż˝8 negotiation errors. See also specific negotiations -aiming low, 252–53 +aiming low, 252ďż˝53 -compromising, 18–19, 115–16, 139 +compromising, 18ďż˝19, 115ďż˝16, 139 -deadlines and, 116–20 +deadlines and, 116ďż˝20 getting to Yes too quickly, 86, 94, 112 @@ -5394,21 +5316,21 @@ going too fast, 30, 47 hiding a deadline, 120 -lack of real communication, 145–48 +lack of real communication, 145ďż˝48 not focusing on the other person, 28 Negotiation Genius (Malhotra and Bazerman), 233 -Negotiation One Sheet, 21, 251–58 +Negotiation One Sheet, 21, 251ďż˝58 -Section I: The Goal, 252–54 +Section I: The Goal, 252ďż˝54 Section II: Summary, 254 -Section III: Labels/Accusation Audit, 254–55 +Section III: Labels/Accusation Audit, 254ďż˝55 -Section IV: Calibrated Questions, 255–58 +Section IV: Calibrated Questions, 255ďż˝58 Section V: Noncash Offers, 258 @@ -5426,57 +5348,57 @@ niceness, 85, 93 Nixon, Jim, 98 -“No,” 74–95 +ďż˝No,ďż˝ 74ďż˝95 asking for, 20, 85 demystifying, 88 -email technique, 92–93, 95 +email technique, 92ďż˝93, 95 fear of, 88 forcing a response, 91 -fundraising script using, 89–91 +fundraising script using, 89ďż˝91 -as gateway to “Yes,” 77 +as gateway to ďż˝Yes,ďż˝ 77 -getting your counterparts to bid against themselves and, 181–85 +getting your counterparts to bid against themselves and, 181ďż˝85 -“How” questions as gentle ways to say “no,” 167–68, 174, 181, 186 +ďż˝Howďż˝ questions as gentle ways to say ďż˝no,ďż˝ 167ďż˝68, 174, 181, 186 Mark Cuban on, 91 meanings of, 79, 94 -multi-step (for getting counterparts to bid against themselves), 182–85 +multi-step (for getting counterparts to bid against themselves), 182ďż˝85 -powerful lessons of, 94–95 +powerful lessons of, 94ďż˝95 -as protection, 78–79, 86–92, 93, 94 +as protection, 78ďż˝79, 86ďż˝92, 93, 94 skills of, 89 -as start of negotiation, 75–80 +as start of negotiation, 75ďż˝80 voice tones and downward inflection, 181 -ways to respond to, 79–80 +ways to respond to, 79ďż˝80 when to walk away, 92 -Noesner, Gary, 14–15, 144 +Noesner, Gary, 14ďż˝15, 144 nonmonetary issues, 132, 134, 135, 199, 206, 257 preparing noncash offers, 258 -nonround numbers, 132–33, 134, 137, 183–84, 185, 201, 206, 207, 211, 212 +nonround numbers, 132ďż˝33, 134, 137, 183ďż˝84, 185, 201, 206, 207, 211, 212 Ackerman system and, 206, 212 -Haitian kidnappings and, 207–8 +Haitian kidnappings and, 207ďż˝8 nonverbal communication, 173 @@ -5488,27 +5410,27 @@ mirroring body language, 36 smiling, 33, 47 -O’Brien, Jim, 214, 217 +Oďż˝Brien, Jim, 214, 217 -Onglingswan, Aaron, 174–75 +Onglingswan, Aaron, 174ďż˝75 -Onglingswan, Alastair, 173–75, 179 +Onglingswan, Alastair, 173ďż˝75, 179 -Ottenhoff, Ben, 89–91 +Ottenhoff, Ben, 89ďż˝91 -“paradox of power,” 227 +ďż˝paradox of power,ďż˝ 227 paraphrasing, 20, 103, 112 Peale, Norman Vincent, 81 -persuasion strategy: negotiating in the other’s world, 80–85, 94–95 +persuasion strategy: negotiating in the otherďż˝s world, 80ďż˝85, 94ďż˝95 -Philippines, 96, 98–104, 140–41, 142–48, 173–75 +Philippines, 96, 98ďż˝104, 140ďż˝41, 142ďż˝48, 173ďż˝75 Pinocchio effect, 178 -Pittsburgh Police Department’s Hostage Negotiation Team, 87 +Pittsburgh Police Departmentďż˝s Hostage Negotiation Team, 87 positive/playful voice, 32, 33, 48 @@ -5516,31 +5438,31 @@ positive reinforcement, 36 smiling and, 32, 33, 46, 47 -Prado, Angel, 136–38 +Prado, Angel, 136ďż˝38 -preparation for negotiation, 211, 251–58 (see also Negotiation One Sheet) +preparation for negotiation, 211, 251ďż˝58 (see also Negotiation One Sheet) -“fall to your highest level of preparation,” 208, 211, 251 +ďż˝fall to your highest level of preparation,ďż˝ 208, 211, 251 primal needs, 84 Princeton University, fMRI brain-scan experiment on neural resonance, 53 -prison siege, St. Martin Parish, Louisiana, 162–63, 171 +prison siege, St. Martin Parish, Louisiana, 162ďż˝63, 171 -prospect theory, 12, 127–35 +prospect theory, 12, 127ďż˝35 -anchoring emotions, 128–29 +anchoring emotions, 128ďż˝29 -establishing a range, 131–32 +establishing a range, 131ďż˝32 -letting the other guy go first, 129–31 +letting the other guy go first, 129ďż˝31 pivoting to nonmonetary terms, 132 surprising with a gift, 133 -using odd numbers to fortify your offers, 107, 132–33, 134, 137, 183–84, 185, 206, 211, 212 +using odd numbers to fortify your offers, 107, 132ďż˝33, 134, 137, 183ďż˝84, 185, 206, 211, 212 Prospect Theory (Kahneman and Tversky), 127 @@ -5566,7 +5488,7 @@ Schilling kidnapping case and, 101 used for sales, 108 -“rational actors,” 12 +ďż˝rational actors,ďż˝ 12 reciprocity, 133, 148, 160, 168, 193, 196, 206, 207 @@ -5578,51 +5500,51 @@ Rowling, J. K., 256 Ruby Ridge siege, Idaho, 13 -Rule of Three, 177–78, 186 +Rule of Three, 177ďż˝78, 186 Rust, Kevin, 166 -Sabaya, Abu, 98–105, 142–43, 144, 145 +Sabaya, Abu, 98ďż˝105, 142ďż˝43, 144, 145 Sadat, Anwar, 133 -“safe and secure,” 84, 86, 94 +ďż˝safe and secure,ďż˝ 84, 86, 94 -salary negotiations, 129–30, 135–38 +salary negotiations, 129ďż˝30, 135ďż˝38 -“bolstering range,” 131 +ďż˝bolstering range,ďż˝ 131 -establishing a range, 131–32 +establishing a range, 131ďż˝32 -example, Angel Prado, 136–38 +example, Angel Prado, 136ďż˝38 pleasant persistence on nonsalary terms, 135, 137 -recruiting a mentor with a specific question, 136–37 +recruiting a mentor with a specific question, 136ďż˝37 -setting success metrics, 135–36, 137 +setting success metrics, 135ďż˝36, 137 sales, 30 opening line, 86, 94 -using “that’s right” and, 107–8 +using ďż˝thatďż˝s rightďż˝ and, 107ďż˝8 -Schilling, Jeffrey, 96, 98–105, 140 +Schilling, Jeffrey, 96, 98ďż˝105, 140 scripts, 8, 251 -for fundraising, 89–91 +for fundraising, 89ďż˝91 -for negotiating getting paid, 157–58 +for negotiating getting paid, 157ďż˝58 telemarketer and, 74 -Washington Redskins ticket holder script, 60–61 +Washington Redskins ticket holder script, 60ďż˝61 self-esteem, 253, 257 -7-38-55 Percent Rule, 176–77, 186 +7-38-55 Percent Rule, 176ďż˝77, 186 silences @@ -5630,13 +5552,13 @@ bargaining styles and, 194, 196, 197 closing a deal and, 189 -last rule of labeling and, 56–57 +last rule of labeling and, 56ďż˝57 pauses for active listening, 19, 103 pausing after labeling a barrier or mirroring a statement, 37, 44, 71, 72 -similarity principle, 229–30, 245 +similarity principle, 229ďż˝30, 245 Sinaceur, Marwan, 202 @@ -5652,7 +5574,7 @@ niceness and feigned, 74, 85, 93 positive/playful voice and, 48 -Snyder, Phillip, 113–14 +Snyder, Phillip, 113ďż˝14 Sobero, Guillermo, 140, 142, 143 @@ -5660,7 +5582,7 @@ Split-Second Persuasion (Dutton), 149 Start with NO (Camp), 78, 90 -“strategic umbrage,” 202 +ďż˝strategic umbrage,ďż˝ 202 St. Thomas More School, 106, 107 @@ -5676,31 +5598,31 @@ Negotiation One Sheet and, 254 Rule of Three and, 177 -triggering a “that’s right” with, 108, 112 +triggering a ďż˝thatďż˝s rightďż˝ with, 108, 112 used for sales, 108 what a good summary is, 103 -Sun Tzu, 53–54 +Sun Tzu, 53ďż˝54 -“the supreme art of war,” 54 +ďż˝the supreme art of war,ďż˝ 54 -System 1 and 2 thinking model, 12–13 +System 1 and 2 thinking model, 12ďż˝13 negotiation using, 13 -tactical empathy, 16, 19, 50–54 +tactical empathy, 16, 19, 50ďż˝54 accusation audit, 19 airline counter and, 70, 71 -key lessons of, 71–73 +key lessons of, 71ďż˝73 labeling, 19 -Washington Redskins ticket holder script, 60–61 +Washington Redskins ticket holder script, 60ďż˝61 what it is, 52 @@ -5708,33 +5630,33 @@ tai chi, 174 Taleb, Nassim Nicholas, 215 -telemarketers, 74–75, 86 +telemarketers, 74ďż˝75, 86 terrorism -“Blind Sheikh,” 24 +ďż˝Blind Sheikh,ďż˝ 24 thwarted attempts, New York City, 24 -“that’s right,” 98, 101–2, 112 +ďż˝thatďż˝s right,ďż˝ 98, 101ďż˝2, 112 Assertive (bargaining style) and, 196 -“How” question and implementation of a deal, 169 +ďż˝Howďż˝ question and implementation of a deal, 169 -how to trigger, 102–5, 108, 112 +how to trigger, 102ďż˝5, 108, 112 -used for career success, 109–11 +used for career success, 109ďż˝11 used in a price negotiation, 111 -using to make a sale, 107–8 +using to make a sale, 107ďż˝8 -“you’re right” as ineffective, 105–7, 169 +ďż˝youďż˝re rightďż˝ as ineffective, 105ďż˝7, 169 Thinking, Fast and Slow (Kahneman), 12 -threats, 202, 222–23 +threats, 202, 222ďż˝23 Tiedens, Larissa, 202 @@ -5748,15 +5670,15 @@ fake anger and destroying, 202 losing, 194 -similarity and, 229–30, 245 +similarity and, 229ďż˝30, 245 Tversky, Amos, 11, 12 Tyson, Mike -Ultimatum Game, 120–23 +Ultimatum Game, 120ďż˝23 -“unbelief,” 149–50, 151 +ďż˝unbelief,ďż˝ 149ďż˝50, 151 unconditional positive regard, 97, 98, 112 @@ -5770,7 +5692,7 @@ University of California, Los Angeles (UCLA), 55, 176 University of Chicago, 11 -Ury, William, 10–11, 252 +Ury, William, 10ďż˝11, 252 Van Zandt, Clint, 214, 216 @@ -5780,11 +5702,11 @@ voice tones contract discussion and, 34 -direct or assertive voice, 32–33, 48, 197 +direct or assertive voice, 32ďż˝33, 48, 197 -for How questions, 167–68 +for How questions, 167ďż˝68 -late-night FM DJ voice, 19, 31–33, 47, 51 +late-night FM DJ voice, 19, 31ďż˝33, 47, 51 matching with body language, 176 @@ -5792,7 +5714,7 @@ positive/playful voice, 32, 48 7-38-55 Percent Rule and, 176, 186 -Voss, Brandon, 105–7, 191, 192 +Voss, Brandon, 105ďż˝7, 191, 192 Washington Capitals, 231 @@ -5800,9 +5722,9 @@ Washington Redskins, 60 Washington Wizards, 231 -Watson, Dwight, 224–28 +Watson, Dwight, 224ďż˝28 -Watts, Chris, 31–35, 37–39, 41–43, 179 +Watts, Chris, 31ďż˝35, 37ďż˝39, 41ďż˝43, 179 Wazlawek, Abbie, 202 @@ -5822,39 +5744,39 @@ Wiseman, Richard, 36 workplace negotiations -four step process, using mirroring, 44–46 +four step process, using mirroring, 44ďż˝46 -“How” question to collect funds owed, 168 +ďż˝Howďż˝ question to collect funds owed, 168 -salary negotiations, 129–30, 131–32, 135–38 +salary negotiations, 129ďż˝30, 131ďż˝32, 135ďż˝38 -script for getting paid, 157–58 +script for getting paid, 157ďż˝58 -“that’s right” used for career success, 109–11 +ďż˝thatďż˝s rightďż˝ used for career success, 109ďż˝11 World Trade Center bombing (1993), 99 Yap, Ediborah, 145 -“Yes” +ďż˝Yesďż˝ achieving consent, 164 -analyzing the entire negotiation space (the team), 170–71 +analyzing the entire negotiation space (the team), 170ďż˝71 commitment, 80, 81, 83, 177 confirmation, 80, 81, 177 -counterfeit, 80–81, 84, 85, 177 +counterfeit, 80ďż˝81, 84, 85, 177 defensiveness and, 86, 94 discomfort and, 86 -“How” necessary with, 164–69, 186 +ďż˝Howďż˝ necessary with, 164ďż˝69, 186 -Rule of Three and, 177–78, 186 +Rule of Three and, 177ďż˝78, 186 using too early, 86, 94, 112 @@ -5869,7 +5791,7 @@ ZOPA (Zone of Possible Agreement), 8, 198, 199 ABOUT THE AUTHORS -CHRIS VOSS is one of the preeminent practitioners and professors of negotiating skills in the world. He currently teaches at both the University of Southern California’s Marshall School of Business and Georgetown University’s McDonough School of Business. Chris has lectured at many other preeminent universities, including Harvard Law School, the Sloan School of Management, and the Kellogg School of Management. He lives in Los Angeles, California. +CHRIS VOSS is one of the preeminent practitioners and professors of negotiating skills in the world. He currently teaches at both the University of Southern Californiaďż˝s Marshall School of Business and Georgetown Universityďż˝s McDonough School of Business. Chris has lectured at many other preeminent universities, including Harvard Law School, the Sloan School of Management, and the Kellogg School of Management. He lives in Los Angeles, California. TAHL RAZ uncovers big ideas and great stories that ignite change and growth in people and organizations. He is an award-winning journalist and coauthor of the New York Times bestseller Never Eat Alone. When not researching or writing, he coaches executives, lectures widely on the forces transforming the new world of work, and serves as an editorial consultant for several national firms. He invites readers to e-mail him at tr@tahlraz.com and to visit his website at www.tahlraz.com. @@ -5893,7 +5815,7 @@ COPYRIGHT The opinions expressed in this book are solely those of the author, and not of the FBI. -NEVER SPLIT THE DIFFERENCE. Copyright © 2016 by Christopher Voss. All rights reserved under International and Pan-American Copyright Conventions. By payment of the required fees, you have been granted the nonexclusive, nontransferable right to access and read the text of this e-book on-screen. No part of this text may be reproduced, transmitted, downloaded, decompiled, reverse-engineered, or stored in or introduced into any information storage and retrieval system, in any form or by any means, whether electronic or mechanical, now known or hereafter invented, without the express written permission of HarperCollins e-books. +NEVER SPLIT THE DIFFERENCE. Copyright ďż˝ 2016 by Christopher Voss. All rights reserved under International and Pan-American Copyright Conventions. By payment of the required fees, you have been granted the nonexclusive, nontransferable right to access and read the text of this e-book on-screen. No part of this text may be reproduced, transmitted, downloaded, decompiled, reverse-engineered, or stored in or introduced into any information storage and retrieval system, in any form or by any means, whether electronic or mechanical, now known or hereafter invented, without the express written permission of HarperCollins e-books. FIRST EDITION diff --git a/Books/Procedure/Public administration.txt b/Books/Procedure/Public administration.txt index c36cf8c..ebca309 100644 --- a/Books/Procedure/Public administration.txt +++ b/Books/Procedure/Public administration.txt @@ -1,838 +1,15 @@ -Public Administration -An Action Orientation - -Fourth Edition - - - -- - -' - -« - - - -Public Administration -An Action Orientation - -Fourth Edition - -ROBERT B. DENHARDT -Arizona State University - -and - -JOSEPH W. GRUBBS -Administration for Children and Families -U.S. Department of Health and Human Services - -THOMSON - --*- -WADSWORTH Australia • Canada • Mexico • Singapore • Spain - -United Kingdom • United States - - - -THOMSON --*- -WADSWORTH - -Executive Editor: David Tatom Production Service: Progressive Publishing Alternatives -Editorial Assistant: Dianna Long Text Designer: Progressive Publishing Alternatives -Marketing Manager: Janise Fry Copy Editor: Progressive Publishing Alternatives -Marketing Assistant: Mary Ho Cover Designer: Jeanette Barber -Project Manager, Editorial Production: Angela Cover Printer: Transcontinental Interglobe - -Williams Urquhart Compositor: Progressive Information Technologies -Print/Media Buyer: Judy Inouye Printer: Transcontinental Interglobe -Permissions Editor: Elizabeth Zuber - -COPYRIGHT © 2003 Wadsworth, a division of Thomsom Wadsworth/Thomson Learning -Learning, Inc. Thomson Learning™ is a trademark used 10 Davis Drive -herein under license. Belmont, CA 94002-3098 - -USA -ALL RIGHTS RESERVED. No part of this work covered -by the copyright hereon may be reproduced or used in Asia -any form or by any means—graphic, electronic, or Thomson Learning -mechanical, including but not limited to photocopying, 5 Shenton Way #01-01 -recording, taping, Web distribution, information net¬ UIC Building -works, or information storage and retrieval systems— Singapore 068808 -without the written permission of the publisher. - -Australia -Printed in Canada Nelson Thomson Learning -1 2 3 4 5 6 7 06 05 04 03 02 102 Dodds Street - -South Melbourne, Victoria 3205 -Australia - -For more information about our products, contact us at: Canada -Thomson Learning Academic Resource Center Nelson Thomson Learning - -1-800-423-0563 1120 Birchmount Road -Toronto, Ontario M1K 5G4 - -For permission to use material from this text, Canada -contact us by: Phone: 1-800-730-2214 - -Fax: 1-800-730-2215 Europe/Middle East/Africa -Web: http://www.thomsonrights.com Thomson Learning - -High Holborn House -50/51 Bedford Row -London WC1R 4LR - -Library of Congress Control Number: 2002107773 United Kingdom - -Latin America -ISBN: 0-15-505868-1 Thomson Learning - -Seneca, 53 -Colonia Polanco -11560 Mexico D.F. -Mexico - -Spain -Paraninfo Thomson Learning -Calle/Magallanes, 25 -28015 Madrid, Spain - - - -For Michael and Cari - - - -. - - - -About the Authors - -Robert B. Denhardt is a Professor of Public Administration at Arizona State University -and a Visiting Professor at the University of Delaware. A fellow of the National -Academy of Public Administration, Dr. Denhardt is a past president of the American -Society for Public Administration, the leading national association promoting excellence -in public service. - -Dr. Denhardt is the author of several books, including Managing Human Behavior -in Public and Nonprofit Organizations, The Pursuit of Significance, In the Shadow -of Organization, and Theories of Public Organization, and the editor of several others, -including Executive Leadership in the Public Service, The Revitalization of the Public -Service, Public Administration in Action, and Pollution and Public Policy. He has pub¬ -lished more than seventy-five articles in professional journals, primarily in the areas -of public sector management, strategic planning and public productivity, and organiza¬ -tion behavior. - -Prior to joining the faculty at Arizona State University and the University of Delaware, -Dr. Denhardt taught at the universities of Colorado, Missouri, Kansas, New Orleans, and -Central Florida. He has held several major administrative positions in these universities, -serving as vice provost at the University of Missouri-Columbia. He served as chair of the -Governor’s Advisory Council on Quality Productivity for the state of Missouri and was a -Fulbright scholar in Australia in 1990. - -Joseph W. Grubbs is a program analyst with the U.S. Department of Health and -Human Services, Administration for Children and Families. Prior to this, he served as -assistant professor of public and nonprofit administration at Grand Valley State University -in Grand Rapids, Michigan, and as a visiting scholar for public administration at the -University of Gdansk, Poland. He received his Ph.D. from the School of Urban Affairs and -Public Policy at the University of Delaware, where his research focused on social policy -and the delivery of human and social services. His published work has appeared in -Organizational Research Methods, the Journal of Organizational Change Management, -the JAI Press series, Research in Organizational Change and Development, the American -Review of Public Administration, the International Journal of Public Administration, and -the online Journal of Public Administration and Management. - -vn - - - -• - - - - -Preface - -The fourth edition of Public Administration: An Action Orientation updates the text, -taking it into the twenty-first century with the end of the second Clinton administration -and the beginning of the presidency of George W. Bush. But it also adds new material of -importance to those becoming acquainted with the field of public service. Most notably, -the book has been revised to take into account the management of nonprofit organiza¬ -tions and should now be suitable for use in courses relating in nonprofit management as -well as core courses in public administration. In addition, we have included important -new material dealing with the global dimensions of public policy and administration -today and the increasingly important connection between public administration and -civic action or citizenship. This book also provides the latest approaches to management -in the public sector and continues to pay special attention to the skills needed for admin¬ -istrators at all levels of government and in nonprofit organizations. - -Like previous editions, the fourth edition contains subtle but telling differences from -other books in the field. We assume that students in an introductory course in public -administration do not want to learn about the profession only in the abstract, but are -interested in influencing the operations of public agencies, as managers from the inside -or as citizens from the outside. They want to acquire the skills necessary for changing -things for the better. - -For this reason, it is important that the text not only introduce students to the schol¬ -arly literature of public administration, but also help them develop the insights and abili¬ -ties that will make them more effective and responsible actors. This book contains -a good deal of material that is basic to working in or with public organizations; at -the same time, the discussion attends to the complex and often confounding values -that distinguish work in the public sector. Most significant, however, is the focus on the -technical expertise and interpersonal skills that are crucial to effecting change in public -organizations. - -Another feature of the book is its balanced attention to the work of managers at all -levels of government and in nonprofit organizations. Although the federal government is -a powerful model for the study of public administration, managers of state and local -agencies are important actors in the governmental process, and their work is acknowl¬ -edged and examined as well. Similarly, we show how managers of associations, non¬ -profit, and “third-sector” organizations, and even traditionally private organizations are -now confronting the same issues faced by administrators in the public sector. In fact, we -frequently use the term public organizations to describe all such groups involved in the -management of public programs. - -We also have sought to give proper attention to the global dimensions of public -administration today. No longer are administrators confined in their work to their own -organizations or even their own jurisdictions. The complexity of modern life means, -among other things, that administrators must be attentive to developments around the -world as well as those at home. Decisions made in a foreign capital may affect the work -of a public administrator even more significantly than those made only miles away. - -ix - - - -Today, knowledge of international affairs and comparative issues is important not only -to those who work in other countries but to all who work in public administration. - -Public Administration: An Action Orientation is perhaps most distinctive in its treat¬ -ment of the ethics of public service. Not only is the topic of ethics thoroughly covered in -a separate chapter, references to ethical concerns appear throughout the text. Ethical -issues cannot be separated from action; indeed, every act of every public servant, at -whatever level of government or in any related organization, has an important ethical -dimension. For this reason, we have made a strong effort to be attentive to the ethical -considerations that are a part of all administrative activities. - -Finally, Public Administration: An Action Orientation is the first such text to be fully -integrated with the Internet resources that are available to assist public administrators and -those studying public administration. In each chapter, we have highlighted networking -resources available to students, including Web sites that contain material that supplements -the text, provides examples and case studies, and links the student to other materials avail¬ -able online. - -In this text we talk about action, but we also invite students to act. At the end of each -chapter are self-diagnostic materials and exercises (cases, simulations, discussion points, -and so on) designed to supplement students’ cognitive learning with behavioral practice. -These activities impart a sense not only of what public administration looks like to the -impartial observer, but also what it feels like to the manager or private individual -engaged in public action. Students have opportunities to test, practice, and improve their -skills. Each chapter also contains a list of key terms and definitions (which reappear in -the glossary) and recommendations for further reading. - -There are very exciting possibilities in public administration today. Working to solve -important public problems, sensing the human drama involved in such work, and gain¬ -ing the satisfaction of doing something really worthwhile make being involved in public -organizations quite fascinating. The perspective adopted here, focusing on the experi¬ -ences of people acting in the real world of public organizations and on the skills needed -for managerial success, permits a lively and interesting presentation of the field. We par¬ -ticularly hope to convey, in a personal and direct manner, the challenges and rewards of -public service. - -The views expressed in this book are those of the authors and do not represent the -policy of the U.S. Department of Health and Human Services. - - - -Acknowledgements - -Many people contributed to this book. From our work with members of the American -Society for Public Administration, we have gained special appreciation of the complexity -of public management and of the dedication and hard work required for public service. -We hope we have conveyed the commitment and concern that guide the work of the best -public managers; they deserve great credit and respect. - -In the first edition of the text, Bob’s colleagues in the Department of Public -Administration at the University of Missouri-Columbia were a great source of help and -support. More recently, both Bob and Joe Grubbs have called upon good colleagues and -friends at the University of Colorado, the University of Central Florida, the University of -Delaware, Arizona State University, Grand Valley State University, and Wichita State -University, who have contributed substantially to the recent editions. We especially want -to acknowledge the help and support of Magdalena Borys, Joe Cayer, Linda Chapin, -Peter and Linda deLeon, Janet Denhardt, Mark Glaser, Jay Hakes, John Hall, Ed -Jennings, Arno Loessner, John Nalbandian, Jan Perkins, and John Thomas. - -In this new edition, we have also benefited from the comments of reviewers who pro¬ -vide invaluable feedback on the third edition. They are: Rickert Alhaus, Southeast -Missouri State University; Robert E. Colvin, Christopher Newport University; Nancy L. -Fiorentino, Kean University; Judy-Lynne Peters, John Jay College of Public Administration; -Alice Marie Schumaker, University of Nebraska at Omaha; and Douglas A. Singh, Indiana -University-South Bend. - -While we have been going forward with this work, others have provided balance in -our lives, and their help in maintaining our sanity should be acknowledged. Bob is espe¬ -cially appreciative of the warmth and support of his wife Janet, as well as Michael and -Shelly, Cari, Ben and Mary. He also wants to thank the poets and pickers of the Tyree -Basement String Band, and to express his appreciation for the support, help, and gen¬ -erosity of friends and colleagues from Missouri to Colorado to Florida to Delaware to -Arizona, especially Mark, John, Jan, Ann, and Steve, and for the incredible support, tol¬ -erance, and patience of a hapless group of very forgiving golfers. - -Joe would like to give special thanks to his wife, Heidi, for defining what love and -strength can be and laboring with him through every challenge; to his mother, Dorothy, -and members of his family, Charles, Lucy, Barbara, Jessica, Maggie, Seamus, Madison, -and Clay for their undying support and spiritual guidance; and to his first academic -mentor at the University of North Florida, David Courtwright, for instilling a sense of -responsibility and commitment. Finally, this book is dedicated to Bob’s children, Michael -and Cari, who have been a constant source of joy, confusion, and wonderment, and to -the memory of Joe’s father, Robert I. Grubbs, Jr., a man who devoted his life to his faith, -to his family, and to public service. Thanks to all. - -Robert B. Denhardt -and -Joseph W. Grubbs - -xi - - - -. - - - -Contents - -Preface ix - -Chapter 1 Personal Action in Public Organizations 1 - -What Is Public Administration? 2 -Values of Democracy 3 -Contrasting Business and Public Administration 5 - -Ambiguity 6 -Pluralistic Decision Making 6 -Visibility 7 - -Thinking about Public Administration Today 7 -Publicness 8 - -Why Study Public Administration? 9 -Preparing for Administrative Positions 10 -Combining Technical and Managerial Training 12 -Interaction of Business and Government 13 -Influencing Public Organizations 14 -Making Things Happen 15 - -Issues in Public Administration Theory and Practice 17 -Politics and Administration 18 - -Ensuring Accountability 18 - -Bureaucracy and Democracy 19 -Efficiency versus Responsiveness 20 - -What Do Public Administrators Do? 21 -An Inventory of Public Management Skills 22 -Voices of Public Administrators 23 - -Summary and Action Implications 27 -Terms and Definitions 27 -Study Questions 28 -Cases and Exercises 28 -For Additional Reading 31 -Appendix A: OPM Inventory of Management Skills 32 - -Chapter 2 The Political Context of Public Administration 34 - -Administrative Organizations and Executive Leadership 35 -Administrative Organizations 37 - -The Executive Office of the President 37 -Cabinet-Level Executive Departments 39 - -xiii - - - -xiv Contents - -Independent Agencies, Regulatory Commissions, and Public Corporations 40 -Agencies Supporting the Legislature and the Judiciary 40 - -The State Level 41 -The Local Level 43 - -Cities 43 -Counties 45 -Native American Tribes 45 -Special Districts 46 -Nonprofit Organizations and Associations 46 - -Relationships with the Legislative Body 49 -The Policy Process 49 - -Agenda Setting 50 -Policy Formulation 51 - -Policy Implementation 52 -Types of Policy 53 -Sources of Bureaucratic Power 56 -Legislative Supervision: Structural Controls 58 - -Legislative Veto 59 -Sunset Laws 60 -Sunshine Laws 61 - -Legislative Supervision: Oversight 62 -Legislative Supervision: Casework 64 - -Relationships with the Judiciary 65 -Concerns for Due Process 70 -The Courts and Agency Administration 70 - -Summary and Action Implications 72 -Terms and Definitions 73 -Study Questions 74 -Cases and Exercises 75 -For Additional Reading 77 - -Chapter 3 The Interorganizational Context of Public Administration 79 - -The Development of Intergovernmental Relations 80 -Dual Federalism 82 -Cooperative Federalism 83 -Picket-Fence Federalism 84 -The Reagan and Bush Years 87 -The Clinton Presidency 88 -The Bush Administration 90 -Judicial Influence 93 - -The State and Local Perspective 96 -Funding Patterns 96 - - - -Contents xv - -Preemptions and Mandates 98 -Preemptions 98 -Mandates 100 - -Subnational Relationships 102 -State to State 102 -State to Local 103 -Local to Local 105 - -Working with Nongovernmental Organizations 106 -Privatization and Contracting 107 - -The Management of Nonprofit Organizations 110 -Operational Leadership 110 -Resource Development 112 -Financial Management 113 -Board Governance 113 -Board-Staff Relations 115 -Advocacy 116 - -Summary and Action Implications 117 -Terms and Definitions 118 -Study Questions 119 -Cases and Exercises 120 -For Additional Reading 121 - -Chapter 4 The Ethics of Public Service 123 - -Approaches to Ethical Deliberation 124 -Reasoning, Development, and Action 126 - -Moral Philosophy 126 -Moral Psychology 127 -Moral Action 129 - -Issues of Administrative Responsibility 130 -The Limits of Administrative Discretion 131 -Avenues for Public Participation 134 -The Ethics of Privatization 136 - -Ethical Problems for the Individual 137 -Interacting with Elected Officials 137 -Following Orders 138 -Conflicts of Interest 140 -Whistle Blowing 142 -Prohibitions on Political Activities 144 - -Managing Ethics 145 -Establishing an Ethical Climate 146 - -Summary and Action Implications 148 -Terms and Definitions 149 - - - -xvi Contents - -Study Questions 150 -Cases and Exercises 150 -For Additional Reading 153 -Appendix A: Code of Ethics of the American Society for Public Administration 154 - -Chapter 5 Budgeting and Financial Management 157 - -The Budget as an Instrument of Fiscal Policy 158 -The Budget as an Instrument of Public Policy 160 - -Where the Money Comes From 160 -Individual Income Tax 161 -Corporation Income Tax 162 -Payroll Taxes 162 -Sales and Excise Taxes 162 -Property Taxes 163 -Other Revenue Sources 163 -Patterns of Government Revenues 163 - -Where the Money Goes 164 -The Bush Tax Plan 165 -State and Local Expenditures 167 - -The Budget as a Managerial Tool 168 -Budget Formulation 169 -Budget Approval 171 -Budget Execution 173 -Audit Phase 175 - -Approaches to Public Budgeting 176 -The Line-Item Budget 177 -The Performance Budget 178 -Program Budgeting 179 -Zero-Base Budgeting 180 -Outcome-Based Budgeting 181 - -Budgetary Strategies and Political Games 182 -Strategies for Program Development 183 - -Aspects of Financial Management 185 -Capital Budgeting 186 -Debt Management 187 -Risk Management 189 -Purchasing 190 - -Accounting and Computer-Based Information Systems 191 -Government Accounting 191 -Computer-Based Information Systems 192 - -Summary and Action Implications 194 -Terms and Definitions 195 - - - -Contents xvii - -Study Questions 197 -Cases and Exercises 197 -For Additional Reading 207 - -Chapter 6 The Management of Human Resources 209 - -Merit Systems in Public Employment 210 -Spoils versus Merit 210 -The Civil Service Reform Act and Its Aftermath 214 -Reinvention and the National Performance Review 217 - -State and Local Personnel Systems 219 -Hiring, Firing, and Things In-Between 220 - -Classification Systems 220 -The Recruitment Process 221 -Pay Systems 223 -Conditions of Employment and Related Matters 225 -Sexual Harassment 226 -AIDS Policy 227 -Workplace Violence 228 -Removing Employees 228 - -The Changing Character of Labor-Management Relations 229 -Steps in the Bargaining Process 232 -To Strike or Not to Strike 233 -Unions Redefined 235 - -Correcting Patterns of Discrimination in Public Employment 236 -ADA 238 -Questions of Compliance 238 -Affirmative Action and Reverse Discrimination 240 -The Glass Ceiling 241 -The Debate over Comparable Worth 242 - -Political Appointee-Career Executive Relations 244 -The Relationship between Political and Career Executives 246 - -Summary and Action Implications 247 -Terms and Definitions 248 -Study Questions 249 -Cases and Exercises 249 -For Additional Reading 253 - -Chapter 7 Planning, Implementation, and Evaluation 255 - -Planning 256 -Strategic Planning 256 - -Planning for Planning 257 -Organizing for Planning 258 - - - -xviii Contents - -Steps in Planning 259 -Mission or Objectives 259 -Environmental Analysis 260 -Strengths and Weaknesses 260 -Values of Organizational Leaders 260 - -Development of Alternative Strategies 260 -The Logic of Policy Analysis 261 - -Problem Definition 262 -Setting Objectives and Criteria 263 -Developing Alternatives 264 -Analyzing Various Policies 264 -Ranking and Choice 265 - -Costs and Benefits 265 -Other Quantitative Techniques 267 - -Implementation 270 -Organizational Design 271 -Systems Analysis 273 -PERT/CPM 275 - -Reengineering 276 - -Evaluation 277 -Performance Measurement 278 - -Program Evaluation 285 -Evaluation Designs and Techniques 286 - -Qualitative Techniques 287 -Quantitative Techniques 288 - -Summary and Action Implications 289 -Terms and Definitions 289 -Study Questions 291 -Cases and Exercises 291 -For Additional Reading 295 - -Chapter 8 Managing Organizational Dynamics 297 - -Images of Organizing in the Public and Nonprofit Sectors 297 -The Functions of Management 298 -The Early Writers: A Concern for Structure 300 -Recognizing Human Behavior 304 - -Two Classic Works 305 - -The Organization and Its Environment 307 -Systems Theory 307 -From Political Economy to Organization Development 309 -Decision Making in Organizations 311 - - - -Contents xix - -Organizational Culture, Organizational Learning, and Strategic Management 312 -Total Quality Management 318 - -TQM Beginnings 319 - -Guidelines for Public Management 320 -Postmodern Narratives on Management 323 - -Postmodernism 323 -Issues of Gender and Power 324 - -Summary and Action Implications 325 -Terms and Definitions 325 -Study Questions 326 -Cases and Exercises 326 -For Additional Reading 328 -Appendix A: Description of Total Quality Management (TQM) 329 - -Chapter 9 The New Public Management, Reinvention, and the Reform of -Public and Nonprofit Organizations 333 - -NPM, Reinvention, and Nonprofit Management Reform 334 -The New Public Management 335 -Reinventing Government 335 -Nonprofit Management Reform 337 -The Results of Reform 339 - -IT, the Internet, and Management Reform 340 -Wired Organizations 341 - -ePublic Administration 342 -The Human Side of Technological Innovation 343 -Human Resources, Innovation, and Performance 345 - -Management by Objectives 345 -Quality of Work-Life/Job Enrichment 347 -Quality Circles and Related Ideas 349 -Incentive Programs 350 -Innovation 352 -Recent Examples of Performance Management 354 - -GAO Cites Best Practices for Performance Management 354 -Measuring Performance in the State of Arizona 355 -Benchmarking and Performance Improvement in the City of Portland 356 - -Implementation Issues in Quality and Productivity 357 -Steps to Productivity Improvement 357 - -Summary and Action Implications 361 -Terms and Definitions 362 -Study Questions 363 -Cases and Exercises 363 -For Additional Reading 364 - - - -xx Contents - -Chapter 10 Personal Skills in Public Management . ' 366 - -The Manager’s Day 367 -Elements of Managerial Work 367 -Distribution of Time among Work Elements 368 -Managerial Interaction and Communication 368 -Informal Aspects of Managerial Work 368 -Themes of Managerial Work 369 - -Stress Management 369 -Stress Signals and Responses 372 - -Type A/Type B Behaviors 372 -Lifestyle Changes 372 -Relaxation Techniques 373 -Exercise 3 74 - -Stress and the Organization 374 - -Time Management 375 - -Creativity and Problem Solving 376 -Models of Individual Decision Making 379 - -Power and Leadership 382 -Summary and Action Implications 386 -Terms and Definitions 386 -Study Questions 386 -Cases and Exercises 387 -For Additional Reading 389 -Appendix A: “Lost on the Moon” Exercise: Answers from NASA Experts 390 - -Chapter 11 Interpersonal Skills and Group Dynamics 391 -Communications 39 j - -Listening 39 ^ -Have a Reason or Purpose 399 -Suspend Judgment Initially 397 -Resist Distractions 393 -Wait before Responding 394 - -Rephrase What You Listen to in Your Own Words 394 -Seek the Important Themes 394 - -Use the Thinking-Speaking Differential to Reflect and Find Meaning 394 - -Speaking 395 -Writing 396 - -Delegation and Motivation 397 - -Motivation 399 - -Pay and Job Satisfaction 399 -Reinforcement Theory 4qq -Goal Setting 4Q2 - - - -Contents xxi - -Conflict, Bargaining, and Negotiation 404 -Group Dynamics 405 - -Advantages of Group Decision Making 405 -Disadvantages of Group Decision Making 407 -Interpersonal Dynamics in Groups 408 -Changing the Composition of the Group 409 -Managing Groups in Action 412 -Specialized Techniques for Group Decision Making 413 -Participation in Group Decision Making 414 - -Organization Change and Development 417 -Diagnosing the Need for Change 418 -Strategies for Organizational Change 419 - -Summary and Action Implications 421 -Terms and Definitions 421 -Study Questions 422 -Cases and Exercises 422 -For Additional Reading 424 - -Chapter 12 The Future of the Public Service 426 -The New Public Service 426 -Efforts to Support the Public Service 428 -Trends in the Public Service 431 - -Economic Changes and Redefining Government 432 -Globalization 434 -Technology and the Work Environment 435 -The Role of Citizens in the Governance Process 438 -The Ethical Challenges Facing the Public Service 439 - -A Final Note 441 -Study Questions 441 -Cases and Exercises 441 -For Additional Reading 442 - -References 444 - -Appendix 464 - -Journals 464 -Organizations 466 - -Glossary 468 - -Index 475 - - - -¦ - -¦ - - - Chapter 1 Personal Action in Public Organizations Public administration is concerned with the management of public programs. Public -administrators work at all levels of government, both at home and abroad, and they man¬ +administrators work at all levels of government, both at home and abroad, and they manďż˝ age nonprofit organizations, associations, and interest groups of all kinds. The substantive fields within which public managers work range across the varied interests of government and public affairs, from defense and national security to social welfare and environmental quality, from the design and construction of roads and bridges to the exploration of space, -and from taxation and financial administration to personnel and human resources man¬ +and from taxation and financial administration to personnel and human resources manďż˝ agement. Though public administration varies tremendously in its scope and substance, those who work in public organizations share certain commitments. Among these, none is more important than a commitment to public service. @@ -840,12 +17,12 @@ more important than a commitment to public service. In this book, we will examine the work of public administrators in many different kinds of organizations. We will seek a clear understanding of the political and historical context within which public and nonprofit organizations operate; we will examine the -commitments that underlie the notion of public service and the opportunities and con¬ +commitments that underlie the notion of public service and the opportunities and conďż˝ straints they place on public action; we will examine the many technical fields, such as planning, budgeting, personnel, and evaluation, with which public administrators must -be familiar; and we will consider the personal and interpersonal talents needed by suc¬ +be familiar; and we will consider the personal and interpersonal talents needed by sucďż˝ cessful public managers. Most importantly, we will emphasize the knowledge, skills, -and values that you will need to be both effective and responsible as you act in the pub¬ +and values that you will need to be both effective and responsible as you act in the pubďż˝ lic interest. Although we will introduce you to many different areas of public administration, we @@ -853,9 +30,9 @@ will do so from a particular point of view that will provide a unifying theme in examination of administrative work in public and nonprofit organizations. Briefly stated, that point of view is that there is something very special about public administration: your work in the public service is distinguished by its pursuit of democratic values, and -this concern affects nearly everything you do as a public manager. As a public adminis¬ +this concern affects nearly everything you do as a public manager. As a public adminisďż˝ trator, you are obligated not only to achieve efficiency and effectiveness, but to be -responsive to the many bodies that help define the public interest: elected officials, mem¬ +responsive to the many bodies that help define the public interest: elected officials, memďż˝ bers of the legislature, client or constituent groups, and citizens generally. This special obligation requires that you be ever mindful of managerial concerns, political concerns, and ethical concerns, and that you develop structures and processes that take into @@ -873,40 +50,40 @@ What Is Public Adnti nistration? We have already described public administration as the management of public programs. But to elaborate on this definition, it helps to know a little history. Happily, there is only -a little history to learn because public administration, at least in this country, is a rela¬ +a little history to learn because public administration, at least in this country, is a relaďż˝ tively young field of study. Of course, people have been engaged in the management of public programs for thousands of years. (For example, imagine the administrative headaches involved in building the Egyptian pyramids!) However, the self-conscious study of public administration is a fairly recent development, often dated to the work of French and German scholars in the late nineteenth century. Public administration as we know it today in the United States began as the study of government administration, and -that study began as part of late nineteenth-century efforts to reform governmental opera¬ +that study began as part of late nineteenth-century efforts to reform governmental operaďż˝ tions. Most scholars and practitioners date the beginnings of the self-conscious study of public administration in this country to an 1887 essay written by Woodrow Wilson (then scholar, later president). While some have recently questioned the influence Wilson had on the field, there is no question his essay marks the symbolic beginning of American public administration. -Wilson’s essay was basically reformist in nature, and highly practical. It was designed +Wilsonďż˝s essay was basically reformist in nature, and highly practical. It was designed to address the inefficiency and open corruption that had become a part of government -during the late 1880s, and to suggest certain remedies within the administration of gov¬ +during the late 1880s, and to suggest certain remedies within the administration of govďż˝ ernment. Wilson argued that while scholars and practitioners had focused on political institutions (such as Congress or the presidency), too little attention had been paid to -administrative questions — the questions of how the government actually operates. The -result, according to Wilson, was that it was becoming “harder to run a constitution -than to frame one” (Wilson, 1887, p. 200). Wilson first wanted the work of govern¬ +administrative questions ďż˝ the questions of how the government actually operates. The +result, according to Wilson, was that it was becoming ďż˝harder to run a constitution +than to frame oneďż˝ (Wilson, 1887, p. 200). Wilson first wanted the work of governďż˝ ment agencies to be accomplished more effectively. He felt that such organizations -would operate best if they pursued the private sector’s commitment to efficient or busi¬ -nesslike operations. Wilson, of course, wrote in a period during which business, indus¬ +would operate best if they pursued the private sectorďż˝s commitment to efficient or busiďż˝ +nesslike operations. Wilson, of course, wrote in a period during which business, indusďż˝ try, and technology were developing in rapid and surprising new ways. Like others, he admired the managerial philosophies that business seemed to be developing. Among these notions, Wilson particularly favored the idea of concentrating power in a single -authority atop a highly integrated and centralized administrative structure. His recom¬ +authority atop a highly integrated and centralized administrative structure. His recomďż˝ mendation of a strong chief executive has been echoed by writers (and chief executives) even to the present. The men and women who followed Wilson in discussions of what came to be called -public administration were very practical people, concerned with reforming governmen¬ +public administration were very practical people, concerned with reforming governmenďż˝ tal structures and making them more efficient. But they were also quite careful to place these concerns within the context of democratic government. How might the principles of democracy, including such lofty ideals as liberty and justice, be extended throughout @@ -916,9 +93,9 @@ of democracy, including such lofty ideals as liberty and justice, be extended th What Is Public Administration? 3 government and throughout society? Indeed, Leonard D. White, one of the most -thoughtful of the early writers, commented that “the study of public administration . . . +thoughtful of the early writers, commented that ďż˝the study of public administration . . . needs to be related to the broad generalizations of political theory concerned with such -matters as justice, liberty, obedience, and the role of the state in human affairs” (White, +matters as justice, liberty, obedience, and the role of the state in human affairsďż˝ (White, 1948, p. 10). As we will see, a continued concern for operating efficiently while at the same time operating in a way consistent with democratic values marks the field of public administration even today. @@ -927,13 +104,13 @@ Values of Democracy Since their commitment to democratic values so clearly affects the work of those in public and nonprofit organizations in this country, it may be helpful to briefly review some of the -key commitments we associate with democratic governance. The term democracy well re¬ -flects its roots—the Greek words demos, meaning “people,” and kratis, meaning -“authority.” Generally speaking, democracy refers to a political system in which the -interests of the people at large prevail. However, it is clear that within these broad pa¬ +key commitments we associate with democratic governance. The term democracy well reďż˝ +flects its rootsďż˝the Greek words demos, meaning ďż˝people,ďż˝ and kratis, meaning +ďż˝authority.ďż˝ Generally speaking, democracy refers to a political system in which the +interests of the people at large prevail. However, it is clear that within these broad paďż˝ rameters there are many different conceptions of democracy. As one illustration, at the end of World War II, representatives of the United States, Great Britain, France, and Russia -met to consider the “democratization” of Germany. Yet, it soon became apparent that the +met to consider the ďż˝democratizationďż˝ of Germany. Yet, it soon became apparent that the Russian idea of democracy was quite different from the Western view. While Westerners associated democracy with such ideas as free elections, freedom of the press, freedom of movement, and the freedom to criticize the government, the Russians had quite a different @@ -942,21 +119,21 @@ but rather whether government policy is carried out in the interest of the peopl Even today the term democratic is used in many different ways by many different people. Yet, in the American experience, there is general agreement that democracy -refers to a political system — a way of ordering power and authority in which decision¬ +refers to a political system ďż˝ a way of ordering power and authority in which decisionďż˝ making power is widely shared among members of the society. Or, to put it in terms of control, democracy is a system in which many ordinary citizens exercise a high degree of -control over their leaders. (In either case, the opposite would be an oligarchy, govern¬ +control over their leaders. (In either case, the opposite would be an oligarchy, governďż˝ ment by the few, or an autocracy, government by one.) But democracy is defined not only in terms of processes or procedures (for example, -rule by many, etc.), but also by several important cultural values that are typically pur¬ -sued in a democratic society. Among these, three—individualism, equality, and liberty— +rule by many, etc.), but also by several important cultural values that are typically purďż˝ +sued in a democratic society. Among these, threeďż˝individualism, equality, and libertyďż˝ have been of special importance to those who have helped shape the American idea of -democracy. The first is individualism, the idea that the dignity and integrity of the indi¬ -vidual is of supreme importance. Individualism suggests that achieving the fullest poten¬ +democracy. The first is individualism, the idea that the dignity and integrity of the indiďż˝ +vidual is of supreme importance. Individualism suggests that achieving the fullest potenďż˝ tial of each individual is the best measure of the success of our political system. It is the idea of individualism that is reflected in the familiar phrasing of the Declaration of -Independence — that all persons are endowed by their Creator with certain inalienable +Independence ďż˝ that all persons are endowed by their Creator with certain inalienable rights and that it is the purpose of government to secure those rights. Second is the idea of equality, not the idea that all persons are equal in their talents or @@ -969,17 +146,17 @@ Chapter 1 Personal Action in Public Organizations should be a mere tool of another. Moreover, equality in the field of government would suggest that differences in wealth or position are not sufficient reasons for giving one -group preference over another. In a democracy, each one has an equal claim to the atten¬ +group preference over another. In a democracy, each one has an equal claim to the attenďż˝ tion of the system and should be able to expect just outcomes. -A third central value of a democratic society is liberty. This idea suggests that the indi¬ +A third central value of a democratic society is liberty. This idea suggests that the indiďż˝ vidual citizen of a democracy should have a high degree of self-determination. A person -should have the maximum opportunity to select one’s own purpose in life and to choose -the means to accomplish it. Liberty is more than just the absence of constraints; it sug¬ -gests the freedom to act positively in pursuit of one’s own ends. Only by allowing indi¬ +should have the maximum opportunity to select oneďż˝s own purpose in life and to choose +the means to accomplish it. Liberty is more than just the absence of constraints; it sugďż˝ +gests the freedom to act positively in pursuit of oneďż˝s own ends. Only by allowing indiďż˝ viduals the freedom to choose, it is argued, will social progress occur. -That these themes have influenced the development of public administration is unde¬ +That these themes have influenced the development of public administration is undeďż˝ niable. Though, as we will see, people differ over the degree to which they influence the day-to-day operations of public agencies. Similarly, the way in which democracy has been operationalized in the American political tradition has had important influences on @@ -987,7 +164,7 @@ the operation of public organizations. For example, take the traditional separat legislative, executive, and judicial functions. While the primary task of the legislative branch is to make policy through the enactment of legislation, the primary task of the executive branch is the faithful execution or implementation of policy, and the primary -task of the judicial branch is the interpretation of the law, especially as it relates to con¬ +task of the judicial branch is the interpretation of the law, especially as it relates to conďż˝ stitutional guarantees. David Rosenbloom of American University has argued that these three functions of @@ -1002,19 +179,19 @@ very much like that in the private sector, in that it is primarily concerned wit government, is more concerned about assuring constitutional safeguards, such as those already mentioned. Efficiency becomes less a concern than effectiveness or responsiveness. 3. Finally, the legal approach to public administration, related to the judicial function, -emphasizes the administrator’s role in applying and enforcing the law in specific situa¬ +emphasizes the administratorďż˝s role in applying and enforcing the law in specific situaďż˝ tions. It is also concerned with the adjudicatory role of public organizations. While we will examine these various approaches in more detail as we move through the -book, it is important to understand at the outset that all the actions of public adminis¬ +book, it is important to understand at the outset that all the actions of public adminisďż˝ trators take place within an important political context: a commitment to democratic -ideals and practices. Yet today that ideal is somewhat tarnished. Americans’ trust in gov¬ +ideals and practices. Yet today that ideal is somewhat tarnished. Americansďż˝ trust in govďż˝ ernment has been steadily declining over the last several decades. Questions are being raised not only about the quality and productivity of government, but also about the -responsiveness of government to the people (see Box 1.1). This tension will be a persis¬ +responsiveness of government to the people (see Box 1.1). This tension will be a persisďż˝ tent theme as we examine contemporary approaches to the study and practice of public administration. Borrowing a phrase from earlier times, the task of public administrators -is still to “make democracy suitable for modern conditions.” Doing so in a time of con- +is still to ďż˝make democracy suitable for modern conditions.ďż˝ Doing so in a time of con- @@ -1024,14 +201,14 @@ BOX 1.1 The Democratic Dream -The predominant American political belief—attained, pretended, or otherwise — -from before the establishment of the Republic and throughout the nation’s history has -been the democratic dream, nominally based on some version of popular representa¬ -tion and governance. Virtually every political structure and reform has been predi¬ +The predominant American political beliefďż˝attained, pretended, or otherwise ďż˝ +from before the establishment of the Republic and throughout the nationďż˝s history has +been the democratic dream, nominally based on some version of popular representaďż˝ +tion and governance. Virtually every political structure and reform has been prediďż˝ cated on some mode of the democratic, egalitarian ethos, even as they oscillated back and forth between its Jeffersonian and Hamiltonian poles. -Indeed, to imagine a widespread domestic political movement (and probably for¬ +Indeed, to imagine a widespread domestic political movement (and probably forďż˝ eign policy initiative) that does not in some very visible manner drape itself in the sacred vestment of democracy is inconceivable. @@ -1040,20 +217,20 @@ even certain professions (e.g., public administration) were created and nurtured Not surprisingly, public service and public administration in the United States have shared a similar democratic coloration. From the early days of the professional -public administrator—when Woodrow Wilson temporarily partitioned “politics” and -“administration” into separate entities—we find a solid stream of democratic theory +public administratorďż˝when Woodrow Wilson temporarily partitioned ďż˝politicsďż˝ and +ďż˝administrationďż˝ into separate entitiesďż˝we find a solid stream of democratic theory underpinning and underlining contemporary public administration. But the Constitution cannot serve as a singular political poultice for whatever ails the body politic. Within the country at large, there is a tangible sense that as often -appeals are made to the nation’s democratic benchmarks, these are more calls to a +appeals are made to the nationďż˝s democratic benchmarks, these are more calls to a fading faith than references to reality. Americans are apparently disenchanted with their politics, both in terms of substance and process. Our public life is rife with discontent. Americans do not believe they have much to say about how they are governed and do not trust government to do the right thing. SOURCE: Reprinted by permission from Democracy and the Policy Sciences by Peter deLeon, State -University of New York Press © 1997, State University of New York. All rights reserved. +University of New York Press ďż˝ 1997, State University of New York. All rights reserved. fusion and mistrust will be a special challenge to those in public administration as we move into the twenty-first century. Keep this issue in mind as we examine the various @@ -1063,7 +240,7 @@ Contrasting Business and Public Administration One issue, however, deserves further comment. As we have just seen, even though work in public and nonprofit organizations is guided by commitments to democratic ideals, it is -also involved with management, and, for that reason, public administration is often con¬ +also involved with management, and, for that reason, public administration is often conďż˝ fused with business management. Indeed, such confusion has occasionally been quite prominent in the field of public administration. (As we have already seen, early writers in @@ -1073,9 +250,9 @@ Chapter 1 Personal Action in Public Organizations the field often suggested that government should become more like business, a phrase heard even today.) Certainly, there are some similarities between business and public -administration. Managers across all sectors—public, private, and nonprofit—are involved -in questions of organizational design, the allocation of scarce resources, and the manage¬ -ment of people. But most observers would agree that the primary distinction between busi¬ +administration. Managers across all sectorsďż˝public, private, and nonprofitďż˝are involved +in questions of organizational design, the allocation of scarce resources, and the manageďż˝ +ment of people. But most observers would agree that the primary distinction between busiďż˝ ness and public service is that business is primarily concerned with making a profit, while public service is concerned with delivering services or regulating individual or group behavior in the public interest. All would agree that the context of public and nonprofit @@ -1085,28 +262,28 @@ Ambiguity The first difference between government and business lies in the purposes to be served. In most businesses, even those with service objectives, the bottom-line profit is the basic -measure of evaluating how good a job the organization is doing. In turn, the perfor¬ +measure of evaluating how good a job the organization is doing. In turn, the perforďż˝ mance of individual managers can, in many cases, be directly measured in terms of their -unit’s contribution to the overall profit of the company. The same is not true in public or +unitďż˝s contribution to the overall profit of the company. The same is not true in public or nonprofit agencies, where the objectives of the organization in which one works may be much more ambiguous and where making or losing money is not the main criterion for success or failure. -Often the objectives of public and nonprofit organizations are stated in terms of ser¬ -vice; for example, an agency’s mission may be to protect the quality of the environment +Often the objectives of public and nonprofit organizations are stated in terms of serďż˝ +vice; for example, an agencyďż˝s mission may be to protect the quality of the environment or to provide an adequate level of rehabilitative services to the disabled. Yet such service -objectives are much harder to specify and to measure. What does “quality” mean with -respect to the environment? What level of service to the disabled is “adequate”? The dif¬ +objectives are much harder to specify and to measure. What does ďż˝qualityďż˝ mean with +respect to the environment? What level of service to the disabled is ďż˝adequateďż˝? The difďż˝ ficulty of specifying objectives such as these makes it harder to assess the performance of -government agencies and in turn their managers. Moreover, most businesses wouldn’t -tolerate a money-losing operation in a depressed area, but a public or nonprofit organi¬ +government agencies and in turn their managers. Moreover, most businesses wouldnďż˝t +tolerate a money-losing operation in a depressed area, but a public or nonprofit organiďż˝ zation, though equally attentive to the money being spent, might well consider meeting human needs more important than the financial bottom line. Pluralistic Decision Making The second difference between work in the public service and in business is the fact that -the public service, at least in a democratic society, requires that many groups and indi¬ +the public service, at least in a democratic society, requires that many groups and indiďż˝ viduals have access to the decision-making process. As a result, decisions that might be made rapidly by one individual or a small group in a business might, in a public or nonprofit organization, require input from many diverse groups and organizations. @@ -1123,18 +300,18 @@ Committee, and every member on them and every staff member has an opinion and What Is Public Administration f 7 -seeks to exert influence. Also the Foreign Relations Committee, the oversight com¬ +seeks to exert influence. Also the Foreign Relations Committee, the oversight comďż˝ mittees, and then the interest groups, business, the unions, the State Department, the Commerce Department, OMB (Office of Management and Budget), Council of Economic Advisers, and not only the top people, but all their staff people, not to -speak of the President’s staff and the entire press. (Blumenthal, 1983, p. 30) +speak of the Presidentďż˝s staff and the entire press. (Blumenthal, 1983, p. 30) The pluralistic nature of public decision making has led many business executives who have worked in the public or nonprofit sectors to comment that this feature of public service makes public and nonprofit management much more difficult than management -in the private sector. But, as Blumenthal points out, “the diversity of interests seeking to -affect policy is the nature and essence of democratic government” (Blumenthal, 1983, -pp. 30-31). Many have also found that this aspect of public service is particularly chal¬ +in the private sector. But, as Blumenthal points out, ďż˝the diversity of interests seeking to +affect policy is the nature and essence of democratic governmentďż˝ (Blumenthal, 1983, +pp. 30-31). Many have also found that this aspect of public service is particularly chalďż˝ lenging and rewarding. Visibility @@ -1143,12 +320,12 @@ Finally, managers in public and nonprofit organizations seem to operate with muc greater visibility than their counterparts in industry. The public service in a democratic society is subject to constant scrutiny by the press and by the public. Donald Rumsfeld, another who has worked in both government and business, once commented that -“in government, you are operating in a goldfish bowl. You change your mind or make -a blunder, as human beings do, and it’s on the front page of every newspaper” +ďż˝in government, you are operating in a goldfish bowl. You change your mind or make +a blunder, as human beings do, and itďż˝s on the front page of every newspaperďż˝ (Rumsfeld, 1983, p. 36). The media seems to cover everything you do, and this may be a mixed blessing. On the one hand, media coverage enables the leaders of the organization to communicate rapidly both to external and internal audiences. On the other hand, the -media’s constant scrutiny of policy positions and their labeling of inconsistencies as +mediaďż˝s constant scrutiny of policy positions and their labeling of inconsistencies as weaknesses can be somewhat limiting to free discussion of issues in their formulation stage. And, of course, the occasional intrusions of the press into even the most mundane personal matters can be excessive; one local newspaper even reported a problem a new @@ -1159,7 +336,7 @@ to the public and subject to the interest and control of the citizenry. Thinking about Public Administration Today With this background, we can now think more carefully about how the field of public -administration has traditionally been described and how we might develop an action ori¬ +administration has traditionally been described and how we might develop an action oriďż˝ entation toward the study of public administration. In terms of definition, many early writers spoke of administration as a function of government, something that occurred in many shapes and forms throughout government. There were obviously administrative @@ -1174,26 +351,26 @@ the activities of the executive agencies of government. In the words of an early 8 Chapter 1 Personal Action in Public Organizations -public administration is concerned with the “operations of the administrative branch -only” (Willoughby, 1927, p. 1). By the 1950s, such a perspective was so firmly -entrenched that the leading text of that period stated “By public administration is meant, +public administration is concerned with the ďż˝operations of the administrative branch +onlyďż˝ (Willoughby, 1927, p. 1). By the 1950s, such a perspective was so firmly +entrenched that the leading text of that period stated ďż˝By public administration is meant, in common usage, the activities of the executive branches of national, state, and local -governments; independent boards and commissions set up by Congress and state legisla¬ -tures; government corporations; and certain other agencies of a specialized character” +governments; independent boards and commissions set up by Congress and state legislaďż˝ +tures; government corporations; and certain other agencies of a specialized characterďż˝ (Simon et ah, 1950, p. 7). More modern definitions of public administration have tended to return to the traditional view, including attention to administrative officials in all branches of government and even focusing on those in nonprofit organizations. For our purposes, a formal definition of the field may be less important than trying to -discover how public administration is experienced by those in the “real world.” Our com¬ +discover how public administration is experienced by those in the ďż˝real world.ďż˝ Our comďż˝ mitment to an action orientation suggests that we try to determine the kinds of activities engaged in by public administrators and the environmental factors that help to shape their work. We have already seen how the ambiguity of service objectives, the pluralistic nature -of governmental decision making, and the visibility of management in the public and non¬ +of governmental decision making, and the visibility of management in the public and nonďż˝ profit sectors create a context in which managerial work is significantly different from that in other settings. From the standpoint of the real-world administrator, the things that really -make the difference in the way you operate are not whether you are employed by a gov¬ -ernment agency but rather whether you work under circumstances that feature an ambigu¬ +make the difference in the way you operate are not whether you are employed by a govďż˝ +ernment agency but rather whether you work under circumstances that feature an ambiguďż˝ ity of objectives, a multiplicity of decision centers, and high public visibility. Networking @@ -1212,11 +389,11 @@ Not for Profit Sector Division, http://www.aom.pace.edu/pn/index.htm. Publicness -These features in turn all derive from the simple fact that the public or nonprofit man¬ +These features in turn all derive from the simple fact that the public or nonprofit manďż˝ ager is pursuing public purposes. In terms of the actions and experiences of the public administrator, therefore, we may say that it is the publicness of the work of the public or nonprofit manager that distinguishes public administration from other similar activities. -This view of the administrator’s role suggests that, as a public or nonprofit manager, you +This view of the administratorďż˝s role suggests that, as a public or nonprofit manager, you must operate with one eye toward managerial effectiveness and the other toward the desires and demands of the public. It recognizes that you are likely to experience an @@ -1228,7 +405,7 @@ inevitable tension between efficiency and responsiveness as you work in governme nongovernmental organizations, a tension that will be absolutely central to your work. Let us point out some of the implications of this orientation. Many commentators point -out that the distinction between public and private management is no longer simply a dis¬ +out that the distinction between public and private management is no longer simply a disďż˝ tinction between business and government, or between profit and service. In fact, more and more frequently, we encounter situations in which traditionally public organizations are pursuing enhanced revenues (profits?) and traditionally private organizations are concerned @@ -1240,34 +417,34 @@ other hand, would be one in which public interests publicly arrived at are param There is a trend in our society for greater openness and responsiveness on the part of many organizations. Most associations and nonprofit organizations would fit this mold, and managers in those organizations must certainly be attentive to both efficiency and -responsiveness. But many corporations are now finding it important to open their deci¬ +responsiveness. But many corporations are now finding it important to open their deciďż˝ sion-making processes to public scrutiny and involvement. The range of organizations -engaged in the public service (and thus the applicability of public and nonprofit manage¬ +engaged in the public service (and thus the applicability of public and nonprofit manageďż˝ ment) seems ever-increasing. -On the other hand, our understanding of the manager’s role suggests that there could +On the other hand, our understanding of the managerďż˝s role suggests that there could be managers in governmental or nongovernmental agencies who would be pursuing interests other than those of the public. Certainly, those operating agencies in totalitarian countries could hardly be considered to be pursuing publicly defined values. They would more likely be pursuing the privately defined interests of a political elite. Similarly, we might question from time to time whether all managers in our democratic society have a proper concern for the public interest. Certainly, in cases where managers pursue their -own personal agendas, as in cases of empire building, we would question the “public¬ -ness” of their actions. +own personal agendas, as in cases of empire building, we would question the ďż˝publicďż˝ +nessďż˝ of their actions. -We now have a notion of the complexity of work in the public and nonprofit sectors — +We now have a notion of the complexity of work in the public and nonprofit sectors ďż˝ the complexity inherent in the technical work of governmental and nongovernmental agencies, but, even more important, the complexity of the political and ethical context in which managers operate. Indeed, as noted before, this complexity will provide a theme -that ties together many aspects of your work as an administrator. The way you set objec¬ +that ties together many aspects of your work as an administrator. The way you set objecďż˝ tives, the way you develop budgets and hire personnel, the way you interact with other organizations and with your own clientele, the way you evaluate the success or failure of -your programs — all of these aspects of your work as an administrator, and many more, +your programs ďż˝ all of these aspects of your work as an administrator, and many more, are directly affected by the fact that you will be managing in the public interest. Why Study Public Administration? -Students come to introductory courses in public administration for many different rea¬ +Students come to introductory courses in public administration for many different reaďż˝ sons. Many students recognize the vast array of positions in government (and elsewhere) that require training in public administration and hope that the course will provide some @@ -1275,7 +452,7 @@ that require training in public administration and hope that the course will pro 10 Chapter 1 Personal Action in Public Organizations -of the basic information and skills that will move them toward careers as public or non¬ +of the basic information and skills that will move them toward careers as public or nonďż˝ profit managers. These students seek to understand the field of public administration, and also hope to sharpen their own skills as potential administrators. @@ -1286,14 +463,14 @@ may become director of a public works department; the teacher may become school principal; the natural resources expert may be asked to run an environmental quality program; the social worker may administer a welfare program; the fine arts major may direct a publicly supported gallery or museum. In these cases and others like them, the -individual’s technical expertise may need to be complemented by managerial training. +individualďż˝s technical expertise may need to be complemented by managerial training. Networking The National Association of Schools of Public Affairs and Administration (NASPAA) is the accrediting body for programs in public administration and pursues other educational matters. See its home page at http://www.naspaa.org -and download a list of NASPAA-accredited Master’s of Public Administration +and download a list of NASPAA-accredited Masterďż˝s of Public Administration (MPA) programs at http://www.naspaa.org/programs/program.pdf. Other students may have no expectation whatever of working in a public agency, but @@ -1301,7 +478,7 @@ recognize that as corporate executives, as businesspeople, or merely as citizens likely to be called upon to interact with those in public organizations. Someone who owns a small business might wish to sell products or services to a city, a county, or some other governmental body; partners in an accounting firm might seek auditing contracts -with a local or state government; a construction firm might bid on the design and con¬ +with a local or state government; a construction firm might bid on the design and conďż˝ struction of a new public building. In each case, knowledge of the operations of public agencies would not only be helpful, it would be essential. @@ -1310,7 +487,7 @@ simply recognize the importance of public agencies in the governmental process a impact of public organizations on their daily lives. They might wish to acquire the knowledge and skills that would enable them to more effectively analyze and influence public policy. Some will find the world of public administration a fascinating field of -study in its own right and pursue academic careers in public affairs. Because understand¬ +study in its own right and pursue academic careers in public affairs. Because understandďż˝ ing the motives for studying public administration will also give us a more complete view of the variety and the importance of managerial work in the public sector, we will examine each in greater detail. @@ -1326,33 +503,33 @@ take many forms. We sometimes make distinctions among program managers, staff Why Study Public Administration? ii managers, and policy analysts. Program managers range from the executive level to the -supervisory level and are in charge of particular governmental or nongovernmental pro¬ +supervisory level and are in charge of particular governmental or nongovernmental proďż˝ grams, such as those in environmental quality or transportation safety. Their job is to -allocate and monitor human, material, and financial resources to meet the service objec¬ +allocate and monitor human, material, and financial resources to meet the service objecďż˝ tives of their agency. Staff managers, on the other hand, support the work of program managers through budgeting and financial management, personnel and labor relations, -and purchasing and procurement. Meanwhile, policy analysts provide important infor¬ +and purchasing and procurement. Meanwhile, policy analysts provide important inforďż˝ mation about existing programs through their research into the operations and impacts -of the programs; moreover, analysts help bring together information about new pro¬ -grams, assess the possible effects of different courses of action, and suggest new direc¬ +of the programs; moreover, analysts help bring together information about new proďż˝ +grams, assess the possible effects of different courses of action, and suggest new direcďż˝ tions for public policy. Managers and analysts may work with the chief executive, with -the legislature, with officials at other levels of government, and with the public in fram¬ +the legislature, with officials at other levels of government, and with the public in framďż˝ ing and reframing public programs. As we will see, the work of public and nonprofit organizations also encompasses a -wide variety of substantive areas. Think for a moment of the range of activities the fed¬ +wide variety of substantive areas. Think for a moment of the range of activities the fedďż˝ eral government engages in. The federal government touches upon nearly every aspect of American life, from aeronautics, air transportation, and atmospheric sciences to helping -juvenile delinquents, migrant workers, and the homeless; to working with waste man¬ +juvenile delinquents, migrant workers, and the homeless; to working with waste manďż˝ agement, wages standards, and water quality. In each area, skilled managers are called upon to develop, to implement, and to evaluate government programs. But the work of managers at the federal level represents only a part of the work of those trained in public administration. At the state and local levels of government, and in the nonprofit sector, even more -opportunities exist. As we will see in Chapter 2, whereas there is only one federal govern¬ +opportunities exist. As we will see in Chapter 2, whereas there is only one federal governďż˝ ment in this country, there are over eighty thousand state and local governments (these -include cities, counties, and special districts) and more than one million nonprofit organi¬ +include cities, counties, and special districts) and more than one million nonprofit organiďż˝ zations. Consequently, state and local government employment in this country amounts to over 13 million persons (compared to just under 3 million civilians employed at the federal level), and an additional 10.2 million people work for nonprofit organizations. @@ -1371,8 +548,8 @@ Public service is not limited to work in government. Beyond employment in federa state, or local government, those trained in public administration will find many other opportunities. Directors of nonprofit organizations at the state and local levels, as well as those in similar associations at the national level, often find that the skills required for -their jobs — skills that combine managerial training with an understanding of the political -system — are the skills developed in public administration courses. Again, to demonstrate +their jobs ďż˝ skills that combine managerial training with an understanding of the political +system ďż˝ are the skills developed in public administration courses. Again, to demonstrate the breadth of these activities, we might note that there are large numbers of nonprofit @@ -1381,22 +558,22 @@ the breadth of these activities, we might note that there are large numbers of n associations at the national level alone, ranging from well-known groups like the American Medical Association or the American Bar Association to trade groups such as -the American Frozen Food Institute and the National Association of Bedding Manu¬ +the American Frozen Food Institute and the National Association of Bedding Manuďż˝ facturers. Other nonprofit associations include everything from professional associations such as the American Society for Public Administration to those representing a particular field of interest, such as the Metropolitan Opera Guild. There is even an association of -association executives—the American Society of Association Executives. Beyond these +association executivesďż˝the American Society of Association Executives. Beyond these groups at the national level, there are numerous nonprofit groups operating at state and local levels. Examples include local United Way organizations, local food banks, art leagues, or historic preservation groups. -Finally, those with training in public administration may work in a private corpora¬ -tion’s public affairs division. Because of the increasing interaction across private, public, -and nongovernmental sectors, corporations and nonprofit organizations often need spe¬ +Finally, those with training in public administration may work in a private corporaďż˝ +tionďż˝s public affairs division. Because of the increasing interaction across private, public, +and nongovernmental sectors, corporations and nonprofit organizations often need speďż˝ cial assistance in tracking legislation, developing and monitoring government contracts, -and influencing the legislative or regulatory process. Thus, the combination of manager¬ +and influencing the legislative or regulatory process. Thus, the combination of managerďż˝ ial and political skills possessed by someone with training in public administration can -be highly valuable. The career possibilities in the field of public administration are seem¬ +be highly valuable. The career possibilities in the field of public administration are seemďż˝ ingly endless. Combining Technical and Managerial Training @@ -1409,43 +586,43 @@ six people in this country) come from a wide variety of professional backgrounds are engineers who work in the Defense Department or for NASA, in state highway departments, and in local public works departments. Persons interested in natural resources may work for the U.S. Forest Service and the Environmental Protection -Agency, in state conservation departments, and local parks departments. Medical per¬ +Agency, in state conservation departments, and local parks departments. Medical perďż˝ sonnel may work for the Veterans Administration or the National Institute for Mental Health, for state health departments, and for local hospitals and health offices. -Governments at all levels hire social workers, planners, personnel specialists, accoun¬ +Governments at all levels hire social workers, planners, personnel specialists, accounďż˝ tants, lawyers, biologists, law enforcement officers, educators, researchers, recreation specialists, and agricultural specialists, just to mention a few. To illustrate the magnitude -of government employment of technical specialists, some 154,000 engineers and archi¬ +of government employment of technical specialists, some 154,000 engineers and archiďż˝ tects, 134,000 medical personnel, and 123,000 accountants and budget specialists work for the federal government alone. -People who have worked for some time within a technical field in a public organiza¬ +People who have worked for some time within a technical field in a public organizaďż˝ tion are often promoted to managerial positions. A surgeon may become chief of surgeiy, a water pollution specialist may be asked to direct a pollution control project, or a teacher may become a school principal. Despite having started out in a technical -field, these individuals find themselves in a managerial position; they are public adminis¬ +field, these individuals find themselves in a managerial position; they are public adminisďż˝ trators. Some people may desire promotion to a managerial position; others may not. Why Study Public Administration? 13 -(There are some jurisdictions in which continued advancement practically requires mov¬ -ing into an administrative position.) But whatever one’s motivation, the new administra¬ +(There are some jurisdictions in which continued advancement practically requires movďż˝ +ing into an administrative position.) But whatever oneďż˝s motivation, the new administraďż˝ tor soon discovers a completely new world of work. Now the most pressing questions -are not the technical ones, but rather those having to do with management, with pro¬ +are not the technical ones, but rather those having to do with management, with proďż˝ gram planning and design, with supervision and motivation, and with balancing scarce resources. Often the situation is quite bewildering; it is almost as if one has been asked to change professions in midcareer from technical expert to public manager. -The fact that so many people from technical fields eventually find themselves in man¬ +The fact that so many people from technical fields eventually find themselves in manďż˝ agerial positions in the public sector has led many of them to seek training in public administration. For this reason, it is no longer unusual for students majoring in technical fields to take courses in public administration or for students to combine undergraduate -training in a technical field with graduate training in public administration (even at mid¬ -career). This, then, is a second reason for studying public administration—to prepare -for the eventuality that work in a technical field of interest might lead you to a manager¬ +training in a technical field with graduate training in public administration (even at midďż˝ +career). This, then, is a second reason for studying public administrationďż˝to prepare +for the eventuality that work in a technical field of interest might lead you to a managerďż˝ ial position in the public sector. Interaction of Business and Government @@ -1462,10 +639,10 @@ Most obvious are the effects of governmental decisions at the federal level; not example, the impact of government economic pronouncements on the stock market. But state and local governments also affect the business climate. The governors of many states have begun major campaigns to attract industry to their states, providing not only -information and advice, but specific incentives for plants and industries that might relo¬ +information and advice, but specific incentives for plants and industries that might reloďż˝ cate. Similar activities are being undertaken in more and more local communities as cities recognize that they are in competition for economic development. At a minimum, -business recognizes that the political climate of any locality directly affects the area’s +business recognizes that the political climate of any locality directly affects the areaďż˝s economic climate. But the influence of government on business is more specific. At the federal level, @@ -1473,10 +650,10 @@ major regulatory agencies, such as the Federal Communications Commission and the Federal Trade Commission, provide specific guidelines within which certain businesses must operate. Moreover, requirements of agencies such as the Environmental Protection Agency and the Occupational Safety and Health Administration restrict the operations -of business so as to ensure the quality of air and water and the safety of working condi¬ +of business so as to ensure the quality of air and water and the safety of working condiďż˝ tions. Similarly, at the state level, some agencies directly regulate specific businesses, while others act more generally to prevent unfair or unsafe practices. Even at the local -level, through licensing and zoning practices, public organizations directly regulate busi¬ +level, through licensing and zoning practices, public organizations directly regulate busiďż˝ ness practice. @@ -1486,11 +663,11 @@ ness practice. Government is also important as a consumer of business products and services. At the federal level, over $116 billion is spent each year on goods and services; in the Defense Department alone, the figure is over $85 billion per year. Similarly, at the state and local -levels, expenditures for products and services amount to $176 billion. Business is atten¬ +levels, expenditures for products and services amount to $176 billion. Business is attenďż˝ tive to its customers, so it is not surprising that business is attentive to government. For all these reasons, people in business are becoming increasingly aware of the need -to understand in detail the work of government—how policies are made, how they are +to understand in detail the work of governmentďż˝how policies are made, how they are implemented, and how they may be influenced. Not only are more and more businesses developing public affairs offices to specialize in governmental operations, to track policy developments, and to try to influence policy, but they are placing a greater premium @@ -1502,10 +679,10 @@ Influencing Public Organizations Any of the motives for studying public administration we have discussed so far may bring you to an introductory course. However, there is another more general reason you -may wish to study public administration—to understand one important aspect of the +may wish to study public administrationďż˝to understand one important aspect of the governmental process so as to be able to deal effectively with public issues that directly affect your life. We are all affected by the work of governmental and nongovernmental -organizations, so it is helpful, and sometimes even essential, to understand the opera¬ +organizations, so it is helpful, and sometimes even essential, to understand the operaďż˝ tions of these organizations. We have become so accustomed to the pervasiveness of the public service and the @@ -1517,8 +694,8 @@ government-regulated power company or by a public utility. We brush our teeth wi toothpaste produced under a government patent and trust that it has been judged safe (if not effective) by a federal agency. We use municipally operated water and sewer systems without thinking of the complexity of their operation. We dress in clothes produced -under governmental restrictions and eat food prepared in accord with government regu¬ -lations and inspected by the government. We drive on a public highway, following gov¬ +under governmental restrictions and eat food prepared in accord with government reguďż˝ +lations and inspected by the government. We drive on a public highway, following govďż˝ ernment-enforced traffic laws, to a university substantially funded by federal, state, and sometimes local dollars to study from books copyrighted and catalogued by the Library of Congress. Though the day has hardly started, our lives have been already touched by @@ -1555,7 +732,7 @@ of great importance. Finally, those who are interested in understanding the work of public or nonprofit organizations may indeed find the field of public administration interesting from a more academic standpoint: studying and commenting upon the operations of government and -nonprofit organizations contribute to our understanding of the process of policy devel¬ +nonprofit organizations contribute to our understanding of the process of policy develďż˝ opment and support the work of those in public organizations. The opportunities for academic careers in public administration positions involving teaching and research are many, and you may find yourself drawn to those opportunities. Even here, however, one @@ -1564,11 +741,11 @@ begins with a concern for action. Making Things Happen Of the many reasons to learn about public and nonprofit organizations, one theme seems -to tie together the various interests — an interest in making things happen. Whether you +to tie together the various interests ďż˝ an interest in making things happen. Whether you are preparing for a career in the public sector, covering the possibility that you might -someday manage a public agency, or simply preparing to affect the course of public pol¬ +someday manage a public agency, or simply preparing to affect the course of public polďż˝ icy and its implementation as it directly affects you or your business, your interest is in -taking action, in influencing what goes on in public and nonprofit organizations. It’s one +taking action, in influencing what goes on in public and nonprofit organizations. Itďż˝s one thing to gain knowledge of the field in the abstract, but most students want to learn those things that will make them more effective actors in the governmental process. The desire to make a difference is a powerful motive and one that underlies much of what @@ -1576,7 +753,7 @@ occurs in the public service. That motive certainly was demonstrated in the even September 11 and the months that followed. (See Box 1.2.) This book is oriented toward action, toward how to make things happen in the public -service. Our perspective will be that of the actor, not the scholar, although an under¬ +service. Our perspective will be that of the actor, not the scholar, although an underďż˝ standing of the world of administrative action is the basis for good scholarship as well. Action first requires a base of knowledge. There are certain things that you simply need to know about government and the administrative process to be effective. There are also @@ -1596,22 +773,22 @@ now, each hour brings a new set of images and emotions, new thoughts, and fears. we look back on that day, we recognize that we both initially went through a period of disbelief, unable to process and accept what we were seeing over and over on the television screen. The scenes were baffling and though we found ourselves watching -them repeatedly, we didn’t really comprehend what was happening. +them repeatedly, we didnďż˝t really comprehend what was happening. -Later in the evening, the tragedy began to become more personal — names and -faces began to replace the surreal images that seemed almost impossible in their hor¬ +Later in the evening, the tragedy began to become more personal ďż˝ names and +faces began to replace the surreal images that seemed almost impossible in their horďż˝ ror. As that happened, grief and sorrow for the people whose lives were ended in a fury of violence and hatred began to well up inside. We cried. As these scenes became more personal to us, we also began to think about the -many who reached out to their fellow citizens, especially the thousands of public ser¬ +many who reached out to their fellow citizens, especially the thousands of public serďż˝ vants who walked and ran toward the unimaginable to help. A most enduring image for us is the story told by several of those struggling down the stairs of the World -Trade Center to escape death. “As we were trying to get down, we met police officers -and fire fighters going up — and we clapped and cheered. Now we know that those -same brave souls almost surely perished in the collapse of the building.” +Trade Center to escape death. ďż˝As we were trying to get down, we met police officers +and fire fighters going up ďż˝ and we clapped and cheered. Now we know that those +same brave souls almost surely perished in the collapse of the building.ďż˝ -As hard as it is to understand planes flying into buildings, it’s also hard to under¬ +As hard as it is to understand planes flying into buildings, itďż˝s also hard to underďż˝ stand the motives of these courageous men and women, who literally walked through the fire to save and protect the lives of others. Some of them died. Some were badly hurt. @@ -1620,7 +797,7 @@ Even those who were not physically damaged were probably injured in a way that is fundamentally different from the injuries suffered by those of us who watched from the safe distance of a television newscast. Although many of us would like to think that their uniforms and training somehow protected them from all the terror, pain, -and horror that we would feel, it did not. It prepared them, but it didn’t shield them. +and horror that we would feel, it did not. It prepared them, but it didnďż˝t shield them. In the end, they are human just like us. While their uniforms and equipment may partially obscure their individuality, each of them has a name and a story. Each has @@ -1648,9 +825,9 @@ Issues in Public Administration Theory and Practice ly In a peculiar way, this ghastly act of terrorism reminds us of why we are in the public service. We care about our country, our community and our neighbors. Each of us, whether we wear a uniform, a suit, a jacket, coveralls, or a hard hat, plays -a role in improving the lives of others. Service to the public — helping people in trou¬ +a role in improving the lives of others. Service to the public ďż˝ helping people in trouďż˝ ble, making the world safer and cleaner, helping children learn and prosper, literally -going where others would not go — is our job and calling. +going where others would not go ďż˝ is our job and calling. The image of police officers and firefighters going up those stairs is compelling. But even more compelling is the larger and more pervasive power of public service. Those @@ -1660,7 +837,7 @@ and years in order to respond to these events and to make this world a better pl for our citizens. This ability to be selfless, to be open to the needs and values and wants of others, -is a part of each public servant. And it’s a part of who we are that shouldn’t require +is a part of each public servant. And itďż˝s a part of who we are that shouldnďż˝t require effort, or even tragedy for us to recognize or acknowledge. We need not wait for such events to awaken our sense of humanity and respect. As these events have once again shown, service to the public is a proud and noble profession. @@ -1668,24 +845,24 @@ shown, service to the public is a proud and noble profession. SOURCE: Bob and Janet Denhardt. This article first appeared as an online column for the American Society for Public Administration (aspanet.org). -——¦¦¦IB Hll 11 lllillllllllMBIIPIIIIHIIIIII'IWMMWWIlWIMIIMIIIMIIIIllllllllllllllllliMIIIIIlM lllll IW I I'lK |l^lll¦ll¦¦iW^^II«IUi^lrlilllĄ^l lllii'lllillTr—t WliW IK'Tl nri'T- MP|- ulll'l +�����IB Hll 11 lllillllllllMBIIPIIIIHIIIIII'IWMMWWIlWIMIIMIIIMIIIIllllllllllllllllliMIIIIIlM lllll IW I I'lK |l^lllďż˝ll��iW^^IIďż˝IUi^lrlilllďż˝^l lllii'lllillTrďż˝t WliW IK'Tl nri'T- MP|- ulll'l -to be effective in working with others in your chosen field. Selecting an action orienta¬ -tion, therefore, commits you to emphasizing all three areas — the knowledge, values, and +to be effective in working with others in your chosen field. Selecting an action orientaďż˝ +tion, therefore, commits you to emphasizing all three areas ďż˝ the knowledge, values, and skills that will help you to become more effective and responsible in your work in and -with “real life” public organizations. +with ďż˝real lifeďż˝ public organizations. Issues in Public Administration Theory and Practice -Throughout the chapters to come, our primary emphasis will be on action — those -things that real-world actors do in order to be successful in public and nonprofit orga¬ +Throughout the chapters to come, our primary emphasis will be on action ďż˝ those +things that real-world actors do in order to be successful in public and nonprofit orgaďż˝ nizations. But action never stands alone. Without some degree of reflection, action is -sterile and unguided. For this reason, we will outline here two themes that have tradi¬ +sterile and unguided. For this reason, we will outline here two themes that have tradiďż˝ tionally characterized work in public organizations and that continue to be of great -importance today. As such, these themes—politics and administration, and bureaucracy -and democracy — provide a part of the intellectual and practical context of public +importance today. As such, these themesďż˝politics and administration, and bureaucracy +and democracy ďż˝ provide a part of the intellectual and practical context of public administration. While our purpose here will be simply to introduce these two themes, -we will suggest that they are most often manifest in contemporary public administra¬ +we will suggest that they are most often manifest in contemporary public administraďż˝ tion in a tension between efficiency and responsiveness. This tension is one that is absolutely central to the work of public administrators today and one to which we will return frequently within the context of specific discussions of administrative action. @@ -1697,16 +874,16 @@ return frequently within the context of specific discussions of administrative a Politics and Administration Even though the supposed dichotomy between politics and administration is one of the -oldest issues in public administration, it continues to hold great relevance for adminis¬ +oldest issues in public administration, it continues to hold great relevance for adminisďż˝ trators today. You will recall that an early essay by Woodrow Wilson framed the initial -study of public administration in this country. In addition to his emphasis on busi¬ -nesslike practices, Wilson was also concerned with isolating the processes of adminis¬ +study of public administration in this country. In addition to his emphasis on busiďż˝ +nesslike practices, Wilson was also concerned with isolating the processes of adminisďż˝ tration from the potentially corrupting influences of politics. With respect to this issue, -Wilson wrote, “Administration lies outside the proper sphere of politics. Administrative +Wilson wrote, ďż˝Administration lies outside the proper sphere of politics. Administrative questions are not political questions. Although politics sets the tasks for administration, -it should not be suffered to manipulate its offices” (Wilson, 1887, p. 210). In other +it should not be suffered to manipulate its officesďż˝ (Wilson, 1887, p. 210). In other words, while policies were to be debated and decided by politicians, they were to -be carried out by a politically neutral, professional bureaucracy. In this way, the every¬ +be carried out by a politically neutral, professional bureaucracy. In this way, the everyďż˝ day conduct of government would be isolated from the potentially corrupting influence of politics. @@ -1718,23 +895,23 @@ of government, the council presumably makes the policy and the city manager carr out. The council is engaged in politics (or policy) and the manager in administration. Over the first few decades of this century, however, the distinction between policy -and administration was increasingly broken down, even in council-manager govern¬ +and administration was increasingly broken down, even in council-manager governďż˝ ments. Managers found that they had expertise that was needed by policy makers and began to be drawn into the policy process. By about the middle of the century, Paul -Appleby of Syracuse University would write simply, “Public administration is policy¬ -making” (Appleby, 1949, p. 170). +Appleby of Syracuse University would write simply, ďż˝Public administration is policyďż˝ +makingďż˝ (Appleby, 1949, p. 170). -The increasing involvement of administrators in the policy process was in part attrib¬ +The increasing involvement of administrators in the policy process was in part attribďż˝ utable to the fact that the operations of government, and in contemporary society of -nonprofit organizations, were becoming more complex and the technical and profes¬ +nonprofit organizations, were becoming more complex and the technical and profesďż˝ sional skills needed to operate public agencies were dramatically increasing. As people with such skills and expertise became a part of public organizations, they were inevitably -called upon to present their views. At the same time, the legislative branches of govern¬ -ment (at all levels) found it difficult to be knowledgeable about every detail of govern¬ +called upon to present their views. At the same time, the legislative branches of governďż˝ +ment (at all levels) found it difficult to be knowledgeable about every detail of governďż˝ ment and, consequently, were forced to rely more and more on the expertise of those in public agencies. Additionally, the complexity of government meant that legislative bodies often found it necessary to state laws in general terms, leaving those within the agencies -of government considerable discretion to interpret those laws as they saw fit, and, there¬ +of government considerable discretion to interpret those laws as they saw fit, and, thereďż˝ fore, make policy daily. Ensuring Accountability @@ -1757,36 +934,36 @@ They mobilize for support within the government and outside, and they bargain wi variety of public and private groups. To a certain extent, they act as independent agents. For this reason, more contemporary discussions of the issue of accountability (which -we will elaborate on in Chapter 4) place an emphasis on measures that would supple¬ +we will elaborate on in Chapter 4) place an emphasis on measures that would suppleďż˝ ment accountability to the legislature by either seeking a strong subjective sense of responsibility on the part of administrators or by providing structural controls to ensure responsibility. As we will see, some people have tried to assert professional standards in public and nonprofit organizations, while others have developed codes of ethics and standards of professional practice. Others have sought greater legislative involvement in the administrative process or more substantial legislative review. Still others have -described mechanisms such as public participation in the administrative process or sur¬ +described mechanisms such as public participation in the administrative process or surďż˝ veys of public opinion that would bring the administrator in closer alignment with the sentiments of the citizenry. The relationship between politics (or policy) and administration will be a theme that -recurs throughout the remainder of this book. While the classic dichotomy between poli¬ +recurs throughout the remainder of this book. While the classic dichotomy between poliďż˝ tics and administration has fallen, as the role of public administrators in the policy process has become more apparent, the question of the relationship between politics and administration remains central, simply because it goes to the heart of what public administration is all about. If public organizations differ from others in our society, that difference must surely rest in the way in which public organizations participate in and -respond to the public interest. But that question merely leads us to another—the rela¬ +respond to the public interest. But that question merely leads us to anotherďż˝the relaďż˝ tionship between bureaucracy and democracy. Bureaucracy and Democracy A second theme that grew from the earliest discussions of public administration in this country had to do with the potential for conflict between democracy and bureaucracy. -Let’s start once again with democracy. One writer has defined the moral commitments of +Letďż˝s start once again with democracy. One writer has defined the moral commitments of a democracy in terms of three standards. First, democratic principles assume that the -individual is the primary measure of human value, and that the development of the indi¬ +individual is the primary measure of human value, and that the development of the indiďż˝ vidual is the primary goal of a democratic political system. Second, democratic morality -suggests that all persons are created equal — that differences in wealth, status, or posi¬ +suggests that all persons are created equal ďż˝ that differences in wealth, status, or posiďż˝ tion should not give one person or group an advantage over another. Third, democratic morality emphasizes widespread participation among the citizens in the making of major decisions (Redford, 1969, p. 8). @@ -1800,11 +977,11 @@ complicated technologies and new ways of organizing appropriate to those technol 20 Chapter 1 Personal Action in Public Organizations -To some extent the public sector looked to the field of business for models of organiza¬ +To some extent the public sector looked to the field of business for models of organizaďż˝ tion. They found that the growth of large-scale business had led to the development of -large and complex bureaucratic organizations, organizations that were built around val¬ +large and complex bureaucratic organizations, organizations that were built around valďż˝ ues quite different from those of democracy. (While the term bureaucracy is often used in -a pejorative sense, as in “bureaucratic red tape,” we will use it here in its more neutral +a pejorative sense, as in ďż˝bureaucratic red tape,ďż˝ we will use it here in its more neutral and scientific sense, as one of the many ways of organizing work.) Consequently, the bureaucratic model of organizing was brought into the public sector. @@ -1818,7 +995,7 @@ the concept of bureaucracy in greater detail in Chapter 7.) In contrast to the democratic value of individuality, there stood the bureaucratic value of the group or organization; in contrast to the democratic values of equality, there -stood the bureaucratic hierarchy; and in contrast to the democratic values of participa¬ +stood the bureaucratic hierarchy; and in contrast to the democratic values of participaďż˝ tion and involvement, there stood the bureaucratic value of top-down decision making and authority. @@ -1830,7 +1007,7 @@ to be an emphasis on efficiency as the sole measure of agency success. Efficiency versus Responsiveness -As those in public administration have wrestled with the issues of politics and adminis¬ +As those in public administration have wrestled with the issues of politics and adminisďż˝ tration and democracy and bureaucracy, public (and increasingly nonprofit) managers have begun to experience more frequently the problems they face from day to day in terms of efficiency versus responsiveness. Indeed, in a sense, the two earlier issues seem @@ -1838,13 +1015,13 @@ to have dissolved into the single issue of efficiency versus responsiveness. On hand, there is the hope that public and nonprofit organizations will operate in the most efficient way possible, getting things done quickly and with the least cost to taxpayers and donors. On the other hand, public managers must be constantly attentive to the -demands of the citizenry, whether those demands are expressed through the chief execu¬ +demands of the citizenry, whether those demands are expressed through the chief execuďż˝ tive, through the legislature, or directly. A practical and contemporary expression of this difficulty is presented in case study number five at the end of the chapter. (You might want to read that case study at this -point; see “Cases and Exercises” at the end of this chapter.) The case relates a dispute -that arose in the course of developing a new housing loan program. While the case pre¬ +point; see ďż˝Cases and Exercisesďż˝ at the end of this chapter.) The case relates a dispute +that arose in the course of developing a new housing loan program. While the case preďż˝ sents several different issues, most students reviewing the case focus their attention on the different interpretations that John and Carol have of their work. At first glance, John appears to be solely interested in doing things efficiently, while Carol appears to be much @@ -1858,15 +1035,15 @@ a classic illustration of the tension between efficiency and responsiveness, and is. But, at a deeper level, the case also illustrates how complex the issues really are. You might say, for example, that John was trying to be efficient in response to the demands of those clients who had been waiting for their loans to be processed. You might also say -that Carol, through her educational efforts, was helping to ensure a more efficient, long¬ +that Carol, through her educational efforts, was helping to ensure a more efficient, longďż˝ term operation. The main point, of course, is that, in public organizations, you may quite frequently encounter difficulties in reconciling efficiency and responsiveness. A key to resolving the -ethical questions raised in situations such as that faced by John and Carol is first under¬ +ethical questions raised in situations such as that faced by John and Carol is first underďż˝ standing the various moral values represented on each side of the equation, and then engaging in ethical deliberation (and perhaps dialogue) in order to arrive at a proper -approach to the problem. Interestingly enough, in this particular case, the real-life charac¬ +approach to the problem. Interestingly enough, in this particular case, the real-life characďż˝ ters represented by John and Carol got together and talked through the differences in their respective approaches. The result was a course of action they both agreed upon, one they felt met both their obligations to be efficient and to be responsive. In the real world, @@ -1887,47 +1064,47 @@ a tension that helps make public administration such a fascinating and dynamic f What Do Public Administrators Do? An action orientation to public administration requires that we focus on what public -and nonprofit managers actually do—how they act in real-world situations. How do +and nonprofit managers actually doďż˝how they act in real-world situations. How do they spend their time? What skills do they require to do their work well? What are the rewards and frustrations of public service? From the perspective of the administrator, we can ask: What characterizes the most effective and responsible public or nonprofit management? What are the demands on administrators? What are the satisfactions that public managers draw from their work? -We will approach these issues by concentrating on the skills managers need to accom¬ +We will approach these issues by concentrating on the skills managers need to accomďż˝ plish their work. In a classic article in the Harvard Business Review, Robert Katz -provided the first major description of the general types of skills all managers need: con¬ +provided the first major description of the general types of skills all managers need: conďż˝ ceptual, technical, and human (Katz, 1974). 22 Chapter 1 Personal Action in Public Organizations -1. Conceptual skills include the ability to think abstractly, especially in regard to the man¬ -ager’s concept of the organization. This category also involves the ability to see the organi¬ +1. Conceptual skills include the ability to think abstractly, especially in regard to the manďż˝ +agerďż˝s concept of the organization. This category also involves the ability to see the organiďż˝ zation as a whole, how all the parts or functions work and fit together, and how making a change in one part will affect other parts. Conceptual skills also include the ability to see -how the organization, or parts of it, relate to the organization’s environment. +how the organization, or parts of it, relate to the organizationďż˝s environment. 2. Technical skills refer to an understanding of and proficiency in the methods, processes, and techniques for accomplishing tasks. These are, for example, the skills of an accountant who can conduct an audit or develop an income statement, or the skills of a mechanic who can repair an engine. 3. Human skills involve the capacity to work effectively as a member of a group, or the -ability to get others to work together effectively. (“Others” may include subordinates, +ability to get others to work together effectively. (ďż˝Othersďż˝ may include subordinates, superiors, managers at the same level, or virtually anyone with whom one might work on a given project or assignment.) All these skills are important to managers, but not equally important to all managers. Katz makes a strong argument that technical skills are most important to managers at -the supervisory level who manage day-to-day operations but become less and less impor¬ +the supervisory level who manage day-to-day operations but become less and less imporďż˝ tant as the level of management increases. On the other hand, conceptual skills are most important to top-level managers who must deal with the organization as a whole rather than with just one or a few parts of it. Conceptual skills are less important at the middle- management level and least important at the supervisory level. Human skills, however, maintain a constant, high level of importance; they are critical -regardless of one’s level. How managers’ human skills are employed may vary from level -to level (e.g., top managers lead more meetings than supervisory managers), but as a cat¬ +regardless of oneďż˝s level. How managersďż˝ human skills are employed may vary from level +to level (e.g., top managers lead more meetings than supervisory managers), but as a catďż˝ egory, human skills remain the one constant for managerial success. In this book, we will consider the knowledge and values associated with public management (conceptual skills), the techniques public managers require in such areas as budgeting and personnel @@ -1936,18 +1113,18 @@ effectively with others (human skills). An Inventory of Public Management Skills -One way to elaborate on an action approach is to create an inventory of the skills and com¬ +One way to elaborate on an action approach is to create an inventory of the skills and comďż˝ petencies required for successful public and nonprofit management. There are many ways -such an inventory can be constructed; one of the best ways is to talk with public and non¬ +such an inventory can be constructed; one of the best ways is to talk with public and nonďż˝ profit managers about their work, as we suggest in exercise one at the end of the chapter. Several research studies have sought to answer this question by identifying the skills that are -critical to managerial success. Of these studies, research by the federal government’s Office +critical to managerial success. Of these studies, research by the federal governmentďż˝s Office of Personnel Management (OPM) is particularly helpful (Flanders and Utterback, 1985). The OPM study was based on information gathered from a large number of highly effective -federal managers and produced a description of the broad elements of managerial perfor¬ +federal managers and produced a description of the broad elements of managerial perforďż˝ mance at all levels (supervisory, managerial, and executive). These sets of competencies -were divided into two subcategories: (1) management functions (the “what” of manage¬ -ment, its content responsibilities), and (2) effectiveness characteristics (the “how” of man¬ +were divided into two subcategories: (1) management functions (the ďż˝whatďż˝ of manageďż˝ +ment, its content responsibilities), and (2) effectiveness characteristics (the ďż˝howďż˝ of manďż˝ agement, the style found most effective). (See Appendix A at the end of this chapter.) @@ -1969,17 +1146,17 @@ According to the OPM study, the competencies of managers include such things as being sensitive to agency policies and national concerns; representing the organization and acting as a liaison to those outside the organization; establishing organizational goals and the processes to carry them out; obtaining and allocating the necessary -resources to achieve the agency’s purposes; effectively utilizing human resources; and +resources to achieve the agencyďż˝s purposes; effectively utilizing human resources; and monitoring, evaluating, and redirecting the work of the organization. But the OPM researchers recognized that managerial excellence requires not merely doing the job, but doing it well. For this reason, they developed a set of skills, attitudes, and perspectives that seemed to distinguish the work of highly successful managers. Displaying these characteristics in terms of several concentric circles (see Box 1.3) -makes a point about their importance at different organizational levels — that as man¬ +makes a point about their importance at different organizational levels ďż˝ that as manďż˝ agers move up the organizational ladder, they must accumulate an increasingly broad set of skills. The researchers suggest, for example, that first-line supervisors must apply -communication skills, interpersonal sensitivity, and technical competence to ensure effec¬ +communication skills, interpersonal sensitivity, and technical competence to ensure effecďż˝ tive performance on their own part and within the work unit. In addition, their actions must begin to reflect those characteristics in the next ring: leadership, flexibility, an action orientation, and a focus on results. @@ -2027,7 +1204,7 @@ mission of the city and focus my resources and efforts in effectively meeting th mission, solving the problems of residents, and seeing employees grow and develop. Those considering public service careers should understand that managing in the -public arena is different from that in a private corporation. It requires a commit¬ +public arena is different from that in a private corporation. It requires a commitďż˝ ment to values of providing quality services for all and dealing with all people on an equal level. It is very important that people who enter the public service do so with a high standard of ethical behavior and an ability to deal honestly and @@ -2042,12 +1219,12 @@ Agency. He stated: I entered public service because I viewed (and still do) government as an instrument to solve social problems. Democratic government can be a tremendous positive -force in society, and in spite of recent political rhetoric and prevailing political ide¬ +force in society, and in spite of recent political rhetoric and prevailing political ideďż˝ ology, I am convinced that the institutions and programs of government are of vital importance to the nation and that public service is a noble calling. There is great satisfaction in knowing that your work has made an impact on -persons who could only have been helped through the intervention of the govern¬ +persons who could only have been helped through the intervention of the governďż˝ ment. In my own experience, for example, schoolchildren across the country have been helped by elimination of exposure to asbestos in their schools that were unable to remove asbestos materials without federal financial assistance from a @@ -2059,14 +1236,14 @@ motivation for entering the public service, because there are right reasons and reasons. You are entering for the right reasons if you want to make a contribution to the solution of social problems, promote democratic values and ethical standards on using the powers of government, and if the concept of serving the public good is -a passion. You are entering for the wrong reasons if you are looking for public adula¬ +a passion. You are entering for the wrong reasons if you are looking for public adulaďż˝ tion and recognition for your accomplishments, seeking material or financial rewards as compensation for your hard work, or expecting to acquire levels of power and change the world according to your own plan. Those entering for the wrong reasons -will be bitterly disappointed. Yet, for those whose passion is to contribute to the pub¬ -lic good, government service can represent the single most satisfying way of translat¬ +will be bitterly disappointed. Yet, for those whose passion is to contribute to the pubďż˝ +lic good, government service can represent the single most satisfying way of translatďż˝ ing your passion into ideas and events for improving the quality of life for scores of -people. Very few professions offer this kind of opportunity and that is why public ser¬ +people. Very few professions offer this kind of opportunity and that is why public serďż˝ vice will always be an exciting, challenging, and satisfying endeavor. Cheryle A. Broom was legislative auditor for the state of Washington. She described @@ -2082,9 +1259,9 @@ the emphasis of my work. It is particularly rewarding when these efforts influen policy and administrative changes that, hopefully, improve service delivery and cost effectiveness of public programs. -Individuals with an interest should be encouraged to explore careers in the pub¬ +Individuals with an interest should be encouraged to explore careers in the pubďż˝ lic service and to develop the skills necessary to be successful in their chosen field. -I think it is also important to keep a perspective, that is, it won’t be easy nor will +I think it is also important to keep a perspective, that is, it wonďż˝t be easy nor will you do it single-handedly, but you can make a difference. @@ -2099,46 +1276,46 @@ In reviewing my own motivations for staying in public service, I found several, than one single answer. First, there is a joy in the use of skills learned through a long apprenticeship. After -twenty years in public service, I realize my skills and abilities were not easily or pain¬ -lessly acquired. My education in public service has been costly, and I feel an obliga¬ +twenty years in public service, I realize my skills and abilities were not easily or painďż˝ +lessly acquired. My education in public service has been costly, and I feel an obligaďż˝ tion to repay the resources, energy, and interest others have invested in teaching me. -A second factor is the conviction that the work is important. There is an underly¬ +A second factor is the conviction that the work is important. There is an underlyďż˝ ing assumption in public service that we are all part of an effort that leads to a better life for individuals in our society. Public service is ultimately based on the view that the human condition can be improved, an optimism which perhaps forms the core of the motivation for staying in public service. In order to remain in government, you have to believe that your actions can have some small impact on the public good. -Only in public service can you find the sense of completion that comes from work¬ -ing on a successful program to reduce infant mortality, for example, and then realiz¬ +Only in public service can you find the sense of completion that comes from workďż˝ +ing on a successful program to reduce infant mortality, for example, and then realizďż˝ ing that thirty-five more children are alive this year as a result of that effort. Only in -public service can you participate in a process that helps move individuals from men¬ +public service can you participate in a process that helps move individuals from menďż˝ tal hospitals back into the community. The opportunity to help solve a community problem and then to witness the changes that occur is the cement that binds us to public service. A final motivation for public service is the importance of constantly reaffirming the -legitimacy and credibility of government services in the public’s mind. One vital way to -reaffirm our ability to govern ourselves, to control our own fate, is to have govern¬ +legitimacy and credibility of government services in the publicďż˝s mind. One vital way to +reaffirm our ability to govern ourselves, to control our own fate, is to have governďż˝ ment, at all levels, that delivers the services expected of it. This presupposes a cadre of individuals who can understand and manage public institutions. If there is no response -when the public demands action, then it confirms our sense of alienation and power¬ -lessness, and we lose our ability to cooperate. If, as public servants, we are rusty, run¬ +when the public demands action, then it confirms our sense of alienation and powerďż˝ +lessness, and we lose our ability to cooperate. If, as public servants, we are rusty, runďż˝ down, obsolete tools of government, then there will only be further reaction against the institution of government. The challenge is to be there whether or not we are wanted, to be committed to the public s business whether or not we are noticed, to carry the public trust whether or not we are asked, and to pick up the garbage. In the end, regardless of the personal reasons to stay in public service, the process -of government demands dedicated professionals to make it work. The ability to con¬ +of government demands dedicated professionals to make it work. The ability to conďż˝ tinue day-to-day government operations in the face of all difficulties is what public service is about. That ability is what creates a legitimate government, what creates the public trust. If that is too abstract, then let us say that public service is about babies living, fires being extinguished, garbage collected, crimes solved, people moved. That is all there is, ever. -SSUlC^Zh°maS D,°wn,s’, “Reflations of a Public Service Junkie.” Reprinted with permission from the +SSUlC^Zhďż˝maS D,ďż˝wn,sďż˝, ďż˝Reflations of a Public Service Junkie.ďż˝ Reprinted with permission from the March 1988 issue of Public Management (PM) magazine published by the International City/County Management Association, Washington, D.C. @@ -2148,14 +1325,14 @@ Management Association, Washington, D.C. Terms and Definitions 27 -Obviously, these three professionals, as well as Tom Downs, the “public service junkie” +Obviously, these three professionals, as well as Tom Downs, the ďż˝public service junkieďż˝ (see Box 1.4), take very seriously their commitment to serving others. In making such a commitment, these administrators participate in a long and proud tradition. Indeed, the public service has historically been considered one of the highest callings in our society and has been even more highly regarded in other countries, such as France and Japan. For the time being, we should simply note that the idea of serving others has great -appeal, in part because of the great joy and satisfaction it brings. Those working in pub¬ +appeal, in part because of the great joy and satisfaction it brings. Those working in pubďż˝ lic organizations experience almost daily the rewards of public service. Summary and Action Implications @@ -2163,11 +1340,11 @@ Summary and Action Implications As noted, our focus in this book will be on the individual administrator or the individual citizen seeking to influence public policy through the agencies of government or through other public and nongovernmental organizations. We will consider in some detail the -institutions, processes, and techniques required for work in the public and nonprofit sec¬ +institutions, processes, and techniques required for work in the public and nonprofit secďż˝ tors. But, most importantly, we will examine the real world of public administration, the world as experienced by the administrator. -That world, as we have seen, is one for which you will need to develop certain capa¬ +That world, as we have seen, is one for which you will need to develop certain capaďż˝ bilities to operate effectively and responsibly. Among these we include an understanding of the institutions and processes of government; an appreciation of the values underlying public service; technical skills in such areas as program design, budgeting, and personnel; @@ -2176,12 +1353,12 @@ to put it all together to integrate knowledge, skills, and values appropriately. Ideally, in studying the issues discussed in this book, you will develop a good sense of the political context of public administration; a sound understanding of your role in -both policy development and policy implementation; a sensitivity to the moral and ethi¬ +both policy development and policy implementation; a sensitivity to the moral and ethiďż˝ cal questions inherent in the notion of public service; technical competence in such areas as planning and program development, budgeting, personnel, and productivity; facility -with interpersonal relationships (including leadership, decision making, and communica¬ +with interpersonal relationships (including leadership, decision making, and communicaďż˝ tions), and the self-confidence and self-awareness to act effectively and responsibly in -real-life situations. Though public administration in the abstract sometimes appears life¬ +real-life situations. Though public administration in the abstract sometimes appears lifeďż˝ less and remote, the real world of the practicing public administrator is a quite lively and interesting place, filled with challenging problems and unique opportunities. @@ -2215,7 +1392,7 @@ who are in charge of particular governmental programs. Public administration: The management of public programs. -Staff managers: Persons who support the work of program managers through budget¬ +Staff managers: Persons who support the work of program managers through budgetďż˝ ing and financial management, personnel and labor relations, and purchasing and procurement. @@ -2225,7 +1402,7 @@ Study Questions administration. 2. One of the most important trends in American society is the increasing interaction -of business and government.” This quotation signals the need for better recognition +of business and government.ďż˝ This quotation signals the need for better recognition and understanding of the interactions between business and government. Discuss the importance of this interaction and why a clear understanding of the relationship between the public and private sector is necessary. @@ -2233,7 +1410,7 @@ between the public and private sector is necessary. 3. The differences between public administration and business management are profound. Explain how the two fields differ and why the two terms are not interchangeable. -4- How did early scholars, such as Wkiodrow Wilson, view the role of public administra¬ +4- How did early scholars, such as Wkiodrow Wilson, view the role of public administraďż˝ tion in a democracy? 5. The term democracy can be interpreted in a variety of ways. What significant concepts @@ -2263,14 +1440,14 @@ responsibilities they have and the knowledge, values, and skills that are import to them in their work. The following are some examples of questions you might want to ask: -• Describe the work you do and how you came to this position. What is your educa¬ +ďż˝ Describe the work you do and how you came to this position. What is your educaďż˝ tional and work background? -• What impact does the work you do have on the community/state/nation/etc.? What +ďż˝ What impact does the work you do have on the community/state/nation/etc.? What do you find different or unusual about working in a public organization? How do you think your job compares to work at a comparable level in business or industry? -• What knowledge, values, and skills are important to your work? For instance, if you +ďż˝ What knowledge, values, and skills are important to your work? For instance, if you were hiring someone to take your place, what would you look for? 2. Consider the following case. As an administrative assistant in the Department of @@ -2291,9 +1468,9 @@ receive a call from the mayor, asking for a report on the auditing contract. Wha say to the mayor? What do you recommend be done about the contract? What does this case say about the relationship between business and government? -3. Consider the following case. There wasn’t much that David Wood couldn’t do. He +3. Consider the following case. There wasnďż˝t much that David Wood couldnďż˝t do. He was an excellent teacher, a dedicated scholar, and a good department chair. He had -been called to the chancellor’s office to comment on a new curriculum proposal, one +been called to the chancellorďż˝s office to comment on a new curriculum proposal, one his faculty and he had discussed and one his faculty firmly opposed. The chancellor began the meeting by commenting on the excellent administrative work that David had been doing and on the possibility that he might be considered for a deanship that @@ -2312,30 +1489,30 @@ with greater complexity and different pressures. What are some of the factors th affect those holding managerial jobs as opposed to technical jobs? 4. Recently fraternities and sororities at a major midwestern university were informed -that the property tax classification for their houses was being changed from residen¬ +that the property tax classification for their houses was being changed from residenďż˝ tial to commercial, a change that would increase the assessed values of the properties from 19 percent to 32 percent and would cost the fraternities and sororities thousands of dollars in new taxes. Members of the fraternities and sororities felt the change was -inappropriate because, as one member stated, “There’s not a fraternity or sorority on -campus that makes a profit.” On the other hand, a county official pointed out that the -houses contain more than four dwelling units, as the law describes it. Moreover, fra¬ +inappropriate because, as one member stated, ďż˝Thereďż˝s not a fraternity or sorority on +campus that makes a profit.ďż˝ On the other hand, a county official pointed out that the +houses contain more than four dwelling units, as the law describes it. Moreover, fraďż˝ ternities and sororities are probably not residential enterprises and are definitely not agricultural ones (as specified in the law), so they are relegated to the third catch-all -category, “commercial and all others.” +category, ďż˝commercial and all others.ďż˝ If you were advising the fraternities and sororities as to how they might seek relief, what would you recommend? What kind of action should they take? Where should an appeal originate? How might it proceed? -5. Consider the following case study (see the discussion under “Efficiency versus -Responsiveness” earlier in this chapter): +5. Consider the following case study (see the discussion under ďż˝Efficiency versus +Responsivenessďż˝ earlier in this chapter): -John Taylor and Carol Langley worked for a local, nonprofit community develop¬ +John Taylor and Carol Langley worked for a local, nonprofit community developďż˝ ment agency. Following a rather massive reorganization of the agency in which a number of new programs were taken on, John was asked to supervise a new housing -loan program, and Carol was asked to assist him. The program was designed to pro¬ +loan program, and Carol was asked to assist him. The program was designed to proďż˝ vide low-interest loans to assist persons in rehabilitating housing in certain parts of -the city. Although John and Carol had experience in related areas, neither was famil¬ +the city. Although John and Carol had experience in related areas, neither was familďż˝ iar with this particular program. To make matters worse, seminars to provide help in establishing such programs had been held some months earlier. John and Carol were simply given a manual and told to begin. @@ -2352,7 +1529,7 @@ of applicants consisted of some forty persons who had originally applied for oth programs but had been turned down. Since their applications had been on file in the agency for as long as a year, they were quite anxious to have their applications processed quickly. Initial visits and phone calls from several of the applicants made -John quite aware of their feelings. In addition, however, John was aware that this par¬ +John quite aware of their feelings. In addition, however, John was aware that this parďż˝ ticular loan program would have a significant impact on the community and that, consequently, his doing an efficient job under these difficult circumstances would be important to the agency and in turn important to his own future in public service. @@ -2365,7 +1542,7 @@ director s comment that the agency could use this opportunity to help educate th For Additional Reading 31 -applicants about the procedures involved in such projects. She felt it was very impor¬ +applicants about the procedures involved in such projects. She felt it was very imporďż˝ tant to check periodically on the inspections, cost estimates, loan amounts, financial information, and terms and conditions of the loans. Unlike John, who spent most of his time in the office, she talked frequently with the applicants, many of whom she @@ -2386,7 +1563,7 @@ office visits to discuss the material. When John asked Carol to obtain the signed forms, she refused. Not only was she concerned that the applicants see and understand the materials before signing, she was afraid that getting people to sign blank forms might be illegal. When she talked -with John’s supervisor about the request, she was told that the procedure was not ille¬ +with Johnďż˝s supervisor about the request, she was told that the procedure was not illeďż˝ gal and had been used before by persons in the regional office. For Additional Reading @@ -2411,7 +1588,7 @@ King, Cheryl Simrell, and Camilla Stivers. Government is Us: Public Administrati an Anti-Government Era. Thousand Oaks, CA: Sage Publications, 1998. Lane, Frederick S., ed. Current Issues in Public Administration. 5th ed. New York: -St. Martin’s Press, 1994. +St. Martinďż˝s Press, 1994. Lynn, Naomi B., and Aaron Wildavsky, eds. Public Administration: The State of the Discipline. Chatham, NJ: Chatham House, 1990. @@ -2441,7 +1618,7 @@ APPENDIX A OPM Inventory of Management Skills -The "What” of Management: Functions +The "Whatďż˝ of Management: Functions 1. External awareness: Identifying and keeping up-to-date with key agency policies and priorities and/or external issues and trends (e.g., economic, political, social, @@ -2451,7 +1628,7 @@ technological) likely to affect the work unit. policies, priorities, issues, and trends and how these are to be incorporated into work unit activities and products. -3. Representation: Presenting, explaining, selling, and defending the work unit’s activi¬ +3. Representation: Presenting, explaining, selling, and defending the work unitďż˝s activiďż˝ ties to the supervisor in the agency, and/or persons and groups outside the agency. 4. Coordination. Performing liaison functions and integrating work unit activities with @@ -2464,14 +1641,14 @@ and priorities; and developing and deciding among alternative courses of action. and priorities; scheduling/sequencing activities; and establishing effectiveness and efficiency standards/guidelines. -7. Budgeting: Preparing, justifying, and/or administering the work unit’s budget. +7. Budgeting: Preparing, justifying, and/or administering the work unitďż˝s budget. 8. Material resources administration: Assuring the availability of adequate supplies, -equipment, facilities; overseeing procurement/contracting activities; and/or oversee¬ +equipment, facilities; overseeing procurement/contracting activities; and/or overseeďż˝ ing logistical operations. 9. Personnel management: Projecting the number and types of staff needed by the work -unit, and using various personnel management system components (e.g., recruit¬ +unit, and using various personnel management system components (e.g., recruitďż˝ ment, selection, promotion, performance appraisal) in managing the work unit. 10. Supervision: Providing day-by-day guidance and oversight of subordinates @@ -2479,7 +1656,7 @@ ment, selection, promotion, performance appraisal) in managing the work unit. and recognize performance. 11. Work unit monitoring: Keeping up-to-date on the overall status of activities in the -work unit, identifying problem areas, and taking corrective actions (e.g., reschedul¬ +work unit, identifying problem areas, and taking corrective actions (e.g., reschedulďż˝ ing, reallocating resources, etc.). @@ -2487,25 +1664,25 @@ ing, reallocating resources, etc.). Appendix A 33 12. Program evaluation: Critically assessing the degree to which program/project goals -are achieved and the overall effectiveness/efficiency of work unit operations, to iden¬ +are achieved and the overall effectiveness/efficiency of work unit operations, to idenďż˝ tify means for improving work unit performance. -The “How” of Management: Effectiveness Characteristics +The ďż˝Howďż˝ of Management: Effectiveness Characteristics -1. Broad perspective: Broad, long-term view; balancing short- and long-term consid¬ +1. Broad perspective: Broad, long-term view; balancing short- and long-term considďż˝ erations 2. Strategic view: Collecting/assessing/analyzing information; diagnosis; anticipation; judgment -3. Environmental sensitivity: “Tuned into” agency and its environment; awareness of +3. Environmental sensitivity: ďż˝Tuned intoďż˝ agency and its environment; awareness of importance of nontechnical factors 4. Leadership: Individual; group; willingness to lead, manage, and accept responsibility 5. Flexibility: Openness to new information; behavioral flexibility; tolerance for stress/ambiguity/change; innovativeness -6. Action orientation: Independence, proactivity; calculated risk taking; problem solv¬ +6. Action orientation: Independence, proactivity; calculated risk taking; problem solvďż˝ ing; decisiveness 7. Results focus: Concern with goal achievement; follow-through, tenacity @@ -2517,7 +1694,7 @@ to needs/strengths/weaknesses of others; negotiation; conflict resolution; persu accounting, social science) -SOURCE: Loretta R. Flanders and Dennis Utterback, “The Management Excellence Inventory,” Public +SOURCE: Loretta R. Flanders and Dennis Utterback, ďż˝The Management Excellence Inventory,ďż˝ Public Administration Review Vol. 45 No. 3, 1985, 403-410. @@ -2536,19 +1713,19 @@ implications of a particular direction in national policy. In any case, it will you to know how public policies are designed and put into practice. Talk of public policy is, of course, quite familiar. From one day to another, we hear -criticisms of the U.S. policy in the Middle East, calls for a more effective drug enforce¬ -ment policy, challenges to a school district’s approach to violence in the schools, ideas -for changing a city’s policy toward the homeless, or proposals for altering an organiza¬ -tion’s hiring practices. Our uses of the term policy are many and varied, and the process +criticisms of the U.S. policy in the Middle East, calls for a more effective drug enforceďż˝ +ment policy, challenges to a school districtďż˝s approach to violence in the schools, ideas +for changing a cityďż˝s policy toward the homeless, or proposals for altering an organizaďż˝ +tionďż˝s hiring practices. Our uses of the term policy are many and varied, and the process by which policies are developed is even more complex. We may think of a policy as a statement of goals and intentions with respect to a particular problem or set of problems, a statement often accompanied by a more detailed set of plans, programs, or instructions for pursuing those goals. Public policies -are authoritative statements made by legitimate governmental actors (the chief execu¬ -tive, the legislature, public agencies, etc.) or nongovernmental actors (nonprofit orga¬ +are authoritative statements made by legitimate governmental actors (the chief execuďż˝ +tive, the legislature, public agencies, etc.) or nongovernmental actors (nonprofit orgaďż˝ nizations, foundations, quasi-governmental organizations, private corporations, etc.) -about important, and sometimes not so important, public problems. We expect deci¬ +about important, and sometimes not so important, public problems. We expect deciďż˝ sion makers at all levels to spend considerable time and energy dealing with such topics as foreign affairs, health, education, employment, the economy, civil rights, the environment, energy, transportation, housing, agriculture, law enforcement, and @@ -2556,9 +1733,9 @@ myriad other issues. But in each of these areas, public policy is simply what an or an entire network of public, private, and nonprofit organizations decides to do or not do. -Organizations in all sectors are deeply involved in carrying out public policy—either +Organizations in all sectors are deeply involved in carrying out public policyďż˝either executing or implementing them. But these organizations are also involved in developing -policy. Governmental and nongovernmental organizations play an important role in shap¬ +policy. Governmental and nongovernmental organizations play an important role in shapďż˝ es public policy. Proposals are written and submitted by agency personnel; testimony and other expert advice are presented; and representatives of various agencies, especially political appointees who head agencies, often seek to build public support for particular @@ -2570,24 +1747,24 @@ ideas. Those in government agencies, and increasingly in nonprofit organizations Administrative Organizations and Executive Leadership 35 -often asked to elaborate on or clarify legislative intentions, and, in doing so, they con¬ +often asked to elaborate on or clarify legislative intentions, and, in doing so, they conďż˝ tinue the process of policy development. Moreover, public, private, and nonprofit organizations not only develop policies that guide their own activities, but also seek to influence the course of public policy on behalf -of their members or other constituencies. Many such groups limit their activities to pro¬ +of their members or other constituencies. Many such groups limit their activities to proďż˝ viding public information and seeking to affect indirectly the formation of policies in their area of interest. But others are far more direct, employing lobbyists and others whose specific job is to influence the policy process. -To understand the conduct of specific groups, namely public and nonprofit organiza¬ +To understand the conduct of specific groups, namely public and nonprofit organizaďż˝ tions, in the policy process, you must have some understanding of the context in which these organizations operate. That context is not merely physical; it includes the beliefs and values that shape our expectations of the organizations as well as the structures we -have developed to try to maintain those values. In large part, the complexity of the pol¬ -icy process in this country is the result of the Founding Fathers’ fear of concentrated +have developed to try to maintain those values. In large part, the complexity of the polďż˝ +icy process in this country is the result of the Founding Fathersďż˝ fear of concentrated power, a fear they sought to allay by organizing the federal government into three -branches — executive, legislative, and judicial — so that no one branch could exert itself +branches ďż˝ executive, legislative, and judicial ďż˝ so that no one branch could exert itself above the others. As we will see, our political system has evolved in such a way that the relations between and among the various branches, and between governmental and nongovernmental institutions, remain a central issue in conducting public programs. @@ -2597,8 +1774,8 @@ together to seek important policy goals. Administrative Organizations and Executive Leaders hip -As we saw in Chapter 1, public administrators work in the federal, state, and local gov¬ -ernments and in nonprofit organizations and associations. But, understandably, the fed¬ +As we saw in Chapter 1, public administrators work in the federal, state, and local govďż˝ +ernments and in nonprofit organizations and associations. But, understandably, the fedďż˝ eral government, simply by virtue of its size and the range of its activities, has become the model against which others are often judged. For that reason, we will begin our discussion of the political context of American public administration by examining the @@ -2611,27 +1788,27 @@ are quite similar to those that continue to confront us. Take, for example, the between the Federalist view, expressed most forcefully by Alexander Hamilton, and that of the Jeffersonians, led by (you guessed it!) Thomas Jefferson. Hamilton and his Federalist colleagues argued for a strong centralized government, staffed and managed by men of -wealth, class, and education. “The Federalist preference for the executive branch was a +wealth, class, and education. ďż˝The Federalist preference for the executive branch was a faithful reflection of their distrust of the people. An intelligent perception of sound public policy, in their view, could come only from well-educated men of affairs, men with trained -minds and broad experience—in short, from the upper classes” (White, 1948, p. 410). +minds and broad experienceďż˝in short, from the upper classesďż˝ (White, 1948, p. 410). Chapter 2 The Political Context of Public Administration -The Jeffersonians, on the other hand, saw the administration of government as inti¬ +The Jeffersonians, on the other hand, saw the administration of government as intiďż˝ mately connected to the problem of extending democracy throughout the nation. They -thus preferred a more decentralized approach to the executive function and sought for¬ +thus preferred a more decentralized approach to the executive function and sought forďż˝ mal legal controls on the executive so that executive power would not be abused (Caldwell, 1994). These democratic views reached their pinnacle in the administration of -Andrew Jackson, known for its openness to the “common man.” But the Jacksonian era -was also notable for extension and formalization of the administrative apparatus of gov¬ -ernment; the administration of government began to form “a link between the nation’s -political authorities and its citizens” (Crenson, 1975, p. 10; see also Nelson, 1982). +Andrew Jackson, known for its openness to the ďż˝common man.ďż˝ But the Jacksonian era +was also notable for extension and formalization of the administrative apparatus of govďż˝ +ernment; the administration of government began to form ďż˝a link between the nationďż˝s +political authorities and its citizensďż˝ (Crenson, 1975, p. 10; see also Nelson, 1982). -Despite these developments, the president’s role as chief executive officer and as head -of the federal bureaucracy was not clearly established until well into the twentieth cen¬ +Despite these developments, the presidentďż˝s role as chief executive officer and as head +of the federal bureaucracy was not clearly established until well into the twentieth cenďż˝ tury, when Franklin Roosevelt was able to assert his administrative management of the executive branch and to set a model for all the presidents who have followed him. Some changes were inevitable: the growing size and scope of governmental activity simply @@ -2640,24 +1817,24 @@ reflective of a greater understanding of the administrative process and of how t of government might be accomplished more effectively. In 1936, President Roosevelt appointed a committee on administrative management, -chaired by Louis Brownlow, which included a number of respected scholars and practi¬ +chaired by Louis Brownlow, which included a number of respected scholars and practiďż˝ tioners in the emerging field of public administration. The Brownlow committee -concluded that “the president needs help” and recommended a series of possible steps to -improve the president’s management of the executive branch (Karl, 1963). Though ini¬ -tially sidetracked in the wake of the president’s attempt to pack the Supreme Court with +concluded that ďż˝the president needs helpďż˝ and recommended a series of possible steps to +improve the presidentďż˝s management of the executive branch (Karl, 1963). Though iniďż˝ +tially sidetracked in the wake of the presidentďż˝s attempt to pack the Supreme Court with his supporters, the major recommendations of the Brownlow committee were finally approved in the Reorganization Act of 1939. This act authorized the president to take -the initiative in reshaping and reorganizing the executive branch, subject only to con¬ +the initiative in reshaping and reorganizing the executive branch, subject only to conďż˝ gressional veto. The Reorganization Act also allowed President Roosevelt to create the Executive Office of the President, composed of six assistants, to give the president the help he needed. (The Executive Office of the President continues today, though now it employs nearly two thousand people.) -All presidents since Roosevelt have continued to assert their executive power in vari¬ +All presidents since Roosevelt have continued to assert their executive power in variďż˝ ous ways. President Nixon, for example, sought to further centralize managerial power in the White House. President Carter sought greater managerial responsiveness through the Civil Service Reform Act. President Reagan and the first President Bush pursued the -same ends, by extending political control further into the bureaucracy while also devel¬ +same ends, by extending political control further into the bureaucracy while also develďż˝ oping programs to reduce costs and increase productivity. President Clinton carried through on many of his promises to streamline government and improve quality and productivity through implementing the National Performance Review (NPR). And, @@ -2665,8 +1842,8 @@ within the first six months of his term in office, President George W. Bush has this trend, championing several pieces of legislation that promise to redefine the scope of the federal government. -Although President Clinton’s National Performance Review officially ended in -January 2001, the larger “Reinventing Government” movement has become a central +Although President Clintonďż˝s National Performance Review officially ended in +January 2001, the larger ďż˝Reinventing Governmentďż˝ movement has become a central current in the tides of public and nonprofit reform (Light, 1995, 2000). Reinvention and the NPR will be discussed in more detail in later chapters, but it is important that you @@ -2680,7 +1857,7 @@ increasing the trust of the American people in their government through a broad of improvements in the quality and productivity of government (as well as through reductions in the size of government). The National Performance Review, first presented to President Clinton in September 1993 and implemented over the next several years, -made hundreds of recommendations aimed at cutting unnecessary red tape and burden¬ +made hundreds of recommendations aimed at cutting unnecessary red tape and burdenďż˝ some regulations, empowering federal employees to make decisions while holding them accountable for the results, and emphasizing service to customers, that is, the public. The general orientation of the NPR is outlined in Box 2.1. @@ -2691,13 +1868,13 @@ the actions of government officials and government agencies. Over time, the exec order has become a chief instrument of presidential power. President Bush, for example, used one of his first executive orders (no. 13199, January 29, 2001) to create the Office of Faith-based and Community Initiatives, which will serve as the centerpiece for his -administration’s effort to extend federal funding to faith-based organizations. In this case +administrationďż˝s effort to extend federal funding to faith-based organizations. In this case and many others like it, the president is essentially making law by decree, occasionally in direct opposition to the wishes of Congress and constituent groups (Cooper, 1986). The president, as the chief executive officer of the federal government, exercises power over an enormous and wide-ranging set of public organizations. There are some -2.9 million civilians employed by the federal government and another 1.5 million uni¬ +2.9 million civilians employed by the federal government and another 1.5 million uniďż˝ formed military personnel. In addition, the federal government supports and pays for the work of a wide variety of activities in which the actual work is performed by someone other than a federal civil servant. The Defense Department, for example, supervises @@ -2708,10 +1885,10 @@ further under the Bush administration. Administrative Organizations -You are probably already familiar with many of the agencies of government at the fed¬ +You are probably already familiar with many of the agencies of government at the fedďż˝ eral level; however, several types are particularly important: (1) the Executive Office of the President; (2) the cabinet-level executive departments; (3) a variety of independent -agencies, regulatory commissions, and public corporations; and (4) administrative agen¬ +agencies, regulatory commissions, and public corporations; and (4) administrative agenďż˝ cies that support the work of the legislature and the judiciary. The Executive Office of the President @@ -2731,33 +1908,33 @@ BOX 2.1 Reinventing Government President Bill Clinton, March 27, 1995, White House press release -In Washington, we’re engaged today in a great debate over what the role of the govern¬ +In Washington, weďż˝re engaged today in a great debate over what the role of the governďż˝ ment here ought to be. Just about everybody has rejected the past view that there is a big one-size-fits-all government that can solve all the big problems of America. Now the rage in Washington is to argue that the government is the source of all of our problems and -if just there simply weren’t one, we’d have no problems. Sooner or later, the American -people will come to agree—and I think they are quickly coming to agree—that the old +if just there simply werenďż˝t one, weďż˝d have no problems. Sooner or later, the American +people will come to agreeďż˝and I think they are quickly coming to agreeďż˝that the old one-size-fits-all view was wrong, but the new rage of no government is wrong as well; that we need a government that can be a partner to our people, to help them to compete and prosper in a global economy which is changing very rapidly and which presents -great opportunity, but also real challenges as well. It’s basically an old-fashioned social -compact about citizenship—citizenship for the twenty-first century—that requires us to -get rid of yesterday’s government and replace it with a new government. +great opportunity, but also real challenges as well. Itďż˝s basically an old-fashioned social +compact about citizenshipďż˝citizenship for the twenty-first centuryďż˝that requires us to +get rid of yesterdayďż˝s government and replace it with a new government. Vice President Al Gore, December 5, 1994, White House press release It is time to get rid of the old way of managing the federal government where control is centralized and direction comes only from the highest levels. While that system was -effective in the early 1900s, it no longer meets the needs of government’s customers, the -American people. What’s needed instead is an entirely new model of leadership based +effective in the early 1900s, it no longer meets the needs of governmentďż˝s customers, the +American people. Whatďż˝s needed instead is an entirely new model of leadership based on clear sets of principles, flexibility, innovation, accountability, and customer service. -Federal executives are where this revolution starts or stops. In each of their depart¬ +Federal executives are where this revolution starts or stops. In each of their departďż˝ ments and agencies, they must be responsible for leading the change from the old way -of doing the government s business to a more efficient, effective system where employ¬ +of doing the government s business to a more efficient, effective system where employďż˝ ees are empowered to provide the American people with the best service possible. -The information age has made possible “flatter” organizations, wider spans of con¬ -trol, and quicker information sharing. It is now possible for a president—whether of a +The information age has made possible ďż˝flatterďż˝ organizations, wider spans of conďż˝ +trol, and quicker information sharing. It is now possible for a presidentďż˝whether of a company or a country to decentralize, yet keep field operations accountable. It means empowering employees to do their jobs, yet holding them accountable for the results. @@ -2784,12 +1961,12 @@ Administrative Organizations and Executive Leadership 39 various agencies, suggesting changes in structures and procedures, and searching out capable executives for service in government. The National Security Council (NSC) is -charged with integrating domestic, military, and foreign policy. It is made up of the presi¬ +charged with integrating domestic, military, and foreign policy. It is made up of the presiďż˝ dent, vice president, and secretaries of state and defense and is directed by the national security adviser. (Recall that in late 1986, charges that John Poindexter and Oliver North, among others on the NSC staff, were exceeding their statutory authority and engaging in -covert military operations led to the Iran-Contra affair, and, among other things, a reor¬ -ganization of the NSC.) Finally, the Council of Economic Advisors consists of three econ¬ +covert military operations led to the Iran-Contra affair, and, among other things, a reorďż˝ +ganization of the NSC.) Finally, the Council of Economic Advisors consists of three econďż˝ omists who develop proposals to maintain employment, production, and purchasing power. The council also develops a variety of economic reports. @@ -2808,12 +1985,12 @@ http://www.nara.g0v/fedreg/e0.html#t0p. Cabinet-Level Executive Departments -These agencies are among the most visible, if not always the largest, of the federal execu¬ +These agencies are among the most visible, if not always the largest, of the federal execuďż˝ tive agencies. There are currently thirteen cabinet-level departments. In decreasing order of size, they are the Departments of Defense: Health and Human Services; Treasury; Agriculture; Interior; Transportation; Justice; Commerce; State; Labor; Energy; Housing and Urban Development; and Education. Several departments, such as Treasury and State, -date back to the nation’s founding; others have been created by Congress as needed. +date back to the nationďż˝s founding; others have been created by Congress as needed. Each cabinet-level department is headed by a secretary, who, along with a group of top-level staff people, is appointed by the president with the approval of the Senate. @@ -2827,7 +2004,7 @@ of the federal workforce lives in or around the District of Columbia. The cabinet-level secretaries, along with a few others, such as the director of the Office of Management and Budget and the ambassador to the United Nations, constitute -the president’s cabinet, a group that some presidents have used sparingly and primarily +the presidentďż˝s cabinet, a group that some presidents have used sparingly and primarily for formal matters and others have employed extensively for help and advice. Inevitably, @@ -2844,15 +2021,15 @@ Independent Agencies, Regulatory Commissions, and Public Corporations A variety of independent agencies have been created intentionally outside the normal cabinet organization. Some are engaged in staff functions in support of other agencies. -The Office of Personnel Management, for example, oversees the federal personnel func¬ -tion, and the General Services Administration oversees the government’s property. Other -agencies have simply not been viewed as appropriate to include in cabinet-level depart¬ +The Office of Personnel Management, for example, oversees the federal personnel funcďż˝ +tion, and the General Services Administration oversees the governmentďż˝s property. Other +agencies have simply not been viewed as appropriate to include in cabinet-level departďż˝ ments; among these are the Environmental Protection Agency, the Small Business -Administration, and the Veterans Administration. With rare exceptions, these indepen¬ +Administration, and the Veterans Administration. With rare exceptions, these indepenďż˝ dent agencies are directed by persons appointed by the president with the confirmation of the Senate. -Regulatory commissions, which are formed to regulate a particular area of the econ¬ +Regulatory commissions, which are formed to regulate a particular area of the econďż˝ omy, are structured quite differently. Typically, they are headed by a group of individuals (variously called directors, commissioners, or governors) appointed by the president and confirmed by the Senate. These persons are protected in various ways from removal by @@ -2864,11 +2041,11 @@ exceedingly difficult. (Note that not all regulatory bodies are located outside departments; for instance, the Food and Drug Administration is part of the Department of Health and Human Services.) -Public corporations are employed where the objective of the agency is essentially com¬ -mercial, where the work of the agency requires greater latitude in personnel and budget¬ +Public corporations are employed where the objective of the agency is essentially comďż˝ +mercial, where the work of the agency requires greater latitude in personnel and budgetďż˝ ing than would be typical, and where the agency will acquire at least a portion of its funding in the marketplace (Moe, 2001; Walsh, 1978). The Tennessee Valley Authority, -which has provided power in the Tennessee Valley for over fifty years, is a classic exam¬ +which has provided power in the Tennessee Valley for over fifty years, is a classic examďż˝ ple of a public corporation. Somewhat more recent additions to the growing list of government corporations include the U.S. Postal Service and the National Rail Passenger Corporation (AMTRAK), both established in 1970. (Periodically, there are questions @@ -2877,8 +2054,8 @@ organizations is constantly subject to question.) Agencies Supporting the Legislature and the Judiciary -Whereas both the legislative and judicial branches require considerable direct adminis¬ -trative support for their members (legislative staff, committee staff, court administra¬ +Whereas both the legislative and judicial branches require considerable direct adminisďż˝ +trative support for their members (legislative staff, committee staff, court administraďż˝ tors), there are also several specific agencies attached to the legislative branch that are of special significance. Among these, you are probably familiar with the Government Piinting Office and the Library of Congress. But, although less is known about the @@ -2888,20 +2065,20 @@ Piinting Office and the Library of Congress. But, although less is known about t Administrative Organizations and Executive Leadership 41 General Accounting Office (GAO), its duties have become increasingly important. -Established in 1921, the GAO is responsible for auditing funds to see that they are prop¬ -erly spent. In recent years, however, the agency’s mission has broadened to include +Established in 1921, the GAO is responsible for auditing funds to see that they are propďż˝ +erly spent. In recent years, however, the agencyďż˝s mission has broadened to include formal program evaluations within various agencies (Rourke, 1978). Finally, Congress is supported by the Office of Technology Assessment and the Congressional Budget Office, whose operations we will examine more carefully in Chapter 5. The State Level -The organization of state governments varies considerably, according to each state’s pol¬ -icy interests and political development; however, there is little question that state govern¬ +The organization of state governments varies considerably, according to each stateďż˝s polďż˝ +icy interests and political development; however, there is little question that state governďż˝ ment in this country is big business. One recent study compared the financial activity of -state governments with Fortune magazine’s ranking of the 500 largest industrial firms. -On this basis, the financial activity of California’s state government would rank fourth -between Wal-Mart and Exxon, while New York’s would be sixth, just above the General +state governments with Fortune magazineďż˝s ranking of the 500 largest industrial firms. +On this basis, the financial activity of Californiaďż˝s state government would rank fourth +between Wal-Mart and Exxon, while New Yorkďż˝s would be sixth, just above the General Electric Corporation. Even Delaware, a small state, would rank in the top 500 near such corporate well-knowns as OfficeMax and Estee Lauder. @@ -2909,17 +2086,17 @@ Recent efforts to decrease federal involvement in domestic policy have combined general growth in the range of activities undertaken at the state level to support a vast increase in state activity. Between 1980 and 1995, state government employment rose from 3.7 million to 4.7 million, with an even more dramatic rise in state expenditures. In 1996, -states also played a key role in the federal government’s move to reform the nation’s +states also played a key role in the federal governmentďż˝s move to reform the nationďż˝s welfare system, a reform agenda which has led to the devolution of many public assistance programs and a further expansion in the role of state government (Kettl, 2000). The organization and structure of state government in many ways mirrors that of the -national government, but there are some distinctive features. You should note, for exam¬ +national government, but there are some distinctive features. You should note, for examďż˝ ple, the large number of elected administrative officials in most state governments. In most states, the people elect not only the governor and lieutenant governor, but also the attorney general, the secretary of state, and the state treasurer. Many states still elect the head of the Department of Agriculture by popular vote, and it is not uncommon to have members of -various boards and commissions (e.g., the Public Service Commission) elected by the pub¬ +various boards and commissions (e.g., the Public Service Commission) elected by the pubďż˝ lic. These latter offices are filled at the federal level by presidential appointment. (The large number of elected officers at the state and local level is a carryover from a period in which democratic tendencies in this country were especially strong and it was felt that nearly all @@ -2929,11 +2106,11 @@ In addition, many state departments do not report directly to the governor, but to boards or commissions isolated from executive control in the same way as regulatory commissions at the federal level. For example, a Department of Conservation may report to a commission appointed by the governor for periods exceeding those of the governor -and, indeed, may have dedicated sources of revenue essentially outside the governor’s -budgetary control. Under such circumstances, the governor’s power as chief executive is +and, indeed, may have dedicated sources of revenue essentially outside the governorďż˝s +budgetary control. Under such circumstances, the governorďż˝s power as chief executive is severely limited. -Despite structural limitations on gubernatorial powers, contemporary governors exer¬ +Despite structural limitations on gubernatorial powers, contemporary governors exerďż˝ cise a broad range of political and executive influence that enable them to play a major, @@ -2946,23 +2123,23 @@ agenda mentioned previously. For example, Governors Thompson of Wisconsin and Engler of Michigan were instrumental in the framing of the 1996 federal welfare reform legislation, which built upon innovations at the state level (Katz, 2001). Most important, governors play a key symbolic role, helping to set the political agenda and to focus the -attention of other political and administrative actors on a limited number of special top¬ +attention of other political and administrative actors on a limited number of special topďż˝ ics. Many governors have accumulated special powers with respect to the budget process through which they are able to dramatically affect the allocation of state resources and to mediate policy disputes among executive agencies (Bowman & Kearney, 1986, p. 54). -Beyond these somewhat informal powers, the strength of the governor’s formal execu¬ +Beyond these somewhat informal powers, the strength of the governorďż˝s formal execuďż˝ tive powers is often gauged by three measures: the presence or absence of the item veto, the ability of the governor to reorganize state agencies, and the number of other elected officials. In all states but North Carolina, the governor (like the president) has the power to veto legislation. Most states also give the governor the power of an item veto (also -called line-item veto ), which is the capacity to veto specific items within an appropria¬ +called line-item veto ), which is the capacity to veto specific items within an appropriaďż˝ tions bill (as opposed to accepting all or nothing). The line-item veto is a helpful tool in -shaping legislation according to the governor’s preferences. (During his final term, +shaping legislation according to the governorďż˝s preferences. (During his final term, President Clinton, himself a former governor, supported passage of the line-item veto at the federal level. The federal provision, however, was ultimately invalidated by the Supreme Court in Clinton v. City of New York [1998].) The gubernatorial power to -reorganize is more limited. Roughly half the states require either statutory or even con¬ +reorganize is more limited. Roughly half the states require either statutory or even conďż˝ stitutional action to reorganize. Finally, as we have seen, nearly all states have a variety of statewide elected officials in addition to the governor and lieutenant governor. Indeed, most states have between four and eight agencies that are controlled by individuals @@ -2970,17 +2147,17 @@ elected statewide rather than appointed. Networking -For information about state governments, start with the Council of State govern¬ +For information about state governments, start with the Council of State governďż˝ ments: http://www.statesnews.org/. Then see the state and local gateway at http.//www.statelocal.gov/; the National Council of State Legislatures, http://www. ncsl.org/, and these two library-based sites: http://www.loc.gov/global/state/ stategov.html; and http://www.law.indiana.edu/v-lib/. -The growing importance of state government suggests that governors will likely con¬ -tinue to assert their executive leadership role and will seek greater control by reorganiz¬ +The growing importance of state government suggests that governors will likely conďż˝ +tinue to assert their executive leadership role and will seek greater control by reorganizďż˝ ing the executive branch. So far, however, relatively few structural moves have been made. However, some procedural changes have occurred; for example, many states have -moved in the direction of more clearly establishing the governor’s leading role in the +moved in the direction of more clearly establishing the governorďż˝s leading role in the budgetary process and establishing centralized management improvement programs. Although the organization of government varies considerably from state to state, @@ -2995,15 +2172,15 @@ such as the Department of Social Services, that largely administer programs fund the federal government. These agencies are likely to be assisted by a central management support unit, called an Office of Administration or some similar title, which provides budget, personnel, and other general services. As mentioned, if there is one trend in the -reorganization of state agencies, that trend would seem to be creation of a greater num¬ -ber of state departments devoted to economic development. In some cases, these depart¬ +reorganization of state agencies, that trend would seem to be creation of a greater numďż˝ +ber of state departments devoted to economic development. In some cases, these departďż˝ ments seek to coordinate many economic development activities; in others, there is a more specific focus on small business or on providing incentives for industrial location or relocation. The Local Level -According to the most recent data available, there are over 85 thousand local govern¬ +According to the most recent data available, there are over 85 thousand local governďż˝ ments (see Table 2.1). Many of these are municipalities, cities, and towns of varying sizes offering a full range of services; others are counties, typically more limited in their role but still embracing a variety of governmental functions; but most are special districts, @@ -3052,13 +2229,13 @@ and development of the budget, in the hands of the council. The power of the mayor as chief executive is obviously greater in the strong mayor system and, consequently, that system is used in most large industrial cities. At least in a formal sense, however, several large cities, including Chicago, still maintain a weak mayor -system, although even under such circumstances, a particular mayor may assert consider¬ +system, although even under such circumstances, a particular mayor may assert considerďż˝ able strength. The legendary Mayor Richard Daley of Chicago, for example, was able to utilize a well-oiled political machine to assert substantial administrative power. Though he operated in a weak-mayor system, Daley was unquestionably a strong mayor. One interesting recent variation on the mayor-council form is the use of a professionally -trained chief administrative officer (sometimes called a “deputy mayor”) to oversee the +trained chief administrative officer (sometimes called a ďż˝deputy mayorďż˝) to oversee the administrative operations of city government (e.g., Los Angeles, New Orleans, Washington, D.C.). We find this administrative arrangement in many big cities, where mayors are often more interested in campaigning and in working with external constituencies and like to @@ -3066,20 +2243,20 @@ have someone else oversee the internal management of the city. But city administ also being hired in an increasing number of smaller mayor-council communities as well, mostly in an effort to bring professional expertise to local government. -The council-manager form of local government is of special interest in that it repre¬ +The council-manager form of local government is of special interest in that it repreďż˝ sents a structural effort to solve the classic question of the relationship between politics (or policy) and administration. In this form, the city council, usually five to seven people, has responsibility for making policy, including passing appropriations and supervising in -a general way the administration of city government. The primary executive responsibil¬ +a general way the administration of city government. The primary executive responsibilďż˝ ity, however, lies with a full-time professionally trained city manager. The mayor has no involvement in the administration of the city and performs primarily ceremonial duties and legislation. In its classic formulation, therefore, the council-manager form is designed so that the council makes policy and the city manager carries it out. The council-manager plan was first tried in Staunton, Virginia, in 1908, and a few -years later was adopted in Dayton, Ohio, with great success. Several reform organiza¬ +years later was adopted in Dayton, Ohio, with great success. Several reform organizaďż˝ tions, such as the National Municipal League, felt the council-manager plan would be a -good way to insulate the management of city government from the vagaries of local poli¬ +good way to insulate the management of city government from the vagaries of local poliďż˝ tics and consequently added their endorsement. Networking @@ -3090,7 +2267,7 @@ also the Local Government Institute, http://www.lgi.org/, the Local Government Network, http://www.civic.net/lgnet, and the U.S. Conference of Mayors home page at http://www.usmayors.org/. -The number of council-manager governments has grown steadily throughout this cen¬ +The number of council-manager governments has grown steadily throughout this cenďż˝ tury and continues to increase. Today, some 42 percent of American communities employ the plan. Where the mayor-council system is associated with larger, industrialized, and @@ -3102,10 +2279,10 @@ heterogeneous cities, the council-manager plan is most frequently found in mediu cities. Over 60 percent of American cities with populations between 25,000 and 250,000 operate with the plan, and 32 percent of the cities with a population below 5,000 have adopted it. Although a number of large cities (such as Dallas, Kansas City, Phoenix, San -Antonio, and San Diego) use the plan, it is rare among cities over one million in popula¬ +Antonio, and San Diego) use the plan, it is rare among cities over one million in populaďż˝ tion. The council-manager form continues to grow, however, with the number of council- manager adoptions outrunning those of the mayor-council form by three to one over the -past twenty years. Those favoring the council-manager plan usually argue that it empha¬ +past twenty years. Those favoring the council-manager plan usually argue that it emphaďż˝ sizes professional expertise and administrative accountability; those favoring the mayor- council plan emphasize its adaptability and its responsiveness to community needs. @@ -3122,13 +2299,13 @@ Counties Counties (or variations, such as parishes in Louisiana) are found in nearly every state and range in population from very small to huge. Once considered the an unexplored area of local government, counties are emerging as important actors in the modern governmental -system. Counties have traditionally provided a range of services in behalf of state govern¬ +system. Counties have traditionally provided a range of services in behalf of state governďż˝ ment, a role that has expanded considerably in the past few years. In addition, counties have recently assumed a wide range of new services (such as mass transit, mental health, waste disposal, and police services) that, for one reason or another, cannot be offered by individual municipalities (Dodge, 1988, pp. 2-3). -The traditional form of county government has been a combination of a county com¬ +The traditional form of county government has been a combination of a county comďż˝ mission and a series of elected administrative officials, such as sheriff, auditor, treasurer, and so on. An emerging trend in county government, however, is the use of appointed county administrators, similar in many ways to the city manager at the municipal level. @@ -3142,7 +2319,7 @@ area one of the most interesting arenas for public service today. Native American Tribes -Native American tribes have had a special relationship with the United States govern¬ +Native American tribes have had a special relationship with the United States governďż˝ ment. This relationship was first articulated by Supreme Court Justice Marshall in three decisions between 1827 and 1832 known as the Marshall Trilogy. In these decisions Marshall acknowledged that Native Americans had inherent rights to possess and use @@ -3151,14 +2328,14 @@ Marshall acknowledged that Native Americans had inherent rights to possess and u Chapter 2 The Political Context of Public Administration -their land, and that they had sovereignty to run their own affairs.’ But even though they +their land, and that they had sovereignty to run their own affairs.ďż˝ But even though they were seen as nations, the tribes were not foreign nations. They could not sell their land -without the consent of the federal government. And the federal government had respon¬ +without the consent of the federal government. And the federal government had responďż˝ sibilities to protect Native American land from incursions from the states and others. Marshall described this relationship as similar to guardianship. -In the last 150 years this relationship has evolved. Influenced greatly by European set¬ -tlers’ desire to move westward, Congress made treaties, fought wars, and otherwise +In the last 150 years this relationship has evolved. Influenced greatly by European setďż˝ +tlersďż˝ desire to move westward, Congress made treaties, fought wars, and otherwise moved Native Americans out of the way of the western expansion. Despite these efforts to assimilate Indians into the dominant culture, many Native Americans have retained their heritage and maintained their tribal governance systems. Today, the Department of @@ -3179,7 +2356,7 @@ to the people. Nonprofit Organizations and Associations An increasingly significant set of institutions in the American system of public policy -falls between what we think of as the public sector and the private sector. These institu¬ +falls between what we think of as the public sector and the private sector. These instituďż˝ tions may be described as belonging to an independent or third sector of our economy. For the most part, independent-sector organizations do not have the distribution of profits to shareholders as one of their major objectives; they exist instead to meet the @@ -3189,11 +2366,11 @@ nonprofit organizations are defined as those prohibited by law from distributing revenues (profits) to individuals (typically, members). Such organizations may in fact make a profit; however, the profit must be used for the purposes of the organization. -Nonprofit organizations may include churches, educational institutions, civic organiza¬ +Nonprofit organizations may include churches, educational institutions, civic organizaďż˝ tions, schools and colleges, charitable organizations, social and recreational groups, health and human service organizations, membership organizations (including labor unions and fraternal organizations), conservation and environmental groups, mutual organizations -(including farmers’ cooperatives), trade associations, community chests, youth activities +(including farmersďż˝ cooperatives), trade associations, community chests, youth activities (such as Boy Scouts), community betterment organizations, advocacy groups of all kinds, and many others. Their numbers range into the millions, depending on how they are counted, and, as noted earlier, include some 23,000 national nonprofits, and more than @@ -3230,13 +2407,13 @@ Fan clubs 491 Total_22,901 SOURCE: From Encyclopedia of Associations, Carol A. Schwartz and Rebecca L. Turner, Eds., Vol. 1, 29th -edition, Gale Research Company, 1996. Copyright © 1996. Reprinted by permission of The Gale Group. +edition, Gale Research Company, 1996. Copyright ďż˝ 1996. Reprinted by permission of The Gale Group. Networking For information on nonprofit organizations, see the Alliance for Nonprofit Management at http://www.allianceonline.org and Compass Point Nonprofit -Services at http://www.supportcenter.org. See also the following sites for informa¬ +Services at http://www.supportcenter.org. See also the following sites for informaďż˝ tion on foundations: http://www.cof.org/ and http://www.foundations.org/. While private nonprofit organizations account for between 6 percent and 10 percent @@ -3251,27 +2428,27 @@ last twenty years, the third sector has been the fastest-growing segment of our Chapter 2 The Political Context of Public Administration -The importance of volunteering was highlighted 'in President Clinton’s Summit for -America’s Future, led by Colin Powell and held in Philadelphia in 1997. The summit +The importance of volunteering was highlighted 'in President Clintonďż˝s Summit for +Americaďż˝s Future, led by Colin Powell and held in Philadelphia in 1997. The summit called on all Americans to give of their time to serve others, but was especially oriented -toward involving young people in public service activities. Various youth service organi¬ +toward involving young people in public service activities. Various youth service organiďż˝ zations have pledged to involve more youth in service projects, perhaps doubling the number involved in service projects by the turn of the century. -During the past decade, nonprofit organizations have taken a leading role in the deliv¬ +During the past decade, nonprofit organizations have taken a leading role in the delivďż˝ ery of public services. As mentioned previously, change in the federal welfare system has led to the devolution of services to the state and local level (a trend we will explore -later), where networks of agencies, many of which are nonprofits, manage the implemen¬ +later), where networks of agencies, many of which are nonprofits, manage the implemenďż˝ tation of public programs (Light, 2000). The current system has been characterized as -an extended chain of implementation,” in which recipients of public support in some -cases will “not even encounter a government employee — federal state or local[.]” (Kettl, +an extended chain of implementation,ďż˝ in which recipients of public support in some +cases will ďż˝not even encounter a government employee ďż˝ federal state or local[.]ďż˝ (Kettl, 2000, pp. 492-493). Moreover, nonprofits have become active in other areas of service delivery, including hospitals, museums, colleges and universities, the performing arts, religion, advocacy, and research (Boris, 1999). Nonprofit organizations can be categorized in many ways, but perhaps most easily -according to their purposes and source of financial support. Some nonprofits are charita¬ +according to their purposes and source of financial support. Some nonprofits are charitaďż˝ ble or public benefit organizations, which provide services to the public at large or to some segment of the public. These organizations, such as social service organizations or art museums, may receive some funding from government and some from private @@ -3281,11 +2458,11 @@ that cause, or mutual benefit organizations, which produce benefits primarily fo members. The former would include groups like Common Cause and the Sierra Club; the latter would include trade associations, professional organizations, labor unions, and others that directly promote the interests of their own members. However, from these -examples, the line between the two is not completely clear. Finally, churches are obvi¬ +examples, the line between the two is not completely clear. Finally, churches are obviďż˝ ously charitable organizations, but are difficult to classify in the categories mentioned. Indeed, the entire independent sector is sometimes confusing to categorize. For one -thing, the distinctions among the three sectors are not clear, even to the point that a par¬ +thing, the distinctions among the three sectors are not clear, even to the point that a parďż˝ ticular individual might find the same service provided by one or more sectors. For example, you can play golf at a municipal course (public sector), a private driving range (private sector), or a country club (independent sector). Furthermore, the sources of @@ -3295,19 +2472,19 @@ commerce. The fact that nonprofit organizations are required to pursue a public interest is reflected in their legal structure (and tax-exempt status). Typically, so that the government -can feel that a public purpose is being carried out, there are requirements that the organi¬ +can feel that a public purpose is being carried out, there are requirements that the organiďż˝ zation be governed by a board of trustees (or directors or commissioners), the purpose of which, at least in legal terms, is to promote and to protect the public interest that is involved (Boris, 1999; Salamon, 1999). Such persons will also likely establish the mission -and operating policies, hire an executive director, and generally oversee fiscal and pro¬ +and operating policies, hire an executive director, and generally oversee fiscal and proďż˝ grammatic operations. The executive director is responsible for day-to-day operations Relationships with the Legislative Body 49 -and often becomes the organization’s chief spokesperson. Most nonprofit associations are -highly dependent on their executive director’s leadership. More and more, such persons +and often becomes the organizationďż˝s chief spokesperson. Most nonprofit associations are +highly dependent on their executive directorďż˝s leadership. More and more, such persons (and other major staff persons in nonprofit organizations) are coming from a background in public administration. @@ -3320,17 +2497,17 @@ the chief executive in state and local governments and in nonprofit organization associations. But though we tend to associate public agencies with the executive branch of government, there are numerous administrative bodies associated with the legislative and judicial branches. More importantly, wherever agencies are located, their role in the -policy process will be especially clear in their relationship with the legislature. In dis¬ +policy process will be especially clear in their relationship with the legislature. In disďż˝ cussing the relationship between public agencies and legislative bodies, we will focus much more directly on the policy process. The Policy Process -Before we examine the role of public and nonprofit organizations in developing public pol¬ +Before we examine the role of public and nonprofit organizations in developing public polďż˝ icy, we should review the process by which public policies are developed. We may think of the policy process as involving three stages: agenda setting, policy formulation, and policy implementation (see Box 2.2). Whereas public and nonprofit organizations are the primary -actors in implementing public policy (indeed, most of this book focuses on ways to effec¬ +actors in implementing public policy (indeed, most of this book focuses on ways to effecďż˝ tively carry out public policy), they are also significant players in the first two phases. BOX 2.2 @@ -3346,10 +2523,10 @@ c. Political action 3. Policy implementation SOURCE: Excerpts from pp. 196-208 from Agendas, Alternatives, and Public Policies, 2d ed. by John W. -Kingdon. Copyright © 1995 by HarperCollins College Publishers. Reprinted by permission of Pearson +Kingdon. Copyright ďż˝ 1995 by HarperCollins College Publishers. Reprinted by permission of Pearson Education, Inc. -IHIIIII ¦ilMMWMWWIIIIIBMIllllllllllllWI'llBirT'TIMlWBIIllllllllWillllllllllWIiWiMIllllWIlllllllMWI +IHIIIII ďż˝ilMMWMWWIIIIIBMIllllllllllllWI'llBirT'TIMlWBIIllllllllWillllllllllWIiWiMIllllWIlllllllMWI @@ -3360,7 +2537,7 @@ Agenda Setting Obviously, before policies are acted upon, they must get the attention of major decision makers. From among all the many and competing claims on their time and interests, -decision makers must select issues that will be given priority and those that will be fil¬ +decision makers must select issues that will be given priority and those that will be filďż˝ tered out. Through the agenda-setting phase, certain problems come to be viewed as needing action, while others are postponed. Naturally, there is a great deal of ebb and flow in what is considered most important. In the 1970s and 1980s, U.S. foreign policy @@ -3369,29 +2546,29 @@ the 1990s attention shifted to a variety of flash points such as Somalia and Bos Similarly, any particular issue area can gain or decline in prominence over time, as has the attention to energy policy over the past fifteen years. -Many people contribute to setting the public policy agenda. The president, for exam¬ -ple, has a special claim on the attention of the American people and their elected repre¬ +Many people contribute to setting the public policy agenda. The president, for examďż˝ +ple, has a special claim on the attention of the American people and their elected repreďż˝ sentatives; a presidential speech or press conference can significantly affect what decision makers see as important. But there are many others whose actions can give certain topics -greater or less visibility. Members of Congress, executive branch officials, political par¬ +greater or less visibility. Members of Congress, executive branch officials, political parďż˝ ties, interest groups, the media, and the general public can all significantly shape the question of what will be considered important. Think, for example, how concern for -teen pregnancy has been recently brought to public awareness. Who have been the lead¬ +teen pregnancy has been recently brought to public awareness. Who have been the leadďż˝ ers in shaping public opinion on this issue? The agenda-setting process may be viewed as the confluence of three streams of events: policy recognition, policy generation, and political action (Kingdon, 1995). The first, policy recognition, has to do with the way certain topics emerge as significant issues -that demand action. As you can well imagine, decision makers are subject to many influ¬ +that demand action. As you can well imagine, decision makers are subject to many influďż˝ ences in choosing what items are significant. They may respond to particular indicators -that come to public view, such as an increase in air traffic problems or a rise in unem¬ +that come to public view, such as an increase in air traffic problems or a rise in unemďż˝ ployment, or they may get feedback on current programs that indicates some need to reassess the status of a particular issue. Finally, some items are brought to the policy -agenda by events that simply demand attention, such as starvation in Africa or the dam¬ +agenda by events that simply demand attention, such as starvation in Africa or the damďż˝ age brought about by hurricanes or other natural disasters. There are many ways people try to affect the degree of attention given to particular -items. Sometimes called policy entrepreneurs, many people are willing to invest per¬ +items. Sometimes called policy entrepreneurs, many people are willing to invest perďż˝ sonal time, energy, and often money in pursuit of particular policy changes. They use a variety of tactics, such as publicity campaigns, direct contacts with decision makers (letters, phone calls), petition drives, and many others, or they involve themselves in @@ -3429,15 +2606,15 @@ that are favored by the incumbent administration and legislative majority, and t have interest group support (or at least lack organized opposition) are more likely to reach the top of the agenda. These political realities, the proposed ideas or solutions, and the recognition of particular topics represent streams that must come together at just the -right moment for action to occur. The windows of opportunity for policy action are nar¬ -row, and it takes great skill in managing the various streams so that one’s interests are +right moment for action to occur. The windows of opportunity for policy action are narďż˝ +row, and it takes great skill in managing the various streams so that oneďż˝s interests are best served. Policy Formulation -Formulation of public policy involves development of formal policy statements (legisla¬ +Formulation of public policy involves development of formal policy statements (legislaďż˝ tion, executive orders, administrative rules, etc.) that are viewed as legitimate. Again, we -will focus here on policy making by the legislature and on the role of public administra¬ +will focus here on policy making by the legislature and on the role of public administraďż˝ tors in the legislative process. The basics of how a bill becomes law are well known. At the federal level and in most state governments, a bill is introduced and referred to a committee (and perhaps a subcommittee), hearings are held, the committee reports to @@ -3448,11 +2625,11 @@ case, the complexity of the legislative process, and the fact that many differen points must be passed before anything is final, means there are many occasions when those seeking to shape legislative outcomes can seek to exert their influence. -The president, of course, has both formal and informal means of influencing legisla¬ -tion, most notably through program initiatives and budget proposals. Others in the gov¬ +The president, of course, has both formal and informal means of influencing legislaďż˝ +tion, most notably through program initiatives and budget proposals. Others in the govďż˝ ernment, including many agency personnel, interact with Congress on a regular basis and -may also affect policy outcomes. At the same time, those outside the government—from -individual citizens to well-organized interest groups—also seek access and influence. +may also affect policy outcomes. At the same time, those outside the governmentďż˝from +individual citizens to well-organized interest groupsďż˝also seek access and influence. Agency personnel become involved in the legislative process in several ways. In many cases, agencies actually send program proposals to the legislature for its consideration. @@ -3465,42 +2642,42 @@ to the appropriate committee chairs. Though a member of Congress will actually b one to introduce the proposed legislation, that person may depend on those in the agency for background information and other support. Whether or not legislation has been submitted by an agency, agency personnel will often be called upon to provide testimony -regarding particular proposals. As you might imagine, those who staff major public agen¬ +regarding particular proposals. As you might imagine, those who staff major public agenďż˝ cies constitute an important source of expertise concerning public issues. For example, it is hard to imagine a group of people better able to understand the tax laws of a particular state than those who work in the state revenue department. Over time, the relationship between agency personnel and representatives of Congress -(either members or staff) can become quite strong. After all, the two groups share com¬ -mon interests and concerns, along with representatives of certain interest groups. A sub¬ -committee on aging, a senior citizen’s lobbying organization, and the Social Security +(either members or staff) can become quite strong. After all, the two groups share comďż˝ +mon interests and concerns, along with representatives of certain interest groups. A subďż˝ +committee on aging, a senior citizenďż˝s lobbying organization, and the Social Security Administration, for example, are likely to agree on the need for more Social Security -benefits. When the relationship among such interest groups, agency personnel, and mem¬ +benefits. When the relationship among such interest groups, agency personnel, and memďż˝ bers of Congress becomes especially frequent and intense, the resulting alliances are sometimes called subgovernments or iron triangles. These coalitions can often exert great, possibly even unwarranted, influence. You should be aware of some of the special considerations facing public administrators at the local level and in nonprofit organizations as they are called upon for advice and help -during the process of policy development. As noted, the council-manager form of govern¬ -ment was actually founded on a separation of policy and administration—the council +during the process of policy development. As noted, the council-manager form of governďż˝ +ment was actually founded on a separation of policy and administrationďż˝the council made policy and the city manager carried it out. Over time, however, many city managers -have become valued by their councils for their expertise in local government and fre¬ +have become valued by their councils for their expertise in local government and freďż˝ quently find themselves commenting on or even proposing particular policies. While this situation is quite at odds with the theory underlying council-manager government, it is the -reality in most council-manager cities. The same is true of executives in nonprofit organi¬ -zations and associations. Such situations are not without risk, however, for a delicate bal¬ +reality in most council-manager cities. The same is true of executives in nonprofit organiďż˝ +zations and associations. Such situations are not without risk, however, for a delicate balďż˝ ance must be maintained between the executive and legislative functions. Council or board members who feel that their policy-making territory has been intruded upon may exercise -another of their council prerogatives—firing the manager or executive! +another of their council prerogativesďż˝firing the manager or executive! Policy Implementation -Members of public and nonprofit organizations play important roles in building the pol¬ +Members of public and nonprofit organizations play important roles in building the polďż˝ icy agenda and shaping legislative policy, but they are also involved in policy making as part of the implementation process. By its very nature, legislation is general and lacking in detail. Legislators cannot foresee all the individual questions that might come up in -implementing a program. Moreover, legislators don’t want to tie the hands of program +implementing a program. Moreover, legislators donďż˝t want to tie the hands of program managers by being too restrictive. Consequently, legislation typically leaves a great deal of discretion to public managers in working out the details of a particular program. The Federal Trade Commission (FTC), for example, is instructed to prevent deceptive @@ -3512,16 +2689,16 @@ Administration (OSHA) is asked to define and set safety standards for the workpl Relationships with the Legislative Body 53 but must define more clearly what that means (Meier, 1987, p. 52). In these and many -other cases, managers develop administrative rules or policies to give detail to the legisla¬ +other cases, managers develop administrative rules or policies to give detail to the legislaďż˝ tion or to fill in the gaps and, in effect, they make policy. -An early case involving the Environmental Protection Agency (EPA) illustrates the lat¬ +An early case involving the Environmental Protection Agency (EPA) illustrates the latďż˝ itude administrators are often given by Congress (and other legislative bodies) and the difficulties they can cause (Reich, 1985). The EPA is required by law to develop national -standards limiting the emission of hazardous air pollutants so as to provide an “ample -margin of safety” to protect the public health. But there is no definition in the legislation +standards limiting the emission of hazardous air pollutants so as to provide an ďż˝ample +margin of safetyďż˝ to protect the public health. But there is no definition in the legislation of ample. This question was especially problematic in the case of a copper smelter in -Tacoma, Washington. The EPA determined that, in the absence of any controls on emis¬ +Tacoma, Washington. The EPA determined that, in the absence of any controls on emisďż˝ sions of arsenic from the plant, four new cases of cancer each year could be expected. Even with the very best control equipment, there would still be one new case each year. On the other hand, requiring actions to eliminate the threat would cost the company so @@ -3532,29 +2709,29 @@ what he did.) There have been several recent debates concerning the amount of discretion given to administrative agencies. Some analysts argue that broad grants of discretion amount to -an abdication of legislative power; others point to the advantages of expertise and flexi¬ +an abdication of legislative power; others point to the advantages of expertise and flexiďż˝ bility residing in the agencies or with the executive. Currently, the trend appears to be in the direction of greater detail in federal legislation, though occasionally less so at other -levels. In any case, there inevitably remain many opportunities for the exercise of admin¬ +levels. In any case, there inevitably remain many opportunities for the exercise of adminďż˝ istrative discretion. Types of Policy The government develops and carries out several different types of policies, and the involvement of public and nonprofit organizations in the policy process varies somewhat -according to type. We will examine four types of policy: regulatory, distributive, redis¬ +according to type. We will examine four types of policy: regulatory, distributive, redisďż˝ tributive, and constituent (Meier, 1987). These classifications are not precise, however, and indeed, many agencies work in several different areas at the same time. Regulatory policy is designed to limit the actions of persons or groups so as to protect the general public or a substantial portion of the public. For example, people are prohibited -from selling certain drugs, polluting the air and water, and engaging in monopolistic busi¬ +from selling certain drugs, polluting the air and water, and engaging in monopolistic busiďż˝ ness practices. One form of regulation simply focuses on illegal criminal activity; it is a crime to do certain things. State and local governments have special responsibilities in this area, and certain federal agencies, such as the Drug Enforcement Administration, are active here as well. Another form of regulation focuses on American business and seeks to assure fair and competitive practices. Indeed, the first major regulatory effort in this country came -in 1887, when the federal government created the Interstate Commerce Commission to reg¬ +in 1887, when the federal government created the Interstate Commerce Commission to regďż˝ ulate the railroads. Similar regulatory agencies today monitor securities (Securities and Exchange Commission), commodity exchanges (Commodity Futures Trading Association), and labor relations (National Labor Relations Board), among others. @@ -3568,13 +2745,13 @@ available to the public generally, such as the airwaves (regulated by the Federa Communications Commission) or clean air and water (regulated by the Environmental Protection Agency). Other regulatory bodies focus on protecting health and safety, in such areas as consumer protection (Consumer Product Safety Commission), air travel -(Federal Aviation Administration), food (Food and Drug Administration), and work¬ +(Federal Aviation Administration), food (Food and Drug Administration), and workďż˝ place safety (the Occupational Safety and Health Administration). While federal regulation of economic activities has seen several waves of growth through the past century (Ripley & Franklin, 1987), the last two decades have seen somewhat of a movement in the opposite direction. Fate in the Carter administration -and extending through the Reagan administration, there were several efforts to deregu¬ +and extending through the Reagan administration, there were several efforts to dereguďż˝ late certain industries. The Civil Aviation Board was disbanded in 1984, and over the following decade significant areas of transportation, telecommunications, and banking were deregulated. Moreover, regulations were eliminated or enforcement slowed down @@ -3583,21 +2760,21 @@ in areas such as the workplace, auto, and consumer products safety. During the 1990s, however, even as other federal agencies relaxed their regulatory grip, the Food and Drug Administration (FDA) attempted to expand its jurisdiction to include one of the largest industries in the country, and certainly the industry with the -most profound impact on public health—tobacco. Under Commissioner David Kessler, -the FDA tried to establish nicotine as a drug, a move that would have given federal regu¬ +most profound impact on public healthďż˝tobacco. Under Commissioner David Kessler, +the FDA tried to establish nicotine as a drug, a move that would have given federal reguďż˝ lators the power to control cigarettes and other tobacco products. Tobacco companies quickly challenged, and in FDA v. Brown & Williamson Tobacco Corporation et al. -(2000) the Supreme Court ruled against the federal government. Justice O’Connor, in -her summary of the majority opinion, wrote that although smoking should be consid¬ +(2000) the Supreme Court ruled against the federal government. Justice Oďż˝Connor, in +her summary of the majority opinion, wrote that although smoking should be considďż˝ ered one of the most troubling public health problems facing our nation today . . . the -FDA’s assertion of jurisdiction is impermissible” (cited in Kessler, 2001, p. 384). +FDAďż˝s assertion of jurisdiction is impermissibleďż˝ (cited in Kessler, 2001, p. 384). Distributive policy, perhaps the most common form of government policy, uses general -tax revenues to provide benefits to individuals or groups, often by means of grants or sub¬ -sidies. If the country faces a large agricultural surplus, for example, the federal govern¬ +tax revenues to provide benefits to individuals or groups, often by means of grants or subďż˝ +sidies. If the country faces a large agricultural surplus, for example, the federal governďż˝ ment may provide incentive payments to farmers not to produce crops that would add to the surplus. Similarly, the federal government provides direct grants to state and local -governments for a variety of purposes. Finally, governments often create “public goods” +governments for a variety of purposes. Finally, governments often create ďż˝public goodsďż˝ that all citizens can enjoy. In some cases, such as national defense, the good is provided for all; in others, such as city, state, or national parks, it is anticipated that some citizens will use the benefit and others will not. (In Chapter 3, we will examine the growing trend @@ -3606,12 +2783,12 @@ toward employing user fees for certain of these traditionally public goods.) Unlike regulatory agencies that are often at odds with a clientele group they are seeking to regulate, agencies that carry out distributive policies often develop close relationships with their constituencies and, in turn, with interested members of Congress. The growth of -veterans’ benefits over the past several decades is an almost classic example of the opera¬ +veteransďż˝ benefits over the past several decades is an almost classic example of the operaďż˝ tion of such a subgovernment. The Veterans Administration (VA) is now one of the largest -federal agencies and provides a broad range of health benefits, educational assistance, pen¬ -sions, and insurance for veterans. Such a development would not have been possible with¬ -out the VA’s close relationship with veterans’ groups (such as the American Region and the -Veterans of Foreign Wars) and with the veterans’ committees in Congress. +federal agencies and provides a broad range of health benefits, educational assistance, penďż˝ +sions, and insurance for veterans. Such a development would not have been possible withďż˝ +out the VAďż˝s close relationship with veteransďż˝ groups (such as the American Region and the +Veterans of Foreign Wars) and with the veteransďż˝ committees in Congress. @@ -3629,15 +2806,15 @@ active in the redistributive area, such as the Social Security Administration or Human Development, are located in the Department of Health and Human Services. Since redistributive policies are often (though sometimes incorrectly) viewed in win-lose -terms—that is, if one group benefits, another will surely lose—they generate perhaps +termsďż˝that is, if one group benefits, another will surely loseďż˝they generate perhaps more intense discussion than any other area of public policy. Despite this controversy, every American president since Roosevelt and prior to Reagan has supported some major redistributive efforts. Presidents Reagan and Bush, however, took the opposite position, -seeking to limit and even reduce redistributive programs. The reform agenda also influ¬ -enced President Clinton, whose pledge to “end welfare as we know it” resulted in legisla¬ +seeking to limit and even reduce redistributive programs. The reform agenda also influďż˝ +enced President Clinton, whose pledge to ďż˝end welfare as we know itďż˝ resulted in legislaďż˝ tion placing a five-year cap on public assistance and tying welfare benefits to a work requirement. And, within the first six months of his term, President George W. Bush -showed his administration’s commitment to continuing this trend by advancing a $1.3 tril¬ +showed his administrationďż˝s commitment to continuing this trend by advancing a $1.3 trilďż˝ lion tax cut and encouraging Congress to trim federal spending. Constituent policies (Lowi, 1972, p. 300) are intended to benefit the public generally @@ -3646,35 +2823,35 @@ set of constituent policies, as well as good examples of the operations of a sig subgovernment. The Air Force had lobbied since the 1960s to build the B-l bomber as a mainstay of our air defense. In 1978, President Carter was able to kill plans to build the B-l; however, only three years later, a combination of Defense Department officials, -representatives from the defense industry (especially contractors), and congressional sup¬ +representatives from the defense industry (especially contractors), and congressional supďż˝ porters of increased military capabilities helped President Reagan resurrect the B-l. (Incidentally, even though today more than a hundred B-l bombers have been built and are in service, the B-l remains controversial.) -The other set of constituent policies are those directed toward the agencies of govern¬ +The other set of constituent policies are those directed toward the agencies of governďż˝ ment itself. Legislation affecting the structure and function of government agencies, as -well as policies governing their operations, falls in this area. President Carter was espe¬ +well as policies governing their operations, falls in this area. President Carter was espeďż˝ cially interested in policies impacting government agencies and was instrumental in such -changes as a reorganization of the federal personnel system and a reemphasis on affirma¬ -tive action in hiring practices. Presidents Reagan and Bush were more interested in mat¬ +changes as a reorganization of the federal personnel system and a reemphasis on affirmaďż˝ +tive action in hiring practices. Presidents Reagan and Bush were more interested in matďż˝ ters of technical efficiency and problems of waste in government. President Clinton, early -in his term, expressed an interest in managerial issues, pledging to implement some ver¬ +in his term, expressed an interest in managerial issues, pledging to implement some verďż˝ sion of Total Quality Management in the federal government, as he had done in Arkansas. And as mentioned previously, President Clinton, later in his tenure, and assisted in significant measure by Vice President Gore, developed the National Performance Review, an effort to make government work better and cost less (and a topic we will examine in detail later). More recently, President George W. Bush has rejuvenated -the Reagan-Bush drive for technical efficiency. In an article titled, “Trying to Run a +the Reagan-Bush drive for technical efficiency. In an article titled, ďż˝Trying to Run a 5 6 Chapter 2 The Political Context of Public Administration -Country Like a Corporation,” the New York Times characterized President Bush, the first -president with an MBA, as “the chairman of the board of the world’s biggest conglomer¬ -ate . . . They said his administration would apply business discipline to a bloated govern¬ -ment. And cabinet sessions do look a lot like the Business Roundtable[.J” (Sanger, 2001, -p. 1). Led by a cabinet of former C.E.O.s, the Bush administration has placed an empha¬ +Country Like a Corporation,ďż˝ the New York Times characterized President Bush, the first +president with an MBA, as ďż˝the chairman of the board of the worldďż˝s biggest conglomerďż˝ +ate . . . They said his administration would apply business discipline to a bloated governďż˝ +ment. And cabinet sessions do look a lot like the Business Roundtable[.Jďż˝ (Sanger, 2001, +p. 1). Led by a cabinet of former C.E.O.s, the Bush administration has placed an emphaďż˝ sis on developing more efficient, business-like practices of government. Sources of Bureaucratic Power @@ -3684,7 +2861,7 @@ process. First, those who staff the agencies constitute an enormous source of ex with respect to their areas of interest. No president, governor, mayor, or legislator could ever be expected to gain comparable expertise in all areas. Consequently, to make informed decisions, elected officials must often rely on those in the various agencies. It is -often said that information is power; the information that is stored in government agen¬ +often said that information is power; the information that is stored in government agenďż˝ cies is a distinct source of power. Second, as noted earlier, legislation is often both inevitably and intentionally vague, @@ -3701,21 +2878,21 @@ changing policies, and it is not always possible to wait for new laws to be pass lowering the supply of agricultural products. Following shortages in the 1970s, the department sought increased production (Anderson, Brady, & Bullock, 1984). In the 1980s, the policy once again became one of limiting production. Flexibility is also -needed as new information is discovered. For example, a few years ago, the surgeon gen¬ +needed as new information is discovered. For example, a few years ago, the surgeon genďż˝ eral sent a brochure to all households in the country outlining the latest information about AIDS, an action not mandated by Congress but, in the judgment of the surgeon general, required by emerging events. Through their expertise and discretionary power, those in public agencies help shape -public policy. But there are more active and more political ways in which certain agen¬ +public policy. But there are more active and more political ways in which certain agenďż˝ cies become involved in the policy process. Whereas all agencies participate in making policy at some level, some agencies clearly are more politically adept than others. The -Defense Department and the Veterans Administration, for example, both wield consider¬ +Defense Department and the Veterans Administration, for example, both wield considerďż˝ able power, whereas the Government Printing Office has little. The power, influence, and, in turn, the resources an agency is able to generate depend on several factors, some external to the agency, some internal (Meier, 1987, pp. 54-72). -Obviously, shifts in public opinion concerning the agency’s task are likely to affect the +Obviously, shifts in public opinion concerning the agencyďż˝s task are likely to affect the support the agency receives. The National Aeronautics and Space Administration has experienced wide variations in public support over the years, riding a crest of popularity @@ -3727,11 +2904,11 @@ with the first lunar landing, but later coming under special scrutiny in the wak Challenger disaster. More recently, the agency has been fighting desperately to maintain projects such as the space station in the light of proposed budget cuts. Not surprisingly, there seems to be a close correlation between favorable public opinion concerning an -agency’s area of interest and the support it receives from Congress. +agencyďż˝s area of interest and the support it receives from Congress. More specific support comes from clientele groups, members of the legislature, and others in the executive branch. We have already noted the support certain agencies -receive from clientele groups who benefit from the agencies’ actions. Obviously, the +receive from clientele groups who benefit from the agenciesďż˝ actions. Obviously, the larger and more powerful the supporters of the agency, the more powerful the agency is likely to be. But agencies also develop opposition, which can be damaging to the agencies' programs. The Environmental Protection Agency, for example, interacts with @@ -3741,10 +2918,10 @@ Federation; the EPA is likely to receive support from some groups and opposition others. Special support can also come from individual members of the legislature who -decide, for whatever reason, to champion an agency’s cause. Rep. Claude Pepper of +decide, for whatever reason, to champion an agencyďż˝s cause. Rep. Claude Pepper of Florida, for instance, became associated with improved benefits for older Americans and, in that role, worked closely with the Social Security Administration and related -social welfare agencies. As we have seen, the combination of congressional and clien¬ +social welfare agencies. As we have seen, the combination of congressional and clienďż˝ tele support can lead to the development of subgovernments within particular policy areas. These subgovernments come about, in part, because each group has something to give and something to gain from the relationship. The agency can provide quick and @@ -3752,21 +2929,21 @@ favorable responses to congressional requests for help as well as rulings favora to clientele groups. In return, the agency might receive support for expansion of its budget and programs. -Support may also come from other members of the executive branch. Presidential sup¬ +Support may also come from other members of the executive branch. Presidential supďż˝ port is obviously important, whether it is diffuse support of the general area of an -agency’s work or specific, as in a president’s support for AIDS research, increased drug +agencyďż˝s work or specific, as in a presidentďż˝s support for AIDS research, increased drug enforcement, or a particular new weapons system. But agencies are also attentive to their -relationships with other agencies. The development of a new state park may raise envi¬ +relationships with other agencies. The development of a new state park may raise enviďż˝ ronmental issues, economic development issues, and health issues. The Parks Department -will clearly fare better if all the relevant groups and agencies are “on board.” +will clearly fare better if all the relevant groups and agencies are ďż˝on board.ďż˝ -For nonprofit organizations, the capacity to influence public policy tends to be lim¬ +For nonprofit organizations, the capacity to influence public policy tends to be limďż˝ ited as much by informal as formal mandates. Although federal law does set guidelines for the use of public and charitable resources for lobbying purposes, some nonprofit -leaders assume that these limitations prevent them from representing their con¬ -stituents’ interests in policy decision-making. Or, they refrain from taking a stand on +leaders assume that these limitations prevent them from representing their conďż˝ +stituentsďż˝ interests in policy decision-making. Or, they refrain from taking a stand on issues, so as not to isolate themselves from opposing parties. Philanthropy groups, -such as the Independent Sector with its Charity Fobbying in the Public Interest initia¬ +such as the Independent Sector with its Charity Fobbying in the Public Interest initiaďż˝ tive, have launched campaigns to encourage nonprofit leaders to be more proactive in their lobbying and to expand the advocacy role of nonprofits in the public policy process. The Internal Revenue Service has assisted in this effort by making available @@ -3780,7 +2957,7 @@ map their lobbying strategies. Networking For information on the advocacy role of nonprofit organizations, see http://www. -independentsector.org. A copy of the Nonprofit Lobbying Guide can be down¬ +independentsector.org. A copy of the Nonprofit Lobbying Guide can be downďż˝ loaded at http://www.independentsector.org/clpi/IS_LOBBY.pdf. For the IRS guidelines, see http://www. independentsector.org/clpi/IRS_Letter.htm. @@ -3811,15 +2988,15 @@ The power of particular agencies, therefore, is the result of interaction betwee agency and its environment, a process to which the agency brings certain strengths, but must also exercise considerable skill to reach its goals. The external support an agency can generate and the internal combination of its knowledge, cohesion, and leadership -affect the amount of power and influence it can command. ^J7hatever an agency’s degree +affect the amount of power and influence it can command. ^J7hatever an agencyďż˝s degree of power and influence, however, that power and influence must be exercised judiciously. The agency is a creation of the legislature, and its programs are always subject to the -legislature’s review, alteration, and even termination. +legislatureďż˝s review, alteration, and even termination. Legislative Supervision: Structural Controls Most governmental programs (and the agencies that administer them) first take shape in -the legislative process. In response to public demands and perhaps also executive leader¬ +the legislative process. In response to public demands and perhaps also executive leaderďż˝ ship, the Congress or a state legislature or a city council or a board of directors passes legislation or policies to correct a particular problem. The problems vary widely, from federal environmental policy to state education requirements to local trash collection @@ -3828,10 +3005,10 @@ federal environmental policy to state education requirements to local trash coll Relationships with the Legislative Body 59 -practices to the establishment of local health centers, but in most cases legislation autho¬ +practices to the establishment of local health centers, but in most cases legislation authoďż˝ rizes the program. Typically, especially in larger jurisdictions, money to operate the program is separately authorized through an appropriations process. With a program -authorized and money appropriated, the building (or expansion) of a public organiza¬ +authorized and money appropriated, the building (or expansion) of a public organizaďż˝ tion can commence. Networking @@ -3843,7 +3020,7 @@ for the House; and U.S. http://www.senate.gov/ for the Senate. Legislation is, however, somewhat limited as a device for controlling the day-to-day activities of public organizations, especially at the federal and state levels. (Remember that legislation is usually intentionally vague at some points.) But legislation can be used as -a control device. After a program is under way, legislation may be passed to prevent mem¬ +a control device. After a program is under way, legislation may be passed to prevent memďż˝ bers of the executive branch from taking certain actions (Meier, 1987, pp. 140-141). For example, the Boland Amendment sought to prevent covert action in support of the Contras in Nicaragua in the mid-1980s. Whereas legislation authorizing programs must @@ -3865,11 +3042,11 @@ be used in many other areas, most notably in the War Powers Resolution of 1973, required the president to notify Congress of military action and to cease such action within sixty days unless Congress acts to continue it. -The effect of a legislative veto provision on a public agency is illustrated in the experi¬ +The effect of a legislative veto provision on a public agency is illustrated in the experiďż˝ ence of the Federal Trade Commission in the late 1970s and early 1980s. An aggressive consumer protection effort by the FTC in the late 1970s was countered by business groups in Congress, which successfully passed legislation to the effect that Congress could -disapprove any FTC rules it didn’t like. Congress used that provision in 1982 to disap¬ +disapprove any FTC rules it didnďż˝t like. Congress used that provision in 1982 to disapďż˝ prove an FTC rule, which had been developed over a ten-year period, requiring used-car dealers to disclose defects in cars they sold (Ripley & Franklin, 1987, pp. 141-142). In a similar case that found its way to the Supreme Court as Immigration and @@ -3878,16 +3055,16 @@ In a similar case that found its way to the Supreme Court as Immigration and 6o Chapter 2 The Political Context of Public Administration -Naturalization Services v. Chadba (1983), the Court ruled the legislative veto unconstitu¬ -tional. The Court’s argument was that the constitutional process for passing legislation +Naturalization Services v. Chadba (1983), the Court ruled the legislative veto unconstituďż˝ +tional. The Courtďż˝s argument was that the constitutional process for passing legislation requires the involvement of the president, and actions under a legislative veto provision violate the separation of powers by failing to involve the executive. -Despite the unconstitutionality of the legislative veto, the interest of Congress in con¬ +Despite the unconstitutionality of the legislative veto, the interest of Congress in conďż˝ trolling the work of administrative agencies has not diminished. Indeed, Congress has found a variety of ways to get around the Chadba ruling, either informally, or by adding -detailed rules to legislative authorizations, or by simply continuing to include veto provi¬ -sions in legislation despite the court’s ruling. More recently, Congress in 1996 approved +detailed rules to legislative authorizations, or by simply continuing to include veto proviďż˝ +sions in legislation despite the courtďż˝s ruling. More recently, Congress in 1996 approved a legislative review process that, while providing a veto alternative, would not be open to the types of legal challenges that limited previous procedures (Cooper, 2000, p. 172). @@ -3904,21 +3081,21 @@ Sunset Laws To assess the performance of agencies and to eliminate those that are not successful, another control device that legislatures employ is the sunset law. Sunset laws are based on the assumption that certain governmental programs should continue only after an -evaluation of the program’s effectiveness and a specific vote in their favor by the legisla¬ +evaluation of the programďż˝s effectiveness and a specific vote in their favor by the legislaďż˝ ture. The legislation includes a provision that these programs will be terminated within a given time frame. A classic case on the problem of program continuation is the military -commissary system, which was created to provide foodstuffs to the cavalry on the west¬ -ern plains in the 1800s. The program continues today, although nearly all military com¬ +commissary system, which was created to provide foodstuffs to the cavalry on the westďż˝ +ern plains in the 1800s. The program continues today, although nearly all military comďż˝ missaries are within ten miles of two or more supermarkets! Sunset laws became popular in the late 1970s and early 1980s, after the state of -Colorado, at the urging of Common Cause, passed a set of laws requiring that certain regu¬ +Colorado, at the urging of Common Cause, passed a set of laws requiring that certain reguďż˝ latory agencies be terminated at a given point unless given new life by the legislature. Soon -dozens of other states and many municipalities passed general sunset laws, applying termi¬ +dozens of other states and many municipalities passed general sunset laws, applying termiďż˝ nation dates to a set of programs, or included sunset provisions in legislation creating new programs. Proposals containing sunset provisions were also presented at the federal level. -The purpose of specifying a particular life span for a program is to force careful eval¬ +The purpose of specifying a particular life span for a program is to force careful evalďż˝ uation of the program at some future point. Critics of automatic terminations point out several problems, not the least of which is the cost of evaluations and the burden to the legislature and legislative staff if all programs were periodically evaluated in great detail. @@ -3933,15 +3110,15 @@ often eliminated even without sunset provisions. Relationships with the Legislative Body 61 The debate over sunset provisions was fueled once again in 2001, as Congress acted -to phase in key elements of the Bush administration’s $1.3 trillion tax cut over a ten-year +to phase in key elements of the Bush administrationďż˝s $1.3 trillion tax cut over a ten-year period, but then established a sunset deadline for the end of the tenth year. Critics of the legislation viewed this as a political remedy, one that would carry serious economic implications if the then-sitting Congress failed to reinstate the tax measures. As the -New York Times reported, “Most striking, all the tax cuts that became law today will +New York Times reported, ďż˝Most striking, all the tax cuts that became law today will expire on Dec. 31, 2010, and unless they are renewed, the tax law will revert to what it -was this morning, before the president signed the new law. No one expects that to hap¬ +was this morning, before the president signed the new law. No one expects that to hapďż˝ pen, but if it did, it would mean a sudden huge tax increase that could have disastrous -economic consequences” (Rosenbaum, 2001, p. Al). +economic consequencesďż˝ (Rosenbaum, 2001, p. Al). A final mechanism through which legislative bodies formally exert control over administrative agencies is passage of broad legislation to govern agency conduct. Such @@ -3954,7 +3131,7 @@ there was good cause to hold secret. As you can imagine, it was not difficult to with all kinds of good causes or reasons to withhold records. The practice of keeping secrets became so widespread that one congressional investigating group found that the Pentagon had classified as secret the construction of the bow and arrow and the fact that -water runs downhill! Similarly, the General Services Administration had decided pho¬ +water runs downhill! Similarly, the General Services Administration had decided phoďż˝ tographs could not be taken in federal buildings without permission of the janitor (Archibald, 1979, p. 314). @@ -3984,31 +3161,31 @@ exploded some seven years earlier. 62. Chapter 2 The Political Context of Public Administration -Florida’s Government-in-the-Sunshine Law provides the public a right of access to +Floridaďż˝s Government-in-the-Sunshine Law provides the public a right of access to governmental proceedings at the state, county, and municipal levels, as well as other political subdivisions such as authorities and special districts. This law requires that any gathering of two or more members of any board or commission be subject to the requirements of the Sunshine Law if they discuss any matter that will, in the foreseeable future, come before that board for action. The three basic requirements of the law are: (1) meetings must be open to the public, (2) reasonable notice of such meetings must be -given, and (3) minutes of the meetings must be taken. In effect, the law prohibits mem¬ +given, and (3) minutes of the meetings must be taken. In effect, the law prohibits memďż˝ bers of any board or commission from having informal or casual discussions of board business outside an open public meeting for which reasonable notice was given. -All fifty states now have “sunshine” provisions for their own legislative bodies, for +All fifty states now have ďż˝sunshineďż˝ provisions for their own legislative bodies, for administrative agencies, and for local governments. In all these cases, the legislative -body, in expressing its concern for the public’s right to be informed about the public’s +body, in expressing its concern for the publicďż˝s right to be informed about the publicďż˝s business, has exercised control over a broad range of administrative agencies. Legislative Supervision: Oversight -In addition to the structural mechanisms for legislative control, the legislature also exer¬ -cises continuing supervision of administrative agencies through what is called the over¬ +In addition to the structural mechanisms for legislative control, the legislature also exerďż˝ +cises continuing supervision of administrative agencies through what is called the overďż˝ sight function. Each house of Congress has a government operations committee charged with overseeing the activities of all government agencies, including their relationships with other levels of government. In addition, each of the other congressional committees -exercises oversight responsibility with respect to its particular area of interest and exper¬ -tise (e.g., defense, welfare, the post office). Oversight is especially connected to the leg¬ +exercises oversight responsibility with respect to its particular area of interest and experďż˝ +tise (e.g., defense, welfare, the post office). Oversight is especially connected to the legďż˝ islative and appropriations processes (see Box 2.3), but may occur at any time. For this reason, it is not unusual to see a cabinet secretary, complete with charts and documents, testifying before a congressional committee that is interested in his or her programs. @@ -4017,17 +3194,17 @@ BOX 2.3 Testifying before the Appropriations Committee -The most important thing in a committee hearing is creating an atmosphere of confi¬ -dence—so that you have confidence in the committee and they have confidence in you. +The most important thing in a committee hearing is creating an atmosphere of confiďż˝ +denceďż˝so that you have confidence in the committee and they have confidence in you. I tell my people to be perfectly honest and to have a full, free, and frank discussion with the committee, even if it hurts you a little bit. That will mean more than anything else in getting your money. Nobody likes to admit things and cast reflections on his own shop, -but don’t try to fool the congressmen. You can’t. They have a sixth sense when someone -is not talking freely and frankly. If you have a perfectly open discussion, they’ll have +but donďż˝t try to fool the congressmen. You canďż˝t. They have a sixth sense when someone +is not talking freely and frankly. If you have a perfectly open discussion, theyďż˝ll have more confidence in you, and your appropriations troubles will be minimized. SOURCE: An agency budget officer quoted in Richard F. Fenno, Jr., The Power of the Purse (Boston- Little -Brown, 1966), 298. ’ +Brown, 1966), 298. ďż˝ ' @@ -4036,10 +3213,10 @@ Brown, 1966), 298. Relationships with the Legislative Body 63 Holding hearings is probably the most visible oversight activity of Congress, at times -assuming a circus-like atmosphere. The Iran-Contra hearings, for example, were essen¬ +assuming a circus-like atmosphere. The Iran-Contra hearings, for example, were essenďż˝ tially an investigation of the activities of the National Security Council, an executive agency, but they became the arena for considerable political in-fighting concerning the -Reagan administration’s conduct of foreign policy. (They were also noteworthy for their +Reagan administrationďż˝s conduct of foreign policy. (They were also noteworthy for their revelations of intentional efforts by Lt. Colonel Oliver North and Undersecretary of State Elliot Abrams to deceive Congress in the course of normal oversight activities.) @@ -4047,9 +3224,9 @@ The exposure that hearings provide members of Congress is obvious. Politicians f Harry Truman to Sam Ervin to Daniel Inouye to Fred Thompson have built national reputations through their involvement in congressional hearings. But hearings can also provide excellent opportunities for administrative officials at the federal, state, and local -levels, and in nonprofit organizations, to tell their side of the story, to help educate mem¬ +levels, and in nonprofit organizations, to tell their side of the story, to help educate memďż˝ bers of the legislature and the public generally, and to build support for their programs. -Consequently, most agencies devote considerable time and attention to legislative rela¬ +Consequently, most agencies devote considerable time and attention to legislative relaďż˝ tions, often, at the federal level, working through a legislative liaison office, or, at the state and local levels, on a more individual basis. @@ -4059,28 +3236,28 @@ charges stemming from an adulterous affair with a White House intern. The House Representatives approved two articles of impeachment against the president, claiming that he perjured himself in his testimony before a federal grand jury and that he obstructed justice by interfering with the investigation of the Independent Council, Ken -Starr. However, the Senate voted to acquit the president on both articles of impeach¬ -ment, a decision that in many ways brought to a close eight years of allegations, investi¬ +Starr. However, the Senate voted to acquit the president on both articles of impeachďż˝ +ment, a decision that in many ways brought to a close eight years of allegations, investiďż˝ gations, and scandal that had plagued the Clinton presidency. Nationally, Congress can also exercise oversight through its staff agencies, most of which were significantly enhanced by legislation in the early 1970s that created the Congressional Budget Office and charged it with furnishing certain program information -to Congress, and also shifted the focus of the General Accounting Office from its tradi¬ +to Congress, and also shifted the focus of the General Accounting Office from its tradiďż˝ tional financial auditing to program evaluations. Now, in addition to holding hearings, -Congress can exercise oversight responsibility through staff evaluations of agency opera¬ +Congress can exercise oversight responsibility through staff evaluations of agency operaďż˝ tions by requesting information from the Congressional Budget Office or by initiating audits or program evaluations by the General Accounting Office. Although legislative staff capabilities at the state and local levels are considerably less, and often more focused on policy development than oversight, all levels of government have witnessed a general increase in legislative staff over the past twenty years. -Finally, there are myriad informal relationships between legislators and those in exec¬ +Finally, there are myriad informal relationships between legislators and those in execďż˝ utive agencies. In fact, such nonstatutory controls may be the most common form of congressional oversight (Davidson & Oleszek, 1990). Despite the array of oversight activities available to members of Congress and despite -devoting increased staff resources to oversight, questions remain concerning the effec¬ +devoting increased staff resources to oversight, questions remain concerning the effecďż˝ tiveness of legislative oversight of executive branch operations. Part of the problem is simply that many legislators have relatively little interest in oversight activities. Instead, they tend to focus on policy issues, recognizing that they are much more likely to build @@ -4092,10 +3269,10 @@ their reputations in the policy arena than in oversight activities. Moreover, in oversight activities is likely to vary from time to time, increasing in times of crisis or public outcry, when new and different program requests are forthcoming from an -agency, or when a member feels a particular agency has not been responsive to con¬ +agency, or when a member feels a particular agency has not been responsive to conďż˝ stituent groups. Generally, when a member has high confidence in a set of leaders and tends to agree with policies, the motivation for oversight decreases; conversely, when -trust is low or when the member’s favored programs are being ignored, the incentive for +trust is low or when the memberďż˝s favored programs are being ignored, the incentive for oversight is greater. Legislative Supervision: Casework @@ -4107,7 +3284,7 @@ the other side of the coin, individual citizens have come to expect that they ca should receive help from their senator or representative in dealings with government. Thus, members of the legislature receive a multitude of requests for assistance, from someone who needs help to collect Social Security benefits to someone who hopes to -influence the award of a particular governmental contract. Intervention in behalf of indi¬ +influence the award of a particular governmental contract. Intervention in behalf of indiďż˝ viduals or groups that need assistance with or access to government agencies is called legislative casework. @@ -4115,13 +3292,13 @@ At the federal level, providing services for constituents has become one of the time-consuming and important activities for Congress members. Requests for assistance are typically handled by congressional staff members who specialize in casework. If the request requires an inquiry into an agency activity, the staffer will likely approach the -agency’s congressional liaison office or perhaps go directly to the agency head or a +agencyďż˝s congressional liaison office or perhaps go directly to the agency head or a regional office. In most instances, inquiries are responded to promptly, and information -about the case and any necessary explanations of the agency’s action are returned +about the case and any necessary explanations of the agencyďż˝s action are returned quickly to the member of Congress. Federal officials, in both the legislature and the agencies, feel the process is useful not -only in providing a mechanism for review, but also in clarifying agency policies and pro¬ +only in providing a mechanism for review, but also in clarifying agency policies and proďż˝ cedures and assessing agency performance (Johannes, 1984). Occasionally, however, pressure to bend the rules or to play political favoritism occurs. For example, several years ago. Congressman Daniel Flood of Pennsylvania was charged with conspiracy, @@ -4129,29 +3306,29 @@ bribery, and perjury in connection with his efforts to obtain certain federal gr loans for a hospital in his district. Casework activities seem less routine and institutionalized at the state and local levels. -Here there appear to be both benefits and costs (Elling, 1980). On the one hand, case¬ +Here there appear to be both benefits and costs (Elling, 1980). On the one hand, caseďż˝ work activities serve to humanize the bureaucracy; on the other, there are disadvantages in the disruption of administrative processes and in the possibility of political influence. Certainly in the more highly professionalized governmental agencies, agency heads view -legislators’ involvement positively (Abney & Lauth, 1982). +legislatorsďż˝ involvement positively (Abney & Lauth, 1982). -In many European countries, and in some American states and localities, the legisla¬ -ture’s casework function has been paralleled or even turned over to the office of the +In many European countries, and in some American states and localities, the legislaďż˝ +tureďż˝s casework function has been paralleled or even turned over to the office of the ombudsman, a permanent office that receives complaints and acts on behalf of citizens in Relationships with the Judiciary 65 -securing information, requesting services, or pursuing grievances. Many other jurisdic¬ +securing information, requesting services, or pursuing grievances. Many other jurisdicďż˝ tions have created similar, though less formal, structures, such as public advocates, -citizens’ assistance offices, and so on (Hill, 1982). +citizensďż˝ assistance offices, and so on (Hill, 1982). Relationships with the Judiciary The relationship between administrative agencies and the judiciary derives from the legal foundations of administrative actions, some of which are quasi-legislative and others of -which are quasi-judicial. Those that are quasi-legislative elaborate the details of legisla¬ +which are quasi-judicial. Those that are quasi-legislative elaborate the details of legislaďż˝ tion. As we have noted, most legislation is necessarily and intentionally general, leaving considerable room for interpretation or discretion on the part of the administrator. For example, an agency might be required by law to set safety standards for nuclear- @@ -4177,9 +3354,9 @@ that the rule is clear and unambiguous, and that people are given sufficient adv warning that the new rule will take effect (Federal Administrative Procedures Source Book, 1992, p. 416). -In 1996, the APA had its fiftieth anniversary, an anniversary that had some question¬ +In 1996, the APA had its fiftieth anniversary, an anniversary that had some questionďż˝ ing whether the act still provided an adequate framework to resolve the increasingly -complex legal questions in contemporary society. Recent challenges to the APA have cen¬ +complex legal questions in contemporary society. Recent challenges to the APA have cenďż˝ tered on issues of regulatory reform, including efforts by Congress to curb powers of administrative agencies. The discourse on Capitol Hill, however, has tended to be divided along partisan lines, with only a trace of common ground to advance the reform @@ -4190,7 +3367,7 @@ poor administrative practices. The courts, on the other hand, remain favorable t Chapter 2 The Political Context of Public Administration -APA and during the past three years have sustained the act’s administrative framework. +APA and during the past three years have sustained the actďż˝s administrative framework. So while the legislative debate goes on, the APA continues to be the primary guide for the practice of administration. @@ -4202,24 +3379,24 @@ procedures require that the agency issue its rule only after trial-type hearing are completed. Several important provisions were added to the APA during the 1970s and 1990s. -These included measures that reduced regulatory demands in some circumstances involv¬ +These included measures that reduced regulatory demands in some circumstances involvďż˝ ing smaller for-profit, nonprofit, and public-sector organizations. The first of these changes, which appeared in the APA as part of the Regulatory Flexibility Act (RFA), -gained approval during the Carter administration. Under the RFA, administrative agen¬ +gained approval during the Carter administration. Under the RFA, administrative agenďż˝ cies not only must take into account the impact of new regulations on smaller agencies, -but also ensure a requisite level of flexibility in the rules to accommodate agency compli¬ +but also ensure a requisite level of flexibility in the rules to accommodate agency compliďż˝ ance and reporting without adding to administrative costs. In 1996, as part of the debt limit extension bill, Congress expanded the RFA by adding three statutes and approving -a legislative review process for proposed regulations. With the review process, lawmak¬ -ers would now have a window of opportunity to adopt a “resolution of disapproval” +a legislative review process for proposed regulations. With the review process, lawmakďż˝ +ers would now have a window of opportunity to adopt a ďż˝resolution of disapprovalďż˝ prior to final decision making (Cooper, 2000, p. 139). -The Negotiated Rule Making Act of 1990 continued a trend toward the use of alter¬ -native means of dispute resolution — that is, mechanisms for resolving disputes that -would not require formal legal processes. As with other alternative means of dispute res¬ +The Negotiated Rule Making Act of 1990 continued a trend toward the use of alterďż˝ +native means of dispute resolution ďż˝ that is, mechanisms for resolving disputes that +would not require formal legal processes. As with other alternative means of dispute resďż˝ olutions, negotiated rule making provides a means of using consensual techniques to produce better, more acceptable results, reducing the likelihood of protracted legislation. -Essentially, negotiated rule making brings together various parties involved in a particu¬ +Essentially, negotiated rule making brings together various parties involved in a particuďż˝ lar issue to discuss potential rules and to try to arrive at consensus in advance of the structure and content of those rules. @@ -4230,9 +3407,9 @@ to do so (Federal Alternative Procedures Source Book, 1992). Other administrative actions are quasi-judicial in that they produce orders relating to individual cases. For example, following the issuance of safety standards for nuclear power plants, an administrator might have to decide if a particular plant has met those -standaids. Similarly, an administrator might have to decide if a specific individual is eli¬ -gible for workers’ compensation. In such cases, the administrator is making decisions -that determine one s status under the law. The substantive decisions are obviously impor¬ +standaids. Similarly, an administrator might have to decide if a specific individual is eliďż˝ +gible for workersďż˝ compensation. In such cases, the administrator is making decisions +that determine one s status under the law. The substantive decisions are obviously imporďż˝ tant, but so are the procedures under which they are resolved. For example, a woman denied welfare support might request a hearing to argue her case before a final decision is made. The administrator s decision to grant or refuse the hearing represents another @@ -4252,34 +3429,34 @@ maker and an opportunity for appeal. The courts may review administrative actions (in rule making, adjudication, or other areas) through judicial review. Such review typically occurs when a party -“suffering legal wrong because of agency action, or adversely affected or aggrieved by -agency action” seeks judicial remedy (5 U.S.C., Section 702). The court reviews the +ďż˝suffering legal wrong because of agency action, or adversely affected or aggrieved by +agency actionďż˝ seeks judicial remedy (5 U.S.C., Section 702). The court reviews the case in light of constitutional, statutory, and executive provisions and determines the appropriateness of the administrative action. Generally speaking, courts may find unlawful and set aside agency actions that are unconstitutional, that extend beyond -the limits of statutory authority, that are “arbitrary, capricious, or an abuse of discre¬ -tion,” that are procedurally unfair or without substantive justification (5 U.S.C., -Section 706). However, following the Supreme Court’s finding in Chevron v. National +the limits of statutory authority, that are ďż˝arbitrary, capricious, or an abuse of discreďż˝ +tion,ďż˝ that are procedurally unfair or without substantive justification (5 U.S.C., +Section 706). However, following the Supreme Courtďż˝s finding in Chevron v. National Resources Defense Council (1984), if a statute is silent or ambiguous with respect to -the issue at hand, the agency’s interpretation of the statute must be upheld if its inter¬ +the issue at hand, the agencyďż˝s interpretation of the statute must be upheld if its interďż˝ pretation is a reasonable one. The deference to administrators underlying Chevron, a position referred to as -contemporaneous administrative construction, stems from the court’s belief that an +contemporaneous administrative construction, stems from the courtďż˝s belief that an administrative agency responsible for implementing a piece of legislation has the most knowledge of the policy and of existing legislation concerning the issue. The courts may ultimately disagree with the agency interpretation, but they start with a presumption -that the agency was correct. While some suggest that Chevron is being called into ques¬ +that the agency was correct. While some suggest that Chevron is being called into quesďż˝ tion, recent Supreme Court decisions have reinforced the doctrine of judicial deference to administrative agencies. For example, in Rust v. Sullivan (1991), the high court considered a challenge to the -Bush administration’s abortion gag rule, which prevented family planning clinics that +Bush administrationďż˝s abortion gag rule, which prevented family planning clinics that receive federal funding from offering counseling or referrals for abortion services, but allowed information concerning childbirth and related services. The gag rule resulted from a fundamental reinterpretation of the existing statute by the Secretary of Health -and Human Services (HHS). Despite the fact that the Secretary’s position went against -the long-standing interpretation, a divided court ruled that the agency’s policy should +and Human Services (HHS). Despite the fact that the Secretaryďż˝s position went against +the long-standing interpretation, a divided court ruled that the agencyďż˝s policy should stand since Congress had given responsibility to HHS for implementing the statute. (The Rust decision also carries important implications for nonprofit organizations, in that it holds employees of nonprofit organizations that receive government funding @@ -4291,9 +3468,9 @@ the same standards and limitations as government workers with regard to advocati issues of public policy.) In more recent cases, including Smiley v. Citibank (1996), Auer v. Robbins (1997) and -Regions Hospital v. Shalala (1998) and others, the Supreme Court has continued to rein¬ +Regions Hospital v. Shalala (1998) and others, the Supreme Court has continued to reinďż˝ force the Chevron standard, based on the principle that unless legislators give clear -direction to the administering agency, the administrator’s interpretation must be upheld +direction to the administering agency, the administratorďż˝s interpretation must be upheld as long as it is permissible under the statute. @@ -4304,8 +3481,8 @@ On the other hand, the courts have established parameters for Chevron, limiting standard to regulatory measures and to circumstances in which the administering agency clearly acts within the confines of the statute. The courts have maintained that petitions regarding administrative issues, but whose primary concerns relate to legal matters such -as contracts, should be viewed as “a question of law clearly within the competence of -the courts” (Cooper, 2000, p. 254). Despite these limitations, the consistency with which +as contracts, should be viewed as ďż˝a question of law clearly within the competence of +the courtsďż˝ (Cooper, 2000, p. 254). Despite these limitations, the consistency with which the court has reinforced Chevron, and in light of lower court decisions during the same period, it can be presumed that the judiciary will maintain the capacity and scope of administrative agencies into the post-Chevron era. The list of cases in Box 2.4 provides a @@ -4316,18 +3493,18 @@ Of particular interest are those cases in which the court determines that the ag misinterpreted (or gone beyond) the intent of the legislation. As an example, the statute creating the Occupational Safety and Health Administration (OSHA) in the Department of Labor charged the agency with developing a standard for toxic substances in the -workplace “which assures, to the extent feasible, that no employee will suffer material +workplace ďż˝which assures, to the extent feasible, that no employee will suffer material impairment even if such employee has regular exposure to the hazard for the period of -his working life” (Cooper, 1983, p. 192). After extensive studies, OSHA determined that -exposure to the toxic substance benzene created a risk of cancer and other health haz¬ +his working lifeďż˝ (Cooper, 1983, p. 192). After extensive studies, OSHA determined that +exposure to the toxic substance benzene created a risk of cancer and other health hazďż˝ ards and set a standard accordingly. The American Petroleum Institute sought judicial review that led the courts to a -discussion of two rather interesting issues. One aspect of the case had to do with legisla¬ -tive intent. The Fifth Circuit Court focused on this issue, finding that the phrase “to the -extent feasible” in the legislation meant that a standard had to be both technologically +discussion of two rather interesting issues. One aspect of the case had to do with legislaďż˝ +tive intent. The Fifth Circuit Court focused on this issue, finding that the phrase ďż˝to the +extent feasibleďż˝ in the legislation meant that a standard had to be both technologically and economically feasible. For this reason, the court set aside the OSHA standard. -The Supreme Court concentrated more on the health aspects of the case, with the major¬ +The Supreme Court concentrated more on the health aspects of the case, with the majorďż˝ ity concluding that existing standards were not dangerous and the new standard was not necessary. The justices who dissented argued that the Court should not substitute its own judgment on the technical merits of the case for that of experts within the agency. @@ -4335,19 +3512,19 @@ The case illustrates several of the most important difficulties that face the co reviewing administrative actions (Cooper, 2000). The courts lately have more frequently acted not only to review agency actions, but to -compel agency action “unlawfully withheld or unreasonably delayed” (5 U.S.C., Section +compel agency action ďż˝unlawfully withheld or unreasonably delayedďż˝ (5 U.S.C., Section 706). A few years ago, the Food and Drug Administration received a petition from -a group of death row inmates to determine whether the materials used for lethal injec¬ -tions were safe and painless or whether they might leave the prisoner conscious but para¬ +a group of death row inmates to determine whether the materials used for lethal injecďż˝ +tions were safe and painless or whether they might leave the prisoner conscious but paraďż˝ lyzed, a witness to his or her own slow death. The FDA responded that it did not have jurisdiction to review the practices of state corrections systems in cases such as this* -however, on review, the circuit court concluded that the FDA did indeed have jurisdiction’ -The court wrote, “In this case FDA is clearly refusing to exercise enforcement discretion -because it does not wish to become embroiled in an issue so morally and emotionally trou¬ -bling as the death penalty. As a result of the FDA’s inaction, appellants face the risk of -cruel execution” (Cooper, 1985, p. 649). +however, on review, the circuit court concluded that the FDA did indeed have jurisdictionďż˝ +The court wrote, ďż˝In this case FDA is clearly refusing to exercise enforcement discretion +because it does not wish to become embroiled in an issue so morally and emotionally trouďż˝ +bling as the death penalty. As a result of the FDAďż˝s inaction, appellants face the risk of +cruel executionďż˝ (Cooper, 1985, p. 649). -Closely related to the FDA’s failure to undertake an investigation are cases in which +Closely related to the FDAďż˝s failure to undertake an investigation are cases in which the agency refuses to make rules or delays the issuance of rules required by statute. But @@ -4364,7 +3541,7 @@ has the legislature provided clear direction to the administering agency with re the implementation of the statute? If so, then the court and the agency must follow the direction established by the legislative body. Second, if the legislature has left the implementation of the statute relatively vague, and thus granted an implicit level of -authority to the agency, is the agency’s interpretation a permissible one under the +authority to the agency, is the agencyďż˝s interpretation a permissible one under the statute? Interpretation Relevant Cases @@ -4372,15 +3549,15 @@ Interpretation Relevant Cases The premise that a long-standing agency Chevron U.S.A. v. Natural Resources interpretation of a statute should be given Defense Council (1984) considerable notice, while having legal -precedence, does not override an adminis¬ -trator’s prerogative to reinterpret a -statute, even if the reinterpretation repre¬ -sents a substantive change in policy direc¬ +precedence, does not override an adminisďż˝ +tratorďż˝s prerogative to reinterpret a +statute, even if the reinterpretation repreďż˝ +sents a substantive change in policy direcďż˝ tion. Administrators must be given the opportunity to keep pace with changing conditions, and their decisions merely have to be permissible under the statute. -In other words, the administrator’s inter¬ +In other words, the administratorďż˝s interďż˝ relation does not have to be the best or rightest choice, only a permissible one. @@ -4388,14 +3565,14 @@ rightest choice, only a permissible one. The power of judicial review in cases of Motor Vehicle Manufacturers administrative interpretation must be Association v. State Farm Mutual Ins. limited, since it is not up to the courts to Co. (1983) -negotiate among alternate interpreta¬ INS v. Cardozo-Fonzeca (1987) +negotiate among alternate interpretaďż˝ INS v. Cardozo-Fonzeca (1987) tions of a statute or to determine which Rust v. Sullivan (1991) interpretation would be better from a regulatory standpoint. In such cases, NationsBank v. Variable Annuity (1995) -the agency’s interpretation must be Smiley v. Citibank (1996) -followed—that is, as long as the inter¬ Auer v. Robbins (1997) +the agencyďż˝s interpretation must be Smiley v. Citibank (1996) +followedďż˝that is, as long as the interďż˝ Auer v. Robbins (1997) pretation adheres to the language and principles of the statute. Regions Hospital v. Shalala (1998) @@ -4403,7 +3580,7 @@ Martin v. Occupational Safety and Health Review Commission (1991) Thomas Jefferson University v. Shalala (1994) -United States v. O’Hagan (1997) +United States v. Oďż˝Hagan (1997) SOURCE: Reproduced by permission of the publisher, F. E. Peacock Publishers Inc., Itasca, Illinois. From Phillip J. Cooper, Public Law and Public Administration 3d ed., 2000 copyright, pp. 250-264, 269-270. @@ -4420,9 +3597,9 @@ Concerns for Due Process At the heart of our system of jurisprudence is the assurance that people will be treated fairly, that they have a right to present arguments and evidence in their own behalf, and that those who make the decisions will be unbiased and impartial. As with issues -of due process in administrative adjudication—whether a hearing is required, at what -point, and the format of the hearing — some patterns have emerged in the Supreme -Court’s evaluation of administrative matters. During the 1950s, 1960s, and early +of due process in administrative adjudicationďż˝whether a hearing is required, at what +point, and the format of the hearing ďż˝ some patterns have emerged in the Supreme +Courtďż˝s evaluation of administrative matters. During the 1950s, 1960s, and early 1970s, the Court sought to protect the rights of citizens from arbitrary action on the part of administrative agencies by requiring that a person be allowed an opportunity to challenge a proposed action before being made to suffer serious harm. The Court @@ -4431,10 +3608,10 @@ an individual. Through the 1970s and 1980s however, the Supreme Court, under the leadership of Chief Justice Warren Burger, began to alter its approach to administrative due process, -treating administrative hearings not as a means of protection but as devices for fact¬ -finding. Most frequently, the Court has employed a “balancing test,” weighing the +treating administrative hearings not as a means of protection but as devices for factďż˝ +finding. Most frequently, the Court has employed a ďż˝balancing test,ďż˝ weighing the interests of the individual (rather narrowly defined), the value of additional safeguards, -and the government’s interest (including the fiscal and administrative burdens that addi¬ +and the governmentďż˝s interest (including the fiscal and administrative burdens that addiďż˝ tional procedural safeguards might impose). The material in Box 2.5 illustrates the application of this balancing test. As a result, it has become much more difficult for someone who feels that adequate protections have not been provided to prevail in the @@ -4467,7 +3644,7 @@ BOX 2.5 ___.____ ...;. .. The Spotted Owl and Agency Interpretation of the Law -When a court reviews an agency’s construction of the statute it administers, it is con¬ +When a court reviews an agencyďż˝s construction of the statute it administers, it is conďż˝ fronted with two questions. First, always, is the question of whether Congress has directly spoken to the precise question at issue. If the intent of Congress is clear, that is the end of the matter; for the court, as well as the agency, must give effect to the @@ -4478,36 +3655,36 @@ question at issue, the court does not simply impose its own construction of the statute, as would be necessary in the absence of an administrative interpretation. Rather, if the statute is silent or ambiguous with respect to the specific issue, the -question for the court is whether the agency’s answer is based on a permissible con¬ +question for the court is whether the agencyďż˝s answer is based on a permissible conďż˝ struction of the statute. Given the ubiquity of ambiguity in regulatory statutes, Chevron looked like a -recipe for judicial acquiescence to agency interpretations. It hasn’t worked out that +recipe for judicial acquiescence to agency interpretations. It hasnďż˝t worked out that way. Sometimes, to be sure, the Court gives full scope to the doctrine announced in Chevron. Other times, however, the Court virtually ignores the Chevron test. Most importantly, only three years after Chevron, the Court recognized a major escape hatch from the doctrine of deference to agency interpretation. -Babbitt v. Sweet Home Chapter of Communities for a Great Oregon—the cele¬ -brated Spotted Owl case—illustrates the indeterminacy of the Chevron doctrine. +Babbitt v. Sweet Home Chapter of Communities for a Great Oregonďż˝the celeďż˝ +brated Spotted Owl caseďż˝illustrates the indeterminacy of the Chevron doctrine. At issue was the meaning of the term harm in the Endangered Species Act. The act -prohibits the “taking” of endangered animals and defines “take” to mean “to harass, -harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect!.]” According to -Secretary of the Interior Bruce Babbitt, “harm” includes destruction of habitat that -has the effect—although not the purpose — of harming endangered wildlife. Oregon +prohibits the ďż˝takingďż˝ of endangered animals and defines ďż˝takeďż˝ to mean ďż˝to harass, +harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect!.]ďż˝ According to +Secretary of the Interior Bruce Babbitt, ďż˝harmďż˝ includes destruction of habitat that +has the effectďż˝although not the purpose ďż˝ of harming endangered wildlife. Oregon business interests challenged this interpretation as contrary to the statute. The fundamental problem in administrative law is that a congressional majority typically favors some federal response to a problem, but no congressional majority -favors any particular response. Rather than do nothing, Congress adopts general lan¬ -guage and leaves it to the agencies—and the courts—to make the controversial +favors any particular response. Rather than do nothing, Congress adopts general lanďż˝ +guage and leaves it to the agenciesďż˝and the courtsďż˝to make the controversial choices. The Endangered Species Act is a good illustration of this. Congress knew quite well that habitat destruction poses the biggest threat to endangered species. Congress also knew, however, that regulating habitat destruction would conflict with economic development. So Congress waffled. The only clear intention Congress had regarding habitat destruction is a clear -intention to have no clear intention. The problem calls less for lawyerly interpreta¬ +intention to have no clear intention. The problem calls less for lawyerly interpretaďż˝ tions of authoritative language than for a policy decision made by an institution that is familiar with the problem and is held politically accountable. The agency has the advantage (over) the courts on both counts. @@ -4519,47 +3696,47 @@ SOURCE: Donald A. Dripps, Trial 32, no. 2 (February 1996), 70-71. 72 Chapter 2 The Political Context of Public Administration Two landmark cases in the early 1970s set precedents for such rulings. In the first, -prisoners in the Arkansas penitentiary system alleged a large number of abuses, includ¬ +prisoners in the Arkansas penitentiary system alleged a large number of abuses, includďż˝ ing dangerous and unhealthy conditions in the prisons. The court ruled that confinement -in the Arkansas system amounted to cruel and unusual punishment and ordered correc¬ +in the Arkansas system amounted to cruel and unusual punishment and ordered correcďż˝ tions officials to devise a plan to remedy the problems. Similarly, in Alabama a federal -district court judge found “intolerable and deplorable” conditions in that state’s largest -mental health facility and ordered corrective actions. The court also established a consti¬ -tutional right to treatment, detailing actions required to meet that constitutional stan¬ +district court judge found ďż˝intolerable and deplorableďż˝ conditions in that stateďż˝s largest +mental health facility and ordered corrective actions. The court also established a constiďż˝ +tutional right to treatment, detailing actions required to meet that constitutional stanďż˝ dard (Gilmour, 1982, pp. 26-29). The involvement of courts in the management of public agencies is especially well -illustrated in a federal judge’s order demanding reform of the New Orleans Parish -Prison. In addition to ordering adequate medical services, improved security, and devel¬ -opment of recreational facilities, the judge directed that “the management and opera¬ -tion of the prison be improved immediately,” that a professional penologist be hired to +illustrated in a federal judgeďż˝s order demanding reform of the New Orleans Parish +Prison. In addition to ordering adequate medical services, improved security, and develďż˝ +opment of recreational facilities, the judge directed that ďż˝the management and operaďż˝ +tion of the prison be improved immediately,ďż˝ that a professional penologist be hired to manage the prison, and that personnel practices (filling vacancies, raising wages, etc.) -be improved in specific ways. Although court actions such as this have obviously cor¬ +be improved in specific ways. Although court actions such as this have obviously corďż˝ rected constitutional inequities, there are questions as to whether the courts are well suited for involvement in the details of administration. Moreover, many states and -localities argue that court-ordered expenditures of funds on projects such as desegrega¬ +localities argue that court-ordered expenditures of funds on projects such as desegregaďż˝ tion or prison reform take money away from other needed services, such as education, social welfare, or mental health. Indeed, for these various reasons, the Supreme Court has recently taken steps to limit the involvement of courts in the work of administrative -agencies, requiring carefully tailored plans of limited duration based on specific consti¬ +agencies, requiring carefully tailored plans of limited duration based on specific constiďż˝ tutional violations. Summary and Action Implications This chapter has explored the political context of public administration, including things -you will simply need to know to operate effectively in or with public or nonprofit orga¬ +you will simply need to know to operate effectively in or with public or nonprofit orgaďż˝ nizations. The material in this chapter (and in Chapter 3) constitutes a knowledge base on which to build your action skills. Understanding the political context of work in the public sector will enhance the effectiveness of your actions. -Public managers, and their counterparts in nonprofit organizations, work in many dif¬ +Public managers, and their counterparts in nonprofit organizations, work in many difďż˝ ferent institutional settings, but those institutions all reflect important political values that lie at the heart of a democratic system. Whether at the federal, state, or local level, -in the governmental or nongovernmental sector, a democracy’s values, especially a +in the governmental or nongovernmental sector, a democracyďż˝s values, especially a concern for operating in the public interest, affect the structure of public and nonprofit organizations. For example, the division of powers at the federal level expresses a fear of concentrated power; similarly, the council-manager plan expresses one way to view the -relationship between politics and administration. Finally, the structure of nonprofit orga¬ +relationship between politics and administration. Finally, the structure of nonprofit orgaďż˝ nizations reflects their operation in the public interest. Knowing something about how democratic values are reflected in the structure of the various organizations and knowing @@ -4571,25 +3748,25 @@ something about the role of executive leadership in administrative organizations enable you to act with greater confidence and authority. As a manager, you may have important interactions with a legislative body, either the -national Congress, a state legislature, a local city council, or a nonprofit organization’s +national Congress, a state legislature, a local city council, or a nonprofit organizationďż˝s board of directors. Those serving in the public interest participate in one way or another -in nearly all policy areas—a situation that our political system encourages. The distinc¬ +in nearly all policy areasďż˝a situation that our political system encourages. The distincďż˝ tion Woodrow Wilson suggested between politics (or policy) and administration no longer accurately describes the relationship between the legislative and the executive branch. Today, the legislature and the various agencies of government share in the policy process, either working together in developing policy or making separate decisions in different realms. -As a manager, you will also deal with the legislature in many other ways. Most impor¬ +As a manager, you will also deal with the legislature in many other ways. Most imporďż˝ tantly, the legislature will establish the tasks your agency or association will undertake and provide human and financial resources to carry them out. Moreover, the legislative body will exercise continuing, though sometimes intermittent, supervision over your -work. Thus, you may spend a great deal of time developing effective working relation¬ +work. Thus, you may spend a great deal of time developing effective working relationďż˝ ships with those in the legislature. The involvement of the courts in the work of administration is both intense and inevitable. For this reason, your understanding of the legal system and your ability to -interact with legal and judicial officers will improve your effectiveness as a public man¬ +interact with legal and judicial officers will improve your effectiveness as a public manďż˝ ager. Whether you are dealing with the legislative body or the courts, your relationship with either need not be adversarial. Indeed, in many cases, the legislature and the courts can help to substantially improve administrative practices. @@ -4669,7 +3846,7 @@ Sunshine law: Provision that requires agencies to conduct business in public vie Study Questions 1. What do we mean by the term public policies? -2. Describe how the president’s role in the administration of government has changed +2. Describe how the presidentďż˝s role in the administration of government has changed since the framing of the Constitution. @@ -4681,10 +3858,10 @@ Cases and Exercises 75 4. State and local governments have been designed to operate similarly to the national level; however, both have distinct structures for administering government initiatives. -Explain each level’s structure and the different approaches to operating the govern¬ +Explain each levelďż˝s structure and the different approaches to operating the governďż˝ ment bureaucracy. -5. Describe the policy process and actors who play significant roles in shaping adminis¬ +5. Describe the policy process and actors who play significant roles in shaping adminisďż˝ trative issues. 6. What are the four types of policy? Define and give examples. @@ -4692,22 +3869,22 @@ trative issues. 8. Describe some of the structural controls on bureaucratic power and how government, as a whole, benefits from these controls. -9. Discuss several ways the legislative and judicial branches interact with the bureau¬ +9. Discuss several ways the legislative and judicial branches interact with the bureauďż˝ cracy. Explain why these interventions are necessary and useful. Cases and Exercises -1. We have discussed the various powers, both formal and informal, that affect the gov¬ -ernor’s ability to exercise executive power in the administration of state government. +1. We have discussed the various powers, both formal and informal, that affect the govďż˝ +ernorďż˝s ability to exercise executive power in the administration of state government. Among the informal powers that governors exercise are political powers (including agenda setting), budgetary powers, and executive leadership. -Among the formal powers are the presence or absence of an item veto and the abil¬ +Among the formal powers are the presence or absence of an item veto and the abilďż˝ ity of the governor to reorganize state agencies. Another indicator of gubernatorial power is the number of other elected statewide officials. Analyze the power of the -governor in your state, giving special attention to the governor’s power to exercise -executive leadership over the agencies of state government. How do your governor’s +governor in your state, giving special attention to the governorďż˝s power to exercise +executive leadership over the agencies of state government. How do your governorďż˝s executive powers compare to those of the president of the EFnited States? How do they compare to those of your local mayor? @@ -4716,7 +3893,7 @@ government programs and activities. It contains descriptions of the many program federal government operates, as well as information about how the government is organized to conduct those programs. Obtain a copy of the Manual and analyze the organization and structure of one cabinet-level department, such as Transportation or -Health and Human Services. Then, using local sources, try to develop similar informa¬ +Health and Human Services. Then, using local sources, try to develop similar informaďż˝ tion about how your state and your local government are organized to deal with the same subject matter. What are the similarities and what are the differences? How do you explain them? @@ -4734,27 +3911,27 @@ If possible, try to follow up with the administrator to see how he or she felt a Chapter 2 The Political Context of Public Administration the interchange. To what extent did the legislative body set a clear direction for -the administrator’s ensuing actions? What discretion did the administrator have +the administratorďż˝s ensuing actions? What discretion did the administrator have (or claim to have) following the meeting? 4. Consider the following case: Billie Jackson was the leader of a nonprofit, economic development corporation in a small community in Colorado. For six years, Billie had -been trying to interest members of the city council in purchasing an abandoned down¬ +been trying to interest members of the city council in purchasing an abandoned downďż˝ town hotel for conversion to a city-owned long-term care facility. Billie felt strongly that the community needed such a facility and that the city had a golden opportunity to meet that need through purchase of the hotel. The problem was that several extremely conservative members of the council felt differently. In their view, the city -shouldn’t get into providing social services, especially where the need might be met by +shouldnďż˝t get into providing social services, especially where the need might be met by a private firm at some point in the future. Moreover, they felt the cost of the purchase and renovations would be more than the community could bear. The hotel issue was once again on the council agenda, and Billie was determined to -make the strongest appeal possible. With the help of a nearby university, she had pre¬ +make the strongest appeal possible. With the help of a nearby university, she had preďż˝ pared a lengthy report documenting the need for the facility and the desirability of -purchasing the hotel. Just as she was beginning her presentation, one of the conserva¬ -tive council members said, “Mrs. Jackson, we have heard more on this topic than we -care to. I just don’t want to go through all this again. I move to table the issue indefi¬ -nitely.” The motion to table carried by a quick and somewhat confused voice vote. +purchasing the hotel. Just as she was beginning her presentation, one of the conservaďż˝ +tive council members said, ďż˝Mrs. Jackson, we have heard more on this topic than we +care to. I just donďż˝t want to go through all this again. I move to table the issue indefiďż˝ +nitely.ďż˝ The motion to table carried by a quick and somewhat confused voice vote. Assume the role of Billie Jackson. What is your immediate response? What would you do in the days and weeks that followed? Would you continue to pursue the issue? @@ -4762,7 +3939,7 @@ Why or why not? 5. Read the following case: The U.S. Supreme Court has let stand a ruling requiring Alaska to collect rent or royalties from miners of gold, silver, and other hard rock, -despite the fact that collections will be so low that the money won’t even cover state +despite the fact that collections will be so low that the money wonďż˝t even cover state paperwork costs. Under the Alaska Statehood Act, the state received more than 100 million acres of @@ -4772,7 +3949,7 @@ gas, and coal, but waived the requirement for the mining of gold, silver, and ot hard rock because it did not generate much money. Alaska received more than $1 billion a year in royalties from companies that mine -for oil and gas, the state’s major resources. The state has argued that royalties for +for oil and gas, the stateďż˝s major resources. The state has argued that royalties for hard rock mining would amount to only $100,000 a year, not enough to make the paper work worthwhile. @@ -4814,7 +3991,7 @@ Boris, Elizabeth T., and C. Eugene Steuerle, eds. Nonprofits and Government: Collaboration and Conflict. Washington, DC: Urban Institute, 1999. Cochran, Clarke E., et al. American Public Policy: An Introduction. 4th ed. New York: -St. Martin’s Press, 1993. +St. Martinďż˝s Press, 1993. deLeon, Peter. Democracy and the Policy Sciences. Albany: State University of New York Press, 1997. @@ -4896,14 +4073,14 @@ administrators operate. The traditional focus in public administration has been the agency, and that is the focus we have largely taken so far. However, given the transformation of governance that has occurred during the past decade, it may be more helpful to focus not on the -individual agency but on the relationships among many different groups — public, pri¬ +individual agency but on the relationships among many different groups ďż˝ public, priďż˝ vate, and nonprofit (Kettl, 2000). Indeed, today more than ever, the effectiveness of public programs depends on the ability of various agencies to cooperate in processes of service delivery. Government resources, from federal grants for public assistance to local funding for -health and human services, go to a variety of actors, and while the funding usually con¬ -tains guidelines and performance objectives, the implementing agencies often have a cer¬ +health and human services, go to a variety of actors, and while the funding usually conďż˝ +tains guidelines and performance objectives, the implementing agencies often have a cerďż˝ tain amount of leeway for running the program or for forging relationships with other groups to deliver the services. @@ -4911,17 +4088,17 @@ For example, Temporary Assistance for Needy Families (TANF), the federal program that replaced Aid to Families with Dependent Children (AFDC) under the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (the federal welfare reform legislation) provides funding to the states for public assistance and welfare- -to-work initiatives. The states rely on a variety of local government, for-profit and non¬ +to-work initiatives. The states rely on a variety of local government, for-profit and nonďż˝ profit organizations for service delivery. These organizations, in turn, may provide the services themselves, or they may contract with other organizations (again, public, private, or nonprofit) for carrying out the programs. In many cases, it is possible for an individual or family to receive an array of public assistance without ever coming into contact with a government employee (Kettl, 2000). -This example illustrates the complexity of the interactions triggered by federal poli¬ +This example illustrates the complexity of the interactions triggered by federal poliďż˝ cies. But equally complex relationships can grow from the bottom up as well. A local community that wants to attract new industry might develop a coalition of government, -business, labor, and education groups to promote the city’s image and to work with +business, labor, and education groups to promote the cityďż˝s image and to work with 79 @@ -4937,19 +4114,19 @@ businesses willing to locate there. Again, a variety of government and nongovern entities are involved in the task of economic development. One can easily understand why the effectiveness of many public programs depends on -the quality of the relationships among various organizations. For this reason, some ana¬ -lysts emphasize the importance of the interorganizational networks that develop in vari¬ +the quality of the relationships among various organizations. For this reason, some anaďż˝ +lysts emphasize the importance of the interorganizational networks that develop in variďż˝ ous policy areas. The various groups and organizations involved in any policy arena do not report to a single director, nor are they structured in a typically hierarchical fashion. Rather, they are loosely joined systems that often have overlapping areas of interest, -duplication of effort, and lack of coordination. Hult and Walcott write, “Governance -networks link structures both within and across organizational boundaries. Tike gover¬ +duplication of effort, and lack of coordination. Hult and Walcott write, ďż˝Governance +networks link structures both within and across organizational boundaries. Tike goverďż˝ nance structures, networks may be permanent or temporary, formal or informal. They may be consciously designed, emerge unplanned from the decisions of several actors, or -simply evolve. A given governance structure may be part of one or several networks” +simply evolve. A given governance structure may be part of one or several networksďż˝ (Hult & Walcott, 1990, p. 97). -Whether the growing dependence on such systems is a helpful development is a mat¬ +Whether the growing dependence on such systems is a helpful development is a matďż˝ ter of some debate. Many experts have suggested that the use of intermediaries in the delivery of services is a major reason for the difficulties many programs encounter. On the other hand, many such networks have proven enormously stable over time, while @@ -4964,8 +4141,8 @@ understand the relationships among levels of government. There are various ways describe the relationship between a larger comprehensive unit of government and its constituent parts. A confederation, for example, is a system in which the constituent units grant powers to the central government, but do not allow it to act independently. -A unitary system is one in which all powers reside with the central government, and var¬ -ious units derive their powers from that unit. France and Sweden, for instance, are char¬ +A unitary system is one in which all powers reside with the central government, and varďż˝ +ious units derive their powers from that unit. France and Sweden, for instance, are charďż˝ acterized by unitary systems, as is the relationship between states and localities in the United States; localities hold only those powers specified or permitted by the state. @@ -4981,23 +4158,23 @@ The Development of Intergovernmental Relations 81 elections, to establish local governments, etc.), and some are held by both levels (to tax, to borrow money, to make laws, and so on). (This system of governance is also referred -to as “federalism.”) A federal structure has many advantages in that it allows for diver¬ +to as ďż˝federalism.ďż˝) A federal structure has many advantages in that it allows for diverďż˝ sity and experimentation, but it has also led to the development of a highly complex intergovernmental system, a fact of life with important implications for the management of public programs. -The term “intergovernmental relations” is often used to encompass all the complex and +The term ďż˝intergovernmental relationsďż˝ is often used to encompass all the complex and interdependent relationships among those at various levels of government as they seek to develop and implement public programs. The importance of intergovernmental relations has been recognized in several structural developments. At the federal level, a permanent -Advisory Commission of Intergovernmental Relations was established in 1959 and contin¬ -ued to operate until the mid-1990s. All states and nearly all major cities have a coordina¬ +Advisory Commission of Intergovernmental Relations was established in 1959 and continďż˝ +ued to operate until the mid-1990s. All states and nearly all major cities have a coordinaďż˝ tor for intergovernmental relations (though the specific titles vary). Finally, many scholars -and practitioners have begun to emphasize the managerial processes involved in intergov¬ -ernmental relations by employing the term “intergovernmental management.” +and practitioners have begun to emphasize the managerial processes involved in intergovďż˝ +ernmental relations by employing the term ďż˝intergovernmental management.ďż˝ -A key to understanding intergovernmental relations in this country involves under¬ -standing the changing patterns used to fund public programs. Although intergovernmen¬ +A key to understanding intergovernmental relations in this country involves underďż˝ +standing the changing patterns used to fund public programs. Although intergovernmenďż˝ tal relations consist of much more than money, financial questions are inevitably at the core of the process, so definitions of various types of grants, and transfers of money (and property) from one government to another are a helpful starting place. @@ -5011,9 +4188,9 @@ local government, go to Governing magazine at www.governing.com. Some grants give more discretion to the recipient than do others. Categorical grants or project grants may be spent for only a limited purpose, such as building a new sewage treatment plant. Categorical grants have historically been the predominant form of -grants in this country; however, in recent years, many categorical grants have been con¬ +grants in this country; however, in recent years, many categorical grants have been conďż˝ solidated into block grants, which may be used for nearly any purpose within a specific -functional field, such as housing, community development, education, or law enforce¬ +functional field, such as housing, community development, education, or law enforceďż˝ ment. The recipient government might spend a law enforcement grant on police training, new equipment, or crime prevention programs. Finally, revenue sharing, when it has been used, has made funds available for use by the recipient government in any way its @@ -5021,17 +4198,17 @@ leaders choose (within the law). Grants may also be classified in terms of how they are made available. A formula grant employs a specific decision rule indicating how much money any given jurisdiction -will receive. Typically, the decision rule is related to the purpose of the grant (for exam¬ +will receive. Typically, the decision rule is related to the purpose of the grant (for examďż˝ ple, money for housing might be distributed to qualified governments based on the age and density of residential housing). A project grant, on the other hand, makes funds -available on a competitive basis. Those seeking aid must submit an application for assis¬ +available on a competitive basis. Those seeking aid must submit an application for assisďż˝ tance for review and approval by the granting agency. 82 Chapter 3 The Interorganizational Context of Public Administration -Grants may also be categorized as to the purposes'they serve. Entitlement grants pro¬ +Grants may also be categorized as to the purposes'they serve. Entitlement grants proďż˝ vide assistance to persons meeting certain criteria, such as age or income; for example, TANF or Medicaid. Operating grants are for use in the development and operation of specific programs, such as those in education or employment and job training. Capital @@ -5039,40 +4216,40 @@ grants are for use in construction or renovation, as in the development of the i highway system. Finally, grants may vary according to whether they require matching funds from the -recipient agency. Some federal grants require the state or locality to put up a certain per¬ +recipient agency. Some federal grants require the state or locality to put up a certain perďż˝ centage of the money for the project; in the case of the interstate highway system, states contribute $1 for every $9 of federal money. Other grants require different matching amounts, and some will require no matching at all. Note that the different types may be combined in different ways to create quite a variety of grant possibilities. A specific grant -might be made available on a competitive basis strictly for use in programs for job train¬ +might be made available on a competitive basis strictly for use in programs for job trainďż˝ ing and may require local matching funds. Dual Federalism -Historically, the various grant types have been employed in different ways and in differ¬ -ent times. The earliest period in our country’s intergovernmental history, a period that +Historically, the various grant types have been employed in different ways and in differďż˝ +ent times. The earliest period in our countryďż˝s intergovernmental history, a period that lasted well into this century, was characterized by what has been called dual federalism, a pattern in which the federal and state governments both sought to carve out their own -spheres of power and influence and during which there was relatively little intergovern¬ -mental cooperation — indeed, there was substantial conflict. +spheres of power and influence and during which there was relatively little intergovernďż˝ +mental cooperation ďż˝ indeed, there was substantial conflict. However, some programs cut across the strict divisions of federal, state, and local responsibility associated with dual federalism. A notable example is the Morrill Act of 1862, which granted land to universities to establish agricultural programs and was the -basis for the eventual development of land-grant colleges. It was important in the devel¬ +basis for the eventual development of land-grant colleges. It was important in the develďż˝ opment of higher education, but it was also precedent-setting in terms of the structure of -its grants (Nathan et ah, 1987). No longer were grants made in a fairly open-ended fash¬ +its grants (Nathan et ah, 1987). No longer were grants made in a fairly open-ended fashďż˝ ion; specific instructions were attached, requiring that they be used for agriculture and the mechanical arts. In addition, new reporting and accounting requirements were added as a condition of receiving the grants. -The adoption of grant programs such as the Morrill Act was accompanied by consid¬ +The adoption of grant programs such as the Morrill Act was accompanied by considďż˝ erable anguish, because some saw such programs as a drastic departure from the dual -federalism they preferred. The Morrill Act itself, signed by President Lincoln, had previ¬ -ously been vetoed by President Buchanan, who commented: “Should the time arrive -when the State governments shall look to the Federal Treasury for the means of support¬ -ing themselves and maintaining their systems of education and internal policy, the char¬ -acter of both Governments will be greatly deteriorated” (Nathan et ah, 1987, p. 25). +federalism they preferred. The Morrill Act itself, signed by President Lincoln, had previďż˝ +ously been vetoed by President Buchanan, who commented: ďż˝Should the time arrive +when the State governments shall look to the Federal Treasury for the means of supportďż˝ +ing themselves and maintaining their systems of education and internal policy, the charďż˝ +acter of both Governments will be greatly deterioratedďż˝ (Nathan et ah, 1987, p. 25). In any case, the period of dual federalism was marked by considerable conflict among the various levels of government. The federal government sought to deal effectively with the @@ -5089,7 +4266,7 @@ BOX 3.1 Images of American Federalism spheres of responsibility. The localities, though creatures of the state and dependent on state -grants of authority or money, sought to build their own political bases. The resulting pat¬ +grants of authority or money, sought to build their own political bases. The resulting patďż˝ tern of federalism resembled a layer cake, with three levels of government working parallel to one another but rarely together (see Box 3.1). @@ -5098,22 +4275,22 @@ Cooperative Federalism If the layer cake was the prevailing image associated with dual federalism, the marble cake was the image for the period that followed, notable for its increasing complexity and interdependence. As opposed to the conflict and division of the earlier period, the -emerging era of cooperative federalism was characterized by greater sharing of responsi¬ +emerging era of cooperative federalism was characterized by greater sharing of responsiďż˝ bilities. The marble cake image implied a system in which roles and responsibilities were intermixed in a variety of patterns: vertical, horizontal, and even diagonal (see Box 3.1). The great impetus for the development of cooperative federalism was the Roosevelt program for economic recovery following the Great Depression, what was called the -New Deal. Although the majority of President Roosevelt’s programs were national in +New Deal. Although the majority of President Rooseveltďż˝s programs were national in scope and could have been national in execution, a political choice was made to operate -many of the programs through the states and their localities. The pattern of intergovern¬ -mental relations that emerged revealed a dramatically increased federal role, accompa¬ +many of the programs through the states and their localities. The pattern of intergovernďż˝ +mental relations that emerged revealed a dramatically increased federal role, accompaďż˝ nied almost paradoxically by greater federal, state, and local sharing of responsibilities. In addition, there was greater attention to vertical relationships within functional areas such as social welfare or transportation. The pattern of federal, state, and local relations that emerged from the New Deal is -illustrated by several key programs. The first was the Federal Emergency Relief Adminis¬ +illustrated by several key programs. The first was the Federal Emergency Relief Adminisďż˝ tration, which provided grants to states for both direct relief and work relief and was able to revitalize many rather weak state relief agencies. A variety of public works and employment security programs were also attempted to supplement relief efforts. The most @@ -5125,7 +4302,7 @@ money to hire state-certified workers for locally initiated construction project 84 Chapter 3 The Interorganizational Context of Public Administration the Social Security Act of 1935 brought the federal government to an even greater degree -into the area of direct relief for the poor, disabled, and unemployed, an area that had pre¬ +into the area of direct relief for the poor, disabled, and unemployed, an area that had preďż˝ viously been reserved for the states and cities. Through the middle part of this century, the structure of the various grant programs @@ -5137,25 +4314,25 @@ initiated at the federal level featured: 4. A requirement for state matching funds 5. A requirement for federal review and audit of the programs (Nathan et ah, 1987) -For the most part, these grant programs were categorical — that is, directed to a particular -category of activity, such as public works. Indeed, the use of categorical grants as the pri¬ +For the most part, these grant programs were categorical ďż˝ that is, directed to a particular +category of activity, such as public works. Indeed, the use of categorical grants as the priďż˝ mary mechanisms for federal and state transfers continued until the 1970s. Throughout this period, various groups appointed to review the state of intergovernmental relations -returned the same verdict: the federal government and the states should begin “cooperat¬ -ing with or complementing each other in meeting the growing demands on both” (Nathan +returned the same verdict: the federal government and the states should begin ďż˝cooperatďż˝ +ing with or complementing each other in meeting the growing demands on bothďż˝ (Nathan et al., 1987, p. 33). Today, the principle of cooperative federalism is well established. Picket-Fence Federalism -Through the 1960s, 1970s, and 1980s, there were dramatic shifts in the pattern of inter¬ +Through the 1960s, 1970s, and 1980s, there were dramatic shifts in the pattern of interďż˝ governmental relations. Nowhere were these shifts more striking than in the contrast between the activism of the Kennedy and Johnson years and the cutbacks of the Reagan -and Bush years. President Johnson used the phrase “creative federalism” to describe his +and Bush years. President Johnson used the phrase ďż˝creative federalismďż˝ to describe his approach to intergovernmental relations, which included a huge increase in the number and amounts of federal grants available to states, localities, and other groups. Over three years, the number of available grants from the federal government grew from about fifty to nearly four hundred. Federal aid to states and localities rose from $7 billion in 1960 -to $24 billion in 1970 (Wright, 1987, p. 236). Interestingly, state aid to local govern¬ +to $24 billion in 1970 (Wright, 1987, p. 236). Interestingly, state aid to local governďż˝ ments also nearly tripled during this period. The new federal programs focused mainly on urban problems and problems of the @@ -5164,11 +4341,11 @@ funds to states to assist in medical care for low-income people. (Medicaid is la administered by the states [eligibility requirements vary from state to state], but it also requires state matching funds, which became a fiscal problem for many states.) But there were also new programs in education aimed directly at school districts, new programs in -employment and training run by cities and other independent providers, and new pro¬ +employment and training run by cities and other independent providers, and new proďż˝ grams in housing and urban development in major metropolitan areas. -Probably the most publicized domestic program of the Johnson years was the “War -on Poverty,” launched with the passage of the Economic Opportunity Act of 1964. The +Probably the most publicized domestic program of the Johnson years was the ďż˝War +on Poverty,ďż˝ launched with the passage of the Economic Opportunity Act of 1964. The War on Poverty and other Johnson programs were significant for both their size and shape. Substantially more aid was aimed directly at local governments, school districts, @@ -5179,29 +4356,29 @@ The Development of Intergovernmental Relations 85 and various nonprofit groups, as opposed to the previous pattern of aid primarily to states. Second, there were requirements for detailed planning and for streamlined budgeting systems, as well as demands for public participation in management of the -programs. Third, and most important, the majority of the new programs involved proj¬ +programs. Third, and most important, the majority of the new programs involved projďż˝ ect grants, requiring grant applications for specific purposes. States and localities began to spend enormous amounts of time playing the federal grant game trying to obtain -grants, searching for matching funds, and trying to meet planning and reporting require¬ +grants, searching for matching funds, and trying to meet planning and reporting requireďż˝ ments. As a result, intergovernmental relations took on an increasingly competitive tone (Wright, 1988, pp. 81-90). -Through this period, the intergovernmental system was becoming increasingly domi¬ -nated by the relationships among professionals within various substantive areas at vari¬ +Through this period, the intergovernmental system was becoming increasingly domiďż˝ +nated by the relationships among professionals within various substantive areas at variďż˝ ous levels of government. In a particular program area, the relationship among mayor, governor, and president might be less important than that involving a local health department official, someone from a state department of health, and the manager of a federal program in health care. A new image emerged, replacing the cakes of earlier -periods—that of picket-fence federalism. The horizontal bars of the fence represented +periodsďż˝that of picket-fence federalism. The horizontal bars of the fence represented the levels of government, and the vertical slats represented various substantive fields, such as health, welfare, education, employment, and training (see Box 3.2). -President Nixon’s administration brought about a reaction against many of the +President Nixonďż˝s administration brought about a reaction against many of the developments we have just described. Claiming that the Johnson programs were simply -too detailed in their requirements to administer effectively at the local level and that sub¬ -governments within particular substantive areas were coming to dominate the intergov¬ -ernmental system, Nixon proposed what he termed a “New Federalism” that would -reestablish greater local autonomy in the use of federal funds. Although a part of his pro¬ +too detailed in their requirements to administer effectively at the local level and that subďż˝ +governments within particular substantive areas were coming to dominate the intergovďż˝ +ernmental system, Nixon proposed what he termed a ďż˝New Federalismďż˝ that would +reestablish greater local autonomy in the use of federal funds. Although a part of his proďż˝ gram involved administrative changes, lessening certain requirements, the most notable changes President Nixon proposed involved changes in the structure of grant programs. @@ -5210,20 +4387,20 @@ opposed to program professionals, was through general revenue sharing. The Nixon for general revenue sharing involved transfers of money from the federal government to states and localities to use for any purpose they wished. The funds were distributed based on a complex formula, but once in the hands of the state or local political leadership, they -could be used for tax reduction, transportation, community development, law enforce¬ -ment, or any other area. First passed in 1972, the Nixon revenue-sharing program pro¬ +could be used for tax reduction, transportation, community development, law enforceďż˝ +ment, or any other area. First passed in 1972, the Nixon revenue-sharing program proďż˝ vided approximately $6 billion a year for five years and was continued through the Nixon, Ford, Carter, and early Reagan years before being eliminated in 1986. The Nixon administration also sought to consolidate large numbers of categorical grants into block grants, two of which were passed. The Comprehensive Employment and -Training Act (CETA) provided funds to local “prime sponsors,” usually a local govern¬ +Training Act (CETA) provided funds to local ďż˝prime sponsors,ďż˝ usually a local governďż˝ ment or group of governments, for manpower training. Which specific programs would be developed was up to the prime sponsor at the local level. Similarly, two weeks after President Nixon resigned, President Ford signed the Community Development Block Grant program (CDBG) consolidating several categorical grant programs, including urban renewal and the model cities program. Despite these successes in altering the pattern of -federal grants, the Nixon and Ford years actually increased the total amount of aid avail¬ +federal grants, the Nixon and Ford years actually increased the total amount of aid availďż˝ able to states and localities. @@ -5241,11 +4418,11 @@ The Big Seven Public Interest Groups 3. National Conference of State Legislatures 7. International City Management Association 4. National Association of County Officials -SOURCE: From Understanding Intergovernmental Relations, 4th edition, by D. Wright © 2003. Reprinted +SOURCE: From Understanding Intergovernmental Relations, 4th edition, by D. Wright ďż˝ 2003. Reprinted with permission of Wadsworth, an imprint of the Wadsworth Group, a division of Thomson Learning. The dependency of state and especially local governments on federal aid became more -apparent during the administration of President Carter. The Carter years saw few dra¬ +apparent during the administration of President Carter. The Carter years saw few draďż˝ matic changes in intergovernmental relations, continuing the general revenue sharing and block grants of the Nixon administration, though there was a greater tendency to target funds through categorical grants. Among the more important initiatives was @@ -5264,8 +4441,8 @@ included such groups as the Council of State Governments, the National League of The Development of Intergovernmental Relations 8y -Cities, the National Governor’s Association, and others. Later in the Carter years, how¬ -ever, a new mood of fiscal restraint combined with Carter’s own fiscal conservatism to +Cities, the National Governorďż˝s Association, and others. Later in the Carter years, howďż˝ +ever, a new mood of fiscal restraint combined with Carterďż˝s own fiscal conservatism to limit the amount of money available, something states and localities found difficult to handle. But, from the standpoint of state and local governments, the reductions of the late Carter years were just the beginning. @@ -5275,33 +4452,33 @@ The Reagan and Bush Years The Reagan and Bush administrations brought major structural changes in the pattern of fiscal federalism, including elimination of general revenue sharing and a reworking of the block grant system. However, these years were more significant (in intergovernmental -terms) for the administration’s efforts to reduce the size of the federal government +terms) for the administrationďż˝s efforts to reduce the size of the federal government through a variety of tax and spending cuts and to return responsibility for major areas, especially social welfare, to the states. -A strong ideological commitment undergirded President Reagan’s efforts to eliminate +A strong ideological commitment undergirded President Reaganďż˝s efforts to eliminate federal funding and federal regulation of state and local activity wherever possible. In his -inaugural speech, the president stated, “It is my intention to curb the size and influence +inaugural speech, the president stated, ďż˝It is my intention to curb the size and influence of the federal establishment and to demand recognition of the distinction between the -powers granted the federal government, [and] those reserved to the states or to the peo¬ -ple” (Reagan, 1981). One way he proposed to do so was by turning back responsibility +powers granted the federal government, [and] those reserved to the states or to the peoďż˝ +pleďż˝ (Reagan, 1981). One way he proposed to do so was by turning back responsibility for a variety of federal programs, and the resources to pay for them, to the states. -(President Bush employed the same ideology, emphasizing the term “turnovers” rather -than “turnbacks” in promoting his programs.) +(President Bush employed the same ideology, emphasizing the term ďż˝turnoversďż˝ rather +than ďż˝turnbacksďż˝ in promoting his programs.) -Proposals along these lines, however, quickly became intertwined with the president’s +Proposals along these lines, however, quickly became intertwined with the presidentďż˝s 1981 efforts to reduce taxes and spending under the banner of supply-side economics, an approach that holds that decreased taxes and spending will stimulate capital investment -and in turn economic growth (Stone & Sawhill, 1984). The defense budget was pro¬ +and in turn economic growth (Stone & Sawhill, 1984). The defense budget was proďż˝ tected by the Reagan administration, so the majority of cuts were sought in federal grant -programs and general government operations. Indeed, during 1981, the Reagan adminis¬ +programs and general government operations. Indeed, during 1981, the Reagan adminisďż˝ tration achieved the first absolute decline in federal expenditures in decades. As part of these reductions, federal grants were lowered from about $95 billion in fiscal year 1981 to about $88 billion in fiscal year 1982, with a major portion of the cuts coming in employment and training programs (Beam, 1984, p. 420). -Meanwhile, state and local officials decried the depth of the cuts and the administra¬ -tion’s failure to make available any revenue sources to pick up the slack, especially as the +Meanwhile, state and local officials decried the depth of the cuts and the administraďż˝ +tionďż˝s failure to make available any revenue sources to pick up the slack, especially as the tax cuts failed to produce the expected economic growth. Moreover, concerns were increasingly voiced that efforts to balance the budget had been especially damaging to the poor, for example, by reducing eligibility for Aid to Families with Dependent Children @@ -5318,16 +4495,16 @@ repair leaking underground tanks, was funded by Congress at a significantly high 88 Chapter 3 The Interorganizational Context of Public Administration -than the president requested; and use of the Highway Trust Fund for improved high¬ -ways, including urban mass transit, was passed over Reagan’s veto. +than the president requested; and use of the Highway Trust Fund for improved highďż˝ +ways, including urban mass transit, was passed over Reaganďż˝s veto. On the other hand, reductions continued in specific areas, most notably in general -revenue sharing. Recall that the Nixon general revenue-sharing program had been con¬ +revenue sharing. Recall that the Nixon general revenue-sharing program had been conďż˝ tinued through the Carter administration; however, early in the Reagan years, revenue -sharing for states was eliminated. Finally, in 1986, revenue sharing for local govern¬ -ments was also ended. Many saw general revenue sharing as a way to equalize the dis¬ +sharing for states was eliminated. Finally, in 1986, revenue sharing for local governďż˝ +ments was also ended. Many saw general revenue sharing as a way to equalize the disďż˝ parity between rich and poor communities and allow greater flexibility at the local level; -others saw revenue sharing as providing too much money and too much discretion, espe¬ +others saw revenue sharing as providing too much money and too much discretion, espeďż˝ cially to wealthy communities. President Bush continued the Reagan approach to federalism, making important, but @@ -5340,11 +4517,11 @@ was combined with the savings and loan bailout, there was little enthusiasm left expanding domestic spending, including state and local aid. As mentioned earlier, President Bush continued the Reagan strategy of turning back -or turning over various programs to the states, but just as in Reagan’s case, there was +or turning over various programs to the states, but just as in Reaganďż˝s case, there was great skepticism about whether the proposed turnovers were based on a commitment to -states’ rights and responsibilities or whether they were just a strategy for placing more of +statesďż˝ rights and responsibilities or whether they were just a strategy for placing more of the burden for funding various programs in the hands of the states. For example, the -administration’s highway plan proposed to turn over four-fifths of the federal highway +administrationďż˝s highway plan proposed to turn over four-fifths of the federal highway system to the states with funding to be on a 60-40 basis, federal to state. According to Transportation Secretary Skinner, the proposal was designed not only to permit greater local flexibility, but also very clearly to turn over more financial responsibility to the @@ -5353,8 +4530,8 @@ states, shifting the burden to the states. The Clinton Presidency During the Clinton presidency, the philosophical foundation of New Federalism -remained in place. The primary themes were regulatory reform and shifting decision¬ -making authority from the federal to state and local governments. However, the charac¬ +remained in place. The primary themes were regulatory reform and shifting decisionďż˝ +making authority from the federal to state and local governments. However, the characďż˝ ter and scope of this devolution of power have been interpreted in vastly different ways by the president, the Republican House, and the more moderate leadership in the Senate. In latter stages of the Clinton administration, state and local governments offered their @@ -5362,7 +4539,7 @@ own ideas on federalism and the overall system of intergovernmental relations. S diversity of viewpoints generated a number of questions concerning not only the state of federalism but also the implications for government practice. -Early on, President Clinton left little doubt as to his administration’s position on +Early on, President Clinton left little doubt as to his administrationďż˝s position on intergovernmental relations, a position characterized by a sensitivity to state and local governments. The president quickly showed his gubernatorial roots, for example, by choosing four of his cabinet members from the subnational level. And, within months of @@ -5371,86 +4548,86 @@ choosing four of his cabinet members from the subnational level. And, within mon The Development of Intergovernmental Relations 89 -taking office, the administration identified the removal of burdensome federal regula¬ +taking office, the administration identified the removal of burdensome federal regulaďż˝ tions as a primary objective. In September 1993, President Clinton issued Executive Order 12866, which along with a subsequent order prevented federal agencies from imposing mandates without financial support. Although administrative agencies would gain regulatory powers under the order, central review was to be continued to ensure -that new regulations conformed with the president’s priorities. President Clinton rein¬ +that new regulations conformed with the presidentďż˝s priorities. President Clinton reinďż˝ forced his stance soon after by issuing Executive Order 12875, establishing a system of state and local review of intergovernmental regulations. -The Clinton administration’s New Federalist philosophy also carried over into pro¬ -grammatic areas. In championing the drive to “end welfare as we know it,” for example, -the administration transformed the nation’s system of public assistance by turning to +The Clinton administrationďż˝s New Federalist philosophy also carried over into proďż˝ +grammatic areas. In championing the drive to ďż˝end welfare as we know it,ďż˝ for example, +the administration transformed the nationďż˝s system of public assistance by turning to mainly market forces for public well-being and placing service-delivery into the hands of nongovernmental actors. Key provisions in the 1996 welfare reform legislation included -setting time limits on benefits, tying welfare to work requirements, handing over author¬ +setting time limits on benefits, tying welfare to work requirements, handing over authorďż˝ ity for welfare programs to state government, and limiting (in some cases eliminating) access to public assistance for legal immigrants and the disabled. -President Clinton’s New Federalism could be seen, as well, in his administration’s main +President Clintonďż˝s New Federalism could be seen, as well, in his administrationďż˝s main community and economic development initiative, the Empowerment Zone/Enterprise Community Program, and its key education initiative, the Goals 2000: Educate America -Act. In both programs, “the administration persuaded Congress to expand state and/or -local discretion” (Walker, 1996, p. 274), reinforcing the belief that by reducing federal regu¬ +Act. In both programs, ďż˝the administration persuaded Congress to expand state and/or +local discretionďż˝ (Walker, 1996, p. 274), reinforcing the belief that by reducing federal reguďż˝ lations and handing decision-making power to the state and local level, those closest to the issue would be in a better position to effect innovation and change in the given policy area. -Vice President A1 Gore further advanced the administration’s position on intergovern¬ +Vice President A1 Gore further advanced the administrationďż˝s position on intergovernďż˝ mental relations. In his National Performance Review (NPR) and related efforts, the vice president highlighted a variety of alternative strategies for managing public programs. -These strategies, which echoed Osborne and Gaebler’s Reinventing Government, injected -a new spirit of entrepreneurialism into the federal government. Gore’s NPR called for -“a new customer service contract with the American people, a new guarantee of effective, -efficient, and responsive government.” Although the vice president focused mainly on the -national level, the philosophy driving his reinvention agenda fostered a greater apprecia¬ +These strategies, which echoed Osborne and Gaeblerďż˝s Reinventing Government, injected +a new spirit of entrepreneurialism into the federal government. Goreďż˝s NPR called for +ďż˝a new customer service contract with the American people, a new guarantee of effective, +efficient, and responsive government.ďż˝ Although the vice president focused mainly on the +national level, the philosophy driving his reinvention agenda fostered a greater appreciaďż˝ tion for innovation by local and state administrators. NPR also featured several practical measures that affected intergovernmental relations, such as collapsing categorical grants into more flexible funding streams and removing unfunded federal mandates. On this latter issue, the adoption of New Federalist ideals extended beyond the Clinton administration. Regulatory reform and the removal of unfunded mandates became key -issues for the 104th Congress. As cited in the Republican Contract with America, con¬ +issues for the 104th Congress. As cited in the Republican Contract with America, conďż˝ servatives argued that federal agencies placed too great of a burden on state and local administrations by imposing regulations without adequate financial resources for their implementation. Republican lawmakers thus returned to two measures from the preceding Congress (H.R. 4771 and S. 993) and, with assistance from the Clinton administration, revised the bills into the Unfunded Mandate Reform Act (1995). Under the resulting act, the cost of any future mandate would need to be spelled out by the Congressional Budget -Office. The act also raised the President’s Executive Orders cited above to a statutory level, +Office. The act also raised the Presidentďż˝s Executive Orders cited above to a statutory level, binding agencies by law to find less expensive, more flexible ways of instituting regulations. 90 Chapter 3 The Interorganizational Context of Public Administration -During President Clinton’s second term, however, ties with the Republican Congress +During President Clintonďż˝s second term, however, ties with the Republican Congress degenerated into political gridlock, and the administration devoted as much time to avoiding scandal as it did setting public policy. Though the two camps did come together -on measures to eliminate the federal deficit and reform the nation’s welfare system, the +on measures to eliminate the federal deficit and reform the nationďż˝s welfare system, the prevailing story from Washington during the last years of the twentieth century was one -of partisan extremism, culminating in President Clinton’s becoming the first elected pres¬ +of partisan extremism, culminating in President Clintonďż˝s becoming the first elected presďż˝ ident to be impeached, then acquitted, by Congress. Moreover, even the hallmarks of the period failed to gain support among many state and local governments. Governors and mayors across the country, while recognizing the need for fiscal constraint and welfare -reform, remained concerned that the cost of the measures would, over time, fall primar¬ +reform, remained concerned that the cost of the measures would, over time, fall primarďż˝ ily on the subnational levels of administration. The impact of the NPR and the reinventing government drive at the federal level also remains in question. While a variety of federal agencies implemented reform initiatives -during President Clinton’s consecutive terms, many were fraught with political and -administrative challenges. An example of this can be seen in the president’s national ser¬ +during President Clintonďż˝s consecutive terms, many were fraught with political and +administrative challenges. An example of this can be seen in the presidentďż˝s national serďż˝ vice initiative. In championing the National and Community Service Trust Act (1993), which created the Corporation for National Service (CNS), President Clinton set out -to construct a model of reform, tying national service to key “reinvention principles— -among them mission and competition” as well as performance-driven government +to construct a model of reform, tying national service to key ďż˝reinvention principlesďż˝ +among them mission and competitionďż˝ as well as performance-driven government (Lenkowsky & Perry, 2000, p. 299). But reform under CNS proved to be a difficult path. From the beginning, the agency was a target of controversy, with some in Congress viewing CNS grant programs less as -an example of “catalytic government” and more of a way to provide “back-door fund¬ -ing” to expand the scope of federal programs (Lenkowsky & Perry, 2000, p. 299). +an example of ďż˝catalytic governmentďż˝ and more of a way to provide ďż˝back-door fundďż˝ +ingďż˝ to expand the scope of federal programs (Lenkowsky & Perry, 2000, p. 299). Others cited CNS as they questioned the core principles of reinvention, including to whom the government should be responsive, to what extent public programs should be decentralized, and how much competition is desirable in the public service. @@ -5458,7 +4635,7 @@ decentralized, and how much competition is desirable in the public service. The experience of CNS during its early years, of course, does not give a full picture of the reinvention movement. Examples can be found at all levels of government, and in the nonprofit sector, as reformers strive to create a more responsive, entrepreneurial and results- -based system of governance. Indeed, reinvention compared to many political reform move¬ +based system of governance. Indeed, reinvention compared to many political reform moveďż˝ ments has had a fairly long lifespan. On the other hand, a growing number of scholars and practitioners have taken issue with the assumptions underlying the reform agenda. While few would dispute the values within the goal of making federal agencies more responsive to @@ -5467,11 +4644,11 @@ that productivity and performance should not be the only measures of success. The Bush Administration -President George W. Bush appears to be continuing the New Federalism of his predeces¬ +President George W. Bush appears to be continuing the New Federalism of his predecesďż˝ sors, as evident in his agenda to streamline the federal government, increase the role of nongovernmental organizations (nonprofit, for-profit and faith-based) in the policy process, and shift to more market-based models of service delivery (see Box 3.3). For -instance, the Bush administration’s first legislative victory came with a $1.3 trillion tax +instance, the Bush administrationďż˝s first legislative victory came with a $1.3 trillion tax cut, which supporters say will force the federal government to tighten its belt on spend- @@ -5484,48 +4661,48 @@ _ Transformation of Governance: Globalization, Devolution, and the Role of Government -Over the last generation, American government has undergone a steady, but often un¬ +Over the last generation, American government has undergone a steady, but often unďż˝ noticed, transformation. Its traditional practices and institutions have become more -marginal to the fundamental debates. Meanwhile, new processes and institutions — of¬ -ten nongovernmental ones — have become more central to public policy. In doing the -peoples’ work to a large and growing degree, American governments share responsibil¬ -ity with other levels of government, with private companies, and with nonprofit orga¬ +marginal to the fundamental debates. Meanwhile, new processes and institutions ďż˝ ofďż˝ +ten nongovernmental ones ďż˝ have become more central to public policy. In doing the +peoplesďż˝ work to a large and growing degree, American governments share responsibilďż˝ +ity with other levels of government, with private companies, and with nonprofit orgaďż˝ nizations. This transformation has two effects. First, it has strained the traditional roles of all the players. For decades, we have debated privatizing and shrinking government. While the debate raged, however, we incrementally made important policy decisions. Those decisions have rendered much of the debate moot. Government has come to -rely heavily on for-profit and nonprofit organizations for delivering goods and ser¬ +rely heavily on for-profit and nonprofit organizations for delivering goods and serďż˝ vices ranging from anti-missile systems to welfare reform. It is not that these changes have obliterated the roles of Congress, the president, and the courts. State and local -governments have become even livelier. Rather, these changes have layered new chal¬ +governments have become even livelier. Rather, these changes have layered new chalďż˝ lenges on top of the traditional institutions and their processes. -Second, the new challenges have strained the capacity of governments — and their -nongovernmental partners—to deliver high-quality public services. The basic structure +Second, the new challenges have strained the capacity of governments ďż˝ and their +nongovernmental partnersďż˝to deliver high-quality public services. The basic structure of American government comes from the New Deal days. It is a government driven by functional specialization and process control. However, new place-based problems have -emerged: How can government’s functions be coordinated in a single place? Can envi¬ +emerged: How can governmentďż˝s functions be coordinated in a single place? Can enviďż˝ ronmental regulations flowing down separate channels (air, water, and soil) merge to form a coherent environmental policy? New process-based problems have emerged as well: How can hierarchical bureaucracies, created with the presumption that they directly deliver services, cope with services increasingly delivered through multiple (often nongovernmental) partners? Budgetary control processes that work well for traditional bureaucracies often prove less effective in gathering information from nongovernmental -partners or in shaping their incentives. Personnel systems designed to insulate govern¬ -ment from political interference have proven less adaptive to these new challenges, espe¬ +partners or in shaping their incentives. Personnel systems designed to insulate governďż˝ +ment from political interference have proven less adaptive to these new challenges, espeďż˝ cially in creating a cohort of executives skilled in managing indirect government. Consequently, government at all levels has found itself with new responsibilities -but without the capacity to manage them effectively. The same is true of its non¬ +but without the capacity to manage them effectively. The same is true of its nonďż˝ governmental partners. Moreover, despite these transformations, the expectations on -government—by citizens and often by government officials — remain rooted in a +governmentďż˝by citizens and often by government officials ďż˝ remain rooted in a past that no longer exists. Citizens expect their problems will be solved and tend not to care who solves them. Elected officials take a similar view: They create programs and appropriate money. They expect government agencies to deliver the goods and services. When problems emerge, their first instinct is to reorganize agencies or -impose new procedures—when the problem often has to do with organizational +impose new proceduresďż˝when the problem often has to do with organizational (continued) @@ -5534,18 +4711,18 @@ impose new procedures 92 Chapter 3 The Interorganizational Context of Public Administration structures and processes that no longer fit reality. The performance of American -government — its effectiveness, efficiency, responsiveness, and accountability — +government ďż˝ its effectiveness, efficiency, responsiveness, and accountability ďż˝ depends on cracking these problems. -SOURCE: Donald F. Kettl, “Transformation of Governance: Globalization, Devolution and the Role of -Government,” Public Administration Review, Vol. 60, No. 6, 2000, pp. 488-497. Reprinted by permission. +SOURCE: Donald F. Kettl, ďż˝Transformation of Governance: Globalization, Devolution and the Role of +Government,ďż˝ Public Administration Review, Vol. 60, No. 6, 2000, pp. 488-497. Reprinted by permission. ing and stimulate economic growth by returning money to taxpayers. (Many compared the measure to the major tax cuts early in the Reagan administration.) However, even before the ink dried on the legislation, some lawmakers were concerned that the tax relief package, especially in light of the slowing economy in 2001, would -make it impossible for the government to address much-needed reforms in Medicare, edu¬ +make it impossible for the government to address much-needed reforms in Medicare, eduďż˝ cation and Social Security. In fact, even Bush administration officials conceded that the estimated budget surplus that looked substantial when Congress passed the tax bill had decreased significantly by the time the IRS began sending refund checks to the American @@ -5554,8 +4731,8 @@ repeal, Congress may have to revisit key provisions in the tax measure. The Bush administration also moved quickly on decentralization. As mentioned in Chapter 2, the president used one of his first executive orders to create the Office of -Faith-Based and Community Initiatives, which will outline the administration’s policy -toward extending more federal funding to religious organizations. (Faith-based organiza¬ +Faith-Based and Community Initiatives, which will outline the administrationďż˝s policy +toward extending more federal funding to religious organizations. (Faith-based organizaďż˝ tions such as Catholic Charities USA, Lutheran Social Services, Jewish Community Services, and others, already receive more than $3 billion in federal aid each year.) @@ -5564,18 +4741,18 @@ in social service spending for which faith-based organizations could compete, ot (including many religious leaders) fear that without a substantial increase in the level of funding the Bush initiative would do more to pit religious groups against each other for a share of the pie. Others argue that although federal funding would help enhance the -role of faith-based nonprofits as service providers, most of the smaller religious organiza¬ -tions simply lack the expertise needed to administer federal grants. Without an invest¬ +role of faith-based nonprofits as service providers, most of the smaller religious organizaďż˝ +tions simply lack the expertise needed to administer federal grants. Without an investďż˝ ment in organizational capacity, critics say that the Bush plan would fail to attract a vital segment of the nonprofit community (Hruby & Lipman, 2001). -Another example of President Bush’s New Federalism can be seen in his administra¬ -tion’s reliance on the market for delivering public services. In July 2001, the president +Another example of President Bushďż˝s New Federalism can be seen in his administraďż˝ +tionďż˝s reliance on the market for delivering public services. In July 2001, the president outlined a plan to reduce the cost of prescription drugs for the elderly. The Bush plan offers seniors the opportunity to join buying clubs, which would be administered by for- -profit firms, and use discount cards to save 15 to 25 percent on their pharmaceutical pur¬ +profit firms, and use discount cards to save 15 to 25 percent on their pharmaceutical purďż˝ chases. Several such buying clubs already exist, including a cooperative venture between -Merck-Medco, a pharmaceutical firm, and the Readers’ Digest Association. Some health +Merck-Medco, a pharmaceutical firm, and the Readersďż˝ Digest Association. Some health care companies and other Bush supporters view the plan as a way to improve access to healthcare for the elderly, but doing so without increasing federal spending. @@ -5590,7 +4767,7 @@ able to set their own prices, and that rather than relying purely on the market government should require the discount clubs to negotiate with drug manufacturers and that pharmacists should be asked to set prices prospectively. President Bush agreed that the proposal was simply the first step in what should be a major overhaul of the -36-year-old federal program, adding that the government should explore additional mar¬ +36-year-old federal program, adding that the government should explore additional marďż˝ ket approaches like expanding the role of health maintenance organizations and other private health plans (Pear, 2001, p. Al). @@ -5598,36 +4775,36 @@ Judicial Influence One final point relates to the role of the judiciary in shaping intergovernmental relations. Through the 1990s, students of federalism became increasingly aware of the role of the -judiciary, especially the Supreme Court, in defining the relationship between the federal gov¬ +judiciary, especially the Supreme Court, in defining the relationship between the federal govďż˝ ernment and the states. While the recent judicial activism has produced varied results, with the scope of federal authority limited in some cases and reaffirmed in others, an important -outcome has been the Court once again establishing itself as “a conscious arbiter of the -respective powers of the national government and the states” (Wise, 2001, p. 343). +outcome has been the Court once again establishing itself as ďż˝a conscious arbiter of the +respective powers of the national government and the statesďż˝ (Wise, 2001, p. 343). -At issue has been Congress’s constitutional authority to regulate activities at the state +At issue has been Congressďż˝s constitutional authority to regulate activities at the state level. For much of the twentieth century, the Commerce Clause, which gives Congress the power to regulate trade between the states (and certain functions within the states that may affect state capacity for interstate trade), has been the center point of federal legislation, but regulations also have been imposed under the Fourteenth Amendment, -which grants Congress the power to enforce by appropriate legislation the rights pro¬ +which grants Congress the power to enforce by appropriate legislation the rights proďż˝ vided in the amendment. Regardless of its legal basis, federal regulatory authority has been allowed to expand virtually unchecked by the Court since the 1940s. In fact, some scholars of federalism began to wonder whether any boundaries would be established to limit the scope of the federal government relative to the states (see Wise 2001, 1998). The tide began to change, however, during the 1990s. -Among the first key decisions setting parameters on Congress’s regulatory power was -Gregory v. Ashcroft (1991). In this case, the Court ruled that the Missouri constitution’s +Among the first key decisions setting parameters on Congressďż˝s regulatory power was +Gregory v. Ashcroft (1991). In this case, the Court ruled that the Missouri constitutionďż˝s rule that state judges retire at age seventy does not violate the federal Age Discrimination -Act, as the Equal Employment Opportunity Commission had ruled. “The significance of +Act, as the Equal Employment Opportunity Commission had ruled. ďż˝The significance of this [the Gregory ruling] is that it bars individuals and groups who wish to use federal statutes of general applicability adopted under the Commerce Clause to attack state regulation in federal court from doing so, unless Congress makes it clear that the statute -applies to the states” (Wise, 2001, p. 344). In her opinion, Justice O’Connor emphasized -the constitutional principle of dual sovereignty and the importance of maintaining a cer¬ +applies to the statesďż˝ (Wise, 2001, p. 344). In her opinion, Justice Oďż˝Connor emphasized +the constitutional principle of dual sovereignty and the importance of maintaining a cerďż˝ tain degree of state authority. -Congress’s regulatory power under the Commerce Clause came into question again +Congressďż˝s regulatory power under the Commerce Clause came into question again in United States v. Lopez (1995) and United States v. Morrison (2000). In Lopez, the Court considered a challenge to federal restrictions placed on handgun possession in a school zone, while the Morrison case focused on provisions in the Violence Against @@ -5639,7 +4816,7 @@ civil action. The Supreme Court ruled in both cases that Congress had oversteppe Chapter 3 The Interorganizational Context of Public Administration regulatory jurisdiction, since the statutes were not consistent with the authority afforded -under the Commerce Clause. At the heart of the Court’s decisions was the premise that +under the Commerce Clause. At the heart of the Courtďż˝s decisions was the premise that clear lines must be established between national and state powers, and that under the Commerce Clause these lines must be limited to matters of interstate trade. @@ -5647,13 +4824,13 @@ Of course, the Lopez and Morrison decisions focused primarily on restoring a bal of regulatory power between the national government and state governments. The recent judicial activism, however, can be seen also on issues of administration, such as in New York v. United States (1992) and Printz v. United States (1997), where the Court -placed restrictions on Congress’ ability to compel state and local actors to implement fed¬ +placed restrictions on Congressďż˝ ability to compel state and local actors to implement fedďż˝ eral statutes. The New York case involved a challenge from local governments against the Low-Level Radioactive Waste Policy Act, which required state and regional authorities in certain circumstances to assume ownership of radioactive waste and commanded them to -implement provisions of the federal legislation. The Court ruled both alternatives unconsti¬ -tutional, stating that Congress must not view state and local governments as “mere politi¬ -cal subdivisions . .. [or] regional offices” (Wise, 1998, p. 95) of the national government +implement provisions of the federal legislation. The Court ruled both alternatives unconstiďż˝ +tutional, stating that Congress must not view state and local governments as ďż˝mere politiďż˝ +cal subdivisions . .. [or] regional officesďż˝ (Wise, 1998, p. 95) of the national government and must afford the level of state sovereignty guaranteed under the Tenth Amendment. In Printz, the Court reviewed a challenge to provisions of the Brady Handgun @@ -5662,26 +4839,26 @@ required local law enforcement officers to serve as entities of the national gov executing the regulation. The federal government, in an interesting twist, argued that unlike New York, the Brady Act did not place on the states responsibility for policy making and that, given the rewards, the cost to the states would be minimal. The Court -disagreed. In its rejection of the federal claim, the Court stated that New York estab¬ +disagreed. In its rejection of the federal claim, the Court stated that New York estabďż˝ lished in very clear terms that Congress cannot command state officials to execute or administer federal regulations, nor can the national government bypass the New York limitations by directly enlisting state actors. However, the decisions cited here should not be taken as a complete shift toward state sovereignty. Several recent rulings, including Davis v. Monroe County Board of -Education (1999) and Saenz v. Roe (1999), have reinforced the national government’s -capacity to monitor state activities. In Davis, for example, the Court reaffirmed Congress’ -authority to establish state liability for certain actions as part of the states’ agreement to +Education (1999) and Saenz v. Roe (1999), have reinforced the national governmentďż˝s +capacity to monitor state activities. In Davis, for example, the Court reaffirmed Congressďż˝ +authority to establish state liability for certain actions as part of the statesďż˝ agreement to receive federal funding. The majority of the justices ruled that, under the Spending Clause, Congress could use its control over appropriations to enforce constitutional rights, in this case the guarantee against third-party discrimination in public schools, as long as the language in the funding program remained clear enough so that states would have adequate notice of the federal requirements. -The main issue in Saenz was the State of California’s revision to its welfare laws to set +The main issue in Saenz was the State of Californiaďż˝s revision to its welfare laws to set a twelve-month residency requirement for certain levels of public assistance. While the Court had previously invalidated residency requirements for eligibility (in Shapiro v. -Thompson [1969]), Secretary Saenz, of the State of California’s Department of Social +Thompson [1969]), Secretary Saenz, of the State of Californiaďż˝s Department of Social Services, claimed that the new welfare reform provisions did not exclude new arrivals from welfare benefits but simply maintained their assistance levels to those in the states of their previous residence. The Court disagreed, ruling that the Fourteenth Amendment @@ -5692,13 +4869,13 @@ citizenship with residence generally. Although the Court appreciated the State o The Development of Intergovernmental Relations 95 -California’s desire to reduce the cost of welfare benefits, a majority determined that fiscal +Californiaďż˝s desire to reduce the cost of welfare benefits, a majority determined that fiscal efficiency could not be allowed to outweigh citizen guarantees against discrimination. When taken as a whole, the decisions cited here present a mixed image of federalism (see Box 3.4). On one hand, the Court clearly has reconsidered its deference to Congress on issues of intergovernmental relations, a practice it had followed throughout the twentieth -century, setting restraints on the scope of federal power. On the other hand, federal regula¬ +century, setting restraints on the scope of federal power. On the other hand, federal regulaďż˝ tory authority in other areas has been reaffirmed, particularly under the Spending Clause and the Fourteenth Amendment. Despite the significance of these decisions on their own implications, the implications go much further. Indeed, the most significant outcome is that @@ -5716,7 +4893,7 @@ power between the national government United States v. Morrison (2000) and the states and on the principle of dual sovereignty. Limitations placed on -Congress’ regulatory authority under the +Congressďż˝ regulatory authority under the Commerce Clause of the Constitution. State sovereignty reaffirmed, in that state New York v. United States (1992) @@ -5739,8 +4916,8 @@ regard to the conditions, making certain that state and local governments are aware of the requirements. -SOURCE: Charles R. Wise, “Judicial Federalism: The Resurgence of the Supreme Court,” Public -Administration Review, Vol. 58, No. 2, 1998, pp. 95-98 and “The Supreme Court’s New Federalism,” Public +SOURCE: Charles R. Wise, ďż˝Judicial Federalism: The Resurgence of the Supreme Court,ďż˝ Public +Administration Review, Vol. 58, No. 2, 1998, pp. 95-98 and ďż˝The Supreme Courtďż˝s New Federalism,ďż˝ Public Administration Review, Vol. 61, No. 3, 2001, pp. 343-358. Reprinted by permission. @@ -5750,12 +4927,12 @@ Administration Review, Vol. 61, No. 3, 2001, pp. 343-358. Reprinted by permissio Metropolitan Transit Authority (1985). (The Garcia case will be discussed in more detail in the next section.) Given not only the nature of the decisions but also the mere fact that the judiciary has been willing to intervene, we can be assured that the Supreme Court once -again has become the “Arbiter-in-Chief” in our federal system (Wise, 1998, p. 98). +again has become the ďż˝Arbiter-in-Chiefďż˝ in our federal system (Wise, 1998, p. 98). The State and Local Perspective We have described the system of intergovernmental relations primarily from the federal -perspective, but states and localities are also major actors in the intergovernmental sys¬ +perspective, but states and localities are also major actors in the intergovernmental sysďż˝ tem, both as they participate in federal programs and as they interact with one another state to state, state to locality, and locality to locality. Here also intergovernmental relations have been changing. While budgetary shifts have created serious problems for @@ -5802,7 +4979,7 @@ The figure dropped to about 25.3 percent by 1990 and increased only slightly to All of these changes occurred at a time in which state governments were experiencing significant fiscal stress related to other factors such as the recession, inelastic tax systems, growing expenditures in health, poverty, and immigration, and so on. As an example, -twenty years ago, the states spent approximately $8.3 billion on healthcare costs (in con¬ +twenty years ago, the states spent approximately $8.3 billion on healthcare costs (in conďż˝ stant 1996 dollars). These costs rose to $40.1 billion in 1996 and have continued to rise steadily (U.S. Census Bureau, 2000). The levels of fiscal stress experienced by the states were especially difficult in 1991, a year in which twenty-nine states cut back expenses @@ -5818,12 +4995,12 @@ balanced budgets, albeit often with great difficulty. An important boost to state governments came in 1998, as attorneys general across the country reached a landmark settlement with tobacco companies to recoup expenditures -from health costs associated with smoking and other forms of tobacco use. The settle¬ +from health costs associated with smoking and other forms of tobacco use. The settleďż˝ ment, which amounts to $246 billion nationally over the next 25 years, has given states much needed resources for anti-smoking campaigns, health care and a variety of other needs. In fact, since the settlement set few limitations on how the proceeds could be used, -the approximately $8 billion per year has gone to state-level causes, including Michigan’s -college scholarships for students who excel on state standardized tests and Nevada’s +the approximately $8 billion per year has gone to state-level causes, including Michiganďż˝s +college scholarships for students who excel on state standardized tests and Nevadaďż˝s grants for public television stations to convert to digital broadcasting in exchange for a pledge to air anti-tobacco public service announcements (Greenblatt, 2000, pp. 42-45). Table 3.2 shows the array of programs afforded by the tobacco settlement. @@ -5831,20 +5008,20 @@ Table 3.2 shows the array of programs afforded by the tobacco settlement. Once considered a weak link in the federal system, the states have been able, over the past twenty-five years, to dramatically increase their capacities. Although there are still considerable variations in the capacities of the states, most have undertaken important -institutional reforms (such as developing legislative audits), expanded the scope and pro¬ +institutional reforms (such as developing legislative audits), expanded the scope and proďż˝ fessionalism of their operations (to include new services in areas such as energy planning and conservation or new programs in areas such as productivity improvement), and -demonstrated remarkable fiscal restraint. Indeed, the states are operating balanced bud¬ +demonstrated remarkable fiscal restraint. Indeed, the states are operating balanced budďż˝ gets, and some are even making investments for the future (Beckman, 1988, p. 438). -The states also are moving into areas of responsibility once thought to rest at the fed¬ +The states also are moving into areas of responsibility once thought to rest at the fedďż˝ eral level. The field of international trade is one area where some shifting in roles already seems to be taking place. Whereas the federal government has traditionally played the leading (if not the exclusive) role in foreign affairs, economic forces are precipitating much greater state and local activity in the international arena. For example, all states have offices of economic development involved in some way with international economic development. Through such units, the states provide local businesses with seminars and -conferences on how to market themselves overseas. Over forty states also maintain per¬ +conferences on how to market themselves overseas. Over forty states also maintain perďż˝ manent offices overseas, with some of the larger states having offices in several countries. @@ -5880,17 +5057,17 @@ For data relating to federal funding to state and local governments, go to the Statistical Abstract of the United States at http://www.census.gov/prod/www/ statistical-abstract-us.html or to the Office of Management and Budget at http://www.whitehouse.gov/omb/budget/index.html. Analyses of the changing -character of intergovernmental relations under the “New Federalism” can be found +character of intergovernmental relations under the ďż˝New Federalismďż˝ can be found at http://newfederalism.urban.org. Preemptions and Mandates Preemptions -As discussed previously, although our federal system of government establishes certain fed¬ +As discussed previously, although our federal system of government establishes certain fedďż˝ eral powers, reserves certain powers to the states, and permits certain actions at both levels, -there has long been controversy about the exact definition of these categories. This contro¬ -versy has been especially intense where the question concerns the power of the federal gov¬ +there has long been controversy about the exact definition of these categories. This controďż˝ +versy has been especially intense where the question concerns the power of the federal govďż˝ ernment to preempt the traditional powers of the states and localities or where the federal government coerces states and localities into doing (or not doing) certain things. @@ -5905,24 +5082,24 @@ The State and Local Perspective 99 its provisions to all state and local governments. Many state and local officials argued against the amendments, citing the difficulties in applying the standards to government; for example, how do you measure the hours a firefighter works in off-and-on shifts -of several days’ duration? Soon the amendments were challenged in court and, in the +of several daysďż˝ duration? Soon the amendments were challenged in court and, in the case of National League of Cities v. Usery (1976), the Supreme Court decided that the functions of general government were part of the powers reserved to the states by the Tenth Amendment and therefore could not be regulated by the federal government. Consequently, the FLSA did not apply. -The Court’s ruling in many ways raised as many questions as it answered, particularly +The Courtďż˝s ruling in many ways raised as many questions as it answered, particularly around the issue of what could be included under the notion of general government. The confusion persisted until, nearly ten years later, the Court reviewed a case that sought to -determine whether the San Antonio transit authority was performing general govern¬ +determine whether the San Antonio transit authority was performing general governďż˝ ment functions and was therefore exempt from the Fair Labor Standards Act. In Garcia v. San Antonio Metropolitan Transit Authority (1985), however, the Court went beyond the narrow question of whether transit is a general government function and decided that Congress did in fact have the power, under its responsibilities to regulate commerce, to intervene in the affairs of state and local governments. -The effect of Garcia, a direct reversal of the Court’s earlier position in the Usery case, -was to remove questions about the scope of the federal government’s powers from the +The effect of Garcia, a direct reversal of the Courtďż˝s earlier position in the Usery case, +was to remove questions about the scope of the federal governmentďż˝s powers from the realm of judicial inquiry. The Court essentially held that the states have sufficient input into the national legislative process, through the election of members of Congress and the influence of their governors and mayors, to be able to protect themselves politically @@ -5939,7 +5116,7 @@ also indicated that the federal government had the right to tax income earned on exempt bonds. Obviously, if the federal government had this right, then the states would have to compete directly with private firms issuing bonds. While political leaders tried to assure the bond market that the federal government would not try to balance -its budget by intruding on the states’ abilities to issue tax-exempt bonds, several such +its budget by intruding on the statesďż˝ abilities to issue tax-exempt bonds, several such proposals were in fact introduced in Congress. As you can imagine, states and localities were incensed at this intrusion into a critical area of state financing, but again the states were precluded from a judicial remedy and asked to rely on their political power to see @@ -5958,34 +5135,34 @@ expanded federal action directed at state and local governments. We should not, however, rush to judgment, since many of the' Supreme Court rulings handed down in the past decade have been decided by 5-4 votes, and in several key -cases the majority has clearly reaffirmed the sovereignty of state governments (for exam¬ +cases the majority has clearly reaffirmed the sovereignty of state governments (for examďż˝ ple, New York v. United States [1992], Seminole Tribe of Florida v. Florida [1996], Printz v. United States [1997], and Alden v. Maine [1999]). In fact, a recent commentary on the emerging judicial federalism noted that the majority opinions maintained a theme -“that state sovereignty may not be invaded, not only because it is rooted in the nation’s +ďż˝that state sovereignty may not be invaded, not only because it is rooted in the nationďż˝s constitutional structure, but also because such invasion undermines the very operation of -American democracy” (Wise, 2001, p. 354). +American democracyďż˝ (Wise, 2001, p. 354). Whereas these cases deal with the powers of the federal government over states and localities, similar but somewhat less complex issues have been raised with respect to the powers of the states over local governments. As noted, our intergovernmental system does not allocate separate spheres of power to state and local governments, but rather treats local governments merely as creatures of the state, having only those powers -granted by the state. In what has come to be known as Dillon’s Rule, Judge John Dillon +granted by the state. In what has come to be known as Dillonďż˝s Rule, Judge John Dillon declared in 1911 that municipalities had only those powers granted in their charters, those fairly implied by the expressed powers, and those essential to the purposes of their -being granted a charter. In other words, Dillon’s Rule allowed for state control over all -but a narrow range of local activities. Dillon’s Rule has been somewhat relaxed, espe¬ +being granted a charter. In other words, Dillonďż˝s Rule allowed for state control over all +but a narrow range of local activities. Dillonďż˝s Rule has been somewhat relaxed, espeďż˝ cially in states that permit cities greater autonomy through home-rule provisions, but the powers of local government continue to derive directly from the actions of the state. -There are various mechanisms involved in the relationship between the federal govern¬ +There are various mechanisms involved in the relationship between the federal governďż˝ ment and the states and between the states and localities. Preemptions involving the federal government preempting state action are traditionally associated with the lower level of -government. For example, the federal Nutrition Labeling and Education Act of 1990 pre¬ +government. For example, the federal Nutrition Labeling and Education Act of 1990 preďż˝ empted many state and local laws regarding food labeling. Such assumptions of power have been particularly significant in the last few years. For example, federal preemptions of -state and local authority more than doubled after 1970. More than 50 percent of the pre¬ +state and local authority more than doubled after 1970. More than 50 percent of the preďż˝ emption statutes enacted in the entire history of our country were enacted in the last twenty years. Not even Ronald Reagan, despite his rhetoric promising a return of more power to the states, was exempt from this trend, endorsing federal limits on the regulation @@ -5999,8 +5176,8 @@ states and localities, the states on the cities). Direct orders might include a requirement that cities meet certain clean water standards or a state requirement that a city pay part of the costs of certain welfare programs. Another way control may be exercised over another government is through conditions tied to grants-in-aid. These -conditions are typically of the type parents use with children: “You can go outside to -play, if you first clean up your room.” Conditions of aid might require land-use plan¬ +conditions are typically of the type parents use with children: ďż˝You can go outside to +play, if you first clean up your room.ďż˝ Conditions of aid might require land-use planďż˝ ning or an assurance of making facilities accessible to the handicapped prior to a capital construction project. @@ -6015,7 +5192,7 @@ requirements are rules that apply to most, if not all, grant programs. For insta federal government requires environmental impact statements before undertaking capital projects, certain personnel provisions in agencies receiving grant funds, and compliance with civil rights legislation. 2) Other conditions-of-aid are program specific, applicable -only to the particular program. They may include rules about program planning, imple¬ +only to the particular program. They may include rules about program planning, impleďż˝ mentation, and evaluation; for example, a particular program might prescribe certain maximum salaries for individuals employed under the grant or some form of citizen participation in program design. Most federal programs have this latter requirement. @@ -6029,19 +5206,19 @@ advancing regulatory and administrative objectives has been reaffirmed in severa Supreme Court decisions, notably Cedar Rapids Community School District v. Garret (1999) and Davis v. Monroe County Board of Education (1999) (see Box 3.4). -The term mandate has been used to embrace both “conditions-of-aid” and “direct -orders,” in either case an order requiring a government to do something it might not +The term mandate has been used to embrace both ďż˝conditions-of-aidďż˝ and ďż˝direct +orders,ďż˝ in either case an order requiring a government to do something it might not otherwise do. Mandates often require states or localities to spend money they would not -otherwise spend. Today it is estimated that federal mandates cost state and local govern¬ -ments an estimated $100 billion a year. State spending mandated by the recent immigra¬ +otherwise spend. Today it is estimated that federal mandates cost state and local governďż˝ +ments an estimated $100 billion a year. State spending mandated by the recent immigraďż˝ tion bills alone is estimated to be over $1 billion. Moreover, states and cities claim that mandates unduly impinge upon the autonomy of their level of government. Consequently, mandates have become a source of considerable frustration for those on the receiving end. -It’s no wonder that former Mayor Edward Koch described the “mandate millstone” -around the necks of state and local officials as “a maze of complex statutory and adminis¬ -trative directives [threatening] both the initiative and the financial health of local govern¬ -ments throughout the country” (Koch, 1980, p. 42). Koch was joined then and now in +Itďż˝s no wonder that former Mayor Edward Koch described the ďż˝mandate millstoneďż˝ +around the necks of state and local officials as ďż˝a maze of complex statutory and adminisďż˝ +trative directives [threatening] both the initiative and the financial health of local governďż˝ +ments throughout the countryďż˝ (Koch, 1980, p. 42). Koch was joined then and now in his argument by mayors and governors across the country. The mayors were concerned with both federal and state mandates, while the governors were concerned primarily with federal mandates. @@ -6049,14 +5226,14 @@ federal mandates. For nonprofits, mandates tend to be a part of daily life. The key difference is that where a local government may have mandates from a relatively narrow number of sources, such as the federal and state level, a nonprofit agency often will face direct orders -or conditions-of-aid requirements from each of its funding sources, and the larger the fun¬ +or conditions-of-aid requirements from each of its funding sources, and the larger the funďż˝ der (and funding amount) the greater the burden. Those in the nonprofit sector sometimes -speak of mandates as the “golden handcuffs”—the funding is great, but grant-maker +speak of mandates as the ďż˝golden handcuffs��the funding is great, but grant-maker demands usually place an excessive administrative strain on the organization. As Paul Light concluded, the situation has been exacerbated in recent years by trends in nonprofit -management reform: “Unfortunately, the nonprofit sector is caught in the middle of an +management reform: ďż˝Unfortunately, the nonprofit sector is caught in the middle of an unrelenting contest between competing philosophies and advocates of reform, all of -which produce significant motion back and forth across different reform ideologies” +which produce significant motion back and forth across different reform ideologiesďż˝ @@ -6066,38 +5243,38 @@ which produce significant motion back and forth across different reform ideologi array of reporting standards and administrative procedures imposed by grant-makers. The United Way of America, for example, has played a leading role across the country -in establishing guidelines for performance (or “outcome”) management by nonprofit -organizations, and an increasing number of local United Ways have set reporting stan¬ +in establishing guidelines for performance (or ďż˝outcomeďż˝) management by nonprofit +organizations, and an increasing number of local United Ways have set reporting stanďż˝ dards for agencies receiving grants. Similarly, many foundations (large and small) have -made interagency partnerships an eligibility requirement for grant programs. If a non¬ +made interagency partnerships an eligibility requirement for grant programs. If a nonďż˝ profit service provider wants to apply for a grant, the leadership must show how the agency will collaborate with other nonprofits, government, and even for-profit firms. At the federal level, every president since Nixon has pledged to reduce the burden of mandates on states and local governments. In his 1992 State of the Union address, -President Bush said, “We must put an end to unfinanced Federal Government man¬ +President Bush said, ďż˝We must put an end to unfinanced Federal Government manďż˝ dates. ... If Congress passes a mandate, it should be forced to pay for it and to balance -the cost with savings elsewhere. After all, a mandate just increases someone else’s bur¬ -den, and that means higher taxes at the state and local level” (Bowman & Pagano, +the cost with savings elsewhere. After all, a mandate just increases someone elseďż˝s burďż˝ +den, and that means higher taxes at the state and local levelďż˝ (Bowman & Pagano, 1992, p. 4). However, shortly after the president made his remarks, he signed a budget -agreement that contained twenty new mandates expected to cost state and local govern¬ +agreement that contained twenty new mandates expected to cost state and local governďż˝ ments about $17 billion over the next five years. An important step forward was taken in March 1995, when President Clinton signed the Unfunded Mandate Reform Act of 1995, presumably an effort to limit the effects of federally imposed mandates. While this legislation does not provide federal funding for -all mandated activities, it does require that Congress recognize the implications of man¬ -dates for state and local activities and, in some cases, authorize funding for such man¬ +all mandated activities, it does require that Congress recognize the implications of manďż˝ +dates for state and local activities and, in some cases, authorize funding for such manďż˝ dates. However, there seem to be a variety of loopholes through which Congress might avoid funding. While most state and local government associations actively supported the act, most also realize that it provides limited relief from federally imposed mandates. -And, we should note that the act does nothing about mandates imposed on local govern¬ +And, we should note that the act does nothing about mandates imposed on local governďż˝ ments by state governments. Subnational Relationships Even focusing on state and local activities, we find the federal government involved in -some way—at a minimum, in providing funds for states and localities. But important +some wayďż˝at a minimum, in providing funds for states and localities. But important intergovernmental activity also occurs at the subnational level: state to state, state to local, and local to local. @@ -6105,9 +5282,9 @@ State to State Relationships between and among states are mentioned several times in the U.S. Constitution, most notably in the requirement that states recognize the rights and -privileges of citizens of other states and give “full faith and credit” to the public acts +privileges of citizens of other states and give ďż˝full faith and creditďż˝ to the public acts and legal proceedings of other states. Some of the most important intergovernmental -relationships involving various state governments are not based in constitutional doc¬ +relationships involving various state governments are not based in constitutional docďż˝ trine, however, but are rather the result of political practices over the years. @@ -6115,7 +5292,7 @@ trine, however, but are rather the result of political practices over the years. The State and Local Perspective 103 Relationships among states are not without conflict. States may differ over census -counts (important in determining the number of representatives in Congress), may dis¬ +counts (important in determining the number of representatives in Congress), may disďż˝ pute shifting state boundaries (as when a river changes course), and may debate a variety of substantive policy issues (such as the rights to underground water or the degree to which dumping pollutants into a river affects water quality in states downstream). In @@ -6125,20 +5302,20 @@ produce the Saturn, many states entered an intense bidding war, each hoping GM w locate the plant within its boundaries. States also cooperate. There are many opportunities for officials in one state to seek -the advice of those in other states with respect to policy alternatives or new administra¬ +the advice of those in other states with respect to policy alternatives or new administraďż˝ tive arrangements. Many organizations, including the Council of State Governments, the -National Governor’s Association, the National Council of State Legislators, and groups +National Governorďż˝s Association, the National Council of State Legislators, and groups that bring together state officials in personnel, budgeting, purchasing, social welfare, health, and so forth, have been created to help officials share information and expertise. -These groups, along with the Washington offices of various states, constitute an impor¬ +These groups, along with the Washington offices of various states, constitute an imporďż˝ tant lobbying group in Washington. One way the states come together to resolve potential disputes or work together on common problems is through interstate compacts. These agreements have historically been bilateral, involving only two states; however, increasingly, compacts are being developed to involve a number of states within a region or even all fifty states. Originally -used to resolve boundary disputes, interstate compacts today cover a wide variety of top¬ -ics, most arising from the fact that today’s policy problems do not confine themselves +used to resolve boundary disputes, interstate compacts today cover a wide variety of topďż˝ +ics, most arising from the fact that todayďż˝s policy problems do not confine themselves neatly to the borders of one state. Imagine, for example, the common interests of people in several states sharing the same underground water supply. Think also of the problems that are of interest to all who live in metropolitan areas, such as Cincinnati or Kansas @@ -6156,7 +5333,7 @@ arrange to work together without involving the federal government. State to Local -We have seen that the relationship between states and localities is unitary—that is, local +We have seen that the relationship between states and localities is unitaryďż˝that is, local governments have only those powers granted by the state. However, the nature of the powers may vary considerably. Most cities operate under some form of charter, the local government equivalent of a constitution. But a state may grant charters in three ways. @@ -6175,10 +5352,10 @@ Class B and have a different set of provisions. A final means of chartering citi home rule, permits cities to write their own charters, within very broad state guidelines and generally subject to voter approval. -Home rule provides the greatest flexibility for local governments in terms of basic struc¬ -ture; however, even under home rule, there is substantial state involvement in local gov¬ +Home rule provides the greatest flexibility for local governments in terms of basic strucďż˝ +ture; however, even under home rule, there is substantial state involvement in local govďż˝ ernment affairs. For one thing, the states are an important source of funding for local -activities. Indeed, at a time when federal aid has leveled somewhat, state aid to local gov¬ +activities. Indeed, at a time when federal aid has leveled somewhat, state aid to local govďż˝ ernments has increased dramatically. Between 1980 and 1995, for example, state aid to local governments increased from about $83 billion to well over $200 billion, with most of that targeted for education and lesser amounts for welfare, highways, and other purposes. @@ -6193,12 +5370,12 @@ governments to assume new responsibilities. In most states, there are twenty to statutes that impose substantial financial burdens on local governments. The total number of mandates or regulations may number in the thousands (Berman, 1992, p. 53). -Just as states complain about federal mandates, many local officials view state man¬ +Just as states complain about federal mandates, many local officials view state manďż˝ dates as unnecessary intrusions on local prerogatives that may require local expenditures that might not otherwise be made. Recently, localities have complained especially about sneaky mandates, actions that are required of local governments by the inaction of state -governments. For example, Georgia failed to pick up prisoners housed “temporarily” in -county jails, resulting in overcrowding in the prison system, to say nothing of the addi¬ +governments. For example, Georgia failed to pick up prisoners housed ďż˝temporarilyďż˝ in +county jails, resulting in overcrowding in the prison system, to say nothing of the addiďż˝ tional financial burden on the counties. There is, however, new sympathy for localities in terms of mandates and about one-third of the states now have requirements for at least partial reimbursements of expenses created by mandates (MacManus, 1992). @@ -6209,12 +5386,12 @@ representatives and senators can and often do voice the local message loudly and in the state legislature. Moreover, various patterns of state and local cooperation have emerged in the past several years. Many states, for example, have developed state-level equivalents of the federal Advisory Commission on Intergovernmental Relations. These -state commissions bring together state and local officials to discuss problems in the inter¬ +state commissions bring together state and local officials to discuss problems in the interďż˝ governmental system and devise ways to work together more effectively. Among the recommendations that have emerged are suggestions for greater local discretionary authority and for reductions in the number of state mandates. -In 2000, the State of Wisconsin launched a comprehensive assessment of state-local part¬ +In 2000, the State of Wisconsin launched a comprehensive assessment of state-local partďż˝ nerships, with the intent of developing an incentive-based, performance-driven system of intergovernmental relations. A primary issue for the reformers, namely Governor Tommy @@ -6224,7 +5401,7 @@ The State and Local Perspective 105 Thompson and his predecessor, Scott McCallum, centers on ways to balance public demands for an integrated system of service delivery with the need for local self-governance -in the policy-making process. Some of the early recommendations from the governors’ blue- +in the policy-making process. Some of the early recommendations from the governorsďż˝ blue- ribbon commission include creating more incentives to encourage collaboration between governments, moving service delivery toward performance-based contracts, and integrating new technologies to enhance government productivity (Kettl, 2001). @@ -6234,7 +5411,7 @@ Local to Local In discussions of intergovernmental relations, there is an understandable tendency to focus on national patterns, but for those who work at the local level, relationships with other local governments are extremely important. One reason is that many citizens live -in one jurisdiction, work in another, shop in another, and pay taxes to several. They nat¬ +in one jurisdiction, work in another, shop in another, and pay taxes to several. They natďż˝ urally expect services, such as the quality of the streets or law enforcement, to remain fairly constant as they move from one place to another. @@ -6249,20 +5426,20 @@ local authorities (Nice, 1987, p. 191). But many interlocal problems are resolved at the local level. Natural, though informal, patterns of cooperation develop, especially in the relationships among local professionals. The police chief in one community talks with other police chiefs, the health officer talks -with other health officers, and so on. More formally, one government may actually pur¬ -chase services from another, contracting for police or fire protection, wastewater treat¬ +with other health officers, and so on. More formally, one government may actually purďż˝ +chase services from another, contracting for police or fire protection, wastewater treatďż˝ ment, or trash collection. Los Angeles County, for example, provides a variety of services -to local governments through contract arrangements. Additionally, councils of govern¬ +to local governments through contract arrangements. Additionally, councils of governďż˝ ment (COGs), oversight bodies representing various localities, may be created to help coordinate local affairs. In recent years, partnerships between local governments have entered the information -age as many cities and counties started to share technological innovations across juris¬ +age as many cities and counties started to share technological innovations across jurisďż˝ dictions. In the city of Sunnyvale, California, for example, the local government worked with other municipalities and the Microsoft Corporation to develop an online permitting software. The Silicon Valley Smart Permit initiative proved to be so successful, Sunnyvale has created a public-private partnership with a management firm and its -e-government affiliate to market the application to other local authorities that are inter¬ +e-government affiliate to market the application to other local authorities that are interďż˝ ested in enhancing the efficiency and responsiveness of the regulatory process (Mariani, 2001; Hernandez, 2001). @@ -6290,11 +5467,11 @@ NGOs can be found at all levels of governance and in a variety of policy areas. NGOs must be considered not only for their part in implementing public programs, but also their growing influence in raising issues to the public agenda, lobbying for particular policy alternatives, and guiding political and administrative decision making. In many -respects, even the term “intergovernmental relations” seems a bit outdated; perhaps we +respects, even the term ďż˝intergovernmental relationsďż˝ seems a bit outdated; perhaps we should opt for the more inclusive term, interorganizational relations. The use of NGOs in the delivery of public services has grown markedly in the last -several years. Figure 3.1 compares civilian employment and overall governmental expen¬ +several years. Figure 3.1 compares civilian employment and overall governmental expenďż˝ ditures at the federal level. Between 1950 and 2000, government spending increased by over 400 percent, even holding inflation constant, but government employment grew only about 25 percent, with practically no significant growth in the last twenty-five @@ -6316,21 +5493,21 @@ Much of the attention on NGOs tends to focus on the nonprofit sector, which we w discuss later in this chapter. But for-profits also deserve their share of attention. Traditionally, business was seen as the antithesis to government, with clear boundaries between the public and private sectors. Today, we have experienced a significant blurring -between sector lines, with only vague distinctions between for-profit firms and govern¬ +between sector lines, with only vague distinctions between for-profit firms and governďż˝ ment agencies. Such involvement of private sector firms in public programs, of course, -isn’t completely new. Defense and aerospace companies have contracted with government +isnďż˝t completely new. Defense and aerospace companies have contracted with government for decades, and for-profit prisons were actually the norm in the nineteenth century. In fact, many of our technological innovations stem from public-private partnerships. Increasingly, though, these partnerships can be found in areas once viewed as purely -public in nature, including health and human services, trash collection, education, envi¬ +public in nature, including health and human services, trash collection, education, enviďż˝ ronmental protection, and parks and recreation (Sagawa & Segal, 2000; Rosenau, 2000). Governments have entered into public-private partnerships to conserve revenues, -to reduce crime in blighted areas, and to promote economic growth. We mentioned pre¬ -viously the partnership between the city of Sunnyvale, California, and other municipali¬ +to reduce crime in blighted areas, and to promote economic growth. We mentioned preďż˝ +viously the partnership between the city of Sunnyvale, California, and other municipaliďż˝ ties with the Microsoft Corporation to create the online permitting software. Other -examples include an alliance between the city of Daytona Beach and a private develop¬ -ment firm to renovate a dilapidated boardwalk area and build a beachfront hotel; a part¬ +examples include an alliance between the city of Daytona Beach and a private developďż˝ +ment firm to renovate a dilapidated boardwalk area and build a beachfront hotel; a partďż˝ nership between the state of Michigan and other states for correctional services; and school districts across the country forming relationships with private computer firms to bring public school classrooms into the information age. In each case, the interorganiza- @@ -6342,8 +5519,8 @@ The movement toward greater involvement of NGOs in the delivery of public servic partly ideological. Some people simply feel that services should be provided by those outside government wherever possible. But the movement has also been stimulated by recent restrictions on government spending and a resulting effort to find more efficient -ways to conduct the public’s business. Both motives have been discussed under the head¬ -ing privatization, which is the use of NGOs to provide goods or services previously pro¬ +ways to conduct the publicďż˝s business. Both motives have been discussed under the headďż˝ +ing privatization, which is the use of NGOs to provide goods or services previously proďż˝ vided by government, but since the term is used several different ways, it is important to be clear about its various meanings (Kolderie, 1986). @@ -6360,12 +5537,12 @@ io8 Chapter 3 The Interorganizational Context of Public Administration Conrail and certain petroleum reserves are exceptions). There'are many more limited examples of privatization, however; a city might, for example, sell a golf course to a -country club development, thus ending the government’s involvement in golf. +country club development, thus ending the governmentďż˝s involvement in golf. Networking To trace some innovative practices in government, check out the Institute for -Innovations in Government at Harvard University’s Kennedy School of +Innovations in Government at Harvard Universityďż˝s Kennedy School of Government program at http://www.innovations.harvard.edu. Also see the Center for Accountability and Performance at http://www.aspanet.org/cap/index.html. For innovations in nonprofit organizations, see the Peter F. Drucker Foundation @@ -6376,7 +5553,7 @@ people may feel that clients will receive more personal attention from a nongove private group, such as one that operates a drug abuse program or a day care center. Others suggest that privatization enhances competition among service providers, thus ensuring that the new means of delivering services will provide higher quality at a lower cost to the client. -Programs also can be turned over to the private sector because the programs seem inappro¬ +Programs also can be turned over to the private sector because the programs seem inapproďż˝ priate to government or because the private firm can operate more efficiently. Privatization is used in a more narrow sense (and more frequently) to refer to various @@ -6384,25 +5561,25 @@ devices through which a government retains a policy role regarding a particular but engages someone else to actually deliver the service. A federal agency might decide to contract with a private firm rather than handle its computer programming itself; a state might contract with a nonprofit organization to deliver services to welfare recipients; or -a local government might lease a public hospital to a private firm. In each case, the ser¬ +a local government might lease a public hospital to a private firm. In each case, the serďż˝ vices would be spelled out in detail by the government and some, if not all, funding might be provided, but day-to-day operation of the program would be the responsibility of the for-profit or nonprofit agency. During the past decade government at all levels has explored a variety of mechanisms foi privatizing public services, the most popular being the use of contracting. Supporters -of contracting view fee-for-service and similar arrangements with NGOs as a more effi¬ +of contracting view fee-for-service and similar arrangements with NGOs as a more effiďż˝ cient method of service delivery, given the greater flexibility, different labor costs, and economies of scale offered by for-profit and nonprofit organizations. Some of the most -publicized examples of contracting in recent years have been in the area of human ser¬ +publicized examples of contracting in recent years have been in the area of human serďż˝ vices, as the federal government shifted to state and local authorities (and in turn to -NGOs) a larger role in the nation’s welfare system under the Personal Responsibility and +NGOs) a larger role in the nationďż˝s welfare system under the Personal Responsibility and Work Opportunity Reconciliation Act of 1996. -In the city of West Palm Beach, Florida, the local Work and Gain Economic Self-suffi¬ +In the city of West Palm Beach, Florida, the local Work and Gain Economic Self-suffiďż˝ ciency (WAGES) Board, the public-private partnership that oversees implementation of welfare reform in regions statewide, invested $6.2 million on welfare-to-work programs -in fiscal year 1998/99. The WAGES Board contracted with Lockheed Martin IMS, a sub¬ +in fiscal year 1998/99. The WAGES Board contracted with Lockheed Martin IMS, a subďż˝ sidiary of the aviation-aerospace giant, to run the programs, and in a short period of time reduced the number of welfare cases by 45 percent. Advocates say the for-profit @@ -6410,19 +5587,19 @@ time reduced the number of welfare cases by 45 percent. Advocates say the for-pr Working with Nongovernmental Organizations 109 -firm was able to be more innovative than government agencies in its hiring and develop¬ +firm was able to be more innovative than government agencies in its hiring and developďż˝ ment of service systems, and in the future the WAGES Board intends to examine ways to use privatization to streamline even the determination of program eligibility (Walters, 2000, pp. 34-35). The state of Kansas used contracts to hand over to the private sector most of its child -welfare services. Several years ago, government officials recognized that the state’s foster -care, adoption and related programs simply had to change. “We had a failed child wel¬ -fare system in this state,” said State Rep. Melvin Neufeld, who played a key part in +welfare services. Several years ago, government officials recognized that the stateďż˝s foster +care, adoption and related programs simply had to change. ďż˝We had a failed child welďż˝ +fare system in this state,ďż˝ said State Rep. Melvin Neufeld, who played a key part in drafting the reform legislation. Excessive costs and declining effectiveness on the part of government agencies, coupled with a newly elected conservative leadership in the state legislature, prompted state officials to shift virtually the entire system of service delivery -over to NGOs, mostly for-profit firms, hinder the new system, state government con¬ +over to NGOs, mostly for-profit firms, hinder the new system, state government conďż˝ tracts with lead agencies at a regional level, which in turn subcontract with NGOs to handle actual service delivery. State officials act mainly to administer the contracts and ensure standards for service quality (Gurwitt, 2000, p. 40). @@ -6430,10 +5607,10 @@ ensure standards for service quality (Gurwitt, 2000, p. 40). As these cases may suggest, privatization has transformed public welfare into a major growth industry. Maximus, Lockheed Martin IMS, and other for-profit corporations have capitalized on the new arrangements to expand their business operations. The -Lockheed Martin IMS story is particularly interesting, since it also reflects changing pri¬ -orities in public policy in the aftermath of the cold war. As the number of defense con¬ +Lockheed Martin IMS story is particularly interesting, since it also reflects changing priďż˝ +orities in public policy in the aftermath of the cold war. As the number of defense conďż˝ tracts dwindled during the 1980s and 1990s, Lockheed Martin IMS picked up the slack -in its parent company’s defense-related operations by contracting for delivery and +in its parent companyďż˝s defense-related operations by contracting for delivery and administration of welfare services. The strategy has proven to be quite a success. Lockheed Martin IMS has experienced a significant jump in the number of government clients, from zero to 25, since the passage of welfare reform in 1996. @@ -6441,22 +5618,22 @@ clients, from zero to 25, since the passage of welfare reform in 1996. But privatization of human services has its challenges. Even as supporters point to the Kansas and Llorida examples as success stories, a closer look reveals major problems relating to sustainability. Next door to its thriving effort in West Palm Beach, Lockheed -Martin IMS struggled in Miami-Dade County. The company’s costs exceeded $38 mil¬ +Martin IMS struggled in Miami-Dade County. The companyďż˝s costs exceeded $38 milďż˝ lion in the same fiscal year, but failed to make a significant impact on caseloads. In fact, the county government has since handed the contract for welfare-to-work services over to a local community college (Walters, 2000, p. 35). -In Kansas, the state’s transformation of child and family services has come under +In Kansas, the stateďż˝s transformation of child and family services has come under attack not only from liberal critics, who argue that public welfare should not be left up to firms whose primary motive is profit, but also from the businesses themselves. Governing -magazine reported that “Kansas’ story isn’t really about privatization: It’s about a rushed, +magazine reported that ďż˝Kansasďż˝ story isnďż˝t really about privatization: Itďż˝s about a rushed, no-holds-barred effort to build a public-private social services system using managed-care -principles, as well as its struggle to recover from the fallout” (Gurwitt, 2000, p. 40). The -fallout? State officials have been forced to pick up the pieces from what can only be con¬ +principles, as well as its struggle to recover from the falloutďż˝ (Gurwitt, 2000, p. 40). The +fallout? State officials have been forced to pick up the pieces from what can only be conďż˝ sidered a managed-care revolution. Unlike other states, Kansas bypassed smaller-scale, experimental initiatives, choosing instead sweeping reforms. The change inside the state resulted in confusion, as state officials struggled to learn new roles as contract managers -rather than care givers. Lor private firms, the reforms opened a floodgate on newly cre¬ +rather than care givers. Lor private firms, the reforms opened a floodgate on newly creďż˝ ated service networks, swamping many businesses that simply did not have the expertise or capacity to deal with the demands of public welfare programs. @@ -6466,13 +5643,13 @@ no Chapter 3 The lnterorganizational Context of Public Administration The use of contracts to provide public services certainly has its promise. However, as the Kansas example has shown, building effective alliances with NGOs must not be -taken for granted. Nor should contracts be seen as the only mechanism. There are a vari¬ +taken for granted. Nor should contracts be seen as the only mechanism. There are a variďż˝ ety of options for partnering with NGOs. A franchise can be awarded to a private firm to perform a certain service within a state or locality. The firm charges citizens directly for the services it provides. Typically, rates and performance standards are established by the government, and there is often some continuing regulation of the firm. Examples include electric power, taxi services, cable television, and emergency ambulance services. -Similarly, governments may provide grants or subsidies to private or nonprofit organiza¬ +Similarly, governments may provide grants or subsidies to private or nonprofit organizaďż˝ tions that are performing needed public services. The government provides full or partial support for activities that will benefit the community but which the local government, for financial or other reasons, does not wish to operate on its own. Examples include @@ -6482,7 +5659,7 @@ All levels of government have experimented with the use of vouchers, which are c citizens may use to redeem for goods or services. The federal food stamp program, for example, provides recipients with vouchers to purchase food, but permits the individual to choose both the supplier and the items to be purchased (within stated limits). At the local -level, many jurisdictions have explored the use of vouchers for education. But while propo¬ +level, many jurisdictions have explored the use of vouchers for education. But while propoďż˝ nents suggest it would lead to more effective, efficient options than the public schools, the issue has become one of the most controversial topics in current education policy. @@ -6490,7 +5667,7 @@ What is important in all of these efforts to privatize public services is that t government officials into new relationships with NGOs. But these new circumstances also raise important value questions. Where government programs are run directly by government, responsibility for their success lies squarely with the government agency. -But where such programs are actually delivered by those in the private or nonprofit sec¬ +But where such programs are actually delivered by those in the private or nonprofit secďż˝ tor, traditional mechanisms for control and accountability may not work. Maintaining a proper concern for democratic values such as equity and responsiveness may, in the long run, prove more difficult than the managerial challenges of creating appropriate interor- @@ -6498,7 +5675,7 @@ ganizational policy networks. The Management of Nonprofit Organizations -As we have seen, NGOs have become important players in public policy and administra¬ +As we have seen, NGOs have become important players in public policy and administraďż˝ tion. Unfortunately, many public administrators fail to appreciate the distinct challenges faced by these organizations, especially in the nonprofit sector. In order to develop more effective interorganizational, cross-sector relations, it may be helpful to identify some of @@ -6517,9 +5694,9 @@ tional action, for engaging in strategy making and planning as a way of setting objectives, and for developing an operational structure to facilitate the translation of strategy into action. -Creating effective leadership systems in nonprofits starts with forging a sound mis¬ +Creating effective leadership systems in nonprofits starts with forging a sound misďż˝ sion and vision. The mission represents what purpose the organization will serve in -its community; the vision is the guiding image of what members want the organiza¬ +its community; the vision is the guiding image of what members want the organizaďż˝ tion to become in the future (Smith, Bucklin & Associates, 2000; Bryson, 1997). While these factors are critical in virtually all organizations, they are especially important in nonprofits. Independent-sector groups depend upon a lot more than @@ -6529,26 +5706,26 @@ for the future, nonprofit leaders will find it extremely difficult to build the mass necessary for success. Of course, setting a mission and vision must be combined with sound planning, in -particular establishing clear, measurable goals and objectives. A recent survey of non¬ -profits found that the “level of support and commitment to planning by the leadership of +particular establishing clear, measurable goals and objectives. A recent survey of nonďż˝ +profits found that the ďż˝level of support and commitment to planning by the leadership of the organization is ... a crucial element in an assessment of organizational capacity. -If management neither plans nor possesses the support systems needed to enable plan¬ +If management neither plans nor possesses the support systems needed to enable planďż˝ ning (e.g., budgeting systems, planning models, information about past organizational experiences), then the issue of capacity is largely moot. Organizational survival generally -requires planning and the development of a shared vision and goals[.]” (Fredericksen & +requires planning and the development of a shared vision and goals[.]ďż˝ (Fredericksen & London, 2000, pp. 234-235). -Leadership also involves building a solid organizational foundation that allows non¬ +Leadership also involves building a solid organizational foundation that allows nonďż˝ profits to transform their strategy into action. For those working in the charitable sector, this often proves to be the most difficult task. Most nonprofits begin with an idea, which translates very well into mission and vision. Things get much tougher, though, in trying to turn the idea into an organizational reality. -In fact, one of the biggest challenges confronting today’s nonprofits involves creating +In fact, one of the biggest challenges confronting todayďż˝s nonprofits involves creating effective, high-capacity systems of operation. Much of this stems from an unwillingness -on the part of government and foundation grant-makers to provide funding for adminis¬ +on the part of government and foundation grant-makers to provide funding for adminisďż˝ trative costs. Nonprofit agencies could gain access to resources for programming and -service-delivery, but struggled to find support for the basics of management—staff, equip¬ +service-delivery, but struggled to find support for the basics of managementďż˝staff, equipďż˝ ment, technology, and related expenses. Fortunately, foundations have begun to realize that while restricting funding to program-related needs sounds good, it s impossible to deliver quality services without a well-developed administrative structure (Greene, 2000). @@ -6559,7 +5736,7 @@ To explore some of the aspects of nonprofit management, go to the Aspen Institut at http://www.aspeninstitute.org; the Hauser Center for Nonprofit Organizations at Harvard University at http://www.ksghauser.harvard.edu; the Institute for Not-for-Profit Management at Columbia University at http://www.gsb.columbia. -edu/execed/INM/index.html. See Chapter 2 for a list of sites relating to the advo¬ +edu/execed/INM/index.html. See Chapter 2 for a list of sites relating to the advoďż˝ cacy role of nonprofit organizations. @@ -6570,11 +5747,11 @@ Resource Development Speaking of financial support, resource development represents another key element of nonprofit management. Agencies in the independent sector receive their funding from a -variety of sources, including fees and charges, government grants-in-aid, and private giv¬ -ing. According to Giving USA 2001 (Center on Philanthropy, 2001) nonprofit organiza¬ +variety of sources, including fees and charges, government grants-in-aid, and private givďż˝ +ing. According to Giving USA 2001 (Center on Philanthropy, 2001) nonprofit organizaďż˝ tions reported more than $203 billion in revenues in charitable contributions during 2000, with 75 percent from individuals, 12 percent from foundations, 7.8 percent from -bequests, and 5.2 percent from corporations. And this figure doesn’t include funding from +bequests, and 5.2 percent from corporations. And this figure doesnďż˝t include funding from fees and government grants, which make up an additional $400 billion. With such a diverse revenue base, it might seem strange that a primary weakness of nonprofits (especially the smaller organizations) is to rely too much on a single source of support, or @@ -6582,34 +5759,34 @@ to not look beyond the next grant cycle for their funding. Successful nonprofits other hand, diversify their revenue streams, balancing between grants, fees-for-service, and other sources. -Nonprofit organizations that are classified as either a public charity or private foun¬ +Nonprofit organizations that are classified as either a public charity or private founďż˝ dation under IRC 501(c)(3) benefit from their tax-exempt status, which allows taxpayers -to deduct contributions as charitable donations. Some nonprofits also may receive dis¬ +to deduct contributions as charitable donations. Some nonprofits also may receive disďż˝ counts on postal rates, special provisions for financing, as well as various exemptions from state and local taxes. -To assure sustainability, many nonprofits and their associations have developed inno¬ -vative strategies for maintaining a sound financial base for the next generation. For exam¬ +To assure sustainability, many nonprofits and their associations have developed innoďż˝ +vative strategies for maintaining a sound financial base for the next generation. For examďż˝ ple, the National Committee on Planned Giving has initiated the Leave a Legacy program, a nationwide effort to encourage people of all socioeconomic groups to include charitable contributions as part of their estates. The program in large part aims at attracting charitable contributions from the baby-boomer generation, which over the next few decades will retire with an unprecedented level of wealth. An important element of -Leave a Legacy is its community-based focus—that is, a single organization cannot adopt +Leave a Legacy is its community-based focusďż˝that is, a single organization cannot adopt the program, but instead the program brings together nonprofits from around a given -community. Prospective donors are asked to work directly with the planned giving offi¬ +community. Prospective donors are asked to work directly with the planned giving offiďż˝ cers of the foundations they currently support, or with estate planners to decide upon a charitable beneficiary. As any nonprofit manager will tell you, resource development goes well beyond grants and other types of financial contributions. Although most people recognize the -challenge nonprofits face in competing for donors, few appreciate the level of competi¬ +challenge nonprofits face in competing for donors, few appreciate the level of competiďż˝ tion for other vital resources, such as in-kind support and volunteerism. While charitable -giving certainly remains central to a nonprofit organization’s balance sheet, more and +giving certainly remains central to a nonprofit organizationďż˝s balance sheet, more and more nonprofits depend on in-kind contributions and the time, energy and expertise of volunteers to meet their objectives. A recent study conducted by the Independent Sector found that while charitable giving by individuals had declined in recent years, more -Americans were volunteering than ever before. Figures for 1998 indicated that 109 mil¬ +Americans were volunteering than ever before. Figures for 1998 indicated that 109 milďż˝ lion people, or 56 percent of Americans, volunteered in some way with a charitable organization, far exceeding previous records (Greene, 1999, p. 1). @@ -6639,10 +5816,10 @@ Exempt from Income Tax), as well as file disclosure statements with state and lo authorities. In order to satisfy these requirements, nonprofits must maintain detailed financial -records. At the very least this includes following basic accounting standards and proce¬ +records. At the very least this includes following basic accounting standards and proceďż˝ dures. But financial management includes much more than reporting. It should be at the -heart of a nonprofit’s strategic planning and management. Without the ability to gener¬ -ate clear, meaningful financial information, then incorporate this information into orga¬ +heart of a nonprofitďż˝s strategic planning and management. Without the ability to generďż˝ +ate clear, meaningful financial information, then incorporate this information into orgaďż˝ nizational decision making, a nonprofit agency limits its overall capacity. Unfortunately, many nonprofits fail to follow established procedures and some do not even have in place even the simplest mechanisms for accounting. Small- to medium-sized nonprofits @@ -6653,8 +5830,8 @@ assets of the organization, as well as the revenues and expenses for established periods. Moreover, nonprofit managers should make sure that the budget and financial management process is undertaken in coordination with the governing board. In many cases such coordination is mandated in the articles of incorporation, but it also makes -sense to have those responsible for setting the strategic direction informed on the organi¬ -zation’s financial condition. +sense to have those responsible for setting the strategic direction informed on the organiďż˝ +zationďż˝s financial condition. Board Governance_ @@ -6662,7 +5839,7 @@ Most of the principles of nonprofit management discussed here have focused on th operational side of the organization. Flowever, independent-sector agencies also must have an effective governance system. Nonprofit boards are, in some respects, even more vital to the organization than the staff, since some smaller agencies rely on -board members for performing day-to-day tasks. Regardless of an agency’s size, its +board members for performing day-to-day tasks. Regardless of an agencyďż˝s size, its board represents the final decision-making body of the organization. By law, board members are bound (in the articles of incorporation) to ensure the fiscal and legal @@ -6672,84 +5849,84 @@ health of the agency. 114 Chapter 3 The Interorganizational Context of Public Administration -The board is responsible for several important roles. These include setting the strate¬ +The board is responsible for several important roles. These include setting the strateďż˝ gic direction for the organization, serving as champions in the external community, and overseeing organizational planning and implementation (Carver, 1996). First, with -regard to the strategic direction, board members act as the primary source of vision, mis¬ +regard to the strategic direction, board members act as the primary source of vision, misďż˝ sion and values for the agency, then ensure that these strategic factors become reflected in organizational action. An excellent example of this can be seen in Porter Hills Retirement Communities and Services, a nonprofit healthcare provider in Grand Rapids, Michigan. The Executive Leadership Team at Porter Hills actually brings the outline of the Porter Hills mission, vision, and values into its strategy sessions and considers these -principles prior to moving ahead on all important decisions. If a new venture, partner¬ +principles prior to moving ahead on all important decisions. If a new venture, partnerďż˝ ship, or internal change does not reflect the core principles of the organization, or does not coincide with where the board wants to be in the future, then the issue is either dropped or taken back to the board for direction. -Second, board members also must be the organization’s champions in the community. +Second, board members also must be the organizationďż˝s champions in the community. They are the principal spokespeople, representing the organization on key issues, but also the role models for donations and volunteerism, as mentioned previously. In this capacity, the board should set the policies and procedures for the operational staff and leadership on strategies for external communication. Board members, consequently, must always be kept in the loop on factors affecting the organization. -A vital point here is that the board must speak with one voice, or it shouldn’t speak at +A vital point here is that the board must speak with one voice, or it shouldnďż˝t speak at all. This means that board members should support decisions of the governance body once a consensus has been achieved. Too often, and particularly with smaller, community- based organizations, members of nonprofit boards go into the community and speak -against the other members, or against the organization. This does nothing but send a sig¬ +against the other members, or against the organization. This does nothing but send a sigďż˝ nal to those listening that the disgruntled board member has failed to appreciate the core values of governance. -Third, the board must support the organization’s leadership on issues of planning and +Third, the board must support the organizationďż˝s leadership on issues of planning and implementation. As advisors from the Support Center for Nonprofit Management noted, -‘ The board should make sure an effective planning process is in place, contribute its per¬ -spective on the organization’s strengths, weaknesses, opportunities and threats, and -woi k with staff to reach consensus on overall program and administrative priorities” +ďż˝ The board should make sure an effective planning process is in place, contribute its perďż˝ +spective on the organizationďż˝s strengths, weaknesses, opportunities and threats, and +woi k with staff to reach consensus on overall program and administrative prioritiesďż˝ (Allison & Kaye, 1997, p. 32). This doesn t mean that board members should try to manage day-to-day activities on the part of the staff. It does mean, though, that those on the operational side of the organization should coordinate and seek direction from the board on those issues that are truly strategic in nature. Nonprofit boards vary in size with some organizations having less than ten and -others having more than fifty members (this tends to be toward the extreme!). The com¬ +others having more than fifty members (this tends to be toward the extreme!). The comďż˝ position of the board will reflect the history and mission of the organization, but most nonprofits strive to ensure that the governance system will reflect the diversity and values of the constituent community. A few of the considerations relating to board size include -• What functions are required of the board? -• How many individuals, and in what roles, are needed to accomplish those functions? -• How many board committees are needed to accomplish the organization’s goals? +ďż˝ What functions are required of the board? +ďż˝ How many individuals, and in what roles, are needed to accomplish those functions? +ďż˝ How many board committees are needed to accomplish the organizationďż˝s goals? The Management of Nonprofit Organizations -' ^5“* '"d'viduals on the board ,o participate on board comm,ttees> +' ^5ďż˝* '"d'viduals on the board ,o participate on board comm,ttees> (Smith, Bucklin & Associates, 2000, p. 29) -A primary source of failure for nonprofit boards relates to the leadership’s inability -to manage the board's tin* wisely. Most often the greatest ^efficiencyh open. « +A primary source of failure for nonprofit boards relates to the leadershipďż˝s inability +to manage the board's tin* wisely. Most often the greatest ^efficiencyh open. ďż˝ board meetings. How many hour-and-a-half meetings have turned into three-hour -must set dea^tmie3 Set''n8 “ Yahab'e ^ginning point, but also the presiding officer +must set dea^tmie3 Set''n8 ďż˝ Yahab'e ^ginning point, but also the presiding officer his the constraints for each of the agenda items, making sure that everyone -points! PP°rtUn,ty “ partlc,Pate when necessary but limiting comment to only the key +points! PPďż˝rtUn,ty ďż˝ partlc,Pate when necessary but limiting comment to only the key -mem'Ahkh ^h m0S',mPortLant attrib«“ for effective nonprofit manage- +mem'Ahkh ^h m0S',mPortLant attrib�� for effective nonprofit manage- ment. A high-impact board with an effective board chairperson can have an extraordinary -influence on the organization’s success. Unfortunately, the opposite is also true Many \ +influence on the organizationďż˝s success. Unfortunately, the opposite is also true Many \ -an meZ: «v“y Hm,ted’ “d m S°me C3SeS “”pfettly de« » +an meZ: ďż˝vďż˝y Hm,tedďż˝ ďż˝d m Sďż˝me C3SeS ��pfettly deďż˝ ďż˝ Board-Staff Relations -hnTdVtt TateSt Cla"ei.n8“ faced by n°nProfits 15 the »«<* to strike a balance in -central roe ro ffiT'' ffi Pre™US ,discussion ^ggested, the board members have a +hnTdVtt TateSt Cla"ei.n8ďż˝ faced by nďż˝nProfits 15 the ��<* to strike a balance in +central roe ro ffiT'' ffi Preďż˝US ,discussion ^ggested, the board members have a central role to play in the organization s strategy making and in representing the orgam- -VhP ln^hkeXtarna C°mmunit^ However, once the parameters for action have been +VhP ln^hkeXtarna Cďż˝mmunit^ However, once the parameters for action have been established, board members must step back and allow staff adequate room to achieve the goals and objectives. Frequently, boards (especially those consisting of inexperienced members) tend to micromanage the operational staff. But this does little more than @@ -6761,7 +5938,7 @@ with the executive director and lay out the goals and objectives for the coming econd the expectations must be reinforced by lines of communication between board and staff. Communication channels should be maintained by the executive director and -in some rare events directly between the board and the staff. Third, the board must’rein- +in some rare events directly between the board and the staff. Third, the board mustďż˝rein- orce success. As part of its oversight function, the governing board should be ready to celebrate the good work being done, not just sanction the shortcomings. @@ -6769,12 +5946,12 @@ In many respects, the primary buffer between the board and staff is the executiv director. Although some executive directors position themselves in ways that cut off the governance and operational sides of the agency, with very little direct involvement -between board members and staff, this takes things a bit too far. The most effective rela¬ +between board members and staff, this takes things a bit too far. The most effective relaďż˝ tionships feature executive directors as the main conduits, as brokers. Staff should be present, when appropriate, at board meetings, mainly to offer expertise and inform the board on key decisions; similarly, the board must provide oversight and guidance to the staff on key issues of agency strategy. How far to go on either side will depend upon -the organization, but it’s up to the executive director and members of the leadership team +the organization, but itďż˝s up to the executive director and members of the leadership team to determine the appropriate balance. @@ -6783,9 +5960,9 @@ n6 Chapter 3 The Interorganizational Context of Public Administration Advocacy -Perhaps the most overlooked, and largely misunderstood, aspect of nonprofit manage¬ +Perhaps the most overlooked, and largely misunderstood, aspect of nonprofit manageďż˝ ment deals with the advocacy role of independent-sector organizations. Some of this -stems from the fact that the federal tax code limits lobbying activities by charitable orga¬ +stems from the fact that the federal tax code limits lobbying activities by charitable orgaďż˝ nizations and, depending upon the party affiliation or political position, some legislators and policy makers have frowned upon nonprofit activism. But nonprofit organizations may, even under federal tax law, engage in advocacy as a way of amplifying the voice of @@ -6796,19 +5973,19 @@ having to worry about losing their status as tax-exempt organizations (Pub. L. N 455, 1307 [1976]). While the IRS deliberated on the issue for more than a decade, in 1990 the federal tax code was revised to expand the advocacy rights of nonprofits. Under the 1976 tax law, nonprofits that choose to come under its jurisdiction must -comply with the definition of lobbying as “the expenditure of money by the orga¬ -nization for the purpose of attempting to influence legislation. Where there is no expen¬ -diture by the organization for lobbying, there is no lobbying by the organization” +comply with the definition of lobbying as ďż˝the expenditure of money by the orgaďż˝ +nization for the purpose of attempting to influence legislation. Where there is no expenďż˝ +diture by the organization for lobbying, there is no lobbying by the organizationďż˝ (Smucker, 1999, p. 51). The tax law establishes two types of lobbying: direct and grassroots. Direct lobbying refers to communication by the organization with legislators or other public officials on -matters concerning legislation on which they have a role to play in the bill’s formulation, -or with the nonprofit organization’s own membership. In contrast, grassroots lobbying +matters concerning legislation on which they have a role to play in the billďż˝s formulation, +or with the nonprofit organizationďż˝s own membership. In contrast, grassroots lobbying involves influencing the legislative process by attempting to sway public opinion on the policy issues. The law also establishes ceilings for the amount of expenditures that may be allocated to lobbying, based on the total level of tax-exempt expenditures for the -organization. A nonprofit with annual expenses up to $500,000, for example, may allo¬ +organization. A nonprofit with annual expenses up to $500,000, for example, may alloďż˝ cate 20 percent of these expenses for lobbying activities, while an organization with tax- exempt expenditures of over $17 million may spend a total of $1 million for lobbying (Smucker, 1999, p. 55). @@ -6817,10 +5994,10 @@ We should point out that many activities by nonprofits, and even a wide array of expenditures, which may be in some way connected with the legislative or public policy process are not considered lobbying under the 1976 law. For instance, using contacts with officials in the executive branch to influence proposed legislation; communicating to -members of the organization — as long as they are not encouraged to lobby—even if the +members of the organization ďż˝ as long as they are not encouraged to lobbyďż˝even if the organization itself takes a certain position; and advocating legislators on issues that affect the existence, tax-exempt status, or other aspects of operations (the so-called self-defense -activity) — none of these would be viewed as lobbying on the part of the nonprofit. +activity) ďż˝ none of these would be viewed as lobbying on the part of the nonprofit. The right of nonprofits to lobby in the public interest was reinforced by the Supreme Court in Legal Services Corp. v. Velazquez (2001). At issue in the case were provisions in @@ -6828,30 +6005,30 @@ the 1996 welfare reform law, which attempted to prohibit legal challenges to the legislation from local organizations funded by the Legal Services Corporation. The Court struck down these provisions, stating that since Congress allowed Legal Services Corporation lawyers to advocate for the poor on some matters, federal lawmakers could -not “deprive a Legal Services client of his or her rights to a full and complete legal defense, -which might well happen if a lawyer couldn’t challenge the legitimacy of the welfare law” +not ďż˝deprive a Legal Services client of his or her rights to a full and complete legal defense, +which might well happen if a lawyer couldnďż˝t challenge the legitimacy of the welfare lawďż˝ Summary and Action Implications iij -(Lenkowsky, 2001, p. 40). The ruling has been viewed by many in the nonprofit commu¬ +(Lenkowsky, 2001, p. 40). The ruling has been viewed by many in the nonprofit commuďż˝ nity as a potential expansion in the capability of independent-sector organizations, even those that receive federal funding, to advocate for their constituents on legislative issues. For others, however, the ruling may have the opposite effect. In its analysis of the decision, the Chronicle of Philanthropy characterized Velazquez as a Pyrrhic victory, -stating that while the ruling may have some positive impact on the advocacy role of non¬ -profits, it also reaffirmed the Court’s decision in Rust v. Sullivan (1991), in which -employees of NGOs that receive federal funding were held to be agents of the govern¬ -ment. This means that they forfeit their First Amendment rights to free speech by agree¬ +stating that while the ruling may have some positive impact on the advocacy role of nonďż˝ +profits, it also reaffirmed the Courtďż˝s decision in Rust v. Sullivan (1991), in which +employees of NGOs that receive federal funding were held to be agents of the governďż˝ +ment. This means that they forfeit their First Amendment rights to free speech by agreeďż˝ ing to accept the federal grants and contracts (Lenkowsky, 2000, p. 40). As future nonprofit managers, you should take this as a caution to explore the legal constraints before engaging in lobbying activities, but by no means should you shy away from attempting to influence policy decision-making on behalf of your constituents. The law is on your side, and you certainly will have greater protection than you may have -originally thought for lobbying without fear of threatening your organization’s tax- +originally thought for lobbying without fear of threatening your organizationďż˝s tax- exempt status. Summary and Action Implications @@ -6863,24 +6040,24 @@ from a pattern in which the various levels of government were relatively distinc pattern in which funding and programmatic relationships are extremely intense. The fact that public programs today operate through vast and complex webs of people -and organizations—public, private, and nonprofit—means that new skills are required of +and organizationsďż˝public, private, and nonprofitďż˝means that new skills are required of the public manager. Any particular program may involve various levels of government, -from all sectors of society, and clients or citizens with many different interests and con¬ +from all sectors of society, and clients or citizens with many different interests and conďż˝ cerns. As a public manager, you must be able to identify the network that is or should be involved in a particular situation and assess the effectiveness of that network. -To make that judgment, you will need to consider several factors. The first is commu¬ +To make that judgment, you will need to consider several factors. The first is commuďż˝ nications, the type of information that goes from one organization to another and how it is transmitted. Second, you might focus on exchanges of goods and services, money, and personnel among the organizations involved. Third, you might examine the normative -aspect of the relationship—that is, what each organization expects of the other and +aspect of the relationshipďż˝that is, what each organization expects of the other and what each is willing to contribute to the alliance. Examining these same categories may also suggest ways to improve the effectiveness of interorganizational relationships. The interorganizational nature of modern public administration also has interesting -implications for the interpersonal skills you must bring to the job. Increasingly, the govern¬ +implications for the interpersonal skills you must bring to the job. Increasingly, the governďż˝ ment official responsible for a given program must be skilled in negotiating relationships -with those outside the agency to ensure that the program proceeds effectively and responsi¬ +with those outside the agency to ensure that the program proceeds effectively and responsiďż˝ bly. More and more, the public administrator works in a world in which older images of @@ -6901,7 +6078,7 @@ Capital grants: Grants for use in construction or renovation. Categorical or project grants: Grants requiring that the money may be spent for only a limited purpose; typically available on a competitive basis. -Charter: Local government’s equivalent of a constitution. +Charter: Local governmentďż˝s equivalent of a constitution. Contracting: Government agreeing to contracts with private or non-profit groups to deliver certain services. @@ -6909,10 +6086,10 @@ deliver certain services. Cooperative federalism: Greater sharing of responsibilities between federal and state governments. -Coproduction: Using volunteer activity to supplement or supplant the work of govern¬ +Coproduction: Using volunteer activity to supplement or supplant the work of governďż˝ ment officials. -Councils of government: Oversight bodies representing various localities to help coor¬ +Councils of government: Oversight bodies representing various localities to help coorďż˝ dinate local affairs. Cross-cutting requirements: Rules that apply to most grant programs. @@ -6935,7 +6112,7 @@ Grants: Transfers of money (and/or property) from one government to another. Home rule: Provision allowing cities greater autonomy over local activities. -Intergovernmental relations: A term encompassing all the complex and interdepen¬ +Intergovernmental relations: A term encompassing all the complex and interdepenďż˝ dent relations among those at various levels of government. @@ -6952,17 +6129,17 @@ groups to set priorities for funding. Operating grants: Grants for use in development and operation of specific programs. -Picket-fence federalism: Pattern of intergovernmental relations in which the horizon¬ -tal bars represent levels of government and the vertical slats represent various sub¬ +Picket-fence federalism: Pattern of intergovernmental relations in which the horizonďż˝ +tal bars represent levels of government and the vertical slats represent various subďż˝ stantive fields. Preemption: Federal government efforts to preempt an area traditionally associated with state government. -Privatization: Use of nongovernmental agencies to provide goods and services previ¬ +Privatization: Use of nongovernmental agencies to provide goods and services previďż˝ ously provided by government. -Revenue sharing: Grant pattern in which the money can be used any way the recipi¬ +Revenue sharing: Grant pattern in which the money can be used any way the recipiďż˝ ent government chooses. Sneaky mandates-. Actions that are required of local governments by the inaction of @@ -6976,20 +6153,20 @@ capital investment and economic growth. Study Questions 1. Although intergovernmental relations involve more than financial matters, funding -programs have a significant role in the process. Define and give examples of the vari¬ +programs have a significant role in the process. Define and give examples of the variďż˝ ous kinds of grants and funding programs. -2. Compare and contrast “dual federalism” and “cooperative federalism.” Describe the +2. Compare and contrast ďż˝dual federalismďż˝ and ďż˝cooperative federalism.ďż˝ Describe the approach to federalism used during the Clinton and Bush presidencies. 3. In the last decade, states and localities have faced significant changes in funding from -the federal government. Discuss the reasons for the changes and how they affect rela¬ +the federal government. Discuss the reasons for the changes and how they affect relaďż˝ tions among the various levels. 4. Flow do governmental mandates and regulations affect operations at the state and local levels? -5. Government has been moving to “privatization” of some goods and services. +5. Government has been moving to ďż˝privatizationďż˝ of some goods and services. Flow will this trend affect intergovernmental relations? 6. Explain the importance and use of contracting for services and goods. @@ -7007,7 +6184,7 @@ local governments? What has been the reaction to these? How do you think state/l relations could be improved? 2. Assume the role of a member of a task force that has been asked to consider ways -your local parks and recreation services could be delivered at less cost to the city gov¬ +your local parks and recreation services could be delivered at less cost to the city govďż˝ ernment. (You may be able to obtain a budget, a list of services, and existing fees from the Parks and Recreation Department.) Consider alternatives such as special charges, citizen involvement in service delivery, and limitations on services. At the same time, @@ -7015,42 +6192,42 @@ consider what minimal level of parks and recreational services the city should p as part of its general operations. 3. John Kincaid, a prominent student of intergovernmental relations, offers a list of -trends emerging during the 1990s that characterize what he calls America’s system of -coercive federalism. Discuss each trend and predict its impact on the future of inter¬ +trends emerging during the 1990s that characterize what he calls Americaďż˝s system of +coercive federalism. Discuss each trend and predict its impact on the future of interďż˝ governmental relations. -• Aid reduction: A decline in federal aid to state and local governments. -• Aid reduction to persons: A cutback in federal assistance programs, such as +ďż˝ Aid reduction: A decline in federal aid to state and local governments. +ďż˝ Aid reduction to persons: A cutback in federal assistance programs, such as Medicaid and Temporary Assistance to Needy Families. -• Aid conditions: An increase in federal mandates attached to aid programs to state +ďż˝ Aid conditions: An increase in federal mandates attached to aid programs to state and local governments. -• Mandates: A rise in federal mandates, despite initiatives by Presidents Clinton and +ďż˝ Mandates: A rise in federal mandates, despite initiatives by Presidents Clinton and Bush and by Congress to curb such measures. -• Preemption. A displacement of state and local government power by executive, leg¬ +ďż˝ Preemption. A displacement of state and local government power by executive, legďż˝ islative, and judicial actions at the federal level. -• Intergovernmental tax immunities: An intrusion on the part of the federal govern¬ +ďż˝ Intergovernmental tax immunities: An intrusion on the part of the federal governďż˝ ment on the tax base of state and local governments. -• Uncooperative programming: A deterioration in the level of cooperation toward +ďż˝ Uncooperative programming: A deterioration in the level of cooperation toward intergovernmental programs. -• Judicial indifference: A lack of concern on the part of the courts toward state and +ďż˝ Judicial indifference: A lack of concern on the part of the courts toward state and local government interests. 4. Divide the class into several groups of six to eight students each. Have one group assume the role of a granting agency charged, by legislation, with providing funds to -local communities to help in projects that improve the economic potential of the com¬ +local communities to help in projects that improve the economic potential of the comďż˝ munity and assist low-income and disadvantaged groups in the community. Assume that the agency has $50 million to distribute, but that the legislation has given the granting agency the authority to determine all other details of the grant program. -The agency group must first define as clearly as possible the intent of the legisla¬ +The agency group must first define as clearly as possible the intent of the legislaďż˝ tion, then prepare guidelines outlining the types of projects that will be funded under -the program. A written Request for Proposals (RFP) should then be prepared and dis¬ +the program. A written Request for Proposals (RFP) should then be prepared and disďż˝ tributed to a set of potential applicant communities, each represented by one of the other groups in the class. The RFP should contain, at a minimum, a description of the @@ -7063,26 +6240,26 @@ might be funded, and instructions for submitting proposals for funding (includin deadline for applications). Each community group will then prepare a grant application to support a project or -projects it wants for its community. Members of each community group may commu¬ +projects it wants for its community. Members of each community group may commuďż˝ nicate with one representative of the agency designated as liaison to that community, but should not talk with other agency members. Community groups can communicate with one another if they wish. By the deadline contained in the RFP, all proposals -should be submitted to the agency. The agency will then determine which, if any, proj¬ +should be submitted to the agency. The agency will then determine which, if any, projďż˝ ects will be funded and at what levels. The results should be communicated to all the communities. Following the exercise, the class as a whole should discuss the entire process. You might want to focus on issues such as these: -• What is the role of the agency in defining the kinds of projects that will be funded? -• What types of instructions are necessary to enable communities to compete fairly +ďż˝ What is the role of the agency in defining the kinds of projects that will be funded? +ďż˝ What types of instructions are necessary to enable communities to compete fairly and effectively? -• What was most attractive about the proposals that were funded? -• For what reasons were other proposals not funded? -• What effect on the final decisions did communications between the community and +ďż˝ What was most attractive about the proposals that were funded? +ďż˝ For what reasons were other proposals not funded? +ďż˝ What effect on the final decisions did communications between the community and the liaison from the agency have? -• Did politics play any role? +ďż˝ Did politics play any role? For Additional Reading @@ -7157,7 +6334,7 @@ National Academy of Public Administration. Privatization: The Challenge to Publi Management. Washington, DC: National Academy, 1989. Nice, David C. Federalism: The Politics of Intergovernmental Relations. New York: St. -Martin’s Press, 1987. +Martinďż˝s Press, 1987. Peirce, Neal R., Curtis Johnson, and John Stuart Hall. Citistates: How Urban America Can Prosper in a Competitive World. Washington, DC: Seven Focks @@ -7175,7 +6352,7 @@ Press, 2000. Rusk, David. Cities without Suburbs. Baltimore: Johns Hopkins University Press, 1993. -S 1989°n’ M ’ ed' Bey°nd Prwatization- Washington, DC: Urban Institute Press, +S 1989ďż˝nďż˝ M ďż˝ ed' Beyďż˝nd Prwatization- Washington, DC: Urban Institute Press, Salamon, Fester M. Partners in Public Service: Government-Nonprofit Relations in the Modern Welfare State. Baltimore, MD: Johns Hopkins University, 1995. @@ -7192,13 +6369,13 @@ Chapter 4 The Ethics of Public Service -So far we have focused on the context of public administration—the values, structures, +So far we have focused on the context of public administrationďż˝the values, structures, and relationships you need to understand to act effectively and responsibly in public organizations. Now we begin a transition to more skill-based issues by exploring the -ethical issues raised in public service. An ethical posture toward work in public organiza¬ +ethical issues raised in public service. An ethical posture toward work in public organizaďż˝ tions requires not only knowing the right answers, but being willing and able to do what @@ -7206,21 +6383,21 @@ is right. You must be prepared to act. Over the last several years, there has been a surge of interest in ethical issues in public -organizations. A recent set of Time cover stories asked the question, “What Ever +organizations. A recent set of Time cover stories asked the question, ďż˝What Ever -Happened to Ethics?” The articles commented on ethical dilemmas in business, educa¬ +Happened to Ethics?ďż˝ The articles commented on ethical dilemmas in business, educaďż˝ tion, and even religion, but gave special attention to the ethics of those in government. In one article, Sissela Bok, a philosophy professor at Brandeis University, stressed that -moral leadership must come first from those in public office. “Aristotle said that people +moral leadership must come first from those in public office. ďż˝Aristotle said that people in government exercise a teaching function. Among other things, we see what they do -and think that is how we should act. Unfortunately, when they do things that are under¬ +and think that is how we should act. Unfortunately, when they do things that are underďż˝ -handed or dishonest, that teaches too” (Time, May 25, 1987). +handed or dishonest, that teaches tooďż˝ (Time, May 25, 1987). Certainly the concerns Bok and others expressed about the ethical behavior of public @@ -7228,9 +6405,9 @@ officials have been triggered by such dramatic public events as Watergate and th Contra scandal. But in fact, ethical issues permeate public organizations as they do -all organizations. Every action of every public official—whether in the formulation or +all organizations. Every action of every public officialďż˝whether in the formulation or -implementation of public policy—carries value implications. Given this situation, it is +implementation of public policyďż˝carries value implications. Given this situation, it is not surprising that both President Bush and President Clinton used their first executive @@ -7240,13 +6417,13 @@ struggled mightily with ethical concerns. As a public manager, you will often face difficult ethical choices. These choices may -present themselves in several ways. “Dilemmas arise for decision makers when respon¬ +present themselves in several ways. ďż˝Dilemmas arise for decision makers when responďż˝ sibilities conflict, when the obligations they undertake or the rules to which they are subject are unclear, or when they are unsure how to weigh their responsibilities against -personal needs or desires” (Fleishman & Payne, 1980, p. 17). Understanding the moral +personal needs or desiresďż˝ (Fleishman & Payne, 1980, p. 17). Understanding the moral implications of your actions and resolving the dilemmas they pose is one of the most @@ -7259,7 +6436,7 @@ a careful, reasoned, and ethical fashion will be essential to your success (and sense of personal well-being). In this chapter we examine a variety of ethical issues faced by public managers. Some -involve concerns that might arise in any organization—cases of lying, cheating, or stealing, +involve concerns that might arise in any organizationďż˝cases of lying, cheating, or stealing, 123 @@ -7268,7 +6445,7 @@ involve concerns that might arise in any organization 124 Chapter 4 The Ethics of Public Service or questions about what to do when you feel compelled to refuse an order from your boss. -Others are more directly connected to the special values that underlie public service, involv¬ +Others are more directly connected to the special values that underlie public service, involvďż˝ ing the relationship between political leaders and career civil servants or between competing demands for efficiency and responsiveness. @@ -7280,25 +6457,25 @@ the meaning of morality. Morality is concerned with those practices and activiti considered right or wrong; it is also concerned with the values those practices reflect and the rules through which they are carried out within a given setting (DeGeorge, 1982, p. 12). The morality of a society, a political system, or a public organization concerns -what is considered to be right or wrong within that group. Morality expresses certain val¬ +what is considered to be right or wrong within that group. Morality expresses certain valďż˝ ues that members of the group hold to be important and is reflected in laws, rules, and -regulations, or in policies and procedures. Moral action, in turn, is action that is consis¬ -tent with the group’s morality—that which expresses the group’s most basic commit¬ +regulations, or in policies and procedures. Moral action, in turn, is action that is consisďż˝ +tent with the groupďż˝s moralityďż˝that which expresses the groupďż˝s most basic commitďż˝ ments about what is right and what is wrong. -Ethics, on the other hand, can be defined as “a systematic attempt through the use of +Ethics, on the other hand, can be defined as ďż˝a systematic attempt through the use of reason to make sense of our individual and social moral experience in such a way as to -determine the rules which ought to govern human conduct” (DeGeorge, 1982, p. 12). +determine the rules which ought to govern human conductďż˝ (DeGeorge, 1982, p. 12). Ethics is concerned with the process by which we clarify what is right and wrong and by -which we act on what we take to be right. Ethics involves the use of reason in determin¬ +which we act on what we take to be right. Ethics involves the use of reason in determinďż˝ ing a proper course of action. Ethics is the search for moral standards. Though we have defined ethics as the study of morality, the two terms are often used almost interchangeably. For example, we often call an action that is morally correct an ethical action. Similarly, we speak of codes of moral conduct as codes of ethics. Despite -the overlapping uses of the terms, the distinction between morality and ethics is impor¬ +the overlapping uses of the terms, the distinction between morality and ethics is imporďż˝ tant not only for philosophical reasons, but because focusing on ethics emphasizes the -individual’s active involvement in searching out morally correct positions. Ethics calls us +individualďż˝s active involvement in searching out morally correct positions. Ethics calls us into action; it requires us to reason, to analyze, and to seek guidance as to the proper course of action. @@ -7311,7 +6488,7 @@ in public organizations do not have easy answers. To act properly, you must be a sort through the many and often competing values that underlie your work, and you must be able to come to a reasoned conclusion that will form the basis for action. -It is not enough to simply say, “It depends,” and go about your business, though such +It is not enough to simply say, ďż˝It depends,ďż˝ and go about your business, though such a position has gained widespread currency in our society. Ethical (or moral) relativism is @@ -7330,7 +6507,7 @@ moral principles, such as respect for the elderly. Furthermore, the relativist p seems at odds with our moral experience. When we make the judgment that murder is immoral, we do not mean that it is immoral for some individuals and not others. We do not even mean that murder is immoral in some countries and not in others. -We claim that murder is immoral for all people at all times — and we can defend our +We claim that murder is immoral for all people at all times ďż˝ and we can defend our statement on both rational and emotional grounds. This position suggests that there is really only one right answer to moral questions (even though that answer may be hard to find!). Nevertheless, by understanding the context in which an action occurs, @@ -7360,10 +6537,10 @@ help resolve the issue. Third, one of the central aspects of ethical deliberation is the analysis of arguments presented in behalf of various viewpoints. The arguments may be articulated by different individuals or different groups, or they may simply be arguments and counterarguments -you think through yourself. In either case, you will need to consider the evidence pre¬ +you think through yourself. In either case, you will need to consider the evidence preďż˝ sented, the justifications for various viewpoints, and possible fallacies of the justifications. Throughout the process of argumentation, dialogue is extremely helpful in clarifying -one’s position. (If the problem is one you are considering alone, finding someone to talk +oneďż˝s position. (If the problem is one you are considering alone, finding someone to talk through the issues with you is a good idea.) Ultimately, however, you will need to make a decision and act on it. Ethical deliberation will lead you to a decision, but acting in a way that is consistent with that decision is also important, though often difficult. @@ -7392,7 +6569,7 @@ a moral principle or rule against which to measure aspects of the particular cas first approach, one focuses on the consequences of the action; in the second, one looks for universal rules of conduct. -One of the most common forms of ethical deliberation, which focuses on the conse¬ +One of the most common forms of ethical deliberation, which focuses on the conseďż˝ quences of actions, is utilitarianism. Utilitarianism holds that an action is right, compared to other courses of action, if it results in the greatest good for the greatest number of people (or at least the minimum harm). Proponents of this view contend that there are no universal @@ -7400,80 +6577,80 @@ principles that can guide action, but rather that the likely benefits and costs any action must be calculated to judge that practice either moral or immoral. Obviously, this view leans toward relativism; according to a utilitarian, telling the -truth cannot be judged a priori either right or wrong—rather, the rightness or wrong¬ +truth cannot be judged a priori either right or wrongďż˝rather, the rightness or wrongďż˝ ness of telling the truth depends on a calculation of who is helped and who is harmed by -the act. Only then can a moral judgment be rendered. In the utilitarian view, “Actions +the act. Only then can a moral judgment be rendered. In the utilitarian view, ďż˝Actions themselves have no intrinsic values. They are simply means to attain things which do -have value” (DeGeorge, 1982, p. 40). +have valueďż˝ (DeGeorge, 1982, p. 40). -An administrator employing a utilitarian approach to moral reasoning in a specific situ¬ +An administrator employing a utilitarian approach to moral reasoning in a specific situďż˝ ation would ask what the likely outcomes of one course of action or another might be. If building a new highway through a particular neighborhood would inconvenience a few -people but benefit many others, then building that highway in that location would be con¬ +people but benefit many others, then building that highway in that location would be conďż˝ sidered a proper course of action. The administrator would not follow any predetermined -moral principle, such as that citizens should not be arbitrarily displaced, but would calcu¬ +moral principle, such as that citizens should not be arbitrarily displaced, but would calcuďż˝ late costs and benefits relative to the specific case. Moreover, the administrator would not generalize beyond the specific case; each act would be judged on its own merits. A contrasting approach to moral reasoning based on the search for general rules or -principles of conduct is often called deontological. Deontology holds that broad princi¬ +principles of conduct is often called deontological. Deontology holds that broad princiďż˝ ples of rightness and wrongness can be established and that these principles are not dependent on the consequences of a particular action. Those who hold this view tend to -focus on duties or responsibilities (deontology derives from the Greek word for “duty”). +focus on duties or responsibilities (deontology derives from the Greek word for ďż˝dutyďż˝). Quite simply, one s duty is to do what is morally correct and to avoid doing that which is -morally wrong, regardless of the consequences of one’s actions (DeGeorge, 1982, p. 55). +morally wrong, regardless of the consequences of oneďż˝s actions (DeGeorge, 1982, p. 55). Approaches to Ethical Deliberation 127 Deontologists thus tend to focus on broad principles of right and wrong, such as those -embodied in concepts like “rights” or “justice.” +embodied in concepts like ďż˝rightsďż˝ or ďż˝justice.ďż˝ Using the deontological approach, an administrator would seek to act in accord with generally accepted moral precepts, such as honesty or benevolence. Administrators are expected, for example, to tell the truth, keep their promises, and respect the dignity of -the individual. Their doing so does not derive from laws or codes of ethics but from gen¬ +the individual. Their doing so does not derive from laws or codes of ethics but from genďż˝ erally accepted moral principles. In particular situations, these actions might even be harmful to the overall interests of the organization or the society, but, because the -actions could be justified as consistent with a shared sense of moral order, the adminis¬ +actions could be justified as consistent with a shared sense of moral order, the adminisďż˝ trator should feel strongly compelled to act in that way (Denhardt, 1988, p. 46). One contemporary deontological theory that has received considerable attention is that of philosopher John Rawls. His approach emphasizes fairness or equity in policy -decisions (Rawls, 1971). An interesting argument that Rawls develops to explain his the¬ +decisions (Rawls, 1971). An interesting argument that Rawls develops to explain his theďż˝ ory suggests that if decisions were made under conditions in which the decision makers had no knowledge of whether they would personally accrue harm or benefit by choosing one way or another, then fairness would likely prevail. Imagine a city council committee -deciding where to spend $1 million on street improvements. If all members of the com¬ -mittee acted in their own interest, they might spend the money in their own neighbor¬ +deciding where to spend $1 million on street improvements. If all members of the comďż˝ +mittee acted in their own interest, they might spend the money in their own neighborďż˝ hoods (and those would likely be the more affluent neighborhoods). On the other hand, if all members of the committee acted under a veil of ignorance, not knowing where they lived or whether or not they were affluent, they would most likely spend the money so as to bring the poorer streets up to some standard level (and in doing so, they would likely -spend more in less affluent neighborhoods). If all public decisions were rendered by act¬ +spend more in less affluent neighborhoods). If all public decisions were rendered by actďż˝ ing out of concern for fairness rather than self-interest, Rawls argues, a far different -moral order would prevail — one that was much more consistent with the basic princi¬ +moral order would prevail ďż˝ one that was much more consistent with the basic princiďż˝ ples of liberty and justice. Moral Psychology -Psychologist Lawrence Kohlberg devised a scheme outlining three levels of moral develop¬ +Psychologist Lawrence Kohlberg devised a scheme outlining three levels of moral developďż˝ ment through which people pass: the preconventional, conventional, and postconven- tional stages (Kohlberg, 1971). According to Kohlberg, most people operate on one of the first two levels of moral development, and no one operates exclusively on the third level. At the preconventional level, children begin to develop certain ideas about right and -wrong. They interpret these ideas in terms of the consequences of their actions or the phys¬ -ical power of those around them. At an early stage, the ideas are associated with punish¬ +wrong. They interpret these ideas in terms of the consequences of their actions or the physďż˝ +ical power of those around them. At an early stage, the ideas are associated with punishďż˝ ments; for example, if the child writes on the wall with a crayon, the child will be scolded. To avoid the negative consequences associated with writing on the wall, the child avoids that behavior. Later on, the child begins to behave in certain ways to receive rewards, such as parental praise. Whether to avoid negative consequences or to receive praise, the child begins to behave in ways that we characterize as right rather than wrong. Of course, from -the child’s point of view, there is no moral code; the child is merely doing things to avoid -punishments or to seek rewards. At this level of moral development, therefore, the conse¬ -quences of our actions—the rewards or punishments we receive—determine whether +the childďż˝s point of view, there is no moral code; the child is merely doing things to avoid +punishments or to seek rewards. At this level of moral development, therefore, the conseďż˝ +quences of our actionsďż˝the rewards or punishments we receiveďż˝determine whether we consider our actions right or wrong. The preconventional orientation is, of course, one that we all carry into adulthood. @@ -7482,31 +6659,31 @@ that we all carry into adulthood. 128 Chapter 4 The Ethics of Public Service At the conventional level of moral development,- people behave morally in terms of -conformity to various standards or conventions of the family, group, or nation. The indi¬ +conformity to various standards or conventions of the family, group, or nation. The indiďż˝ vidual seeks to conform to given moral standards and, indeed, to actively support and maintain those standards. This level involves two stages. Kohlberg calls the first the -“Good Boy/Nice Girl” stage, at which we conform to expectations of parents or teachers +ďż˝Good Boy/Nice Girlďż˝ stage, at which we conform to expectations of parents or teachers or peers and to the norms we learn at home, in church, or at school. We come to develop moral rules or codes and standards of right and wrong, although what we think of as good behavior is really just that which meets the expectations of others. -A second stage in the conventional level of moral development is the “Law and -Order” orientation. At this stage, we develop an orientation toward authority and the +A second stage in the conventional level of moral development is the ďż˝Law and +Orderďż˝ orientation. At this stage, we develop an orientation toward authority and the social order; we learn what it means to be a good citizen; and we come to accept the importance of living by the conventional rules of the society. Notions of duty and honor -tend to dominate one’s moral perspective at this level. We recognize that certain behav¬ -iors are wrong—lying, cheating, stealing — but if asked why, we can only answer, -“Because everyone knows they are wrong” (DeGeorge, 1982, p. 25). Most adults con¬ +tend to dominate oneďż˝s moral perspective at this level. We recognize that certain behavďż˝ +iors are wrongďż˝lying, cheating, stealing ďż˝ but if asked why, we can only answer, +ďż˝Because everyone knows they are wrongďż˝ (DeGeorge, 1982, p. 25). Most adults conďż˝ tinue to operate, at least in part, at this level of moral development. -Few adults reach the final level, the postconventional, but some do. At this level, peo¬ +Few adults reach the final level, the postconventional, but some do. At this level, peoďż˝ ple accept moral principles and behave according to those principles, not merely because -someone says they should, but because they know themselves what makes these princi¬ +someone says they should, but because they know themselves what makes these princiďż˝ ples right. The individual seeks to define moral principles for himself or herself and to understand how those values operate independently of any group or society. The first -postconventional stage is called the “Social-Contract” or “Legalistic” stage, which has -a strong utilitarian bias. The individual recognizes the rights of other individuals, includ¬ -ing the right to one’s own beliefs and values, and how societies are constituted to sup¬ +postconventional stage is called the ďż˝Social-Contractďż˝ or ďż˝Legalisticďż˝ stage, which has +a strong utilitarian bias. The individual recognizes the rights of other individuals, includďż˝ +ing the right to oneďż˝s own beliefs and values, and how societies are constituted to supďż˝ port those rights. The result is a legalistic viewpoint, though it recognizes the possibility of changing the legal order (rather than freezing it, as in the previous level). Changes of this sort are often supported based on the greatest good for the greatest number. @@ -7515,21 +6692,21 @@ The second stage of the postconventional level represents the highest stage of m development. At this stage, the individual freely chooses to live by a particular set of abstract moral principles, such as justice, equality, and respect for individual dignity. One chooses to follow these precepts not for rewards or punishments and not to meet -others’ expectations, but because one understands why the principle should be supported +othersďż˝ expectations, but because one understands why the principle should be supported and freely chooses to live by that standard. The actual standards one follows may be the same in both level two and level three, but there is an important difference in the reason one holds an action to be right or wrong. Although we have focused on Kohlberg s work here, we should point out that there -are several alternatives to his interpretation that have been voiced recently. One impor¬ +are several alternatives to his interpretation that have been voiced recently. One imporďż˝ tant alternative, for example, is that suggested by Carol Gilligan. Gilligan argues that, in -contrast to the rational and impartial perspective of Rawls and Kohlberg, one may inter¬ +contrast to the rational and impartial perspective of Rawls and Kohlberg, one may interďż˝ pret moral theory in terms of care and relationships. According to Gilligan, a final and mature morality involves an interaction between the concerns of impartiality and those of personal relationship and care (Blum, 1988, pp. 472-491). As you work in and with public organizations, you will come to recognize that many -of the ethical decisions you make are based in one or another level of moral develop¬ +of the ethical decisions you make are based in one or another level of moral developďż˝ ment. We do certain things because they will lead to rewards or punishments and we do other things because we must adhere to laws or organizational standards of conduct. For @@ -7562,9 +6739,9 @@ in public organizations. A long philosophical tradition holds that putting principles (whether utilitarian, deon- tological, or otherwise) into action requires the development of character on the part of the individual. In other words, it is necessary to apply a complex set of general principles -to specific cases — something that requires more than abstract knowledge. Aristotle spoke +to specific cases ďż˝ something that requires more than abstract knowledge. Aristotle spoke of the importance of gaining practical wisdom so as to make morally correct judgments in -specific situations. This practical wisdom, or virtue, requires that the individual not sim¬ +specific situations. This practical wisdom, or virtue, requires that the individual not simďż˝ ply know how to apply given principles, but rather why to do so. That is, to bring moral knowledge to bear in the real world, the individual needs a strong sense of what is ideal in human conduct. Terry Cooper, for example, argues that virtues are traits of character @@ -7574,26 +6751,26 @@ thought and feeling where potentially conflicting tendencies are brought under c This ethics of virtue, then, is not merely another philosophical approach but a way of developing the skills one brings to the problem of ethical decision making. Aristotle speaks -of developing the skills of virtue in the same way we develop other skills, that is, by prac¬ -tice: “The virtues we get first by exercising them. ... For the things we have to learn +of developing the skills of virtue in the same way we develop other skills, that is, by pracďż˝ +tice: ďż˝The virtues we get first by exercising them. ... For the things we have to learn before we can do them, we learn by doing them. ... We become just by doing just acts, -temperate by doing temperate acts, brave by doing brave acts” (McKeon, 1941, p. 952). +temperate by doing temperate acts, brave by doing brave actsďż˝ (McKeon, 1941, p. 952). -But what are the virtues that we must practice? Obviously, this question has chal¬ +But what are the virtues that we must practice? Obviously, this question has chalďż˝ lenged philosophers over the centuries. Answers range from honesty, courage, and trustworthiness to kindness, fairness, and dependability, but most seem to center around concerns for benevolence and justice. If this is the case, then all persons should -practice these virtues, while members of specific professions (such as public adminis¬ +practice these virtues, while members of specific professions (such as public adminisďż˝ trators) should practice applications of these virtues in their specific situations (Tong, 1986, pp. 91-92). -I3° Chapter 4 The Ethics of Public Service +I3ďż˝ Chapter 4 The Ethics of Public Service How, then, does one sort out the various philosophical and psychological approaches one -might employ to make ethical choices in the real world? First, if you set about solving diffi¬ +might employ to make ethical choices in the real world? First, if you set about solving diffiďż˝ cult moral problems through the application of broad moral principles in specific situations, you need to understand the principles and moral reasoning that underlie them. Second, you must engage in careful and consistent ethical deliberation, through self-reflection and @@ -7601,26 +6778,26 @@ dialogue with others. Third, you must understand how virtues such as benevolence are played out in public organizations; that is, you must recognize the political and ethical context that conditions the moral priorities of the public service (Bailey, 1965, p. 285). -President George W. Bush early in his term found himself facing such a moral ques¬ +President George W. Bush early in his term found himself facing such a moral quesďż˝ tion. At issue was whether his administration should allow federal funding for medical research on so-called stem cells from human embryos. Congress years before had restricted this type of research, but the Clinton administration found a way around the -restrictions by enabling research on cells from embryos grown in self-sustaining environ¬ +restrictions by enabling research on cells from embryos grown in self-sustaining environďż˝ ments. (Fertility clinics around the country dispose of thousands of human embryos each year that have been developed in the process of in vitro fertilization.) The full benefits of stem-cell research are still unknown, but scientists suggest it may -hold the key to cures for a variety of diseases, including Parkinson’s. However, oppo¬ +hold the key to cures for a variety of diseases, including Parkinsonďż˝s. However, oppoďż˝ nents argue that the use of embryos violates the sanctity of human life, whether that life begins in the womb or in a petri dish. Interestingly, the question has defied the usual partisan split that characterizes the abortion debate, with even some of the most ardent pro-life members of Congress supporting stem-cell research. President Bush, who is against abortions and ran on a ticket opposing stem-cell research, had to balance these moral considerations with his professional commitment to support medical research on -some of the world’s most challenging diseases. +some of the worldďż˝s most challenging diseases. As you approach similar questions, it may be helpful to consider first the utilitarian -position — what are the costs and benefits, and which alternative will bring the greatest +position ďż˝ what are the costs and benefits, and which alternative will bring the greatest benefits? Next, you might ask whether the alternative you chose will infringe upon the rights of others and, if so, whether there are overwhelming factors that justify such an outcome. You might next ask whether the chosen alternative violates principles of equity @@ -7629,14 +6806,14 @@ the outcome. Finally, you might ask whether the alternative is consistent with y with respect to human conduct (especially the conduct of public affairs) and whether by choosing this alternative you will be acting in a way you consider to be virtuous. At any point, you may find that the alternative comes up short, and you must search for -another. Remember that your ultimate goal is the development of virtue and the applica¬ +another. Remember that your ultimate goal is the development of virtue and the applicaďż˝ tion of sound ethical reasoning to public problems. Issues of Administrative Responsibility People who work in or with public organizations face literally dozens of ethical -dilemmas. Some — like lying, cheating, or stealing—are the same problems that many -others face. But some, like the public manager’s commitment to democratic standards +dilemmas. Some ďż˝ like lying, cheating, or stealingďż˝are the same problems that many +others face. But some, like the public managerďż˝s commitment to democratic standards @@ -7645,9 +6822,9 @@ Issues of Administrative Responsibility 131 or feelings about the political involvement of public employees, are peculiar to public organizations. -One of the most troublesome issues in the field of public administration is that of admin¬ +One of the most troublesome issues in the field of public administration is that of adminďż˝ istrative responsibility. (In the section that follows, we focus much more specifically on -issues where personal values, such as honesty, equity, and justice, become deeply intermin¬ +issues where personal values, such as honesty, equity, and justice, become deeply interminďż˝ gled with the broader values of public service.) As a public manager, you may often confront the potentially conflicting demands of operating as efficiently as possible while, at the same time, being fully responsive to administrative superiors, to the legislature, to the @@ -7655,20 +6832,20 @@ citizenry, and to the principles of democratic governance generally. This tensio efficiency and responsiveness characterizes many of the problems public managers face. As we have seen, the tension between efficiency and responsiveness grows from two -other issues that are deeply rooted in the history of public administration — the issue of +other issues that are deeply rooted in the history of public administration ďż˝ the issue of politics and administration and the issue of bureaucracy versus democracy. Early writers in -the field sought a clear distinction between politics and administration, arguing that, wher¬ +the field sought a clear distinction between politics and administration, arguing that, wherďż˝ ever possible, administrative activities should be insulated from the potentially corrupting influence of politics. This idea was based on the assumption that policy making could be -distinguished from policy implementing. Making such an assumption allows easy resolu¬ -tion of questions of democratic responsibility—the legislature, charged with making pol¬ -icy, should be responsive to the people. The administrative agencies, charged with imple¬ +distinguished from policy implementing. Making such an assumption allows easy resoluďż˝ +tion of questions of democratic responsibilityďż˝the legislature, charged with making polďż˝ +icy, should be responsive to the people. The administrative agencies, charged with impleďż˝ menting policy, should be responsive to the legislature. The requirements of democracy will be met by a neutral and competent public bureaucracy that follows the mandates of the legislative body; this is called the doctrine of neutral competence. Most writers and practitioners clearly preferred this somewhat narrow view of administrative responsibility. Indeed, the doctrine of neutral competence, and the politics-administration dichotomy on -which it is based, continues to influence the field. But there were and are many who recog¬ +which it is based, continues to influence the field. But there were and are many who recogďż˝ nize the difficulty of maintaining a neutral public bureaucracy. Some even argue that the role administrative agencies play in the policy process is not only inevitable, but proper. @@ -7684,7 +6861,7 @@ Democracy and technology at http://www.cdt.org/. The Limits of Administrative Discretion -We have noted that administrators take their primary cues from the actions of legisla¬ +We have noted that administrators take their primary cues from the actions of legislaďż˝ tures that initiate programs and from executives who are charged with carrying out the programs. If you are hired to manage a new agency, one of your first priorities will be to @@ -7693,7 +6870,7 @@ programs. If you are hired to manage a new agency, one of your first priorities 132 Chapter 4 The Ethics of Public Service familiarize yourself with the legislation that created'the agency'and with any executive -orders or other directives outlining the agency’s responsibilities. But if your situation is +orders or other directives outlining the agencyďż˝s responsibilities. But if your situation is typical, you will find that neither the legislation nor the directions you receive from the executive are sufficiently detailed to answer all the questions your work raises. There will be a need to develop policies regarding these issues; policies that are, in effect, @@ -7703,35 +6880,35 @@ the rules and regulations under which you operate. The problem, of course, is to make sure that your policies or recommendations for change are consistent with the wishes of the citizenry (see Box 4.1). In most jurisdictions, -of course, the legislature and the chief executive are popularly elected, and their reelec¬ -tion depends on their response to the public’s perceived needs and interests. For them, +of course, the legislature and the chief executive are popularly elected, and their reelecďż˝ +tion depends on their response to the publicďż˝s perceived needs and interests. For them, the electoral process assures responsiveness, at least in theory. As long as you are acting in a way that is clearly consistent with legislative intent, you are likely to be considered appropriately responsive. But because most situations are not that clear, the question -becomes, “How can we assure that the administrator is exercising discretion in a way +becomes, ďż˝How can we assure that the administrator is exercising discretion in a way consistent with the will of the people, whether expressed in the Constitution, the laws of -the land, or the preferences of citizens?” +the land, or the preferences of citizens?ďż˝ Historically, two answers have been posed to this question. In an important debate in the pages of the Public Administration Review and other journals some forty years ago, Herman Finer argued that to maintain responsiveness to the public, managers in public -organizations should be subjected to strict and rigid controls by the legislature. His ques¬ -tion was straightforward: “Are the servants of the public to decide their own course, or -is their course of action to be decided by a body outside themselves?” (Finer, 1972, p. 8). +organizations should be subjected to strict and rigid controls by the legislature. His quesďż˝ +tion was straightforward: ďż˝Are the servants of the public to decide their own course, or +is their course of action to be decided by a body outside themselves?ďż˝ (Finer, 1972, p. 8). His answer was equally direct: Only through specific and detailed legislation carefully -limiting the work of public managers could responsiveness to the legislature be main¬ +limiting the work of public managers could responsiveness to the legislature be mainďż˝ tained. This interpretation of how to assure responsiveness is often called objective responsibility, depending as it does on objective external controls. Carl Friedrich, on the other hand, argued that the increasing complexity of modern society made such detailed legislation difficult, if not impossible; consequently, Friedrich -felt that the administrator’s own concern for the public interest was often the only real +felt that the administratorďż˝s own concern for the public interest was often the only real assurance that his or her actions would be responsive to the electorate. Fortunately, -wrote Friedrich, the growing number of professionals in government increases the likeli¬ -hood that a sense of democratic responsibility will be a part of the administrator’s +wrote Friedrich, the growing number of professionals in government increases the likeliďż˝ +hood that a sense of democratic responsibility will be a part of the administratorďż˝s makeup (Friedrich, 1972). -Others, following Friedrich’s lead, noted the growing number of governmental offi¬ +Others, following Friedrichďż˝s lead, noted the growing number of governmental offiďż˝ cials receiving training in schools of public affairs and public administration. These schools take quite seriously the need to expose students to the ethical issues they may encounter in public organizations and to ways these issues might be resolved. This way @@ -7742,7 +6919,7 @@ Recently, Terry Cooper has argued that the notion of citizenship involves both r and responsibilities and that the citizen must assume a positive role in the betterment of society as a whole. In doing so, he or she acts in pursuit of the common good and in accord with values such as political participation, political equality, and justice. When a citizen -becomes a public administrator, he or she assumes the role of “citizen-administrator, both +becomes a public administrator, he or she assumes the role of ďż˝citizen-administrator, both @@ -7752,77 +6929,77 @@ BOX 4.1 Putting Citizens First -Over the past thirty to forty years, the public’s trust in government has declined dra¬ +Over the past thirty to forty years, the publicďż˝s trust in government has declined draďż˝ matically. Where only a few decades ago three out of four people said that they -“trusted the government in Washington to do what is right” most or all of the time, +ďż˝trusted the government in Washington to do what is rightďż˝ most or all of the time, today that percentage is less than one out of four. People see their elected officials, -especially those at the federal level, as being dishonest, callous, and unwilling to lis¬ -ten. They see the government as “out of control.” +especially those at the federal level, as being dishonest, callous, and unwilling to lisďż˝ +ten. They see the government as ďż˝out of control.ďż˝ At the same time, the level of citizen interest and involvement in public affairs is being questioned. In a historic context, citizenship meant working for the common -good. Yet too often today we hear people respond to public issues by saying “What’s -in it for me” or “Not in my backyard.” Citizens are not well-educated with respect to +good. Yet too often today we hear people respond to public issues by saying ďż˝Whatďż˝s +in it for meďż˝ or ďż˝Not in my backyard.ďż˝ Citizens are not well-educated with respect to the operations of government, nor are they well tuned in to public affairs. -An interesting and important effort to address these basic concerns has been occur¬ +An interesting and important effort to address these basic concerns has been occurďż˝ ring over the past year and a half in Florida. On April 4, 1995, Linda W. Chapin, the first elected county chairman of Orange County, Florida (the county surrounding Orlando), addressed a large gathering of community leaders and volunteers. In her -remarks, Chapin pointed out that success in any policy area—whether the environ¬ -ment, transportation, criminal justice, or schools — ultimately depends on the pride +remarks, Chapin pointed out that success in any policy areaďż˝whether the environďż˝ +ment, transportation, criminal justice, or schools ďż˝ ultimately depends on the pride and commitment of citizens. Arguing that a rekindling of the idea of civic engagement lies at the base of all efforts to improve community life, Chapin called for a program -to put “Citizens First!” +to put ďż˝Citizens First!ďż˝ -The idea of “Citizens First!” starts with the proposition that people acting as citi¬ +The idea of ďż˝Citizens First!ďż˝ starts with the proposition that people acting as citiďż˝ zens must demonstrate their concern for the larger community, their commitment to matters that go beyond short-term interests, and their willingness to assume personal responsibility for what happens in their neighborhoods and the community. After all, these are among the defining elements of effective and responsible citizenship. -But the “Citizens First!” theme cuts in another way. Chapin remarked, “To the +But the ďż˝Citizens First!ďż˝ theme cuts in another way. Chapin remarked, ďż˝To the extent that people are willing to assume (the role of citizens), those ... in government -must be willing to listen — and to put the needs and values of citizens first in our deci¬ +must be willing to listen ďż˝ and to put the needs and values of citizens first in our deciďż˝ sions and our actions. We must reach out in new and innovative ways to understand what our citizens are concerned about. And we must respond to the needs that they believe will help make a better life for themselves and their children. In other words, -those of us in government must put citizens first.” +those of us in government must put citizens first.ďż˝ -SOURCE: Robert B. Denhardt, “Local Governments Learn to Put ‘Citizens First,”’ Public Administration +SOURCE: Robert B. Denhardt, ďż˝Local Governments Learn to Put ďż˝Citizens First,�� Public Administration Times, Vol. 20, No. 1, 1997. Reprinted by permission. -a citizen and someone working for the citizenry.” In this case, the administrators ultimate -obligation is to deliver public goods and services “in ways that enhance the common good -of community life through which character and civic virtue are formed” (Cooper, p. 161). +a citizen and someone working for the citizenry.ďż˝ In this case, the administrators ultimate +obligation is to deliver public goods and services ďż˝in ways that enhance the common good +of community life through which character and civic virtue are formedďż˝ (Cooper, p. 161). One approach to assuring responsiveness that cuts across the objective/subjective -distinction is representative bureaucracy—the idea that public agencies whose employees +distinction is representative bureaucracyďż˝the idea that public agencies whose employees 134 Chapter 4 The Ethics of Public Service -reflect certain demographic characteristics of the population as a whole are likely to oper¬ +reflect certain demographic characteristics of the population as a whole are likely to operďż˝ ate more in line with the policy preferences of the general citizenry. According to this view, an agency with a substantial number of women or minority employees is more likely to take into account the views of women and minorities in the population than -would an agency of white males. Experience with representative bureaucracy has pro¬ +would an agency of white males. Experience with representative bureaucracy has proďż˝ duced mixed results. Whereas we might indeed expect greater responsiveness with respect to race and gender in the example, there is no reason to think that such an agency would -be more or less representative on other types of issues. Moreover, there is no real assur¬ +be more or less representative on other types of issues. Moreover, there is no real assurďż˝ ance that a person from one particular group would necessarily or always reflect that -group’s policy preferences. Those preferences might well be displaced by the professional +groupďż˝s policy preferences. Those preferences might well be displaced by the professional or bureaucratic norms that person adopts. Avenues for Public Participation Another way to assure that public managers and employees act in a way consistent with the desires of the public is to involve citizens directly in the decision-making process -through membership on advisory boards, open hearings, or direct polling. Such tech¬ +through membership on advisory boards, open hearings, or direct polling. Such techďż˝ niques, which have now become widespread, took their initial impetus from passage of the -Economic Opportunity Act of 1964, legislation that required the “maximum feasible par¬ -ticipation” of the poor in the design and conduct of antipoverty programs. In this case, the +Economic Opportunity Act of 1964, legislation that required the ďż˝maximum feasible parďż˝ +ticipationďż˝ of the poor in the design and conduct of antipoverty programs. In this case, the question of involvement itself became quite an issue, especially as the representatives of the poor came into direct confrontation with those holding established positions of power in local communities. The movement toward widespread citizen participation was soon well @@ -7832,21 +7009,21 @@ to administrative decisions is commonplace at all levels of government. There are questions, of course, as to whether real power is transferred to the citizens or whether citizen involvement is merely a device for defusing protests. Some use the -term co-optation to describe situations in which citizens are given the feeling of involve¬ +term co-optation to describe situations in which citizens are given the feeling of involveďż˝ ment but little real power. On balance, it is probably accurate to say that there are some cases in which citizens have been co-opted through involvement in advisory boards or even public hearings, but in most cases, administrators are truly interested in receiving input from the public that will help them make difficult decisions. -The complexities of public involvement in administrative decision-making are illus¬ +The complexities of public involvement in administrative decision-making are illusďż˝ trated in the following classic case, actually a continuation of one we encountered in Chapter 2. As we learned, the Clean Air Act required the EPA to set national emissions standards for hazardous air pollutants to protect the public health. But no definition was -given as to what would be considered “an ample margin of safety.” +given as to what would be considered ďż˝an ample margin of safety.ďż˝ The issue received national attention in 1983 when EPA was trying to decide what, -if anything, should be done about inorganic arsenic, a cancer-causing pollutant pro¬ -duced when arsenic-content ore is smelted into copper. The problem was particu¬ +if anything, should be done about inorganic arsenic, a cancer-causing pollutant proďż˝ +duced when arsenic-content ore is smelted into copper. The problem was particuďż˝ larly serious in the area around Tacoma, Washington, where the American Smelting and Refining Company (ASARCO) operated a copper smelter. The EPA had @@ -7854,13 +7031,13 @@ and Refining Company (ASARCO) operated a copper smelter. The EPA had Issues of Administrative Responsibility 135 -concluded that, in the absence of any controls on ASARCO’s arsenic emissions, +concluded that, in the absence of any controls on ASARCOďż˝s arsenic emissions, approximately four new cases of lung cancer would be contracted each year in the -Tacoma area. Even after installation of the “best available” pollution-control equip¬ -ment, there would still be one new case of cancer per year. But there was an impor¬ +Tacoma area. Even after installation of the ďż˝best availableďż˝ pollution-control equipďż˝ +ment, there would still be one new case of cancer per year. But there was an imporďż˝ tant consideration on the other side of the issue as well. If the EPA were to impose -any more onerous conditions on ASARCO — requiring, for example, that it use ore -containing less arsenic or install a new and far more expensive electric smelter—the +any more onerous conditions on ASARCO ďż˝ requiring, for example, that it use ore +containing less arsenic or install a new and far more expensive electric smelterďż˝the company could not afford to continue to operate the plant. ASARCO employed 570 workers, with an annual payroll of approximately $23 million; the company bought an additional $12 million worth of goods from local suppliers. Closing the @@ -7873,32 +7050,32 @@ Tacoma to announce a series of three public workshops to be held during the summ help them prepare for subsequent formal hearings, and enable them to deliberate about what should be done. -Some questions concerned technical matters, like the reliability of the proposed con¬ +Some questions concerned technical matters, like the reliability of the proposed conďż˝ trol equipment and the risk figures and epidemiological studies on which the EPA had -based its estimates. Other questions revealed the inadequacy of the EPA’s explanation of +based its estimates. Other questions revealed the inadequacy of the EPAďż˝s explanation of the relative health risk posed by the smelter: One resident asked whether that risk was greater than the risk posed by auto emissions. -Residents were not solely concerned, however, with the factual basis for the agency’s +Residents were not solely concerned, however, with the factual basis for the agencyďż˝s claims. Several residents wanted to discuss the effects of the arsenic emissions on their -gardens, their animals, and on the overall quality of life. Several residents expressed hos¬ +gardens, their animals, and on the overall quality of life. Several residents expressed hosďż˝ tility toward the EPA for involving them in this difficult decision making in the first place. These issues are very complex, and the public is not sophisticated enough to make these decisions. This is not to say that EPA does not have an obligation to inform the -public, but information is one thing—defaulting its legal mandate is another. +public, but information is one thingďż˝defaulting its legal mandate is another. These numerous workshops, together with the national attention that Ruckelshaus -had deliberately drawn to them by traveling to Tacoma to announce them, created con¬ +had deliberately drawn to them by traveling to Tacoma to announce them, created conďż˝ siderable and often unfavorable press coverage. In an editorial on July 16, 1983, entitled -“Mr. Ruckelshaus a Caesar,” the New York Times argued that “Mr. Ruckelshaus has it +ďż˝Mr. Ruckelshaus a Caesar,ďż˝ the New York Times argued that ďż˝Mr. Ruckelshaus has it all upside down. . . . What is inexcusable is for him to impose such an impossible choice -on Tacomans:” An article in the Los Angeles Times pointed out the difficulties “in tak¬ -ing a community’s pulse. . . . [Should one] poll the community . . . [or] count the pros -and cons at the massive hearing?” Ruckelshaus was not surprised by the controversy. -He said, “Listen, I know people don’t like these kinds of decisions. . . . [W]elcome to the +on Tacomans:ďż˝ An article in the Los Angeles Times pointed out the difficulties ďż˝in takďż˝ +ing a communityďż˝s pulse. . . . [Should one] poll the community . . . [or] count the pros +and cons at the massive hearing?ďż˝ Ruckelshaus was not surprised by the controversy. +He said, ďż˝Listen, I know people donďż˝t like these kinds of decisions. . . . [W]elcome to the world of regulation. People have demanded to be involved and now I have involved -them, and they say, ‘Don’t ask that question.’ What’s the alternative? Don’t involve -them? Then you are accused of doing something nefarious.” (Reich, 1985.) +them, and they say, ďż˝Donďż˝t ask that question.ďż˝ Whatďż˝s the alternative? Donďż˝t involve +them? Then you are accused of doing something nefarious.ďż˝ (Reich, 1985.) SOURCE: Reprinted by permission of the Yale Law Journal Company and William S. Hein Company from The Yale Law Journal, Vol. 94, pp. 1617-1641. @@ -7919,10 +7096,10 @@ are indeed complex. The Ethics of Privatization -We noted in Chapter 3 the increasing involvement of for-profit and nonprofit organiza¬ +We noted in Chapter 3 the increasing involvement of for-profit and nonprofit organizaďż˝ tions in the delivery of public programs. Especially as governments have contracted for or otherwise sought to privatize services, private and nonprofit organizations have -become major providers of public services. But, as we also saw, the transfer of responsi¬ +become major providers of public services. But, as we also saw, the transfer of responsiďż˝ bility may raise significant ethical questions regarding equity and accountability. The government might find it necessary or expedient to contract out for garbage collection, for example, but neither necessity nor cost savings would justify allowing contractors to @@ -7936,16 +7113,16 @@ such as these, clearly motivated by concern for profit, are less likely to occur delivery by nonprofit organizations, simply by virtue of their service ethos, but even they require mechanisms to assure equity and accountability (Rubin, 1990). -In any privatization arrangement, the government’s responsibility is not only to +In any privatization arrangement, the governmentďż˝s responsibility is not only to assure quality and cost consistent with stewardship of public resources, but also to promote democratic ideals and assure constitutional protections. There are at least -two different types of delegation to consider: those that involve no transfer of discre¬ +two different types of delegation to consider: those that involve no transfer of discreďż˝ tionary authority and those that do. Obviously, many contracts involve no transfer of authority; public works contracts, for example, can usually be standardized and highly specified so as to grant virtually no discretionary public authority to contractors (though even here there are exceptions). The government retains responsibility for exercising public authority (e.g., determining eligibility for and frequency of garbage -collection or street repair) and for holding contractors accountable for quality, quan¬ +collection or street repair) and for holding contractors accountable for quality, quanďż˝ tity, and cost of work. Other arrangements may involve the transfer of discretionary authority; for example, @@ -7959,17 +7136,17 @@ to the public generally. Developing contractual arrangements that fully incorpor Ethical Problems for the Individual I37 -appropriate concerns for the public interest presents one of the most significant chal¬ +appropriate concerns for the public interest presents one of the most significant chalďż˝ lenges of efforts to privatize public services. Ethical Problems for the Individual Even the most straightforward ethical problems may be problematic, especially in the context of work in public organizations. Think for a moment about telling the truth. -At first glance, nothing could seem more obvious than to tell “the truth, the whole truth, -and nothing but the truth.” But is that really the proper ethical position (outside a court¬ +At first glance, nothing could seem more obvious than to tell ďż˝the truth, the whole truth, +and nothing but the truth.ďż˝ But is that really the proper ethical position (outside a courtďż˝ room)? Should you be prepared to he to protect matters vital to the national defense? -Should you tell the whole truth in response to questions from the press about confiden¬ +Should you tell the whole truth in response to questions from the press about confidenďż˝ tial matters affecting your clients? Is it proper to stretch research findings so they better support a policy position you feel is in the public interest? These are just a few of the most pressing and difficult questions you may face that will test not only your principles @@ -7990,7 +7167,7 @@ one hand, an administrator should be accountable to the legislative body; on the hand, responding blindly to legislative decree may not always be in the public interest. The latter situation might arise in several ways. Certainly, differing strongly with -members of the legislature on policy questions presents great difficulties. As an adminis¬ +members of the legislature on policy questions presents great difficulties. As an adminisďż˝ trator, to what extent should you seek to persuade the legislature to your position? Is it proper for a manager to try to build a power base in the legislature to enable special consideration of legislation favorable to the agency? If the legislature acts contrary to @@ -7999,10 +7176,10 @@ continue, is it proper to try later to shape implementation of the legislation t closely in line with your beliefs? Similarly difficult questions might arise if the manager is asked to do something -improper. For instance, what would you do if a legislator asked you to do something ille¬ +improper. For instance, what would you do if a legislator asked you to do something illeďż˝ gal, such as permitting health care payments to an ineligible client? How would your decision change if the legislator only asked you to bend the rules a little bit? How would -your decision change if the legislator chaired the committee that passed on your agency’s +your decision change if the legislator chaired the committee that passed on your agencyďż˝s appropriation? @@ -8014,31 +7191,31 @@ illustrated at the local level with the council-manager form of government, whic around the distinction between policy and administration. Theoretically, the council is responsible for determining policy and the manager is responsible for carrying it out. In practice, however, the line between policy and administration is never so clear; -inevitably, the manager becomes involved in policy matters and the council in adminis¬ +inevitably, the manager becomes involved in policy matters and the council in adminisďż˝ trative matters. Because of this overlap, the Code of Ethics of the International City Management Association contains several statements that bear on the council-manager relationship. -The code’s first item emphasizes the manager’s dedication to “effective and democratic -local government by responsible elected officials'’'’ (ICMA, Code of Ethics) and recog¬ -nizes the contribution professional management can make in this regard. More specifi¬ -cally, on the manager’s policy role, the code suggests that the manager “submit policy +The codeďż˝s first item emphasizes the managerďż˝s dedication to ďż˝effective and democratic +local government by responsible elected officials'ďż˝'ďż˝ (ICMA, Code of Ethics) and recogďż˝ +nizes the contribution professional management can make in this regard. More specifiďż˝ +cally, on the managerďż˝s policy role, the code suggests that the manager ďż˝submit policy proposals to elected officials; provide them with facts and advice on matters of policy as a basis for making decisions and setting community goals, and uphold and implement -municipal policies adopted by elected officials.” Similarly, the manager is advised to -“recognize that elected representatives of the people are entitled to the credit for the +municipal policies adopted by elected officials.ďż˝ Similarly, the manager is advised to +ďż˝recognize that elected representatives of the people are entitled to the credit for the establishment of municipal policies; (while) responsibility for public execution rests with -the members” (ICMA, Code of Ethics). +the membersďż˝ (ICMA, Code of Ethics). Despite these helpful guidelines, city managers often face difficulties in relationships with city councils. One city manager disagreed strongly with a council move to limit widening a particular city street, an improvement the manager felt was essential to local -economic development; another city manager felt that a council member was acting irre¬ +economic development; another city manager felt that a council member was acting irreďż˝ sponsibly in proposing legislation that would help his contracting business; still another city manager was asked to process travel vouchers that included payment for personal vacation expenses. Simply figuring out how to respond effectively to these situations is hard enough, but the problem is even greater when you remember that the city manager -who forces an issue of policy or ethics may be seen as attacking his or her bosses — and +who forces an issue of policy or ethics may be seen as attacking his or her bosses ďż˝ and may, at any time, be summarily fired. It is no wonder that the average tenure of city managers in this country is only between four and five years! @@ -8048,10 +7225,10 @@ Another problem has to do with limits to organizational authority. What would yo if your boss asked you to do something you felt was morally wrong? Suppose you are asked to bury a report on toxic wastes you consider potentially dangerous to the public, or that, under pressures of time, you are asked to give quick approval to a piece of -equipment that might be unsafe. Imagine that you are asked to approve an expense reim¬ +equipment that might be unsafe. Imagine that you are asked to approve an expense reimďż˝ bursement for your boss, when you know the amount has been padded. -In cases such as these, you face difficult choices—choices made even more difficult by +In cases such as these, you face difficult choicesďż˝choices made even more difficult by the very logic that causes us to employ bureaucratic means of organizing. Bureaucratic organizations are attractive because they enable people to accomplish large-scale tasks they would not otherwise be able to undertake, but bureaucracy as a social form also @@ -8061,70 +7238,70 @@ demands a certain amount of obedience to authority. Presumably, if orders are no Ethical Problems for the Individual 139 -obeyed, the whole system falls apart—so there are strong pressures for individuals to +obeyed, the whole system falls apartďż˝so there are strong pressures for individuals to follow orders rather than their consciences. The most dramatic historical example of the problem of unquestioning obedience to -authority comes from Hitler’s attempt to exterminate the European Jews during World +authority comes from Hitlerďż˝s attempt to exterminate the European Jews during World War II. Although the killings were ordered by political leaders, they were carried out through the German bureaucracy. The problem faced not only those at the top of the organization but those throughout it. Raul Hilberg, author of a classic study of the Holocaust, writes: -Most bureaucrats composed memoranda, drew up blueprints, signed correspon¬ +Most bureaucrats composed memoranda, drew up blueprints, signed corresponďż˝ dence, talked on the telephone, and participated in conferences. . . . However, these men were not stupid; they realized the connection between their paperwork and the heaps of corpses in the East. And they realized, also, the shortcomings of those rationalizations which placed all evil on the Jew and all good on the German. That -was why they were compelled to justify their individual activities. The first rational¬ +was why they were compelled to justify their individual activities. The first rationalďż˝ ization was the oldest, the simplest, and therefore the most effective: the doctrine of superior orders. First and foremost there was duty. No matter what objections there might be, orders were given to be obeyed. A clear order was like an absolution; armed with such an order, a perpetrator felt that he could pass his responsibility and his conscience upward. (Hilberg, 1961, p. 649) -This manner of justifying one’s actions became central to the defense of those accused at -the Nuremberg trials. Many defendants argued, as did General Alfred Jodi, that it is “not -the task of a soldier to act as a judge over his superior commander” (Arendt, 1963, -p. 133). But despite the rationale of “superior orders,” for the German bureaucrats and for +This manner of justifying oneďż˝s actions became central to the defense of those accused at +the Nuremberg trials. Many defendants argued, as did General Alfred Jodi, that it is ďż˝not +the task of a soldier to act as a judge over his superior commanderďż˝ (Arendt, 1963, +p. 133). But despite the rationale of ďż˝superior orders,ďż˝ for the German bureaucrats and for their more contemporary counterparts, the moral dilemma posed by such orders remains. -One might argue, of course, that the German example is overdrawn—that such +One might argue, of course, that the German example is overdrawnďż˝that such a thing could never happen in a democratic society such as ours. But perhaps it could. Indeed, a remarkable series of studies conducted by Yale psychologist Stanley Milgram many years ago suggests that Americans are often quite willing to obey, even where doing so causes them extreme moral discomfort. In an elaborate series of experiments, -Milgram asked subjects to administer shocks to a person supposedly involved in a mem¬ +Milgram asked subjects to administer shocks to a person supposedly involved in a memďż˝ ory experiment. Even though the person receiving the shocks writhed in pain (he was -actually an actor and an accomplice), the subjects continued to follow Milgram’s orders -to administer the painful shocks—simply because they were told to do so! Milgram con¬ -cluded that “a substantial proportion of people do what they are told, irrespective of the +actually an actor and an accomplice), the subjects continued to follow Milgramďż˝s orders +to administer the painful shocksďż˝simply because they were told to do so! Milgram conďż˝ +cluded that ďż˝a substantial proportion of people do what they are told, irrespective of the content of the act and without limitations of conscience, so long as they perceive that the -command comes from a legitimate authority” (Milgram, 1974, p. 189). +command comes from a legitimate authorityďż˝ (Milgram, 1974, p. 189). Contemporary examples of problems with orders from above are perhaps less dramatic than the German illustration, but they present equally difficult choices for the individual. You may, of course, protest the action, either directly to your superiors or more indirectly, -though in doing so, you may place yourself in jeopardy. Or you may leave the organiza¬ -tion, resigning in protest, even though the available alternatives—such as unemploy¬ -ment—may not be attractive. Or you may simply keep quiet and do what you are told. -The latter alternative is certainly the easiest in most cases—by obeying orders, you feel +though in doing so, you may place yourself in jeopardy. Or you may leave the organizaďż˝ +tion, resigning in protest, even though the available alternativesďż˝such as unemployďż˝ +mentďż˝may not be attractive. Or you may simply keep quiet and do what you are told. +The latter alternative is certainly the easiest in most casesďż˝by obeying orders, you feel 140 Chapter 4 The Ethics of Public Service -you have someone else (your superior) to blame if 'something goes wrong—and, in any +you have someone else (your superior) to blame if 'something goes wrongďż˝and, in any case, there is a strong feeling that if people in large organizations fail to follow orders, things will not get done. Unfortunately, rationalizations such as these do not allow you to escape the moral consequences of your actions. Conflicts of Interest -Another area of potential ethical difficulties for public officials involves conflicts of inter¬ +Another area of potential ethical difficulties for public officials involves conflicts of interďż˝ est. Finding ways to avoid conflicts of interest, especially financial, has been central to federal, state, and local ethics legislation for the past twenty-five to thirty years. At the -federal level, legislation proscribing the ethical behavior of public officials has deep his¬ +federal level, legislation proscribing the ethical behavior of public officials has deep hisďż˝ torical roots; however, the tone of modern ethics legislation was set by Executive Order 11222 issued by President Johnson in 1965. In part, the policy reads as follows: @@ -8133,33 +7310,33 @@ to have complete confidence in the integrity of his government. Each individual officer, employee, advisor of government must help to earn and must honor that trust by his own integrity and conduct in all official actions. -The executive order then provides a set of “standards of conduct” that covers such -topics as accepting gifts, financial conflicts of interest, misuse of federal property, and lim¬ +The executive order then provides a set of ďż˝standards of conductďż˝ that covers such +topics as accepting gifts, financial conflicts of interest, misuse of federal property, and limďż˝ itations on outside employment. The policy also bars use of public office for personal gain or for the gain of those with whom the individual has family, business, or financial ties. The Johnson policy also initiated public disclosure of financial statements, something that was given greater prominence in the Ethics and Government Act of 1978. This act -codified many of the previously established standards and created the Office of Govern¬ +codified many of the previously established standards and created the Office of Governďż˝ ment Ethics to establish more detailed regulations to monitor the behavior of public servants and provide ethics training for managers and other officials. President George Bush Sr., in keeping with his desire to set a high moral tone for his administration, used his first executive order to establish a Commission on Federal -Ethics Law Reform. In establishing the commission, the president sought four key princi¬ -ples: “(1) ethical standards for public servants must be exacting enough to ensure that -the officials act with the utmost integrity and live up to the public’s confidence in them; +Ethics Law Reform. In establishing the commission, the president sought four key princiďż˝ +ples: ďż˝(1) ethical standards for public servants must be exacting enough to ensure that +the officials act with the utmost integrity and live up to the publicďż˝s confidence in them; (2) standards must be fair, they must be objective and consistent with common sense; (3) the standards must be equitable across all three branches of the federal government; finally we cannot afford to have unreasonably restrictive requirements that discourage -citizens who are able from entering public service” (President’s Commission, 1989, p. 2). +citizens who are able from entering public serviceďż˝ (Presidentďż˝s Commission, 1989, p. 2). Central to the Bush recommendations were provisions dealing with conflicts of interest. Under existing legislation, officers of the executive branch of the federal government are required to refrain from participating personally and financially in deciding, approving, recommending, or advising with respect to matters in which they or family members or close associates have a financial interest. An official facing a possible conflict of interest -has a number of avenues available. First, the official can simply withdraw from participat¬ +has a number of avenues available. First, the official can simply withdraw from participatďż˝ ing in the particular case. Second, the official may seek a waiver, especially when his or her @@ -8178,17 +7355,17 @@ limits the acceptance of meals, entertainment, and gifts; for example, meals can accepted if offered during the course of a working meeting, but there are prohibitions on one-on-one meals in which you are being treated. -There are also prohibitions on what a federal employee can do after leaving govern¬ -ment. Sections of the Ethics and Government Act prohibit former officials from repre¬ +There are also prohibitions on what a federal employee can do after leaving governďż˝ +ment. Sections of the Ethics and Government Act prohibit former officials from repreďż˝ senting outside parties before the federal government with respect to matters in which they had some personal involvement or official responsibility for a period of two years. There is also a one-year cooling-off period, during which you cannot represent parties before your agency even on matters that were not your responsibility while working for the government. The Bush commission recommended strengthening provisions dealing -with activities of former federal officials by requiring a prohibition not only against per¬ -sonally representing outside interests before government agencies but also “aiding or -advising any other person.” The proposal would eliminate not only direct representa¬ -tion, but “behind the scenes” advice and counsel as well. +with activities of former federal officials by requiring a prohibition not only against perďż˝ +sonally representing outside interests before government agencies but also ďż˝aiding or +advising any other person.ďż˝ The proposal would eliminate not only direct representaďż˝ +tion, but ďż˝behind the scenesďż˝ advice and counsel as well. Legislation such as this is intended to prevent influence peddling by those who have recently left government and to limit the revolving door phenomenon, wherein persons @@ -8201,19 +7378,19 @@ on information exchange that could influence purchase of defense materials or co Linally, the potential for conflicts of interest is decreased by requirements for financial disclosure on the part of executive officials. The Bush commission (of the first President -Bush’s administration), for example, wrote “financial disclosure has been variously +Bushďż˝s administration), for example, wrote ďż˝financial disclosure has been variously described as the linchpin of the ethical enforcement system, as the disinfectant sunlight -which makes possible the cleaning up of abusive practices” (President’s Commission, +which makes possible the cleaning up of abusive practicesďż˝ (Presidentďż˝s Commission, 1989, p. 5). Though financial reporting requirements have sometimes been criticized as excessively detailed and intrusive, they have been, in the view of most ethics experts, -highly valuable in maintaining public confidence in the integrity of government. If noth¬ +highly valuable in maintaining public confidence in the integrity of government. If nothďż˝ ing else, the reports have meant that individuals are forced to carefully review potential conflicts of interests that they may bring with them to government, and thus be more aware of those interests should conflicts arise. The recommendations of the Bush commission led in Lebruary 1993 to new standards creating greater uniformity across all agencies of the federal government. The rules cover -seven areas: (1) gifts from outside sources, (2) gifts between federal employees, (3) con¬ +seven areas: (1) gifts from outside sources, (2) gifts between federal employees, (3) conďż˝ flicting financial interests, (4) impartiality in performing official duties, (5) seeking other employment, (6) misuse of position, and (7) outside activities. In many respects, these @@ -8221,11 +7398,11 @@ employment, (6) misuse of position, and (7) outside activities. In many respects 142 Chapter 4 The Ethics of Public Service -standards reflected the new president’s pledge for a return to values-based leadership. -As a candidate, President Clinton had voiced sharp criticism against the ethical short¬ +standards reflected the new presidentďż˝s pledge for a return to values-based leadership. +As a candidate, President Clinton had voiced sharp criticism against the ethical shortďż˝ comings of preceding administrations. On his Inauguration Day, President Clinton used his first executive order to require new ethical commitments of executive branch -appointees. It included restrictions on appointees’ lobbying or otherwise trying to influ¬ +appointees. It included restrictions on appointeesďż˝ lobbying or otherwise trying to influďż˝ ence the agency where he or she worked. Networking @@ -8246,7 +7423,7 @@ support. The final chapter of the Clinton presidency brought harsh criticism fro sides of the political aisle (even from the soft-spoken former president, Jimmy Carter), and prompted yet another Congressional investigation into possible ethics violations. -Many of the same provisions for preventing conflict of interest in federal ethics legis¬ +Many of the same provisions for preventing conflict of interest in federal ethics legisďż˝ lation have been also instituted at the state level. Many states have passed detailed ethics legislation, often using financial disclosure as a chief mechanism for preventing abuse. Indeed, almost all states have some form of financial disclosure provision for some state @@ -8255,9 +7432,9 @@ For example, in 1991, the state of Texas established an ethics commission to rev conduct of lobbyists, candidates, and elected officials. Similarly, given the influence of money in politics, other states have sought to establish controls on political money. Florida, for example, reduced the limits on campaign contributions and has created -a fully funded public campaign finance system. Many states have adopted similar ver¬ +a fully funded public campaign finance system. Many states have adopted similar verďż˝ sions of the federal conflict of interest legislation passed during the Bush administration. -Across the country, many states have passed detailed ethics legislation, often using finan¬ +Across the country, many states have passed detailed ethics legislation, often using finanďż˝ cial disclosure as a chief mechanism for preventing abuse. Whistle Blowing @@ -8273,18 +7450,18 @@ Ethical Problems for the Individual 143 abuses of the merit system, improper enforcement of toxic waste legislation, and other matters. Alan Campbell, director of the Office of Personnel Management during the Carter administration, described these public disclosures, or whistle blowing, in -this way: “Quite simply, I view whistle blowing as a popular short-hand label for any +this way: ďż˝Quite simply, I view whistle blowing as a popular short-hand label for any disclosure of a legal violation, mismanagement, a gross waste of funds, an abuse of authority, or a danger to public health or safety, whether the disclosure is made -within or outside the chain of command” (Bowman, 1983, p. 91). In other words, +within or outside the chain of commandďż˝ (Bowman, 1983, p. 91). In other words, the whistle blower reveals information about fraud, waste, or abuse in government, including actions that might endanger the safety or liberty of other government employees or citizens at large. Generally, employees who decide to blow the whistle move through several stages. -First, the employees become aware of an organizational practice that is unethical or dan¬ +First, the employees become aware of an organizational practice that is unethical or danďż˝ gerous; second, they express concern to their immediate supervisor or those further up in -the hierarchy; and, third, unsatisfied that anyone in the organization will take appropri¬ +the hierarchy; and, third, unsatisfied that anyone in the organization will take appropriďż˝ ate action, they take the issue outside, either through leaks to the press or to external public interest groups. (The press, of course, may independently play an important role in revealing instances of wrongdoing.) @@ -8298,20 +7475,20 @@ coworkers (Truelson, 1986, p. 9). Studies show that, as a result, many public em who have knowledge of corruption do not bother to report it, and many who do report abuses suffer reprisals (Bowman, 1983, p. 91). -Obviously if you discover improper actions on the part of persons in your organiza¬ +Obviously if you discover improper actions on the part of persons in your organizaďż˝ tion, you have a strong obligation to report those actions; however, you should be careful that your allegations are based on fact and are properly reported. Norman -Bowie suggests that an act of whistle blowing can be justified if the following condi¬ +Bowie suggests that an act of whistle blowing can be justified if the following condiďż˝ tions are met: 1. If it is done with an appropriate moral motive 2. If all internal channels of dissent have been exhausted 3. If it is based on evidence that would persuade a reasonable person 4. If analysis has been made of the seriousness, immediacy, and specificity of the problem -5. If it is commensurate with one’s responsibility +5. If it is commensurate with oneďż˝s responsibility 6. If it has some chance of success (Bowman, 1983, p. 91) -At the federal level, codes of conduct have encouraged public servants to expose cor¬ +At the federal level, codes of conduct have encouraged public servants to expose corďż˝ ruption wherever it is discovered, and protection for whistle blowers has been provided through the Civil Service Reform Act. Moreover, some agencies have established formal dissent channels, confidential patterns of communications outside the normal chain of @@ -8325,24 +7502,24 @@ i44 Chapter 4 The Ethics of Public Service you work, if you decide to blow the whistle, you should be fully aware not only of potential dangers, but also of the protection available to you based on rights of free -speech and of prohibitions against discriminatory actions. Encouraging greater commu¬ +speech and of prohibitions against discriminatory actions. Encouraging greater commuďż˝ nication by providing freer and more open channels of dissent is one way to ensure more ethical behavior in public organizations. Prohibitions on Political Activities Political neutrality has traditionally been considered important to effective democratic -governance. President Jefferson, for example, issued an early order against federal govern¬ +governance. President Jefferson, for example, issued an early order against federal governďż˝ ment employee partisanship, an order whose essence was repeated by Presidents Grant and Hayes. Legislative action occurred with the adoption of the Pendleton Act in 1883, -which “prohibited political assessment, solicitations, subscriptions or contributions from -or by any employee of the United States.” The most sweeping ban on political activity, -however, occurred during Theodore Roosevelt’s administration. He declared that classi¬ -fied civil service employees “shall take no active part in political management or in politi¬ -cal campaigns” (Masters & Bierman, 1985, p. 519). Later, Congress passed the Hatch -Political Activities Act in 1939, stating that “no officer or employee of the executive +which ďż˝prohibited political assessment, solicitations, subscriptions or contributions from +or by any employee of the United States.ďż˝ The most sweeping ban on political activity, +however, occurred during Theodore Rooseveltďż˝s administration. He declared that classiďż˝ +fied civil service employees ďż˝shall take no active part in political management or in politiďż˝ +cal campaignsďż˝ (Masters & Bierman, 1985, p. 519). Later, Congress passed the Hatch +Political Activities Act in 1939, stating that ďż˝no officer or employee of the executive branch of the federal government, or any agency or department thereof, shall take any -active part in political management or in political campaigns.” (A set of amendments +active part in political management or in political campaigns.ďż˝ (A set of amendments passed in 1940 extended the ban on political management and campaigning to state and local employees whose programs were financed fully or in part by federal funds.) @@ -8358,10 +7535,10 @@ and issues; however, certain other activities are prohibited: 6. making campaign speeches 7. seeking public office in partisan elections (Masters & Bierman, 1985, pp. 519-520) -Although the Hatch Act seeks both to protect public employees from political harass¬ +Although the Hatch Act seeks both to protect public employees from political harassďż˝ ment and the political process from special influence, it has been subject to various interpretations and has proven confusing in its application. Moreover, many have -claimed that it unduly restricts public employees’ political freedoms by essentially +claimed that it unduly restricts public employeesďż˝ political freedoms by essentially disenfranchising them from important political activities during the time they hold government employment. Others have pointed out that the Hatch Act places more stringent restrictions on United States government employees than on those of Great @@ -8388,21 +7565,21 @@ their own time, though not to do so on the job (Congressional Quarterly Weekly, Managing Ethics How does a manager promote more ethical practices in an organization? First, there are -a variety of formal controls, including legal, on the behavior of those in public organiza¬ +a variety of formal controls, including legal, on the behavior of those in public organizaďż˝ tions. The courts may direct public officials to undertake specific actions or to cease and -desist from certain courses of action. They may also be required, on behalf of their agen¬ +desist from certain courses of action. They may also be required, on behalf of their agenďż˝ cies, to provide individuals with damages or other compensation. And, of course, any public employee may be prosecuted for breaking the law. But what if you are sued as an individual for actions you have undertaken in the course of your official duties? Actually, this question has been the subject of considerable legal debate throughout -our country’s history. Whereas early interpretations of the law generally protected public -officials against suits, claiming they violated an individual’s rights in the course of one’s +our countryďż˝s history. Whereas early interpretations of the law generally protected public +officials against suits, claiming they violated an individualďż˝s rights in the course of oneďż˝s duties, more recent interpretations have severely limited the immunity granted to public officials. Speaking broadly, there are two types of immunity: absolute immunity and -qualified (or “good faith”) immunity. Absolute immunity, which means that an official is +qualified (or ďż˝good faithďż˝) immunity. Absolute immunity, which means that an official is not liable for damages under any circumstances, has been granted to certain legislative -and judicial officers and, in limited cases, to members of the executive branch while per¬ +and judicial officers and, in limited cases, to members of the executive branch while perďż˝ forming their official duties. (The president has been granted absolute immunity but state governors have not.) @@ -8410,9 +7587,9 @@ Most other officials have only qualified immunity. They may be sued, but can def themselves by showing they were acting in good faith to carry out their duties. That is, they must show that they were unaware of the impropriety of an act at the time they were carrying it out and that any reasonable person might have acted similarly. Although the -current legal position allows most officials to be sued, relatively few suits have been suc¬ +current legal position allows most officials to be sued, relatively few suits have been sucďż˝ cessful; most public managers have been found to have acted in good faith. In any case, -knowing something about public officials’ liability for their actions will better enable you +knowing something about public officialsďż˝ liability for their actions will better enable you and those in your organization to avoid problems in the first place, or to respond to them when they arise. @@ -8422,20 +7599,20 @@ when they arise. Besides legal proceedings, other formal devices protect agairist waste or fraud on the part of public officials or the private individuals or groups with which they interact. For -example, most major federal agencies have an Office of the Inspector General to investi¬ +example, most major federal agencies have an Office of the Inspector General to investiďż˝ gate possible cases of fraud, waste, and abuse in government. The inspectors general are charged with looking into situations in which federal employees or funds are being used -improperly. Targets of investigations may be either public employees or private individu¬ +improperly. Targets of investigations may be either public employees or private individuďż˝ als, such as contractors, who might attempt to defraud the government. Through their internal investigations of federal agencies, the inspectors general have occasionally revealed major problems. For example, the Office of the Inspector General of the Department of Health and Human Services recently initiated several studies related to excessive billings for Medicaid payments. Selling samples, billing Medicaid at -higher prices than charged the general public, and billing for brand drugs while dispens¬ -ing generic drugs are among the expected abuses. Similarly, the inspector general’s office +higher prices than charged the general public, and billing for brand drugs while dispensďż˝ +ing generic drugs are among the expected abuses. Similarly, the inspector generalďż˝s office in the Defense Department announced plans recently to probe the military fastener -industry—makers of bolts, screws, and other hardware — to see if substandard parts +industryďż˝makers of bolts, screws, and other hardware ďż˝ to see if substandard parts contributed to military accidents. In a related case, two Maryland defense contractors pleaded guilty to a decade-long scheme to sell cheap, low-grade fasteners for military equipment. The contractors admitted to substituting commercial-grade bolts, screws, @@ -8447,24 +7624,24 @@ Establishing an Ethical Climate In addition to formal controls, you can help promote ethical behavior by providing strong ethical leadership, creating a climate in which ethical behavior is valued, and encouraging -free and open communications throughout the organization. “Managing ethics involves +free and open communications throughout the organization. ďż˝Managing ethics involves more than making public statements espousing a particular set of values and more than selecting employees with good moral character. Managing ethics also involves careful analysis of the organizational culture, working to develop a cultural environment that places high value on ethical integrity and developing policies and procedures and systems -that enable organization members to act with ethical integrity” (Denhardt, 1989, p. 1). -Unfortunately, most organizations, including most public organizations, have not under¬ +that enable organization members to act with ethical integrityďż˝ (Denhardt, 1989, p. 1). +Unfortunately, most organizations, including most public organizations, have not underďż˝ taken active programs to promote ethics (see Box 4.2). Many organizational members feel that, in the absence of an ethics program, the requirements of large bureaucracies tend to promote unethical, dishonest, and inhumane -behavior. “Managers perceive that the bureaucratic environment is less ethical than their +behavior. ďż˝Managers perceive that the bureaucratic environment is less ethical than their own values and beliefs, that they are under pressure to compromise personal standards to achieve organizational goals, and that their supervisors are interested only in results, -not how they were obtained” (Bowman, 1983, p. 74). +not how they were obtainedďż˝ (Bowman, 1983, p. 74). A first step in promoting more ethical practices in your organization is to analyze the -basic ideas, beliefs, and attitudes that guide the behavior of the organization’s members. +basic ideas, beliefs, and attitudes that guide the behavior of the organizationďż˝s members. @@ -8477,7 +7654,7 @@ Intervention Techniques for Integrating Ethics into Agency Operations Do both compliance and integrity training and counseling. Give briefings on common ethical problems on the job for new hires. Give termination briefings on potential postemployment problems. -Designate senior manager(s) for integrity issues, separate from compliance/inves¬ +Designate senior manager(s) for integrity issues, separate from compliance/invesďż˝ tigative unit. Require annual sign-off on prospective commitment and compliance. Attend to ethical values and character in recruitment. @@ -8485,63 +7662,63 @@ Integrate ethical performance into promotional exams and annual reviews; link ethical behavior to incentives. Publicize positive, noteworthy role models. Raise ethical concerns at meetings and through regular communication channels. -Train middle managers to recognize and commend subordinates’ statements about +Train middle managers to recognize and commend subordinatesďż˝ statements about ethical concerns. Review management practices and administrative routines at every level and in every type of unit in the organization. -Get the whole team — all employees, all levels, all units to participate; ethics is not +Get the whole team ďż˝ all employees, all levels, all units to participate; ethics is not a spectator sport. Give earnest attention to ethical treatment of subordinates, clients, and others. -SOURCE: Carol W. Lewis; The Ethics Challenge in Public Service; Copyright © 1991 by Jossey-Bass. This +SOURCE: Carol W. Lewis; The Ethics Challenge in Public Service; Copyright ďż˝ 1991 by Jossey-Bass. This material is used by permission of John Wiley 8c Sons, Inc. One device for assessing the prevailing beliefs of your organization is an ethics audit, an assessment of the value premises that guide action in the organization. The audit -provides a methodical review of the organization’s activities and the implicit values that +provides a methodical review of the organizationďż˝s activities and the implicit values that underlie the activities. Importantly, these values may not turn out to be those contained in public pronouncements. One student of organizational behavior concluded that -“the key to learning the ethics of individuals or organizations is simple: do not listen to -what they say about ethics, observe what they do” (Pastin, 1988, p. 92). By clearly +ďż˝the key to learning the ethics of individuals or organizations is simple: do not listen to +what they say about ethics, observe what they doďż˝ (Pastin, 1988, p. 92). By clearly establishing the values that guide behavior in the organization, you and other members can more consciously and clearly begin to alter those that seem inappropriate. As an example, after numerous incidents of defense contract violations, the General Dynamics Corporation brought in an outside consultant to help establish an ethics -program. The consultant conducted an ethics audit, which helped members of the organi¬ -zation recognize that they shared a basic, though unstated, assumption that the govern¬ +program. The consultant conducted an ethics audit, which helped members of the organiďż˝ +zation recognize that they shared a basic, though unstated, assumption that the governďż˝ ment was their adversary and that taking advantage of an adversary was quite acceptable. Once this assumption was understood, it could be addressed openly and replaced with -more appropriate assumptions about the relationships between government and its con¬ +more appropriate assumptions about the relationships between government and its conďż˝ tractors. An example of an ethics audit conducted by a public agency is contained in -Carol Lewis’s book, The Ethics Challenge in Public Service (1991, pp. 199-202). +Carol Lewisďż˝s book, The Ethics Challenge in Public Service (1991, pp. 199-202). -I4§ Chapter 4 The Ethics of Public Service +I4ďż˝ Chapter 4 The Ethics of Public Service Following an ethics audit, your organization may wish to develop a clearer statement of values to guide individual behavior. That statement should include general moral -guidelines, but it should also articulate a vision of the organization’s mission what it +guidelines, but it should also articulate a vision of the organizationďż˝s mission what it stands for, what it seeks to achieve, and how it plans to go about its business. Developing such a statement should involve many members of the organization and have the full support of the top management team. (We will examine statements of values in more detail later.) Besides developing a statement of management philosophy for your organization alone, -you may also wish to employ more general codes of ethics developed by other organiza¬ +you may also wish to employ more general codes of ethics developed by other organizaďż˝ tions. The federal government, for example, has promulgated a Code of Ethics for Federal Service, and many state and local government organizations have developed similar codes. Professional organizations such as the International City Management Association (ICMA) -also have codes of ethics related to members of their profession. Perhaps the most compre¬ +also have codes of ethics related to members of their profession. Perhaps the most compreďż˝ hensive code of ethics for public-sector managers is that of the American Society for Public Administration (ASPA). The ASPA Code of Ethics and accompanying guidelines illustrate -the variety of ethical concerns public managers face and provide guidance for resolving ethi¬ +the variety of ethical concerns public managers face and provide guidance for resolving ethiďż˝ cal issues (see Appendix A later in this chapter). After assessing values and adopting statements to express the desired values, you might wish to develop training programs or other devices for communicating these ideals within -the organization. The Office of Government Ethics, for example, conducts frequent semi¬ +the organization. The Office of Government Ethics, for example, conducts frequent semiďż˝ nars for federal managers on ethics in the public service. Similarly, organizations such as ASPA and ICMA have developed training programs that are available nationally or can be adapted to local circumstances. Training programs are also available for executives in @@ -8550,17 +7727,17 @@ nonprofit organizations. As a manager, however, you should not neglect the fact that your own actions will be taken as a model of appropriate behavior. The example you set will be one of the most important training devices to members of your organization. If you wish them to take -the moral high road, you must demonstrate by example that ethics is a substantial con¬ +the moral high road, you must demonstrate by example that ethics is a substantial conďż˝ cern and that unethical conduct will not be tolerated. Summary and Action Implications As we move from the context of public administration to the ethics of public service, we also move from areas where abstract knowledge is helpful to areas where the ability to -act is important. In dealing with the many ethical dilemmas that confront public offi¬ +act is important. In dealing with the many ethical dilemmas that confront public offiďż˝ cials, you must know not only what the correct action is, but be able to act in a way consistent with that judgment. Understanding something about how ethical choices are -made is helpful, as is recognizing the importance of deliberation in making ethical deci¬ +made is helpful, as is recognizing the importance of deliberation in making ethical deciďż˝ sions. But what will ultimately make the difference will be your willingness to act on the basis of moral principles. @@ -8576,7 +7753,7 @@ as well as issues of accountability and responsiveness to public demands, are es intense in the relationship between administrators and the legislative branch. Many of the concerns you may encounter as a public manager are similar to those -other managers face, but some are especially conditioned by the fact that you are operat¬ +other managers face, but some are especially conditioned by the fact that you are operatďż˝ ing in the public interest. In either case, you must exhibit the virtues of benevolence and justice (including honesty, trustworthiness, and fairness) in your behavior. In any case, as you face some of the difficulties that arise, careful self-reflection and dialogue with @@ -8585,10 +7762,10 @@ others about ethical concerns will be especially helpful. It is within your power as an administrator to undertake programs to encourage and facilitate a more ethical climate within your organization. Conducting an ethics audit, developing a statement of organizational philosophy or a code of ethics, and establishing -training programs to deal with ethical issues will help improve your organization’s +training programs to deal with ethical issues will help improve your organizationďż˝s ethics. As a manager, however, perhaps the most important message you can send is that communicated by your own actions. If you seem to attach great importance to ethical -concerns, others in the organization will attach similar importance. The model you pro¬ +concerns, others in the organization will attach similar importance. The model you proďż˝ vide can make an important difference in the ethics of your organization. Terms and Definitions @@ -8596,7 +7773,7 @@ Terms and Definitions Co-optation: Situations in which citizens are given the feeling of involvement while exercising little real power. -Deontology: Belief that broad principles of rightness and wrongness can be estab¬ +Deontology: Belief that broad principles of rightness and wrongness can be estabďż˝ lished and are not dependent on particular circumstances. Ethical (or moral) relativism: Belief that moral judgment can be made only by taking @@ -8606,10 +7783,10 @@ Ethics: Process by which we clarify right and wrong and act on what we take to b Ethics audit: Evaluation of the value premises that guide action within an organization. -Morality: Practices and activities considered right or wrong and the value those prac¬ +Morality: Practices and activities considered right or wrong and the value those pracďż˝ tices reflect. -Neutral competence: The belief that a neutral public bureaucracy following the man¬ +Neutral competence: The belief that a neutral public bureaucracy following the manďż˝ dates of a legislative body will meet the requirements of democracy. Objective responsibility: Assurance of responsiveness through external controls. @@ -8618,7 +7795,7 @@ Objective responsibility: Assurance of responsiveness through external controls. I50 Chapter 4 The Ethics of Public Service -Subjective responsibility: Assurance of responsiveness"based on an individual’s character. +Subjective responsibility: Assurance of responsiveness"based on an individualďż˝s character. Utilitarianism: Philosophy of the greatest good for the greatest number of people. @@ -8630,17 +7807,17 @@ Study Questions 4. Discuss the three levels of moral development devised by psychologist Lawrence Kohlberg. -5. What is meant by an “ethics of virtue”? +5. What is meant by an ďż˝ethics of virtueďż˝? 6. Discuss the conflict between efficiency and responsiveness. -7. Explain the limitations on administrators’ discretion with regard to responsiveness +7. Explain the limitations on administratorsďż˝ discretion with regard to responsiveness and efficiency. 8. Discuss some of the ethical problems individuals who work in public organizations encounter and how they can deal with them properly. -9. The Hatch Act defines prohibited activities of public employees. Explain the signifi¬ +9. The Hatch Act defines prohibited activities of public employees. Explain the signifiďż˝ -cance of these prohibitions with regard to an individual’s political actions. +cance of these prohibitions with regard to an individualďż˝s political actions. 10. Explain ways to improve the ethical behavior of those in a public organization and provide examples of managing ethics. @@ -8650,18 +7827,18 @@ Cases and Exercises 1. To illustrate various aspects of ethical deliberation, read and discuss the following case: There is a raging river which can be crossed only by means of a boat. The only -boat is owned and operated by a person we shall call A (in order to protect the inno¬ +boat is owned and operated by a person we shall call A (in order to protect the innoďż˝ cent as well as the guilty). On the tame side of the river, X is deeply and sincerely in love with a person C on the other side of the river. X goes to A asking to be taken across the river, offering to pay whatever the charge for the service. A declines any money, but agrees to take X across the river if X will sleep with A. Person X refuses, -of course (!), but argues and then pleads with A to name some other price. A, how¬ +of course (!), but argues and then pleads with A to name some other price. A, howďż˝ ever, remains firm. Person X leaves, but returns a second day to seek a way across the river. A remains -as adamant as before. In frustration, X seeks out a third person, B, who hears the sit¬ -uation sympathetically, agreeing that A is certainly a rogue. But B says, “I have other -matters concerning me just now and am not able to help you.” +as adamant as before. In frustration, X seeks out a third person, B, who hears the sitďż˝ +uation sympathetically, agreeing that A is certainly a rogue. But B says, ďż˝I have other +matters concerning me just now and am not able to help you.ďż˝ @@ -8672,26 +7849,26 @@ trip across the river. X finally agrees to the price and sleeps with A, who then X across the river as promised. X and C are joyously reunited, until C asks how X got across the river. X truthfully -replies, “I had to sleep with A to earn the trip across the river.” C replies indignantly, -“Out of my life! I will have nothing to do with one who holds honor and principle -so lightly!” +replies, ďż˝I had to sleep with A to earn the trip across the river.ďż˝ C replies indignantly, +ďż˝Out of my life! I will have nothing to do with one who holds honor and principle +so lightly!ďż˝ X, of course, is frustrated and desperate again, and appeals to Person D, who -replies, “I understand and am deeply sympathetic. I’d do anything I can to help you.” +replies, ďż˝I understand and am deeply sympathetic. Iďż˝d do anything I can to help you.ďż˝ (The curtain falls.) (ASPA, n.d.) -Following your discussion of the case itself, consider to what extent the discus¬ +Following your discussion of the case itself, consider to what extent the discusďż˝ sion reflected moral relativism, utilitarianism, or deontology. Then, reconsider the case, following the steps of ethical deliberation presented in this chapter: clarify the facts, find basic principles, and analyze the arguments. How could you establish a moral action? 2. A random check of long distance telephone calls at the Department of Housing and -Urban Development (HUD), in a study conducted by the agency’s inspector gen¬ +Urban Development (HUD), in a study conducted by the agencyďż˝s inspector genďż˝ eral, indicated that some 30 percent were personal calls (and were charged to the government). The cost of the calls was estimated at $73,000 for the sample and, by extrapolation, $290,000 for the agency as a whole. Many calls were placed to the -homes of employees or their relatives, while others were calls to prerecorded mes¬ +homes of employees or their relatives, while others were calls to prerecorded mesďż˝ sages, such as time and temperature, horoscopes, and financial information. Penalties for unauthorized use of federal telephone lines include fines, suspension, and dismissal. @@ -8704,20 +7881,20 @@ use is an essential benefit the organization should provide? If you crack down o unauthorized calls, what will happen to morale in the agency? To put the case in a more intense, real-world setting, imagine that you are secretary -of the Department of Housing and Urban Development. You have just finished testify¬ +of the Department of Housing and Urban Development. You have just finished testifyďż˝ ing at a congressional hearing. On your way out the door, a senator corners you and -waves a copy of the inspector general’s report in your face saying, “This is an outrage! +waves a copy of the inspector generalďż˝s report in your face saying, ďż˝This is an outrage! These people are stealing from the public and you have been letting it happen! I want -some action on this right away!” Next, a reporter, who has seen the report and heard +some action on this right away!ďż˝ Next, a reporter, who has seen the report and heard the exchange with the senator, points a microphone toward your mouth and asks, -“Well, what are you going to do?” What is your response, both immediately and over +ďż˝Well, what are you going to do?ďż˝ What is your response, both immediately and over the next several days? 3. Consider the following cases: Sidney Franklin knew that one of his most valued employees, Anderson Hayes, -was stealing from the organization—not much, and in a way that no one but -Sidney would ever know—but he was stealing. Sidney also knew that without +was stealing from the organizationďż˝not much, and in a way that no one but +Sidney would ever knowďż˝but he was stealing. Sidney also knew that without Anderson, his unit could never complete a newly assigned task on time. He decided to do nothing about the stealing incident and secretly hoped that success in the new @@ -8729,30 +7906,30 @@ assignment would bring about a long-desired promotion and get him out of this awkward situation. George Cave was a former CIA station chief in Teheran. When he heard that the -Reagan administration was working with Manucher Ghorbanifar on an “arms for -hostages” deal, he was horrified. “But what could he do? The project had the backing -of CIA director William J. Casey and the White House. Cave bit the bullet and trav¬ +Reagan administration was working with Manucher Ghorbanifar on an ďż˝arms for +hostagesďż˝ deal, he was horrified. ďż˝But what could he do? The project had the backing +of CIA director William J. Casey and the White House. Cave bit the bullet and travďż˝ eled to Iran in May 1986 as the translator for former national security adviser Robert -C. McFarlane” (Ignatius, 1987, p. 15). +C. McFarlaneďż˝ (Ignatius, 1987, p. 15). Shirley House, a recently appointed city manager in a small community in Tennessee, arrived at work one morning to find an envelope from the mayor filled with receipts from a recent trip he took to an economic development conference. Included were receipts from a four-day vacation the mayor and his wife took at a -resort near the conference city. It was clear that the mayor wanted the city to reim¬ +resort near the conference city. It was clear that the mayor wanted the city to reimďż˝ burse him for everything included in the envelope. Analyze and discuss each of these three cases in terms of the moral position that -the individual involved should have taken. Then consider the nature of your own ethi¬ +the individual involved should have taken. Then consider the nature of your own ethiďż˝ cal reasoning. What types of moral philosophy, moral psychology, or moral action have you been using? -4. As a class, conduct an ethics audit (or survey) of your college or university and rec¬ +4. As a class, conduct an ethics audit (or survey) of your college or university and recďż˝ ommend ways the institution might begin to develop higher standards of ethical conduct. -Begin by considering in detail what might be expected from such an audit (or sur¬ -vey) in any organization and what is practical and ethical to expect from such a proj¬ +Begin by considering in detail what might be expected from such an audit (or surďż˝ +vey) in any organization and what is practical and ethical to expect from such a projďż˝ ect conducted by students within the institution. Recognize your available resources, but also the limitations on your work. (You might even want to discuss your project with several university officers before going too far.) @@ -8760,45 +7937,45 @@ with several university officers before going too far.) As a practical matter, consider basing your work primarily on interviews with important decision makers throughout the institution, including administrators, deans and department chairs, members of the faculty (especially members of the faculty -council or faculty senate), representatives of the school’s athletic programs, and staff +council or faculty senate), representatives of the schoolďż˝s athletic programs, and staff support in areas such as budget and accounting and personnel or human resources. -Also consider interviews with members of the school’s governing board. You might -also want to collect material based on the public record — newspaper reports, maga¬ +Also consider interviews with members of the schoolďż˝s governing board. You might +also want to collect material based on the public record ďż˝ newspaper reports, magaďż˝ zine articles, editorials, and so forth. The Chronicle of Higher Education and other materials dealing with higher education show what kinds of efforts other schools have undertaken. -Throughout your interviews and other research, you should first seek to deter¬ +Throughout your interviews and other research, you should first seek to deterďż˝ mine the major ethical concerns facing institutions of higher education. Topics you will likely encounter are plagiarism and other forms of academic dishonesty (on the part of both faculty and students), the integrity of the research process, matters of -institutional governance, questions of equal opportunity and affirmative action, insti¬ -tutional policies toward drugs and alcohol, the school’s position on certain political -issues, and athletic recruiting policies — just to name a few. In going through these +institutional governance, questions of equal opportunity and affirmative action, instiďż˝ +tutional policies toward drugs and alcohol, the schoolďż˝s position on certain political +issues, and athletic recruiting policies ďż˝ just to name a few. In going through these matters, you may find that your institution has taken strong moral positions in some For Additional Reading 153 -areas (perhaps many); you may even find parts of the institution that have under¬ +areas (perhaps many); you may even find parts of the institution that have underďż˝ taken serious and detailed appraisals of their ethical positions, but you may also find that many of these issues simply have not been considered, at least in terms of ethical implications. If you can simply develop an inventory of ethical issues that should receive greater attention from members of the institution, you will have done a great service. But you -may also identify cases where actual behavior seems to imply an ethical position dif¬ +may also identify cases where actual behavior seems to imply an ethical position difďż˝ ferent from the position espoused by those with whom you talk. If you do discover such cases, be prepared not only to document your findings, but also to present your report in such a way that will be helpful and constructive. Remember that you are seeking to provide a service to the institution, not an expose. -Based on your research and analysis, prepare a written report for the school’s presi¬ -dent or chancellor and offer to have a delegation meet with him or her (or a represen¬ +Based on your research and analysis, prepare a written report for the schoolďż˝s presiďż˝ +dent or chancellor and offer to have a delegation meet with him or her (or a represenďż˝ tative) to discuss your findings. Again, your approach should be to provide preliminary findings that will be helpful in terms of institutional ethics. It may be helpful to think -of yourselves as members of the president’s or chancellor’s staff, developing a report +of yourselves as members of the presidentďż˝s or chancellorďż˝s staff, developing a report upon which constructive action can be taken. As in any such situation, you should be prepared to suggest specific action steps that will enable the school to give serious and sustained attention to its ethical posture. @@ -8806,7 +7983,7 @@ sustained attention to its ethical posture. After you finish your work, spend some time considering as a class what you have learned from this exercise: what you have learned about institutional ethics and the administrative process, and what will make you a more effective and -responsible administrator in the future. Try to develop specific action-oriented state¬ +responsible administrator in the future. Try to develop specific action-oriented stateďż˝ ments to guide your actions in the future. Finally, consider whether there were any ethical questions you faced in the course of this project. How did you resolve them? Or did you? @@ -8877,7 +8054,7 @@ Serve the public, beyond serving oneself. ASPA members are committed to: 2. Oppose all forms of discrimination and harassment, and promote affirmative action. -3. Recognize and support the public’s right to know the public’s business. +3. Recognize and support the publicďż˝s right to know the publicďż˝s business. 4. Involve citizens in policy decision-making. 5. Exercise compassion, benevolence, fairness, and optimism. 6. Respond to the public in ways that are complete, clear, and easy to understand. @@ -8890,15 +8067,15 @@ II. Respect the Constitution and the law Appendix A ijj -Respect, support, and study government constitutions and laws that define responsi¬ +Respect, support, and study government constitutions and laws that define responsiďż˝ bilities of public agencies, employees, and all citizens. ASPA members are committed to: 1. Understand and apply legislation and regulations relevant to their professional role. -2. Work to improve and change laws and policies that are counterproductive or ob¬ +2. Work to improve and change laws and policies that are counterproductive or obďż˝ solete. 3. Eliminate unlawful discrimination. -4. Prevent all forms of mismanagement of public funds by establishing and maintain¬ +4. Prevent all forms of mismanagement of public funds by establishing and maintainďż˝ ing strong fiscal and management controls, and by supporting audits and investigative activities. @@ -8907,9 +8084,9 @@ investigative activities. 6. Encourage and facilitate legitimate dissent activities in government and protect the whistle-blowing rights of public employees. -7. Promote constitutional principles of equality, fairness, representativeness, respon¬ +7. Promote constitutional principles of equality, fairness, representativeness, responďż˝ -siveness, and due process in protecting citizens’ rights. +siveness, and due process in protecting citizensďż˝ rights. EL Demonstrate personal integrity Demonstrates the highest standards in all activities to inspire public confidence and @@ -8935,7 +8112,7 @@ organizations accountable for their conduct. of due process and safeguards against reprisal. 5. Promote merit principles that protect against arbitrary and capricious actions. -6. Promote organizational accountability through appropriate controls and proce¬ +6. Promote organizational accountability through appropriate controls and proceďż˝ dures. 7. Encourage organizations to adopt, distribute, and periodically review a code of @@ -8957,7 +8134,7 @@ ij6 Chapter 4 The Ethics of Public Service 3. Encourage others, throughout their careers, to participate in professional activities and associations. -4. Allocate time to meet with students and provide a bridge between classroom stud¬ +4. Allocate time to meet with students and provide a bridge between classroom studďż˝ ies and the realities of public service. SOURCE: Copyright 1994 by the American Society for Public Administration (ASPA), 1120 C Street NW, @@ -8971,40 +8148,40 @@ Budgeting and Financial Management Public budgeting and financial management are concerned with the allocation of limited resources to the problems governments and other public organizations face. Just as you -may establish a personal budget to track your income and expenses and just as busi¬ -nesses create budgets to aid in decisions affecting profits and losses, so do public organi¬ +may establish a personal budget to track your income and expenses and just as busiďż˝ +nesses create budgets to aid in decisions affecting profits and losses, so do public organiďż˝ zations of all types employ budgets to help in planning and management. Beyond the budget process, however, public organizations must carefully and responsibly manage -large amounts of money and other resources — taking in taxes and other revenues, pur¬ +large amounts of money and other resources ďż˝ taking in taxes and other revenues, purďż˝ chasing innumerable goods and services, and investing surplus funds or managing debt wisely. From the point of view of the manager or the citizen trying to influence public policy, the budget is an extremely important tool for planning and control. To manage public -programs effectively, you must be able to manage resources, both practically and polit¬ -ically. In this chapter we focus on the budget process from the standpoint of the indi¬ +programs effectively, you must be able to manage resources, both practically and politďż˝ +ically. In this chapter we focus on the budget process from the standpoint of the indiďż˝ vidual public manager, examining how budget decisions are made and how you can influence budgetary outcomes. Although much of the budget process is highly charged politically, specific technical knowledge about budgeting systems will give you a distinct advantage. The elaborate systems that public organizations have developed to manage their fiscal -affairs are relatively recent. Prior to the turn of the century, revenues were easily suffi¬ +affairs are relatively recent. Prior to the turn of the century, revenues were easily suffiďż˝ cient to cover the expenses of government, and financial management was merely record keeping. But as the scope of government grew and new demands were placed on its resources, the need for more sophisticated systems of decision making became apparent. Moreover, repeated instances of corruption and waste made more effective control over -the public’s resources necessary. +the publicďż˝s resources necessary. In establishing its executive budget process through the Budgeting and Accounting Act of 1921, the federal government was actually following the lead of several local and -state governments that had already taken similar actions. The municipal reform move¬ +state governments that had already taken similar actions. The municipal reform moveďż˝ ment emphasized the budget process as a means of bringing order to public spending; consequently, by the 1920s, most big cities had established a formal budget process. Similar developments were also occurring at the state level. In 1910, Ohio became the first state to require an executive budget; within the next decade, similar actions took place in most other states. At the federal level, a special Commission on Economy and -Efficiency, known as the Taft Commission, recommended establishing an executive bud¬ +Efficiency, known as the Taft Commission, recommended establishing an executive budďż˝ get in 1912; the recommendation was implemented nearly a decade later. 157 @@ -9021,7 +8198,7 @@ and at http://www.nasbo.org/. Since the 1920s, the federal budget has grown in both size and complexity, as have budgets at the state and local levels. This growth means that budgeting and financial management have come to involve far more than keeping a record of income and -expenses. Today, how government spends its money affects many other areas of the econ¬ +expenses. Today, how government spends its money affects many other areas of the econďż˝ omy; consequently, the budget is an instrument of fiscal policy. Moreover, the budget is a primary expression of government priorities; it constitutes a record of the decisions that are made concerning various public policies. @@ -9030,29 +8207,29 @@ The Budget as an Instrument of Fiscal Policy Budgets express the public policy choices of governments and others. Among these are choices with respect to the impact of the public sector on the economy. Fiscal policy is -concerned with the impact of government taxation and spending on the economy gener¬ +concerned with the impact of government taxation and spending on the economy generďż˝ ally. Before the Great Depression, little attention was paid to how the federal budget -affected the economy; the economy was presumably regulated by what is called the busi¬ +affected the economy; the economy was presumably regulated by what is called the busiďż˝ ness cycle. Periods of economic growth, featuring inflation and high employment, were followed by periods of recession or depression, featuring deflation and unemployment, -and so on. Meanwhile, the federal government sought to balance its budget each year — +and so on. Meanwhile, the federal government sought to balance its budget each year ďż˝ that is, to make revenues and expenditures approximately equal. Economists soon began to realize, however, that this pattern of government spending was in fact influencing the economy in a negative way. In periods of economic growth, government revenues naturally increased, so that, in an effort to balance the budget, taxes could be lowered to the level of expenditures; in periods of economic decline, the -budget was balanced by lowering spending to meet the lower revenues. The unantici¬ -pated result of these actions was to increase citizens’ income during good times and -decrease their income in bad times — just the opposite of wThat would be desirable. +budget was balanced by lowering spending to meet the lower revenues. The unanticiďż˝ +pated result of these actions was to increase citizensďż˝ income during good times and +decrease their income in bad times ďż˝ just the opposite of wThat would be desirable. Government taxation and spending had the effect of accentuating economic instability (Pechman, 1983, p. 8). Economists such as the British scholar John Maynard Keynes argued, in contrast, that all else being equal, positive government action could lead to greater economic stability. -A key to Keynes’s analysis was the relationship between inflation and unemployment. +A key to Keynesďż˝s analysis was the relationship between inflation and unemployment. Keynes noted that periods of rapid economic growth are typically accompanied by high -inflation, which is harmful to individuals because it lowers their purchasing power, espe¬ +inflation, which is harmful to individuals because it lowers their purchasing power, espeďż˝ cially if they are on fixed incomes. On the other hand, periods of economic decline are typically accompanied by high unemployment, which not only hurts individuals, but also @@ -9069,27 +8246,27 @@ raising or lowering taxes. The capacity of government spending patterns to influ the economy so dramatically is not hard to understand if you recognize the enormous role of government in the economy. The Gross National Product (GNP), the rate of inflation, and the rate of unemployment are the key indicators of economic health. The -Gross National Product, a measure of total spending in the economy, comprises per¬ +Gross National Product, a measure of total spending in the economy, comprises perďż˝ sonal consumption, private investment, and government purchases. Almost two-thirds -of the current American GNP is private in nature, but over one-third is based on gov¬ +of the current American GNP is private in nature, but over one-third is based on govďż˝ ernment spending. Based on revenues, the U.S. federal government is the single largest organization in the world, almost ten times the size of General Motors or Exxon. Decisions at the federal level play an important role in the health and stability of the economy generally. -The key relationships are these. If the economy is experiencing rapid growth—with -high inflation and low unemployment—then the government might seek to cool off the +The key relationships are these. If the economy is experiencing rapid growthďż˝with +high inflation and low unemploymentďż˝then the government might seek to cool off the economy through lowering spending, raising taxes, or both. These actions have the effect of limiting private demand and slowing economic growth. On the other hand, if the -economy is experiencing recession or depression—with falling prices and high unem¬ -ployment—then the government might want to stimulate the economy by putting more +economy is experiencing recession or depressionďż˝with falling prices and high unemďż˝ +ploymentďż˝then the government might want to stimulate the economy by putting more money into circulation, through increasing spending, lowering taxes, or both. These actions have the effect of stimulating private demand and increasing economic growth. Creating a surplus, as might occur in the first case, would help restrain private spending during prosperity; creating a deficit, as in the second case, might stimulate spending during a recession. -Cumulative state and local spending also affects the economy. State and local govern¬ +Cumulative state and local spending also affects the economy. State and local governďż˝ ment expenditures constitute close to 15 percent of the GNP and must be taken into account in discussions of fiscal policy. If the federal government seeks to cut taxes, but also cuts aid to states and localities, those governments may find it necessary to raise @@ -9101,8 +8278,8 @@ local economy and, consequently, state and local officials are becoming more cog of their role in fiscal policy and especially economic development. These governments, however, often do not have the tools or authority to make certain kinds of decisions. For example, nearly all the states have either constitutional or statutory provisions requiring -a balanced budget. (Various political leaders have called for a balanced budget amend¬ -ment at the federal level as a way to eliminate deficit spending, although if balanced bud¬ +a balanced budget. (Various political leaders have called for a balanced budget amendďż˝ +ment at the federal level as a way to eliminate deficit spending, although if balanced budďż˝ gets are achieved in other ways, calls for an amendment will be undercut. In any case, such a proposal, though attractive in a symbolic sense, would limit the flexibility of the federal government in seeking to influence the economy.) In any case, it is clear that @@ -9115,8 +8292,8 @@ structuring overall patterns of public spending. The Budget as an Instrument of Public Policy -Although the overall pattern of spending represented in a government budget has an im¬ -portant effect on the economy, the many individual entries in the budget represent im¬ +Although the overall pattern of spending represented in a government budget has an imďż˝ +portant effect on the economy, the many individual entries in the budget represent imďż˝ portant choices with respect to public policies of all types. The budget is, essentially, a measure of support (or lack of support) for specific programs. Those in favor are funded; those that are out of favor are not. For this reason, discussions of budgetary priorities @@ -9154,7 +8331,7 @@ FIGURE 5.1 The Federal Government Dollar: Fiscal Year 2002 Estimate -SOURCE: A Citizen’s Guide to the Federal Budget (Washington: Government Printing Office, 2001). +SOURCE: A Citizenďż˝s Guide to the Federal Budget (Washington: Government Printing Office, 2001). @@ -9172,26 +8349,26 @@ his or her fair share. But what exactly does that mean? Some argue that each sho pay according to the benefits they receive; others argue that those who have a greater ability to pay should in fact pay more. -One way to approach the issue is to think in terms of the relationship between one’s -tax rate and one’s income. A tax is said to be proportional if it taxes everyone at the +One way to approach the issue is to think in terms of the relationship between oneďż˝s +tax rate and oneďż˝s income. A tax is said to be proportional if it taxes everyone at the same rate. If a tax rate of 10 percent is applied to a $20,000 income (yielding $2,000) and the same rate is applied to a $200,000 income (yielding $20,000), even though the amounts differ, the tax is proportional. A tax is said to be progressive if it taxes those with higher incomes at a higher rate. A progressive tax might apply a 10 percent rate to -a $20,000 income (yielding $2,000) and a 50 percent rate to a $200,000 income (yield¬ +a $20,000 income (yielding $2,000) and a 50 percent rate to a $200,000 income (yieldďż˝ ing $100,000). Finally, a tax is said to be regressive if it taxes those with lower incomes at a proportionally higher rate than those with higher incomes. If an individual with a $20,000 income and one with a $200,000 income both pay a $400 tax on the same new -car, the tax is regressive, taking 2 percent of the first individual’s income but a much -smaller proportion of the second individual’s income (LeLoup, 1977, pp. 193-194). +car, the tax is regressive, taking 2 percent of the first individualďż˝s income but a much +smaller proportion of the second individualďż˝s income (LeLoup, 1977, pp. 193-194). Individual Income Tax All methods of taxation involve application of a tax rate to a particular tax base; the -product of the two yields tax revenue. The individual income tax, the single most impor¬ +product of the two yields tax revenue. The individual income tax, the single most imporďż˝ tant tax in our country, calls for the individual to add up all income from taxable sources, reduce that amount by certain deductions or exemptions, then apply a tax rate -to that base to arrive at the individual’s income tax. The current federal income tax, for +to that base to arrive at the individualďż˝s income tax. The current federal income tax, for example, applies rates between 15 percent and 39.6 percent to five income brackets. All advanced industrial nations use some form of income tax. In the United States, the @@ -9202,12 +8379,12 @@ its passage in 1913, the federal income tax applied only to a fairly small numbe income people; however, with the advent of World War II, deductions were reduced significantly and higher rates applied. -Managing the task of collecting an income tax from everyone in the country is diffi¬ -cult. Yet, the Internal Revenue Service (IRS) has developed a relatively efficient mecha¬ +Managing the task of collecting an income tax from everyone in the country is diffiďż˝ +cult. Yet, the Internal Revenue Service (IRS) has developed a relatively efficient mechaďż˝ nism for collection and does so at a cost of less than one-half of 1 percent of the revenues produced. One key to the existing system is the requirement that each individual calculate his or her own tax liability. IRS auditors then select a few returns for closer inspection, -concentrating on those with unusual features. The extent of compliance with tax regula¬ +concentrating on those with unusual features. The extent of compliance with tax regulaďż˝ tions in this country, though far from complete, is considered comparatively high. @@ -9215,12 +8392,12 @@ tions in this country, though far from complete, is considered comparatively hig 162 Chapter 5 Budgeting and Financial Management However, throughout 1997, testimonies before the National Commission on -Restructuring the IRS revealed serious concerns relating to the service’s internal and -external operations. Witnesses indicated that some IRS officials collected tax informa¬ +Restructuring the IRS revealed serious concerns relating to the serviceďż˝s internal and +external operations. Witnesses indicated that some IRS officials collected tax informaďż˝ tion for their personal benefit, that unjustifiable audits were ordered against citizens, and that the organization had inappropriately acquired billions of dollars from taxpayers. -Commissioners concluded that the IRS needed a major reorganization, and by year’s -end a bipartisan effort had been launched in Congress to carry out the commission’s +Commissioners concluded that the IRS needed a major reorganization, and by yearďż˝s +end a bipartisan effort had been launched in Congress to carry out the commissionďż˝s recommendations. Corporation Income Tax @@ -9228,7 +8405,7 @@ Corporation Income Tax The corporation income tax actually predates the individual income tax by several years and, for most of this century, was a key source of federal revenue. Also a progressive tax, the corporation income tax is justified by its proponents as a way of taxing capital -accumulation that is not specifically distributed to individuals. Moreover, the corpora¬ +accumulation that is not specifically distributed to individuals. Moreover, the corporaďż˝ tion income tax is needed to support the individual income tax; without it, individuals could simply keep their income in corporations and avoid paying income taxes. Though most states have corporation income taxes, the tax is far more substantial at the federal @@ -9238,8 +8415,8 @@ corporation income tax has declined to only about one-tenth of federal revenues. Payroll Taxes -Taxes on payrolls support a variety of social security and other social insurance pro¬ -grams, such as unemployment compensation and medical care for the aged. (These spe¬ +Taxes on payrolls support a variety of social security and other social insurance proďż˝ +grams, such as unemployment compensation and medical care for the aged. (These speďż˝ cific taxes should not be confused with the general income taxes that may be deducted from a payroll check.) These programs are primarily financed by taxes paid either by the employer or by the employer and employee in equal amounts. Because there is a flat @@ -9258,26 +8435,26 @@ are applied to the sale of specific commodities such as gasoline, tobacco, or al are the primary form of consumption tax at the federal level. Typically, excise taxes are applied at specific rates (e.g., 2 cents per gallon), but may also be applied to the total sales price. Some excise taxes are, in effect, user charges that help support particular -activities. Gasoline taxes, for instance, are typically used to support highway construc¬ +activities. Gasoline taxes, for instance, are typically used to support highway construcďż˝ tion and maintenance. The Budget as an Instrument of Public Policy 163 -A major issue concerning sales and excise taxes is that of equity. Since the poor con¬ +A major issue concerning sales and excise taxes is that of equity. Since the poor conďż˝ sume a greater portion of their income than the rich, the burden of consumption taxes tends to fall more heavily on the poor; that is, the taxes are regressive. These taxes also tend to penalize certain groups, such as those with large families or those just starting a -household. On the other hand, these taxes tend to provide more stable revenues, some¬ +household. On the other hand, these taxes tend to provide more stable revenues, someďż˝ thing that is especially important at state and local levels. Property Taxes Taxes on personal property are widely used at the local level and provide about half of local government revenues. Administration of a property tax involves assessment -of an individual’s property, most often land and buildings, then the application of -a tax rate. About half the revenue generated by the property tax derives from residen¬ +of an individualďż˝s property, most often land and buildings, then the application of +a tax rate. About half the revenue generated by the property tax derives from residenďż˝ tial property and half from businesses. Although the property tax is progressive in its effect (those who spend more on housing pay more), administration is difficult and has often not been highly professional. Moreover, recent tax limitations have severely @@ -9288,20 +8465,20 @@ Other Revenue Sources There are, of course, a variety of other sources of government revenues. Whereas public organizations have often charged fees for the use of specific government services, recent -limitations on other tax revenues have made such charges increasingly attractive, espe¬ +limitations on other tax revenues have made such charges increasingly attractive, espeďż˝ cially at the local level. For example, fees for the use of parks and recreational facilities are becoming increasingly important. Another recent development in terms of revenues -at the state level is the use of lotteries. Nearly half the states and several local govern¬ +at the state level is the use of lotteries. Nearly half the states and several local governďż˝ ments now conduct lotteries, which provide a highly visible, but relatively small and unstable, source of funds. Lotteries are also highly regressive in their effect (since poorer citizens tend to play the lotteries more); indeed, they are more regressive than even the sales tax (Mikesell & Zorn, 1986, pp. 318-319). -Nonprofit organizations, which lack the power to tax, derive revenues from quite dif¬ +Nonprofit organizations, which lack the power to tax, derive revenues from quite difďż˝ ferent sources and, indeed, engage in a wide variety of efforts to support their programs. Membership organizations depend in large measure on member dues for revenue, but such organizations, along with many others, have recently sought to diversify revenues. -While grant funding remains an important source of revenue for many nonprofit organi¬ +While grant funding remains an important source of revenue for many nonprofit organiďż˝ zations, recent reductions in federal social service programs have seriously limited grant opportunities for many nonprofits. Additional sources of funds include donations (from individuals, corporations, and foundations), sales of goods and services (from books to @@ -9311,13 +8488,13 @@ affinity credit cards). Patterns of Government Revenues As we have seen, different levels of government vary in their dependence on specific revenue -sources. Figure 5.1 shows the distribution of receipts at the federal level. The president’s +sources. Figure 5.1 shows the distribution of receipts at the federal level. The presidentďż˝s 164 Chapters Budgeting and Financial Management -budget for fiscal year 2002 estimated total revenues of $2.19 trillion, including the follow¬ +budget for fiscal year 2002 estimated total revenues of $2.19 trillion, including the followďż˝ ing major categories: Individual income taxes: $1,078.8 billion @@ -9345,7 +8522,7 @@ $10 billion in revenues (U.S. Census Bureau, 2000, p. 316) (see Figure 5.2). Networking -For the budget of the United States and how to get to the budgets of other govern¬ +For the budget of the United States and how to get to the budgets of other governďż˝ ments, see the Department of the Treasury at http://www.ustreas.gov/. Details on the current fiscal year federal budget and for access to historical budget data go to http://w3.access.gpo.gov/usbudget/index.html. @@ -9356,8 +8533,8 @@ These revenue figures are staggering, but they hardly match up to the demands on governments at all levels. There simply is not enough money to meet every need or cure every problem, even if money alone were the solution. Instead, difficult choices must be made each year about which programs will be funded and at what levels. The choices -made through the public policy process are reflected in the government’s budget. The -budget, therefore, stands as a record of the government’s priorities. +made through the public policy process are reflected in the governmentďż˝s budget. The +budget, therefore, stands as a record of the governmentďż˝s priorities. But government priorities are always shifting. As new conditions arise, new programs are proposed and old programs are expanded or contracted. The emphasis the federal @@ -9370,28 +8547,28 @@ The Budget as an Instrument of Public Policy 165 country and the world at various times, as in the large percentage of national resources devoted to national defense during periods of international conflict. -We can also trace budgetary changes over shorter time spans, thus indicating the pol¬ +We can also trace budgetary changes over shorter time spans, thus indicating the polďż˝ icy priorities of various presidents, governors, mayors, or other public officials. Certain -restrictions, however, have been built into the federal budget over the years that some¬ +restrictions, however, have been built into the federal budget over the years that someďż˝ what limit the choices any president or Congress can make. Over the past twenty years, -for example, Congress has passed a variety of entitlement programs that provide speci¬ +for example, Congress has passed a variety of entitlement programs that provide speciďż˝ fied benefits to those who meet certain eligibility requirements. For example, legislation might provide benefits to all persons above a certain age or all persons below a certain income level. The implication, supported by several judicial rulings, is that individuals are entitled to or have a right to certain benefits (primarily social welfare benefits). -For these programs, Congress essentially agrees to provide whatever money is neces¬ +For these programs, Congress essentially agrees to provide whatever money is necesďż˝ sary from year to year to assure a certain level of benefits to all eligible people. Legislation is typically written so that new action is not required each year to keep the program going. Only a projection of likely beneficiaries is needed to determine the level of expenditures for a given year. Unless Congress takes specific steps to limit benefits or -eligibility—something that legislators are reluctant to do — funding of these programs is +eligibilityďż˝something that legislators are reluctant to do ďż˝ funding of these programs is practically automatic. -But these programs vary in size over time. In a recession, for example, unemploy¬ +But these programs vary in size over time. In a recession, for example, unemployďż˝ ment would be high, and spending for unemployment compensation would rise. -Similarly, the changing character of the population — for example, a larger number of -older Americans—would also change the amount of money required to provide bene¬ +Similarly, the changing character of the population ďż˝ for example, a larger number of +older Americansďż˝would also change the amount of money required to provide beneďż˝ fits to that group. Moreover, most entitlement programs have now been indexed to the cost of living (or related measures), so that benefit levels automatically rise with inflation. (Indeed, over the past decade, Congress has passed major expansions of @@ -9400,13 +8577,13 @@ increase almost every year. Such programs constituted just over 50 percent of the fiscal year 2001 federal budget. When they are combined with farm price supports (also indexed), with interest on the -national debt (which must be paid), and with expenditures based on previous commit¬ +national debt (which must be paid), and with expenditures based on previous commitďż˝ ments, these so-called uncontrollable expenditures constitute almost two-thirds of the federal budget. The remainder of the federal budget might be termed discretionary spending, meaning the president and the Congress are open to make changes in this relatively small portion -of the budget. This includes defense spending (about 16 percent) and domestic discre¬ +of the budget. This includes defense spending (about 16 percent) and domestic discreďż˝ tionary spending (only about 17 percent). These are the areas that generate the most difficult policy choices. @@ -9421,26 +8598,26 @@ the deficit to ways to spend a growing budget surplus! 166 Chapters Budgeting and Financial Management -President George W. Bush seized upon the opportunity affordfed by this emerging sur¬ -plus to advance one of the key themes in his election platform — a reduction in federal +President George W. Bush seized upon the opportunity affordfed by this emerging surďż˝ +plus to advance one of the key themes in his election platform ďż˝ a reduction in federal taxes. And given the estimates early in the year from both the Congressional Budget -Office and the president’s Office of Management and Budget, few could stand in the way -of the new administration’s drive for sweeping tax reform. +Office and the presidentďż˝s Office of Management and Budget, few could stand in the way +of the new administrationďż˝s drive for sweeping tax reform. -The administration’s original plan called for a $1.6 trillion cut in the federal income -tax, but even the president’s most ardent supporters on Capitol Hill cautioned that it +The administrationďż˝s original plan called for a $1.6 trillion cut in the federal income +tax, but even the presidentďż˝s most ardent supporters on Capitol Hill cautioned that it would be extremely difficult to pass such an enormous reduction plan. Recognizing the -importance of a victory on his administration’s first key policy initiative, President Bush +importance of a victory on his administrationďż˝s first key policy initiative, President Bush worked with lawmakers to pare down the original proposal and gain the necessary votes. The final measure, which was signed into law on June 7, 2001, featured a $1.3 trillion tax cut to be phased in over the next decade and a fundamental restructuring of federal income taxes. -Supporters of the plan said that reducing the tax burden on the American public, par¬ -ticularly with the projected federal surplus, was a way to return “an overcharge” to tax¬ +Supporters of the plan said that reducing the tax burden on the American public, parďż˝ +ticularly with the projected federal surplus, was a way to return ďż˝an overchargeďż˝ to taxďż˝ payers and to curb federal spending. For example, House Majority Leader Dick Armey -said, “The addicts are going to have to take the cure. We’re no longer going to get -stoned on the other people’s money” (Stevenson, 2001, p. Al). Proponents also argued +said, ďż˝The addicts are going to have to take the cure. Weďż˝re no longer going to get +stoned on the other peopleďż˝s moneyďż˝ (Stevenson, 2001, p. Al). Proponents also argued that the tax rebates, which the IRS began sending out in the summer of 2001, would help to stimulate an economy that had declined sharply in the preceding months. @@ -9451,49 +8628,49 @@ credit), and an increase in the contribution limits to 401 (k) and individual re accounts. For nonprofits, the tax reduction plan that finally passed Congress lacked many of the -provisions from the original Bush proposal that would have encouraged increases in char¬ +provisions from the original Bush proposal that would have encouraged increases in charďż˝ itable giving. As the Chronicle for Philanthropy reported, the law lacked provisions that would have -• Allowed people who do not itemize on their federal income-tax returns to write off +ďż˝ Allowed people who do not itemize on their federal income-tax returns to write off charitable deductions. -• Permitted people to donate to charity directly from their individual retirement +ďż˝ Permitted people to donate to charity directly from their individual retirement accounts, without incurring taxes. -• Increased the annual limit on charitable deductions taken by corporations from -10 percent to 15 percent of a company’s taxable income. (Williams, 2001, p. 26) +ďż˝ Increased the annual limit on charitable deductions taken by corporations from +10 percent to 15 percent of a companyďż˝s taxable income. (Williams, 2001, p. 26) Furthermore, the phasing-out of the estate tax will increase the barriers nonprofits face in the area of resource development over the long-term. Critics of the Bush tax plan in the governmental sector say that it may prove to be too much, too soon. Senator Tom Daschle, who became majority leader when the Democrats -took control of the Senate in June 2001, said, “We think this is good short-term politics. -[But] it is disastrous long-term policy” (Stevenson, 2001, p. 26). Daschle and others sug¬ -gested the plan would not leave enough in reserve to cover the cost of upgrading the mil¬ +took control of the Senate in June 2001, said, ďż˝We think this is good short-term politics. +[But] it is disastrous long-term policyďż˝ (Stevenson, 2001, p. 26). Daschle and others sugďż˝ +gested the plan would not leave enough in reserve to cover the cost of upgrading the milďż˝ itary, much less the substantial reforms to Social Security and Medicare that remain -on the horizon. Even the president’s own economic advisors moved away from their +on the horizon. Even the presidentďż˝s own economic advisors moved away from their The Budget as an Instrument of Public Policy i6y -original optimism, saying that the more cautionary estimates relating to the federal sur¬ +original optimism, saying that the more cautionary estimates relating to the federal surďż˝ plus, which were released just weeks after the tax plan became law, may require Congress to revisit some of its main provisions. Networking Check out the National Debt Clock at http://www.brillig.com/debt_clock/ and the -Treasury Department’s FAQs about the budget at http://www.ustreas.gov/opc/ +Treasury Departmentďż˝s FAQs about the budget at http://www.ustreas.gov/opc/ opc0037.html. For simulations of financial conditions at the federal level, go to http://www.thirdmil.org. State and Local Expenditures Expenditure comparisons at the state and local levels are complicated by our system of -intergovernmental transfers. In education, for example, the federal government pro¬ +intergovernmental transfers. In education, for example, the federal government proďż˝ vides some money directly to individuals (e.g., student grants and loans), but it also transfers large sums to state and local governments. States spend some money directly @@ -9548,11 +8725,11 @@ As a public manager, you will find that the budget process is critical to your s that of your agency, quite simply because the budget process establishes the level of funding for your programs and those of others. A variety of steps are required to enable a particular agency to spend money. Legislation must first be passed and signed by the -chief executive to authorize the program. This authorizing legislation permits the estab¬ -lishment or continuation of a particular program or agency. (Authorizing legislation usu¬ +chief executive to authorize the program. This authorizing legislation permits the estabďż˝ +lishment or continuation of a particular program or agency. (Authorizing legislation usuďż˝ ally covers multiple years or is even open-ended, though some programs, such as the space program, require new authorization each year.) Next come appropriations, -whereby the legislature sets aside funds and creates budget authority for their expendi¬ +whereby the legislature sets aside funds and creates budget authority for their expendiďż˝ ture. Only after both steps have been taken can an agency spend money in pursuit of its stated objectives. @@ -9567,12 +8744,12 @@ states actually have a two-year-long fiscal year because their legislatures meet budget only every other year. The fiscal year is the key period in which money is spent, but a variety of steps must -be taken both before and after the fiscal year that can affect an agency’s expenditures. +be taken both before and after the fiscal year that can affect an agencyďż˝s expenditures. The budget must be developed, typically by the chief executive (president, governor, mayor), and transmitted to the legislature; it must be approved by the legislature prior to the beginning of the fiscal year; it must be executed during the fiscal year; and it must be reviewed and audited following the fiscal year. At any given point in the budget cycle, -there are actually several budgets being worked upon. While one budget is being exe¬ +there are actually several budgets being worked upon. While one budget is being exeďż˝ cuted (for example, fiscal year 2001), formulation and approval of another (fiscal year 2002) is taking place, as are audits of the previous budget (fiscal year 2000). @@ -9586,11 +8763,11 @@ In the federal government and in many state and local jurisdictions, the chief e has primary responsibility for preparation of the budget. The budget cycle (see Figure 5.3) typically begins with a letter from a central budget office to the various agencies outlining the timetable for preparation of the budget, transmitting forms for use in the process, and -indicating any policy concerns of special priority for the fiscal year. The agencies then pre¬ +indicating any policy concerns of special priority for the fiscal year. The agencies then preďż˝ pare their own budget requests and forward them to the central budget office for review (see Box 5.1). Often a series of meetings (or sometimes hearings) are held to negotiate differences in the views of the central budget office (reflecting the priorities of the chief -executive) and the agencies. Finally, the budget document is prepared by the central bud¬ +executive) and the agencies. Finally, the budget document is prepared by the central budďż˝ get office and transmitted by the chief executive to the legislature for approval. In some jurisdictions, responsibility for preparing the budget may not lie completely @@ -9598,7 +8775,7 @@ with the chief executive, and the budget cycle may vary accordingly. In many sta example, responsibility for budget formulation may be shared among the governor, other elected officials, and members of the legislature. Cities with a strong mayor form usually give responsibility to the chief executive, whereas cities that operate under other forms -tend to disperse budget authority. The city manager usually prepares the budget in coun¬ +tend to disperse budget authority. The city manager usually prepares the budget in counďż˝ cil-manager cities, though typically with substantial input from the mayor and other council members. @@ -9613,14 +8790,14 @@ I March January September 30 Formulation of Congressional budget Execution of enacted budget Fiscal data -president’s budget process, including action on available +presidentďż˝s budget process, including action on available appropriations and revenue measures (beginning 9 months before fiscal years)* -•If appropriation action is not complete by September 30, Congress enacts temporary appropriations (i.e., a continuing resolution) +ďż˝If appropriation action is not complete by September 30, Congress enacts temporary appropriations (i.e., a continuing resolution) FIGURE 5.3 @@ -9635,36 +8812,36 @@ ijo Chapters Budgeting and Financial Management BOX 5.1 - -Financial Management: The Program Manager’s Role +Financial Management: The Program Managerďż˝s Role Many in government think financial management is the responsibility of financial offices, accountants, and the like. Most program managers, in particular, feel they do not have to be concerned with financial management. WRONG. Nothing could be further from the truth. Successful program managers -appreciate that, in government, they have the responsibility for financial manage¬ -ment. They understand what this entails, and thus have a far better chance of success¬ +appreciate that, in government, they have the responsibility for financial manageďż˝ +ment. They understand what this entails, and thus have a far better chance of successďż˝ fully delivering their programs despite reduced budgets. What is financial management? It is nothing more than obtaining and effectively -using funds and other resources to accomplish the goals and objectives of the organi¬ +using funds and other resources to accomplish the goals and objectives of the organiďż˝ zation. It typically entails: -Defining people, materials, and services for achieving a program’s goals and objec¬ +Defining people, materials, and services for achieving a programďż˝s goals and objecďż˝ tives. -Defining the sources of resources that can be used to fund the program’s costs +Defining the sources of resources that can be used to fund the programďż˝s costs Obtaining the resources Managing and minimizing the costs Obtaining results from the expenditure of the resources Preventing waste in the expenditure of the resources Reporting accountability for both the use of resources and delivery of the results. -SOURCE: Harold I. Steinberg, “Improving Financial Management: The Program Manager’s Role,” +SOURCE: Harold I. Steinberg, ďż˝Improving Financial Management: The Program Managerďż˝s Role,ďż˝ PA Times, v. 20, n. 11 (November 1997): 1. At the outset of the budget process, OMB collects information on projected revenues for the coming fiscal year, as well as information on the outlook for the economy. In addition, -OMB develops information on the progress of the current year’s budget, as well as the +OMB develops information on the progress of the current yearďż˝s budget, as well as the budget being considered by Congress. After a beginning consultation with the agencies to assess their program priorities, OMB works with the president to establish basic policy guidelines for developing the budget. @@ -9685,8 +8862,8 @@ The Budget as a Managerial Tool xyi and decide the necessary level of funding for accomplishing objectives in the next fiscal year. Starting about September, a period of negotiation occurs with OMB. The central -budget office represents the president’s policy concerns and usually takes a generalist -perspective, in contrast to the more narrow, specialized interests of the agency represen¬ +budget office represents the presidentďż˝s policy concerns and usually takes a generalist +perspective, in contrast to the more narrow, specialized interests of the agency represenďż˝ tatives. About November or December, the president becomes more actively involved in the budget process and makes final decisions with respect to both revenue and fiscal considerations and individual program needs. @@ -9695,7 +8872,7 @@ The final budget document, which is submitted to Congress early in the new year, represents the culmination of a long process of analysis and interaction among a wide variety of groups. -Given the magnitude and complexity of the federal government, the process of bud¬ +Given the magnitude and complexity of the federal government, the process of budďż˝ get formulation at that level is the most complex in this country. But the difficulties of reconciling different and competing interests in the budget process are significant at all levels of government. In addition, chief executives at the state and local levels face @@ -9706,30 +8883,30 @@ essential that they project anticipated revenues as closely as possible. Budget Approval The budget approval phase begins with submission of the budget to the legislature and -ends with approval of the budget. The legislature, in most cases, can approve, disap¬ -prove, or modify the chief executive’s budget proposal; it can add programs or eliminate +ends with approval of the budget. The legislature, in most cases, can approve, disapďż˝ +prove, or modify the chief executiveďż˝s budget proposal; it can add programs or eliminate programs; and it can alter methods of raising revenues. Remember that programs must first be authorized, then money can be appropriated for their implementation. In some cases, appropriations are contained in one bill that is debated, amended, and passed by -the legislative body. In other cases, appropriations may be divided among several differ¬ +the legislative body. In other cases, appropriations may be divided among several differďż˝ ent appropriations bills. -In any case, the budget submitted to the legislative body is first sent to the commit¬ -tee or committees responsible for appropriations. These committees review the submit¬ +In any case, the budget submitted to the legislative body is first sent to the commitďż˝ +tee or committees responsible for appropriations. These committees review the submitďż˝ ted document and hold hearings involving agency personnel, representatives of interest groups, other legislators, and private citizens. After consideration by the full legislative body, the bill as amended is passed and sent to the chief executive for signature (where -approval is required), or, in the case of bicameral legislatures, sent to the other legisla¬ +approval is required), or, in the case of bicameral legislatures, sent to the other legislaďż˝ tive body for similar consideration. If there are differences in the bills produced by the -two houses of the legislature, the differences are worked out in a conference commit¬ +two houses of the legislature, the differences are worked out in a conference commitďż˝ tee, and the bill is passed again by the two houses and sent to the chief executive. -Again, there are wide variations in the approval process from jurisdiction to jurisdic¬ -tion. At the federal level, granting budget authority —the authority to obligate funds -for immediate or future outlays (government spending)—can come about in several +Again, there are wide variations in the approval process from jurisdiction to jurisdicďż˝ +tion. At the federal level, granting budget authority ďż˝the authority to obligate funds +for immediate or future outlays (government spending)ďż˝can come about in several ways. Budget authority for most programs must be granted annually through passage of an appropriations bill. Congress has voted permanent budget authority for some -programs, however, so that funds become available each year without further congres¬ +programs, however, so that funds become available each year without further congresďż˝ sional action. In addition, within any given fiscal year, some outlays will be based @@ -9744,7 +8921,7 @@ in the upcoming fiscal year, minus outlays deferred to later years. Under procedures established by the Congressional Budget Act of 1974, Congress considers budget totals before considering individual appropriations measures. Based on work by the Budget Committees of both houses, a first concurrent resolution (a resolution -of both houses not requiring the president’s signature) is passed by May 15, establishing +of both houses not requiring the presidentďż˝s signature) is passed by May 15, establishing targets for total revenues and total spending authority within various functional areas for the upcoming fiscal year. Although the president is not formally involved in this part of the budget process, consultation frequently occurs so that all parties will be informed @@ -9752,22 +8929,22 @@ of developments in the approval process. In some cases, the various parties even a set of budget totals to be honored by both the president in his budget submission and the Congress in its approval process. -Congressional review of appropriations requests begins in the House of Represen¬ +Congressional review of appropriations requests begins in the House of Represenďż˝ tatives, where the Ways and Means Committee considers revenue estimates and where -the Appropriations Committee (through various subcommittees) reviews spending rec¬ +the Appropriations Committee (through various subcommittees) reviews spending recďż˝ ommendations. Appropriations are considered within thirteen different appropriations bills covering groups of departments and agencies within related functional areas. After -initial passage by the House, all tax bills and the thirteen appropriations bills are for¬ -warded to the Senate for consideration. Differences in the appropriations measures com¬ +initial passage by the House, all tax bills and the thirteen appropriations bills are forďż˝ +warded to the Senate for consideration. Differences in the appropriations measures comďż˝ ing from the two houses are worked out in conference committee and, following approval by both houses, are forwarded to the president for signature. The two Budget -Committees are charged with drawing up a second concurrent resolution, this one bind¬ +Committees are charged with drawing up a second concurrent resolution, this one bindďż˝ ing in nature, setting limits on total spending. Finally, a separate reconciliation bill attempts to reconcile individual actions in taxes, authorizations, or appropriations with the totals. If action on appropriations for the fiscal year is not completed by the beginning of the -fiscal year (October 1), the Congress enacts a continuing resolution, which permits the gov¬ +fiscal year (October 1), the Congress enacts a continuing resolution, which permits the govďż˝ ernment to keep operating until an appropriations measure is passed. (As we have seen, the term continuing resolution became a household phrase during the budget turmoil of 1995-1996. The Clinton administration and Congress both refused to compromise on key @@ -9780,10 +8957,10 @@ dozen continuing resolutions were signed to keep the federal government operatio Throughout its consideration of the budget, the Congress is aided by the work of Budget Committee staff members (whose numbers have grown substantially in recent -years) and by the Congressional Budget Office. This agency provides basic budget infor¬ +years) and by the Congressional Budget Office. This agency provides basic budget inforďż˝ mation and its own economic forecasts and indicates to Congress how its conclusions differ from those of the executive branch. Such differences have, in several years, led the -Congressional Budget Office to predict a more substantial budget deficit than that antici¬ +Congressional Budget Office to predict a more substantial budget deficit than that anticiďż˝ pated by the administration. @@ -9794,26 +8971,26 @@ An increase in staff capabilities has been among the most important developments the legislative approval process in most states and in some larger cities. Legislative budget staffs vary in structure and composition; that is, they may be partisan or nonpartisan, centralized or decentralized, joint (both houses) or single house, and so on. However, -their responsibilities usually include analyzing the governor’s budget, forecasting revenues +their responsibilities usually include analyzing the governorďż˝s budget, forecasting revenues and expenditures, and developing alternatives to the executive budget. In all cases, greater staff capabilities have considerably aided the resurgence of state legislative involvement in the budget process. One important feature of the approval process at the state level is the existence in most states of the line-item veto. (The line-item veto allows the executive to veto specific items in -an appropriations bill rather than decide between “all or nothing.”) Such authority has +an appropriations bill rather than decide between ďż˝all or nothing.ďż˝) Such authority has been sought at the federal level by recent presidents, and President Clinton became the first chief executive granted such capacity when the federal Line Item Veto Act (P.L. 104-130) took effect in January 1997. The act, though stopping short of extending full constitutional -line-item veto power, gave the president authority to strike items from a federal appropria¬ +line-item veto power, gave the president authority to strike items from a federal appropriaďż˝ tions bill without having to veto the entire piece of legislation. The Clinton administration, like its Republican predecessors, argued that the powers granted under the act would enable the president to make significant cuts in federal spending, and proponents added that a great deal of time and energy will be saved since the executive and legislative branches would not have to renegotiate an entire budget when only specific items are at issue. -Despite the value inherent in such a measure, the Supreme Court invalidated the fed¬ -eral act in Clinton v. City of New York (1998), stating that while there may be proce¬ +Despite the value inherent in such a measure, the Supreme Court invalidated the fedďż˝ +eral act in Clinton v. City of New York (1998), stating that while there may be proceďż˝ dures for amending or repealing federal statutes, the process must be consistent with the constitutional powers afforded each branch of government (see Immigration and Naturalization Services v. Cbadba [1983]). In the case of the line-item veto, the president @@ -9824,15 +9001,15 @@ Budget Execution The budget execution stage, generally coinciding with the fiscal year, is that part of the budget cycle in which the agencies of government carry out agreed-upon programs and -policies. The execution stage involves public administrators in all aspects of the manage¬ -ment process — planning, analysis, personnel management, communication, and other +policies. The execution stage involves public administrators in all aspects of the manageďż˝ +ment process ďż˝ planning, analysis, personnel management, communication, and other interpersonal skills. Basic financial controls are exercised during the budget execution phase through the mechanism of apportionment, a process by which funds are allocated to agencies for specific portions of the year. Typically, the central budget office asks for submission of spending plans indicating what money the agencies anticipate spending in each quarter -of the year. Because the agencies may not have received all they wanted in the appropria¬ +of the year. Because the agencies may not have received all they wanted in the appropriaďż˝ tions process, the apportionment mechanism also acts as the basis for required changes in programs and policies. As soon as there is agreement between the central budget office (acting on behalf of the chief executive) and the agencies on the changes embodied in the @@ -9845,28 +9022,28 @@ apportionment plan, agencies begin receiving allotments. To assure that funds are in fact expended for the purposes for which they were intended and that there is indeed enough money budgeted to cover a proposed expenditure, some sort of preaudit (a review in advance of an actual expenditure) is usually required. -Depending on the jurisdiction, the preaudit may be conducted by an agency’s own budget +Depending on the jurisdiction, the preaudit may be conducted by an agencyďż˝s own budget office, by an independent agency, or even by an elected state official. Once approval has been given, however, the treasurer is obligated to pay for the expenditure. Even though budgets are not passed until just before (or even well into) the fiscal year, -important changes may occur during the year that require changes in an agency’s bud¬ +important changes may occur during the year that require changes in an agencyďż˝s budďż˝ geted expenditures. Some changes may require greater funding. For example, when an unexpected natural disaster, such as a drought, places special burdens on farmers. If it is felt that the need must be met prior to the next budget cycle, the president and Congress -can work together to provide a supplemental appropriation, a bill passed during the fis¬ -cal year to add new money to an agency’s budget for that fiscal year. Such a bill may -simply provide more money for existing programs or money for a newly authorized pro¬ +can work together to provide a supplemental appropriation, a bill passed during the fisďż˝ +cal year to add new money to an agencyďż˝s budget for that fiscal year. Such a bill may +simply provide more money for existing programs or money for a newly authorized proďż˝ gram. We might note that the events of September 11, 2001 required substantial changes -in the federal budget to aid in disaster relief, help for the airlines, and new security mea¬ +in the federal budget to aid in disaster relief, help for the airlines, and new security meaďż˝ sures. (See Box 5.2.) -There are also devices, used primarily by chief executives as a matter of administra¬ -tive discretion, to restrict agencies’ spending below budgeted amounts. Presidents -throughout the nation’s history have sought to limit agency spending by impound¬ +There are also devices, used primarily by chief executives as a matter of administraďż˝ +tive discretion, to restrict agenciesďż˝ spending below budgeted amounts. Presidents +throughout the nationďż˝s history have sought to limit agency spending by impoundďż˝ ment, that is, by withholding, funds authorized and appropriated by law, typically in the case of emergencies or where the purpose of the money had been achieved and -budgeted funds still remained. Similarly, at the state level, governors regularly with¬ +budgeted funds still remained. Similarly, at the state level, governors regularly withďż˝ hold agency funds when revenue projections fall below levels upon which the budget was based. @@ -9874,7 +9051,7 @@ At the federal level, the impoundment issue became especially intense in the ear 1970s, when President Nixon asserted his right to impound funds wherever he felt appropriate to achieve his fiscal goals. Especially annoying to Congress was his refusal to spend money for water pollution control; the money had been passed by Congress over a -presidential veto (Pfiffner, 1979, p. 4). Many felt that Nixon’s use of impoundment +presidential veto (Pfiffner, 1979, p. 4). Many felt that Nixonďż˝s use of impoundment amounted to an unconstitutional item veto. Consequently, the 1974 Budget Act sought to clarify matters by defining two types of @@ -9883,14 +9060,14 @@ for a brief period. In such circumstances, the president must inform the Congres either house of Congress may veto the action. The second, a rescission, is a presidential decision to withhold funds permanently; a rescission must receive the positive approval of both houses of Congress. Through these devices, Congress has sought to maintain its -involvement in budget execution while at the same time allowing some administrative dis¬ +involvement in budget execution while at the same time allowing some administrative disďż˝ cretion to the president. (Not surprisingly, recent presidents, including President Clinton, have argued for expanded rescission authority.) Because situations change, public managers are often accorded some flexibility in the use of allocated funds. Money originally allocated for salaries and wages, for example, might be shifted (with appropriate approvals) to an equipment and expense category. On -a broader scale, some agencies engage in reprogramming— that is, taking money appro¬ +a broader scale, some agencies engage in reprogrammingďż˝ that is, taking money approďż˝ priated for one program and diverting it to another that emerges as a higher priority. @@ -9901,51 +9078,51 @@ BOX 5.2_ _ __ What Happens to the Budget During Emergencies -The White House signaled last night it will seek a reordering of federal budget priori¬ +The White House signaled last night it will seek a reordering of federal budget prioriďż˝ ties, with programs not related to fighting terrorism or enhancing security under scrutiny for reductions or elimination. Mitchell E. Daniels Jr., the White House budget director, warned that permanent -budget deficits may emerge again if lawmakers do not trim back parts of the govern¬ +budget deficits may emerge again if lawmakers do not trim back parts of the governďż˝ ment not dedicated to the military, law enforcement and intelligence-gathering. -“Many lesser priorities will have to yield while we ensure that the essential func¬ -tions of government are provided for,” Daniels told a business group in New York, -according to a draft of the speech released by the White House. “The alternative is to -discard discipline totally and imperil our long-term economic health.” +ďż˝Many lesser priorities will have to yield while we ensure that the essential funcďż˝ +tions of government are provided for,ďż˝ Daniels told a business group in New York, +according to a draft of the speech released by the White House. ďż˝The alternative is to +discard discipline totally and imperil our long-term economic health.ďż˝ In an interview, Daniels made it clear the administration was opposed to either higher spending or tax increases. Daniels said he rejected the notion that much of the additional -spending in the war on terrorism—by some estimates as much as $50 billion a year— -will need to be added on top of existing commitments. “Everything ought to be held up -to scrutiny,” he said. “Situations like this can have a clarifying benefit. People who could -not identify a low priority or lousy program before may now see the need.” +spending in the war on terrorismďż˝by some estimates as much as $50 billion a yearďż˝ +will need to be added on top of existing commitments. ďż˝Everything ought to be held up +to scrutiny,ďż˝ he said. ďż˝Situations like this can have a clarifying benefit. People who could +not identify a low priority or lousy program before may now see the need.ďż˝ -Daniels said the “two new imperatives are fully affordable [but] the real danger is -that we will layer it on top of the government we have.” He said that “what you -don’t do in a time of emergency is hold everything else sacrosanct,” though he ruled -out not implementing portions of the president’s tax plan because “we don’t want to -do anything that hurts long-term growth.” +Daniels said the ďż˝two new imperatives are fully affordable [but] the real danger is +that we will layer it on top of the government we have.ďż˝ He said that ďż˝what you +donďż˝t do in a time of emergency is hold everything else sacrosanct,ďż˝ though he ruled +out not implementing portions of the presidentďż˝s tax plan because ďż˝we donďż˝t want to +do anything that hurts long-term growth.ďż˝ -But many Democrats charge the administration’s commitment to fiscal discipline is +But many Democrats charge the administrationďż˝s commitment to fiscal discipline is merely a convenient way to slash funding for social and health programs dear to Democrats while pouring dollars into the military and law enforcement agencies that -were always slated for big increases under President Bush. They question why every¬ -thing but the president’s desire for more tax cuts needs to be on the table. . . . +were always slated for big increases under President Bush. They question why everyďż˝ +thing but the presidentďż˝s desire for more tax cuts needs to be on the table. . . . -SOURCE: Excerpted from Kessler, Glenn, “OMB Chief Signals New Spending Goals” Washington Post, -Wednesday, October 17, 2001, Page A03, © 2001 The Washington Post Company. Reprinted with permission. +SOURCE: Excerpted from Kessler, Glenn, ďż˝OMB Chief Signals New Spending Goalsďż˝ Washington Post, +Wednesday, October 17, 2001, Page A03, ďż˝ 2001 The Washington Post Company. Reprinted with permission. -M—MMUMWI.I IJMMWIIMWHW I MilljllillMlin.Cl Ml IIIHl'iiMPTTi'fM.ri^MWi^llWiWWIlWttHWffTWWWWWWMWlrWBWWMMWMHtilTIllirWIIIl +Mďż˝MMUMWI.I IJMMWIIMWHW I MilljllillMlin.Cl Ml IIIHl'iiMPTTi'fM.ri^MWi^llWiWWIlWttHWffTWWWWWWMWlrWBWWMMWMHtilTIllirWIIIl This strategy must be undertaken with great care, however, not only because of legal and -ethical implications, but because efforts to subvert the legislature’s intention are likely to -incur retribution in the next year’s budget process. +ethical implications, but because efforts to subvert the legislatureďż˝s intention are likely to +incur retribution in the next yearďż˝s budget process. Audit Phase The final phase of the budget process is the postexecution or audit phase. Postaudits take -place following the end of the fiscal year and are concerned with verifying the correct¬ +place following the end of the fiscal year and are concerned with verifying the correctďż˝ ness and propriety of agency operations. These audits were originally designed to assure @@ -9954,13 +9131,13 @@ iy6 Chapter 5 Budgeting and Financial Management financial control; as such, they focused on accuracy of record keeping, on compliance with statutes, and on uncovering fraud, waste, and mismanagement. More recently, the concept -of auditing has been broadened to include performance auditing—analyzing and evaluat¬ +of auditing has been broadened to include performance auditingďż˝analyzing and evaluatďż˝ ing the effective performance of agencies in carrying out their objectives. Three purposes are served by postaudits: (1) financial viability, as indicated by efficient use of resources; (2) compliance with statutes and other limitations; and (3) program performance, including the results of program operations. -Agencies themselves can carry out audits; indeed, we have already seen how the audit¬ +Agencies themselves can carry out audits; indeed, we have already seen how the auditďż˝ ing work of inspectors general has revealed waste and fraud in some agencies. There is a clear trend, however, toward broader use of independent agencies. Moreover, to maintain detachment in their review of executive agencies, the postaudit function is increasingly @@ -9986,8 +9163,8 @@ To be an effective tool in management and decision making, the budget must prese information about the purposes of the proposed activity and the resources to be expended. There are a variety of different ways to present such information. Some approaches to budgeting, for example, are based on the assumption that budget decisions are (and should -be) largely incremental—policy makers start with the given situation (last year’s budget) as -a base and make only marginal adjustments to that base. Following this approach, man¬ +be) largely incrementalďż˝policy makers start with the given situation (last yearďż˝s budget) as +a base and make only marginal adjustments to that base. Following this approach, manďż˝ agers build budgets by asking for limited increases in spending rather than focusing on major programmatic concerns. Similarly, the legislature focuses on individual expenditures rather than the big picture. According to proponents of incrementalism, this approach is @@ -10000,26 +9177,26 @@ programmatic approach. Approaches to Public Budgeting 177 -Budgets can be categorized according to the purposes they serve. Allen Schick, a lead¬ +Budgets can be categorized according to the purposes they serve. Allen Schick, a leadďż˝ ing scholar in the field of budgeting, has suggested that budgets can have at least three -different purposes, all of which are reflected in any approach to budgeting. These pur¬ +different purposes, all of which are reflected in any approach to budgeting. These purďż˝ poses are planning, management, and control. Planning involves the determination of organizational objectives and the development of strategies to meet those objectives; management involves the design of organizational means by which approved goals can be translated into action, as well as developing the staffing and resources necessary for -execution; control refers to “the process of binding operating officials to the policies and -plans set by their superiors.” According to Schick, each attempt at budget reform -changes the balance among the three purposes — sometimes inadvertently, sometimes -deliberately. Understanding how budgets are put together will help you present an effec¬ +execution; control refers to ďż˝the process of binding operating officials to the policies and +plans set by their superiors.ďż˝ According to Schick, each attempt at budget reform +changes the balance among the three purposes ďż˝ sometimes inadvertently, sometimes +deliberately. Understanding how budgets are put together will help you present an effecďż˝ tive case for program changes. The Line-Item Budget -Those who established the first systematic governmental budgeting schemes were con¬ +Those who established the first systematic governmental budgeting schemes were conďż˝ cerned primarily with assuring the public that expenditures were properly made and -accounted for. Consequently, the systems they designed emphasized the control func¬ +accounted for. Consequently, the systems they designed emphasized the control funcďż˝ tion. Because all agencies purchase essentially the same kinds of goods and services, -it was argued, account classifications could be designed that would be broadly applic¬ +it was argued, account classifications could be designed that would be broadly applicďż˝ able to various agencies or departments. It would then be possible for auditors to apply uniform criteria to evaluate the expenditures of all (Lyden & Lindenberg, 1983, p. 67). @@ -10043,9 +9220,9 @@ Printing 1,200 1,350 Telephone 1,550 1,900 -The cost of each object of expenditure is generally based on the agency’s past experience +The cost of each object of expenditure is generally based on the agencyďż˝s past experience and analysis of expected changes during the budget year. Since personnel costs (salaries, -wages, and other personal services) typically constitute over half the budget, special atten¬ +wages, and other personal services) typically constitute over half the budget, special attenďż˝ tion is given to projected staffing changes, and such changes are often appended to the budget. (Our example projects, among other things, the addition of one clerical person during the upcoming year.) @@ -10057,34 +9234,34 @@ and partly because it offers political leaders the more palatable option of redu 178 Chapters Budgeting and Financial Management -(such as travel) rather than eliminating programs. Moreover, it is well suited to incremen¬ +(such as travel) rather than eliminating programs. Moreover, it is well suited to incremenďż˝ tal decisions, which make only minor modifications in the previous budget. However, because in the line-item budget the focus is on expenditures, not on their results, it is of little benefit to planning or management. Consequently, budget reformers have sought to -balance the line-item budget’s advantage of effective control with attention to other pur¬ +balance the line-item budgetďż˝s advantage of effective control with attention to other purďż˝ poses as well. The Performance Budget The 1930s proved a turning point with respect to public budgeting. The federal budget grew tremendously, the Bureau of the Budget became attached to the White House, and, -in general, greater attention was paid to the executive management of government agen¬ +in general, greater attention was paid to the executive management of government agenďż˝ cies. This interest in management was paralleled at the state and local levels, where efforts to relate budget presentations to programmatic activities had been under way for some time. The result was a new approach to budgeting, the performance budget. -The performance budget is organized around programs or activities rather than depart¬ +The performance budget is organized around programs or activities rather than departďż˝ ments and includes various performance measurements to indicate the relationship between the work actually done and its cost. As the Hoover Commission described it, a -performance budget “would analyze the work of government departments and agencies +performance budget ďż˝would analyze the work of government departments and agencies according to their functions, activities, or projects. It would concentrate attention on -the work to be done or the service to be rendered, rather than the things to be acquired.” +the work to be done or the service to be rendered, rather than the things to be acquired.ďż˝ By focusing on the relationship between available resources and the work to be done, performance budgeting is well suited to the purposes of management. To construct a performance budget, the manager must first determine appropriate -program categories, such as highway safety, then break that program down into appro¬ -priate subprograms, such as school visitations or advertising programs. It is then neces¬ +program categories, such as highway safety, then break that program down into approďż˝ +priate subprograms, such as school visitations or advertising programs. It is then necesďż˝ sary to establish detailed work measures for each activity; for example, a highway safety program might anticipate twenty-seven school visitations during the course of the year. These data would then be related to the cost of making such visits. In its most detailed @@ -10092,15 +9269,15 @@ presentation, a performance budget requires identifying the work activity, estab an output unit, calculating the cost of each unit, and projecting the units required and the associated costs for the coming year. -Although performance measures are helpful in making budgetary decisions, not all orga¬ +Although performance measures are helpful in making budgetary decisions, not all orgaďż˝ nizations can easily develop such information. A license bureau can report the number of licenses issued and fairly easily calculate the cost per license issued, but a research unit or a group promoting civil rights would find its work much more difficult to measure. Performance budgeting also tends to concentrate on quantity of work rather than quality. Finally, performance budgeting somewhat diffuses organizational responsibility, because -one program or function may be located in several different units. “Public information ” -for example, may involve work in the mayor’s office, police department, fire department, +one program or function may be located in several different units. ďż˝Public information ďż˝ +for example, may involve work in the mayorďż˝s office, police department, fire department, and elsewhere. To sort out costs by department, one would need to construct a crosswalk or matrix of expenditures. A matrix might place various activities on one dimension and departments on another: @@ -10120,20 +9297,20 @@ Division C 5,000 12,000 13,000 30,000 Totals 27,000 48,000 38,000 -A matrix could also be constructed relating activities to traditional objects of expendi¬ +A matrix could also be constructed relating activities to traditional objects of expendiďż˝ ture; such calculations are typical in performance budgets. Program Budgeting Another approach to budgeting had its origins in the Department of Defense in the early 1960s. Soon after taking office as Secretary of Defense, Robert McNamara discovered -that his ability to manage the department was severely restricted by the lack of coordina¬ +that his ability to manage the department was severely restricted by the lack of coordinaďż˝ tion between planning and budgeting. Each service (army, navy, air force) prepared its -own annual budget, reflecting its own priorities, then submitted the documents to the sec¬ -retary. This plan failed to give proper attention to systemwide issues. But, equally impor¬ +own annual budget, reflecting its own priorities, then submitted the documents to the secďż˝ +retary. This plan failed to give proper attention to systemwide issues. But, equally imporďż˝ tant, because the budgeting system was based on a one-year time frame, it bore little, if -any, relation to the multiyear projections of the department’s planning and analysis staff. -The development of major weapons systems, for example, involves research and develop¬ +any, relation to the multiyear projections of the departmentďż˝s planning and analysis staff. +The development of major weapons systems, for example, involves research and developďż˝ ment, assembly, and operations over many years, yet this fact was not clearly reflected in the annual budget submissions. @@ -10141,7 +9318,7 @@ Consequently, McNamara instituted a new approach, which came to be known as the planning-programming-budgeting system (PPBS), an effort to connect planning, systems analysis, and budgeting in a single exercise. In the Defense Department, PPBS began with the identification of nearly one thousand program elements, each grouped under one of -nine major programs or missions—that is, strategic retaliatory forces, continental air and +nine major programs or missionsďż˝that is, strategic retaliatory forces, continental air and missile defense forces, civil defense, and so on. Not only was extensive study required to identify the right combination of program elements to support each mission, but, once having established the combinations, units in the department were required to submit @@ -10156,7 +9333,7 @@ services that cut across several agencies within HEW. Costs for each program ele projected five years into the future, and extensive documentation justifying each element was required, especially in areas undergoing significant changes. Most agencies were able to develop their budgets using the new approach, but there was considerable confusion in -the implementation of PPBS. As a result of this confusion and for a variety of other politi¬ +the implementation of PPBS. As a result of this confusion and for a variety of other politiďż˝ cal reasons, PPBS was formally terminated by President Nixon in 1971. @@ -10165,25 +9342,25 @@ i So Chapters Budgeting and Financial Management During its relatively short tenure, PPBS attracted great attention, with many cities, states, and other countries embracing the new technique. PPBS not only emphasized the -planning aspect of budgeting, but it appeared to bring greater rationality and compre¬ +planning aspect of budgeting, but it appeared to bring greater rationality and compreďż˝ hensiveness to the budget process. These goals, however, were accomplished at great cost. Substantial numbers of new staff members were needed, both in the central budget office and in the various agencies to provide the kind of analysis PPBS required. All in -all, the process proved extraordinarily time-consuming. Consequently, very few full¬ -blown PPBS systems remain, although many of the principles of PPBS have been incor¬ +all, the process proved extraordinarily time-consuming. Consequently, very few fullďż˝ +blown PPBS systems remain, although many of the principles of PPBS have been incorďż˝ porated into other approaches, often under the more general label program budgeting. -There are important differences between performance budgeting and program budget¬ -ing. “As a general rule, performance budgeting is concerned with the process of work +There are important differences between performance budgeting and program budgetďż˝ +ing. ďż˝As a general rule, performance budgeting is concerned with the process of work (what methods should be used) while program budgeting is concerned with the purpose -of work (what activities should be authorized)” (Schick, 1987, p. 53). Where a perfor¬ -mance budget might define the operations of a city garbage department in terms of col¬ +of work (what activities should be authorized)ďż˝ (Schick, 1987, p. 53). Where a perforďż˝ +mance budget might define the operations of a city garbage department in terms of colďż˝ lecting and disposing of garbage, a program budget might focus instead on the purpose -served by collecting the garbage—to prevent infectious disease or to protect property +served by collecting the garbageďż˝to prevent infectious disease or to protect property values (Lyden & Lindenberg, 1983, pp. 92-93). Moreover, although both systems urge measurement of work being done, performance -budgeting is more likely to employ measures related to the work (for example, the num¬ +budgeting is more likely to employ measures related to the work (for example, the numďż˝ ber of tons of garbage collected) and a program budget might concentrate instead on measures related to the purpose of the work (for example, the rate of infectious disease in the community). Performance data are of great interest to individual managers who seek @@ -10199,12 +9376,12 @@ agencies. ZBB does not mean that agencies must simply start over with each budge cycle, building and rebuilding justifications for all their programs; rather, ZBB seeks to structure the budget so as to present information about the efficiency and effectiveness of existing piograms and also highlight possibilities for eliminating or reducing programs -(Pyhrr, 1977, p. 1). In contrast to the program development emphasis in program bud¬ +(Pyhrr, 1977, p. 1). In contrast to the program development emphasis in program budďż˝ geting, the emphasis in ZBB is on cutting back or restricting programs. The ZBB process begins with identifying a decision unit, the lowest organizational unit at which significant program decisions are made. The manager of the decision unit -is asked to prepare one or more decision packages, which explain each proposed pro¬ +is asked to prepare one or more decision packages, which explain each proposed proďż˝ gram and contain the purpose, a description of the action to be undertaken, costs and benefits, and workload and performance measures. Top management and the legislature use the decision packages to compare various programs and rank the highest priorities. @@ -10216,20 +9393,20 @@ of information. First, they must identify alternative measures for accomplishing Approaches to Public Budgeting 181 -and indicate why these alternatives were not chosen. For example, an air quality labora¬ -tory might recommend using a centralized laboratory to conduct tests rather than con¬ +and indicate why these alternatives were not chosen. For example, an air quality laboraďż˝ +tory might recommend using a centralized laboratory to conduct tests rather than conďż˝ ducting tests at regional locations or contracting with a local university (Pyhrr, 1977, p. 4). Second, managers must identify various funding levels: (1) a minimum level, (2) the level necessary to continue current operations, and (3) an improvement level. -In each case, the manager must indicate the effects of the funding level on program per¬ +In each case, the manager must indicate the effects of the funding level on program perďż˝ formance. For example, a minimum level of $140,000 might permit testing 37,000 air samples, meeting the minimum requirements of those who use the tests, and covering -70 percent of the state’s population. An improvement level might require $246,000, but +70 percent of the stateďż˝s population. An improvement level might require $246,000, but add additional urban areas and cover 90 percent of the population (Pyhrr, 1977, p. 4). ZBB has been criticized for generating too much paperwork and for failing to provide effective criteria for ranking decision packages. In addition, the minimum funding level -requirement has proven difficult to establish; many jurisdictions equate minimum fund¬ +requirement has proven difficult to establish; many jurisdictions equate minimum fundďż˝ ing with a certain percentage of the current level (e.g., 75 percent). For these and other reasons, ZBB was discontinued by President Reagan, though many agencies still employ some of its elements in their budget process. @@ -10237,9 +9414,9 @@ some of its elements in their budget process. Outcome-Based, Budgeting A recent trend in government budgeting involves increasing the level of accountability for -public resources. Citizens, elected officials, and administrators want to be able to deter¬ -mine how much is being spent on each program or agency and the return on the public’s -investment—that is, the substantive impact of each policy. In practical terms, this requires +public resources. Citizens, elected officials, and administrators want to be able to deterďż˝ +mine how much is being spent on each program or agency and the return on the publicďż˝s +investmentďż˝that is, the substantive impact of each policy. In practical terms, this requires linking budget information with some type of a performance measurement system. The resulting budget enables administrators to track levels of expenditures and report on the outcomes being achieved. @@ -10254,14 +9431,14 @@ level of resources needed to reach goals and objectives and then use that inform for budget decision making. In Catawba County, North Carolina, local officials used outcome-based budgeting to -enhance their government’s system of service delivery. The county in the past few years had +enhance their governmentďż˝s system of service delivery. The county in the past few years had experienced limited growth in revenues; yet during this time the call for human services continued to rise. County leadership responded by handing decision-making authority to agency administrators, challenging them to reduce costs while more effectively meeting citizen demands. Those who achieved 90 percent of their goals would be able to apply their savings to unrestricted needs. Catawba County administrators embarked on a citizen- driven, outcome-based system of budgeting to ensure that resources were targeted to meet -specific community goals. Over time, they not only saved money but also enhanced gov¬ +specific community goals. Over time, they not only saved money but also enhanced govďż˝ ernment responsiveness. @@ -10269,7 +9446,7 @@ ernment responsiveness. 182 Chapter 5 Budgeting and Financial Management We will see later the way in which performance or outcome measurement has affected -the conduct of the public’s business at all levels of government. For now, we should sim¬ +the conduct of the publicďż˝s business at all levels of government. For now, we should simďż˝ ply note that the current federal budgeting system, like most at the state and local levels, is a combination of elements from several of the approaches we have discussed. What is most important is not whether one particular system or another is being used but rather @@ -10284,32 +9461,32 @@ political activity. The changing demands on government and its programs, the shi interests that are brought to bear in policy decisions, and the many different actors (and personalities) that are part of the budget process mean that budget decisions will always occur in a highly charged political environment. As one student of the budget process -described the situation, “Budgeting in this environment is a matter of negotiation, per¬ -suasion, bargaining, bluff and counter-bluff” (Caiden, 1985, p. 498). Because agency +described the situation, ďż˝Budgeting in this environment is a matter of negotiation, perďż˝ +suasion, bargaining, bluff and counter-bluffďż˝ (Caiden, 1985, p. 498). Because agency managers typically (and properly) believe in the programs they operate and would like to see the programs be of even greater benefit to the public, they tend to become advocates -of an agency position, often seeking to expand the size and scope of the agency’s work. +of an agency position, often seeking to expand the size and scope of the agencyďż˝s work. If you can deal effectively with the political environment in which budgeting occurs, -you will likely be more successful in expanding, or at least maintaining, your agency’s -programs. (There are, of course, many cases in which you will be judged on your capac¬ +you will likely be more successful in expanding, or at least maintaining, your agencyďż˝s +programs. (There are, of course, many cases in which you will be judged on your capacďż˝ ity to hold the line on expenditures or to manage program reductions.) Whatever your intent, understanding the politics of the budgetary process will be helpful. -In discussions of budgetary strategies, two basic concepts will help orient your think¬ +In discussions of budgetary strategies, two basic concepts will help orient your thinkďż˝ ing. The first is the notion of program base. The base refers to those elements of an -agency’s program that everyone expects will be continued from year to year. Under nor¬ -mal circumstances, the program’s base is assumed to remain pretty much the same from +agencyďż˝s program that everyone expects will be continued from year to year. Under norďż˝ +mal circumstances, the programďż˝s base is assumed to remain pretty much the same from one year to the next and is not subject to special scrutiny. Having an activity approved -for one year is one thing; having that activity considered a part of your agency’s base +for one year is one thing; having that activity considered a part of your agencyďż˝s base budget is far more important. A second and related concept is that of receiving a fair share of the overall budget. Managers often measure success in terms of whether their -program receives a proportionate amount of any increases or decreases that the govern¬ +program receives a proportionate amount of any increases or decreases that the governďż˝ ment generally supports. Agency personnel often work for years to build a base that they consider a fair share of the overall budget (Wildavsky, 1988, p. 83). As we saw earlier, budget requests typically originate with the agencies. They are then -reviewed and often changed by a central budget office (acting in behalf of the chief execu¬ +reviewed and often changed by a central budget office (acting in behalf of the chief execuďż˝ tive) and submitted to the legislature for approval. In constructing a budget request, you need to take into account several different types of expenditures. Many departments at the federal level have a large budget component that is essentially uncontrollable. The @@ -10318,19 +9495,19 @@ federal level have a large budget component that is essentially uncontrollable. Budgetary Strategies and Political Games 183 -Department of Health and Human Services, for example, which administers many entitle¬ +Department of Health and Human Services, for example, which administers many entitleďż˝ ment programs, has a large percentage of its budget that is essentially fixed. A second part -of an agency’s budget is likely to be devoted to adjustments for inflation. The rising cost of +of an agencyďż˝s budget is likely to be devoted to adjustments for inflation. The rising cost of utilities, telephones, postage, and other essential services must be taken into account, either absorbed in the base or covered by increased expenditures. Finally, some part of the -agency’s budget is discretionary, subject to increase or decrease according to the agency’s +agencyďż˝s budget is discretionary, subject to increase or decrease according to the agencyďż˝s priorities. The discretionary portion of the budget allows you to decide both which new -programs to propose and which existing activities to recommend for more (or less) fund¬ +programs to propose and which existing activities to recommend for more (or less) fundďż˝ ing. Understanding these categories will help you argue for changes in a particular budget. Strategies for Program Development -These choices lead to strategic questions you must answer in building a budget—including +These choices lead to strategic questions you must answer in building a budgetďż˝including the important question of what total amount to request. Although an overall budget is likely to differ only incrementally from that of the previous year, some agencies are clearly more assertive in their requests than others. That is, they are more willing to request large @@ -10342,28 +9519,28 @@ or more generally an expression of interest in a particular field, such as law e Similarly, legislative support is also highly important. Agency personnel, in fact, work hard throughout the year to maintain contact with key legislative leaders and to build the kinds of alliances that will be helpful in supporting programs of mutual interest. -Finally, your personality—especially your willingness to take risks and defend risky^ -choices—will play a strong role in deciding how much to request. +Finally, your personalityďż˝especially your willingness to take risks and defend risky^ +choicesďż˝will play a strong role in deciding how much to request. Aaron Wildavsky, who wrote a landmark study of the politics of the budgetary process, suggested three other strategic elements that not only affect the nature of the request, but also help build political support for it. The first of these is clientele support. The support -of client groups and other associations interested in the agency’s work will be helpful in +of client groups and other associations interested in the agencyďż˝s work will be helpful in developing testimony and lobbying in behalf of programs. An agency that is confident of -the testimony of “satisfied customers” or able to show support for proposed changes will +the testimony of ďż˝satisfied customersďż˝ or able to show support for proposed changes will likely fare much better than others. The most effective way to build support is to serve a -client group well, but agencies may also try to stimulate supportive clientele to communi¬ -cate with legislators about the agency’s good work. +client group well, but agencies may also try to stimulate supportive clientele to communiďż˝ +cate with legislators about the agencyďż˝s good work. -A second element of political support is the confidence of higher executives and leg¬ +A second element of political support is the confidence of higher executives and legďż˝ islative officials in your character and ability. The magnitude of government budgets is so great that higher officials or legislators simply cannot know all the details necessary -for making a purely rational analysis. At some point, they must simply trust the man¬ +for making a purely rational analysis. At some point, they must simply trust the manďż˝ ager. Managers who enjoy a good reputation are typically more successful, especially in -dealings with the legislature (see Box 5.3). One administrator commented, “If you have +dealings with the legislature (see Box 5.3). One administrator commented, ďż˝If you have the confidence of your [appropriations! subcommittee your life is much easier and you -can do your department some good; if you don’t have confidence you can’t accomplish -much and you are always in trouble” (Wildavsky, 1988, p. 105). There are many ways +can do your department some good; if you donďż˝t have confidence you canďż˝t accomplish +much and you are always in troubleďż˝ (Wildavsky, 1988, p. 105). There are many ways to build confidence, but highly successful managers seem to agree that a reputation for @@ -10375,27 +9552,27 @@ Play It Straight Everyone agrees that the most important requirement for confidence, at least in a negative sense, is to be aboveboard. ... A lie, an attempt to blatantly cover up some misdeed, a tricky move of any kind, can lead to an irreparable loss of confidence. -A typical comment by an administrator states, “It doesn’t pay to try to put some¬ +A typical comment by an administrator states, ďż˝It doesnďż˝t pay to try to put someďż˝ thing over on them [committee members) because if you get caught, you might as -well pack your bags and leave Washington.” And the chances of getting caught are +well pack your bags and leave Washington.ďż˝ And the chances of getting caught are considerable because interested committeemen and their staffs have much experience and many sources of information. Administrators believe that punishments for failure to establish confidence are greater than the rewards for achieving it. But at times they do slip up, and then the -roof falls in. When Congress limited the amount of funds that could be spent on per¬ +roof falls in. When Congress limited the amount of funds that could be spent on perďż˝ sonnel, a bureau apparently evaded this limitation in 1952 by subcontracting out a plan to private investors. The House Subcommittee was furious: Representative Jensen: It certainly is going to take a house-cleaning ... of ... all people who are responsible for this kind of business. Official: We are going to do it, Mr. Chairman. -Representative Jensen: I do not mean “maybe.” That is the most disgraceful show¬ +Representative Jensen: I do not mean ďż˝maybe.ďż˝ That is the most disgraceful showďż˝ ing that I have seen of any department. Official: I am awfully sorry. SOURCE: Excerpt p. 60 from The New Politics of the Budgetary Process, 3d ed. by Aaron Wildavsky and -Naomi Caiden. Copyright © 1997 by Addison-Wesley Educational Publishers Inc. Reprinted by permission +Naomi Caiden. Copyright ďż˝ 1997 by Addison-Wesley Educational Publishers Inc. Reprinted by permission of Pearson Education, Inc. integrity (telling the whole truth) and responsiveness (keeping in touch and responding @@ -10403,13 +9580,13 @@ completely to inquiries) are particularly important. Third, agency officials can take certain tactical positions to attempt to develop or protect their favorite programs. One approach, verging on the unethical but nonetheless -common, is budget padding—that is, proposing a higher budget than is actually +common, is budget paddingďż˝that is, proposing a higher budget than is actually needed, on the assumption that after the central budget office and legislature cut it, you will have what you wanted in the first place. (One city manager described including -“radio” items in his budget — a radio item was one that “makes a lot of noise but can -be unplugged easily.” The radio item would attract controversy and deflect attention +ďż˝radioďż˝ items in his budget ďż˝ a radio item was one that ďż˝makes a lot of noise but can +be unplugged easily.ďż˝ The radio item would attract controversy and deflect attention from other items that were actually more important to the manager.) Another strategy -is one Wildavsky terms the camel’s nose. The manager asks for a small amount to begin +is one Wildavsky terms the camelďż˝s nose. The manager asks for a small amount to begin a program, then later treats this program as part of the base and argues that it would be unfortunate to lose the money already invested by not finishing the job (Wildavskv 1988, p. 115). @@ -10418,32 +9595,32 @@ unfortunate to lose the money already invested by not finishing the job (Wildavs Aspects of Financial Management i8j -As we have seen, over the past couple of decades, many programs at all levels of gov¬ +As we have seen, over the past couple of decades, many programs at all levels of govďż˝ ernment have experienced lower revenues and more limited funding. In some cases, such as in the social services, programs have been reduced or eliminated; in other cases, changes such as the termination of revenue sharing at one level of government have resulted in lower revenues at another; in still other cases, popular efforts to limit either revenues or expenditures, such as Proposition 13 in California, have limited government funds. In any -case, many public managers have had to turn their attention from developing new pro¬ +case, many public managers have had to turn their attention from developing new proďż˝ grams to maintaining or even reducing existing ones. This effort has been variously referred to as managing fiscal stress or, where serious reductions have occurred, cutback management. -As you would expect under retrenchment conditions, many managers have used bud¬ +As you would expect under retrenchment conditions, many managers have used budďż˝ getary tactics of the sort outlined by Wildavsky to lessen the impact of fiscal stress on their agencies (Wildavsky, 1988, p. 113). Any attempt to resist cuts is risky, however, in -part because it can quickly undermine the manager’s credibility. Moreover, under condi¬ +part because it can quickly undermine the managerďż˝s credibility. Moreover, under condiďż˝ tions of long-term fiscal limitations, resistance to cuts is simply not a realistic option for many managers (Levine, 1980, p. 20). Several other ways of dealing with fiscal stress have been tried with some success: -• Following a multiyear plan so as to preserve the administrative capacity and the +ďż˝ Following a multiyear plan so as to preserve the administrative capacity and the capital investment of the jurisdictions -• Targeting cuts in specific programs rather than cutting across the board (all programs +ďż˝ Targeting cuts in specific programs rather than cutting across the board (all programs cut at the same percentage) -• Smoothing out the impact of the cuts (lessening their immediate effect) +ďż˝ Smoothing out the impact of the cuts (lessening their immediate effect) (Levine, Rubin, & Wolohojian, 1981, p. 210). Smoothing out may occur either through improvements in productivity, so the organization can accomplish more with less, or by generating new revenues, through such moves as imposing new @@ -10452,7 +9629,7 @@ user charges for services. Aspects of Financial Management Although those in public organizations need to budget their resources, they must also -attend to other aspects of managing the public’s money. They must be concerned with +attend to other aspects of managing the publicďż˝s money. They must be concerned with the long-term financing of buildings, roads and highways, and equipment; they must carefully plan and manage borrowing; they must ensure against future losses; and, in all cases, they must try to get the most for the money they spend. @@ -10470,9 +9647,9 @@ http://www.aabpa.org; http://www.abfm.org; and http://www.gfoa.org. Capital Budgeting In addition to budgeting annual expenditures, public policy makers and managers need -to invest in facilities and equipment that will be used over a period of time. For exam¬ -ple, government is primarily responsible for developing and maintaining the country’s -public works infrastructure—streets and highways, tunnels and bridges, sewers and +to invest in facilities and equipment that will be used over a period of time. For examďż˝ +ple, government is primarily responsible for developing and maintaining the countryďż˝s +public works infrastructureďż˝streets and highways, tunnels and bridges, sewers and water treatment facilities, and so on. In addition, governments invest in a variety of other major facilities, including schools and universities, hospitals and mental health centers, public housing, and correctional institutions. Finally, innumerable equipment @@ -10481,7 +9658,7 @@ use. Expenditures on items that will be used over a period of several years are capital expenditures. Budgeting for capital expenditures is similar to the process of budgeting for annual -expenditures, but it also differs in some ways. In most jurisdictions, with the federal gov¬ +expenditures, but it also differs in some ways. In most jurisdictions, with the federal govďż˝ ernment as the most notable exception, capital expenditures are treated in a separate budget called a capital budget. Most states have a separate capital budget, and nearly all give special treatment to capital expenditures in budget presentation; nearly all major @@ -10491,14 +9668,14 @@ has it begun to provide a special analysis of capital spending. There is still n capital budget at the federal level. The primary argument in favor of separate consideration of capital items is that the -benefits of these items are spread over future generations, and it is therefore not unrea¬ +benefits of these items are spread over future generations, and it is therefore not unreaďż˝ sonable to share the burden of repaying the money borrowed. A separate capital budget -may also encourage more long-term thinking—the lack of which is often decried in the +may also encourage more long-term thinkingďż˝the lack of which is often decried in the annual budget process. On the other hand, the capital budget can become a political pork -barrel, in which each legislator seeks to gain his or her share of projects (and their fund¬ +barrel, in which each legislator seeks to gain his or her share of projects (and their fundďż˝ ing). Moreover, a capital budget can become a device for avoiding fiscal responsibility, by pushing expenditures that should be faced immediately into an indefinite future. In any -case, whether a separate budget is developed or not, one should keep in mind the rela¬ +case, whether a separate budget is developed or not, one should keep in mind the relaďż˝ tionship between capital and operating expenditures. Building a new swimming pool, for example, implies that annual expenditures will be forthcoming in future years to keep it operating. @@ -10507,13 +9684,13 @@ Ideally, a capital budget develops in the context of a fairly comprehensive plan process, undertaken either for the government as a whole or by the various agencies within their functional areas (such as health or criminal justice). Whether or not a planning process is in operation, an important intermediate step (and one followed by -nearly all governments considering capital projects) is development of a capital invest¬ -ment program—a timetable indicating various projects to be undertaken, schedules for -their completion, and methods of financing. A capital investment plan is usually writ¬ +nearly all governments considering capital projects) is development of a capital investďż˝ +ment programďż˝a timetable indicating various projects to be undertaken, schedules for +their completion, and methods of financing. A capital investment plan is usually writďż˝ ten to cover a three- to five-year period and is moved forward each year. The state of Georgia, for example, has a capital budget that is mainly a gathering of capital outlays by agency and project category as these have been requested by the various agencies in -their submissions to the budget office. For each category, the financing source is identi¬ +their submissions to the budget office. For each category, the financing source is identiďż˝ fied (Thomassen, 1990, p. 73). @@ -10533,18 +9710,18 @@ Debt Management One part of the capital budgeting process is careful consideration of the source of funding. Some jurisdictions try to operate on a pay-as-you-go basis, paying in full for all projects -during the fiscal year in which they are authorized. (One variation of this idea is the accu¬ -mulation of money in a sinking fund, which is then used to pay for the needed improve¬ +during the fiscal year in which they are authorized. (One variation of this idea is the accuďż˝ +mulation of money in a sinking fund, which is then used to pay for the needed improveďż˝ ment.) Other jurisdictions may be willing to borrow money for a project, either because waiting to accumulate funds would simply take too long or because, philosophically, it is felt that the costs as well as the benefits of the project should be spread over a period of -years—a pay-as-you-use approach. +yearsďż˝a pay-as-you-use approach. Borrowing is often used to finance capital improvement projects; but borrowing may be employed to meet a variety of other needs as well. In some cases, anticipated revenues -will simply not be available at the time spending is necessary. To solve the resulting cash¬ +will simply not be available at the time spending is necessary. To solve the resulting cashďż˝ flow problem, governments undertake short-term borrowing. (In more questionable -cases, money is borrowed from future years’ revenues to pay operating expenses within +cases, money is borrowed from future yearsďż˝ revenues to pay operating expenses within the current year. Such a practice was partly responsible for the financial crisis in New York City in the mid-1970s.) Borrowing is also used for emergency needs; for example, a natural disaster, such as fire or flood, might require funds far beyond the capacity of @@ -10552,20 +9729,20 @@ the annual budget. Especially when such spending will be used to reconstruct fac that will have long-term benefits, borrowing may well be justified. Finally, at least at the federal level, borrowing is sometimes justified as a way of stimulating the economy. -Governments may undertake various types of borrowing; however, the primary mecha¬ -nism for financing government debt is the issuance of a bond—that is, a promise to repay +Governments may undertake various types of borrowing; however, the primary mechaďż˝ +nism for financing government debt is the issuance of a bondďż˝that is, a promise to repay a certain amount (the principal) at a certain time (maturity date) at a particular rate of interest. One of the most common bonds is the general obligation bond, which pledges -the full faith and credit of the jurisdiction—in other words, the government provides as +the full faith and credit of the jurisdictionďż˝in other words, the government provides as security all its revenues and resources. In contrast, revenue bonds promise as security the anticipated revenues that a capital project will produce. Revenue bonds might be issued based on the future toll receipts of a new highway or on the gross receipts of a new municipal sports complex. Both from the standpoint of a jurisdiction, and from the standpoint of potential -investors who might purchase the bonds, it is helpful to know something about the juris¬ -diction’s debt capacity — if a city, the value of the city’s resources combined with the -ability of the city government to draw on the city’s resources to provide payment. As a +investors who might purchase the bonds, it is helpful to know something about the jurisďż˝ +dictionďż˝s debt capacity ďż˝ if a city, the value of the cityďż˝s resources combined with the +ability of the city government to draw on the cityďż˝s resources to provide payment. As a service to investors, several firms provide bond ratings for cities and other jurisdictions. @@ -10573,7 +9750,7 @@ service to investors, several firms provide bond ratings for cities and other ju 188 Chapters Budgeting and Financial Management The ratings are also important to the jurisdiction, because a lower rating means higher -costs of borrowing for the government. Standard and Poor’s reference guides rate bonds +costs of borrowing for the government. Standard and Poorďż˝s reference guides rate bonds in descending quality from AAA to AA to A to BBB to BB, and so on. Cities or other government units that carry high ratings will be more successful than others in selling their bonds. @@ -10590,14 +9767,14 @@ BOX 5.4 How to Limit Losses Due to Accidents or Injuries -In the local government workplace every accident, claim or incident may involve unin¬ -sured or underinsured losses and/or deductibles that can become costly for municipali¬ +In the local government workplace every accident, claim or incident may involve uninďż˝ +sured or underinsured losses and/or deductibles that can become costly for municipaliďż˝ ties. Although such situations may be virtually unavoidable in the long run, loss control planning can limit their negative consequences. The costs of accidents can be viewed as the various disruptions of the normal work procedures that occur when the accidents take place. City or county property may be -damaged and contractors may need to be hired—not a welcome expense in times of +damaged and contractors may need to be hiredďż˝not a welcome expense in times of tight municipal budgets. Accidents can result in downtime, extra administrative time, retraining of existing workers and training of replacement workers. Downtime can mean delayed completion of work. @@ -10608,15 +9785,15 @@ can help to reduce these costs. A qualified loss control professional can provid surveys of local government facilities. He or she can help implement a methodical approach to self inspection, training, and loss prevention. -Developing a safety plan is perhaps the most important component of a methodi¬ -cal approach to loss control. For the plan to be effective, top officials must be com¬ +Developing a safety plan is perhaps the most important component of a methodiďż˝ +cal approach to loss control. For the plan to be effective, top officials must be comďż˝ mitted to it, and someone must be given the responsibility, authority, and budget for -seeing the plan through. Carrying out an accident analysis is the first step in develop¬ +seeing the plan through. Carrying out an accident analysis is the first step in developďż˝ ing a successful safety plan. Staff members in charge of the analysis should review -and categorize the local government’s past accident cases and identify the causes of +and categorize the local governmentďż˝s past accident cases and identify the causes of each case, as well as the patterns and related factors among the different cases. -The next step, communication and training, involves sharing the information com¬ +The next step, communication and training, involves sharing the information comďż˝ piled through the accident analysis with those who might be affected by similar accidents in the future. The training element of this step can take the form of five- or ten-minute safety talks or more formal training. Department leaders can also supplement the safety @@ -10633,16 +9810,16 @@ to heed these precautions through formal directives and work rules, as well as t contests and incentives. Supervisors play a critical role in successful safety programs. Thus, training for -supervisors is an excellent idea, since they need to understand the goals of manage¬ +supervisors is an excellent idea, since they need to understand the goals of manageďż˝ ment concerning safety, buy into those goals, and be equipped to work with their employees toward the objectives. Supervisors are responsible for field implementation of the safety plan and directives. Supervisors should thus be held accountable for the safety performance of their departments or agencies, just as they are held accountable -for their department’s general performance. +for their departmentďż˝s general performance. The next step, inspection, is necessary to ensure compliance with injury control measures, as well as to follow up on the findings of the accident analysis. In areas -where physical conditions can be altered to prevent reoccurrence of historical prob¬ +where physical conditions can be altered to prevent reoccurrence of historical probďż˝ lems, the city or county should issue work orders to solve the problems. If a machine contributed to a past accident, all similar machines should be inspected and altered accordingly. @@ -10651,7 +9828,7 @@ Insurance costs and uninsured costs are too high for local governments to ignore Controlling these costs means looking methodically at past problems and striving to make sure they do not reappear. -SOURCE: Salzman, Scott, “Cutting Your Losses in the Workplace,” American City & County, 112 +SOURCE: Salzman, Scott, ďż˝Cutting Your Losses in the Workplace,ďż˝ American City & County, 112 (June 1997): 6. Reprinted with permission, American City & Country. Risk Management @@ -10660,13 +9837,13 @@ Public organizations are subject to a variety of risks that can prove extremely A few years ago, for example, an individual who was driving through a particular city lost control of his car, which bounced off a guardrail into a ditch. The driver suffered serious injuries, then sued the city for several million dollars, arguing that the guardrail -had been improperly placed. Similarly, a city employee, with no previous health prob¬ +had been improperly placed. Similarly, a city employee, with no previous health probďż˝ lems, began to suffer back pains on the job. After several operations, high medical bills, and physical therapy, he was given disability retirement at age twenty-six (Lynch, 1985, p. 316). Another city was sued by residents who lived near the municipal airport, because the noise of aircraft landing and taking off supposedly lessened the value of their property. Over the years, cases such as these involving civil damages, breach of contract, -workers’ compensation, and related legal problems have cost cities, states, and other +workersďż˝ compensation, and related legal problems have cost cities, states, and other jurisdictions millions of dollars. Risk management concerns how public organizations anticipate and cope with these @@ -10677,20 +9854,20 @@ attempt to reduce the probability of losses occurring. Risk reduction programs m 190 Chapter 5 Budgeting and Financial Management -include improved work safety, periodic inspections‘of physical'property owned by the +include improved work safety, periodic inspectionsďż˝of physical'property owned by the city, and employee health programs. But whatever the success of risk reduction efforts, losses do occur. The government has a variety of options for meeting losses, including payment from operating funds or financial reserves, levying special taxes to cover the loss, or even floating bonds. -In anticipation of losses, however, many public organizations often purchase insur¬ -ance from private firms. In recent years, this option has become more difficult, as insur¬ +In anticipation of losses, however, many public organizations often purchase insurďż˝ +ance from private firms. In recent years, this option has become more difficult, as insurďż˝ ance rates for governments and other public organizations have risen dramatically and put many traditional forms of insurance beyond reach. (The difficulty of purchasing insurance has also led some jurisdictions to eliminate uninsured services such as some recreation programs.) Another possibility, however, is self-insurance, the development of an insurance pool by the jurisdiction itself. After all, many governments are larger than -insurance companies, so such an undertaking is not only financially feasible, but pro¬ +insurance companies, so such an undertaking is not only financially feasible, but proďż˝ vides some administrative control and flexibility that is not present when private firms are used. An increasingly popular means of self-insurance involves pooling risks in a shared program operated by several municipalities. @@ -10709,20 +9886,20 @@ purchasing must also take into account social and political goals. Governments have often found that centralizing purchasing in one agency, rather than having each agency buy what it needs, results in considerable savings. For one thing, a central purchasing unit can buy in sufficient volume to get better prices; for another, -those in the purchasing unit can develop expertise with respect to pricing, business con¬ -ditions, and market practices. Finally, experts in purchasing are likely to be more suc¬ +those in the purchasing unit can develop expertise with respect to pricing, business conďż˝ +ditions, and market practices. Finally, experts in purchasing are likely to be more sucďż˝ cessful in the negotiating process. Although individual agencies occasionally complain -that their specific needs are not met by the purchasing unit, most state and local jurisdic¬ +that their specific needs are not met by the purchasing unit, most state and local jurisdicďż˝ tions use centralized purchasing operations. -In most cases, a purchasing unit circulates and advertises the government’s needs and +In most cases, a purchasing unit circulates and advertises the governmentďż˝s needs and solicits bids for the required goods and services. The resulting bids are evaluated in terms of cost, and the lowest bid is usually, though not automatically, chosen. Consideration is also given to the quality of the product and to the ability of the firm to actually deliver the goods or services in a timely fashion. In addition, purchasers are often required to give special preference to certain groups, such as minority-owned firms or in-state companies. Several -jurisdictions often join together to cooperate in purchasing activities. In some instances, sev¬ -eral local governments may form a common purchasing unit; in other cases, prices negoti¬ +jurisdictions often join together to cooperate in purchasing activities. In some instances, sevďż˝ +eral local governments may form a common purchasing unit; in other cases, prices negotiďż˝ ated by the state purchasing office are available to local governments as well. @@ -10731,25 +9908,25 @@ Accounting and Computer-Based Information Systems ipi Accounting and Computer-Based Information Systems -Keeping track of the revenues and expenditures of government and other public organi¬ +Keeping track of the revenues and expenditures of government and other public organiďż˝ zations is an enormously complex task. Not only are there billions of dollars to record and report, but the presentation of financial information must serve several purposes at -once. Certainly financial data should be developed and reported in such a way that pub¬ +once. Certainly financial data should be developed and reported in such a way that pubďż˝ lic officials can be held accountable for the use of public funds, but at the same time, the accounting and reporting system should provide managers with information they can use to operate their organizations more efficiently and effectively. This dual requirement -means that financial information should correlate closely with other managerially rele¬ +means that financial information should correlate closely with other managerially releďż˝ vant material, such as personnel data or productivity measures. Government Accounting -Accounting, whether in the public or private sector, is simply “the process of identifying, +Accounting, whether in the public or private sector, is simply ďż˝the process of identifying, measuring, and communicating economic information to permit informed judgment and -decision making by users of the information” (Berne & Schramm, 1986, p. 12). But +decision making by users of the informationďż˝ (Berne & Schramm, 1986, p. 12). But because the purposes of public organizations differ from those of private organizations, accounting practices also differ. Those in public organizations, for example, are generally not concerned with making a profit; rather, they tend to focus on achieving a balance -between revenues and expenditures—what comes in and what goes out. There are some +between revenues and expendituresďż˝what comes in and what goes out. There are some exceptions, such as public corporations, hospitals, and water companies, which are somewhat more like profit-seeking groups; however, in nearly all public organizations, accountability is more important than profit maximization. @@ -10758,19 +9935,19 @@ Governmental accounting systems reflect these different purposes. The cornerston accounting in the public sector is the allocation of resources to various funds, each of which is designed to record transactions within a particular functional area and assure that funds are used in accord with the purposes sought. (Such use of funds is uncommon in the -private sector.) The various funds typically reflect policy makers’ intent in authorizing cer¬ +private sector.) The various funds typically reflect policy makersďż˝ intent in authorizing cerďż˝ tain activities and appropriating funds for them. The legislature may decide, for example, that certain gasoline taxes should be used exclusively for highway maintenance, in which case a separate fund might be created to keep track of money produced by the tax and spent for highways. In all cases, a primary concern is that the accounting system show -whether the organization’s activities have been consistent with the purposes for which it +whether the organizationďż˝s activities have been consistent with the purposes for which it was created. There are several broad types of funds that are used in public organizations. -1. General funds are used to account for most of the ordinary or routine functions of gov¬ -ernment. Most important among the general government funds is what is called the gen¬ -eral fund, which handles the “unrestricted” funds of government, those not restricted to +1. General funds are used to account for most of the ordinary or routine functions of govďż˝ +ernment. Most important among the general government funds is what is called the genďż˝ +eral fund, which handles the ďż˝unrestrictedďż˝ funds of government, those not restricted to specific purposes (and typically allocated to other funds). The general fund is the dominant -fund in most jurisdictions, and handles most of the government’s operational activities. +fund in most jurisdictions, and handles most of the governmentďż˝s operational activities. Related general government funds might include those that account for special revenues, such as a dedicated gasoline tax, or those that monitor expenditures for capital projects. @@ -10790,10 +9967,10 @@ to another organization (e.g., property taxes that a county collects for a city) Schramm, 1986, pp. 14-15). Within each fund there is an accounting of the resources available and the flow of funds -in and out of the account. On the one hand, there are assets—what the government owns; -on the other hand, there are liabilities—what the government owes. Assets include items +in and out of the account. On the one hand, there are assetsďż˝what the government owns; +on the other hand, there are liabilitiesďż˝what the government owes. Assets include items such as cash, capital facilities, equipment, and money owed to the government; liabilities -include items such as bills that the government has yet to pay. When the organization’s +include items such as bills that the government has yet to pay. When the organizationďż˝s liabilities are subtracted from its assets, the remainder is called a fund balance (and may be expressed either in positive or negative terms). An organization with $2,525,000 in assets and $2,300,000 in liabilities has a fund balance of $225,000. Note that a fund balance @@ -10803,7 +9980,7 @@ the viability of the operation monitored by the fund and is one of many items co financial reports issued by governments and other public organizations. Both accounting practices and financial reporting are guided by standards referred to -as “generally accepted accounting practices.” The Governmental Accounting Standards +as ďż˝generally accepted accounting practices.ďż˝ The Governmental Accounting Standards Board (GASB) was established in 1984 to develop standards for accounting and financial reporting at the state and local levels. In its work, the GASB has been especially attentive to multiple users of public financial information, including citizens, taxpayers, legislative @@ -10814,14 +9991,14 @@ must serve multiple purposes, including accountability within a democratic syste Computer-Based Information Systems The emergence and widespread use of computers in tracking financial data as well as other -program-relevant information has led to what one writer has called a “quiet revolution” in +program-relevant information has led to what one writer has called a ďż˝quiet revolutionďż˝ in the analysis and use of information in public organizations. Not only do computers make -easier the accumulation and manipulation of vast amounts of data, they also greatly facili¬ +easier the accumulation and manipulation of vast amounts of data, they also greatly faciliďż˝ tate analysis of that data in terms that are meaningful to decision makers at all levels. Computers have also increased the probability that information can be provided when it is needed, not weeks later. Consequently, a great deal of attention is being given to design and implementation of computer-based information systems in the public sector and to the -political and organizational implications of such changes. Applications in the area of finan¬ +political and organizational implications of such changes. Applications in the area of finanďż˝ cial management have often led the way in these efforts. @@ -10837,46 +10014,46 @@ for salary increases based on length of service in the agency (McGowan & Lombard 1986, p. 581). Decision support systems, on the other hand, are interactive systems that can assist in -the solution of unstructured or nonroutine problems. These systems can range in capabili¬ +the solution of unstructured or nonroutine problems. These systems can range in capabiliďż˝ ties from one that allows the manager to manipulate data within the system to produce a specific analysis for a particular decision to one that provides optimization models to use in analyzing a particular policy recommendation. Although most public organizations are -developing management information systems of various sorts, the development of deci¬ -sion support systems remains somewhat behind, though we can expect increasing atten¬ +developing management information systems of various sorts, the development of deciďż˝ +sion support systems remains somewhat behind, though we can expect increasing attenďż˝ tion to this area in the future. Applications of computer-based information systems are as wide-ranging as the work of public organizations; however, most organizations are quickly becoming familiar with -the use of spreadsheets and statistical packages for budget analysis, financial manage¬ +the use of spreadsheets and statistical packages for budget analysis, financial manageďż˝ ment packages for revenue and expenditure forecasting, and accounting packages for -fund accounting and analysis. But far more extensive applications of information tech¬ -nology have been developed in government agencies. A recent survey indicates that fed¬ +fund accounting and analysis. But far more extensive applications of information techďż˝ +nology have been developed in government agencies. A recent survey indicates that fedďż˝ eral agencies vary considerably in use of computer-based information systems, but in the area of financial management, some agencies have developed quite sophisticated systems. The State Department, for example, has developed and implemented a comprehensive -system designed to operate in the department’s financial management centers around the +system designed to operate in the departmentďż˝s financial management centers around the world. Other federal agencies have yet to develop agencywide financial management information systems, though all seem to be moving in that direction. In the meantime, all agencies report extensive and varied applications of information technology throughout their organizations. At the state and local levels, one of the most interesting developments in information -technology has been the design and implementation of information systems integrating bud¬ +technology has been the design and implementation of information systems integrating budďż˝ geting, personnel, performance reporting, and auditing. Several states have begun this process of integration, including Michigan, Oregon, Texas, Wyoming, and Washington. Yet efforts of this nature reflect an overall shift on the part of states toward more sophisticated -systems of accounting. State governments over the past decade have used information tech¬ +systems of accounting. State governments over the past decade have used information techďż˝ nology to enhance their capacity to generate more detailed financial and productivity data, -thus allowing for extensive analyses at a programmatic level and a linkage between expen¬ +thus allowing for extensive analyses at a programmatic level and a linkage between expenďż˝ ditures and actual performance. To the extent that budgetary and performance data are made available to the chief -executive and other top managers on a timely basis, more effective management deci¬ +executive and other top managers on a timely basis, more effective management deciďż˝ sions may be possible. In addition, freeing budget analysts from the more mundane aspects of budgetary procedures should allow more attention to planning and analysis. -Similar developments have occurred at the local level, especially as the cost and avail¬ -ability of computer technology has made the adoption of information systems more wide¬ +Similar developments have occurred at the local level, especially as the cost and availďż˝ +ability of computer technology has made the adoption of information systems more wideďż˝ spread. The city of Baltimore, Maryland, for example has implemented a comprehensive @@ -10885,20 +10062,20 @@ spread. The city of Baltimore, Maryland, for example has implemented a comprehen accounting and performance measurement system, called Citistat, to track (in real-time) the productivity and fiscal efficiency of city departments. In a room lined with large -projection screens and computer terminals, Baltimore’s Mayor Martin O’Malley meets -weekly with top aides and department heads to hear the latest reports on the city’s service -delivery. If a department’s numbers lag behind its performance targets, the manager -must account to his or her peers for the difference. “If we only looked at performance -every year at budget time, I’d be old and gray before anything would change. Citistat -brings the sense of urgency we need around here,” said O’Malley (cited in Swope, 2001, +projection screens and computer terminals, Baltimoreďż˝s Mayor Martin Oďż˝Malley meets +weekly with top aides and department heads to hear the latest reports on the cityďż˝s service +delivery. If a departmentďż˝s numbers lag behind its performance targets, the manager +must account to his or her peers for the difference. ďż˝If we only looked at performance +every year at budget time, Iďż˝d be old and gray before anything would change. Citistat +brings the sense of urgency we need around here,ďż˝ said Oďż˝Malley (cited in Swope, 2001, p. 20). Thus far, the information system has contributed to significant improvements in public safety and public health, as well as opened new doors for collaboration between city departments. Whether Citistat or similar IT initiatives will have the across-the-board improvements for public organizations remains to be seen. Some argue that change of this nature -requires far more than increased capacity to handle information. Moreover, the imple¬ -mentation of these types of systems may have negative consequences on the organiza¬ +requires far more than increased capacity to handle information. Moreover, the impleďż˝ +mentation of these types of systems may have negative consequences on the organizaďż˝ tional culture and relationships within affected agencies. Groups that are at odds with one another, for example, may have to adjust to new patterns of communications and cooperation. @@ -10912,13 +10089,13 @@ and, ultimately, to the people. The centrality of the budget to any organization can hardly be underestimated; if you want to know what is going on in an organization, look at where the money is going. -Establishing budget processes that reflect the organization’s priorities, while securing +Establishing budget processes that reflect the organizationďż˝s priorities, while securing appropriate levels of involvement from all those who will want to affect the budget, is thus -extremely important. Finding ways to present budgetary information clearly and compre¬ +extremely important. Finding ways to present budgetary information clearly and compreďż˝ hensibly is a great aid to decision makers and to the public. Finally, developing mechanisms -to assure that the public’s money is being spent both efficiently and responsibly is essential. -You will find that knowing the technical side of the budget process — being able to follow -the budget process and clearly understanding preparation, administration, and review— +to assure that the publicďż˝s money is being spent both efficiently and responsibly is essential. +You will find that knowing the technical side of the budget process ďż˝ being able to follow +the budget process and clearly understanding preparation, administration, and reviewďż˝ will be extremely helpful as you try to influence the operations of your organization. If you work in a central budget office, you will find that the period during which @@ -10938,10 +10115,10 @@ integrated with a process for long-range planning. Federal agencies are asked to certain projections for the two-year period following the year for which the budget is being prepared, thus adding an element of long-range planning to the process. -Budgets and financial management systems are important tools for planning, prioritiz¬ +Budgets and financial management systems are important tools for planning, prioritizďż˝ ing, and operating public programs, as well as important mechanisms for accountability and control. Public access to budgets and financial statements allows citizens to see how -their interests are reflected in the actual conduct of government. Budgets and other finan¬ +their interests are reflected in the actual conduct of government. Budgets and other finanďż˝ cial documents that clearly show what is happening in an agency are a necessary part of operating in the public interest. @@ -10978,7 +10155,7 @@ schedules for their completion, and methods of financing. Continuing resolution: Resolution permitting the government to continue operating until an appropriations measure is passed. -Debt capacity: Value of a city’s resources combined with the ability of the government +Debt capacity: Value of a cityďż˝s resources combined with the ability of the government to draw on them to provide payment. Deferral: Decision by the president to withhold expenditure of funds for a brief @@ -11002,9 +10179,9 @@ when government holds resources to be transmitted to another organization. Fiscal policy: Public policy concerned with the impact of government taxation and spending on the economy. -Fiscal year (FY): Government’s basic accounting period. +Fiscal year (FY): Governmentďż˝s basic accounting period. -General fund: Fund that handles the “unrestricted” funds of government. +General fund: Fund that handles the ďż˝unrestrictedďż˝ funds of government. Gross National Product (GNP): Measure of total spending in the economy; includes total personal consumption, private investment, and government purchases. @@ -11053,7 +10230,7 @@ Rescission: Decision by chief executive to permanently withhold funds. Risk management: Ways that public organizations anticipate and cope with risks. Supplemental appropriation: Bill passed during the fiscal year adding new money to -an agency’s budget for the same fiscal year. +an agencyďż˝s budget for the same fiscal year. Zero-base budgeting: Budget format that presents information about the efficiency and effectiveness of existing programs and highlights possibilities for eliminating or @@ -11066,7 +10243,7 @@ Study Questions types of taxes that governments use. 3. How does the government spend the money it collects? -4. The budget cycle consists of four major phases. Discuss government’s role in the budget +4. The budget cycle consists of four major phases. Discuss governmentďż˝s role in the budget cycle and the components of each phase. 5. Allen Schick suggests three different purposes of the budget. Identify and define these @@ -11093,17 +10270,17 @@ fluctuations. Assume that you are director of Motor Vehicle Registration for your state. Your agency, with offices scattered all across the state, is responsible for registration and licensing of cars, trucks, and other vehicles. About six months into the fiscal year, the -governor announces that all state agencies will have to finish the fiscal year with expen¬ +governor announces that all state agencies will have to finish the fiscal year with expenďż˝ ditures 5 percent less than originally budgeted. You have already spent half your yearly allocation, so the reduction means you actually have to cut spending by 10 percent over -the next six months. How would you go about complying with the governor’s order? +the next six months. How would you go about complying with the governorďż˝s order? 198 Chapter 5 Budgeting and Financial Management -2. On December 1, 1988, Larry Rice, the City Ma-nager of Lakewood, Colorado, sub¬ -mitted the 1989 budget to the mayor and city council of Lakewood. Part of that bud¬ +2. On December 1, 1988, Larry Rice, the City Ma-nager of Lakewood, Colorado, subďż˝ +mitted the 1989 budget to the mayor and city council of Lakewood. Part of that budďż˝ get dealing with activities in the public works area is shown in Figure 5.4. A public works summary page shows the 1987 actual, 1988 budgeted and estimated, and 1989 proposed expenditures, first by program, then by category of expenditure, then by @@ -11128,7 +10305,7 @@ Capital Improvements: Street Construction 3,085,010 4,580,205 2,898,500 505,000 Fleet Management (1,093,554) (1,169,483) (1,140,596) (1,149,398) -Water Utility 400,086 — 558,154 500,333 +Water Utility 400,086 ďż˝ 558,154 500,333 Sewer Utility 1,385,950 2,852,892 2,165,168 2,731,163 TOTAL $ 14,524,433 $ 17,493,714 $ 15,333,613 $ 13,063,441 @@ -11148,11 +10325,11 @@ ACTUAL BUDGET ESTIMATED BUDGET General $ 6,141,818 $ 6,325,775 $ 6,160,866 $ 6,323,561 Capital Improvement Fund 4,173,076 4,654,592 4,743,738 3,508,384 -Grant Capital Fund 845,269 — 390,000 _ +Grant Capital Fund 845,269 ďż˝ 390,000 _ Central Garage Revolving (1,093,554) (1,169,483) (1,140,596) (1,149,398) -Street Bond 1,578,234 — 1,315,687 _ +Street Bond 1,578,234 ďż˝ 1,315,687 _ Nonrevenue Intergovernmental -Resource — 3,660,455 _ _ +Resource ďż˝ 3,660,455 _ _ Water and Sewer Funds 1,786,036 2,852,892 2,723,322 3,231,496 TOTAL $ 14,524,433 $ 17,493,714 $ 15,333,613 $ 13,063,441 @@ -11196,7 +10373,7 @@ CURRENT SERVICE EVALUATION: 3. Met. Plowing starts at 2". Priority 1 and 2 streets are cleared within 48 hours after the end of a storm. -4. Not met. Non-priority residential streets are currently not plowed except in storms of over 18“-24''. +4. Not met. Non-priority residential streets are currently not plowed except in storms of over 18ďż˝-24''. 5. Met. @@ -11223,7 +10400,7 @@ FIGURE 5.4 continued Following the summary page, there are two pages detailing public works activities in the area of snow and ice removal (line 9 of the summary page). Information is provided about performance standards, current services, and program objectives. Although -the 1989 budget assumes a relatively flat revenue projection, several new budget initia¬ +the 1989 budget assumes a relatively flat revenue projection, several new budget initiaďż˝ tives are included, one of which is removal of snow from all residential streets when snow depth reaches six inches. (Note the increase in start-up and annual costs this item involves.) @@ -11242,7 +10419,7 @@ ACTUAL ESTIMATED BUDGET PERSONNEL $ 133,491 $ 119,727 $ 136,709 SUPPLIES 103,970 50,298 52,298 SERVICES 153,904 113,297 167,310 -CAPITAL OUTLAY 26J3S3 — 53.500 +CAPITAL OUTLAY 26J3S3 ďż˝ 53.500 TOTAL $ 417,428 $ 283,322 $ 409,817 @@ -11263,7 +10440,7 @@ Maintenance Worker II .80 .70 .70 TOTAL 4.15 3.75 3.85 -Part Time — — 3,652 hr. +Part Time ďż˝ ďż˝ 3,652 hr. GENERAL COMMENTS: @@ -11277,17 +10454,17 @@ FIGURE 5.4 continued Analyze these budget pages from the perspective of (1) a city council member who will have to make decisions about which city services to fund; (2) the public works -department director who wants to improve services to the community; and (3) an aver¬ -age citizen interested in seeing whether the city’s tax dollars are being put to good use. +department director who wants to improve services to the community; and (3) an averďż˝ +age citizen interested in seeing whether the cityďż˝s tax dollars are being put to good use. For the purposes of each viewpoint, how complete and clear is the information? Does -the budget tell you what you want to know in order to act? Does it present a convinc¬ +the budget tell you what you want to know in order to act? Does it present a convincďż˝ ing case for the initiative it contains? How might the budget presentation be improved? 3. Consider the following case: -You are Mike Smith, chief procurement officer for a major university. Work gener¬ +You are Mike Smith, chief procurement officer for a major university. Work generďż˝ ated by your staff of twenty procurement specialists includes writing proposals to -vendors and evaluating the vendors’ bids. To write those bids, the procurement spe¬ +vendors and evaluating the vendorsďż˝ bids. To write those bids, the procurement speďż˝ cialist works with someone from the university agency who is knowledgeable about the project. Tom Drake, a procurement specialist, is currently working with Kathy @@ -11296,10 +10473,10 @@ the project. Tom Drake, a procurement specialist, is currently working with Kath Cases and Exercises zoi Kline of the Communications Department to develop a bid proposal to purchase a -new campuswide telephone system that includes a quick-dial feature. The university’s +new campuswide telephone system that includes a quick-dial feature. The universityďż˝s current telephone system was installed fifteen years ago by Regional Telephone, and over the last few years Regional and one other vendor have sold add-on equipment -to five of the university’s fifteen departments. This add-on equipment is expensive +to five of the universityďż˝s fifteen departments. This add-on equipment is expensive and represents a major investment to the five departments, one of which is the Communications Department. Departments that have the quick-dial equipment are pleased with the results; departments that do not have quick-dial cannot afford it @@ -11311,26 +10488,26 @@ must be capable of using the existing quick-dial equipment. Tom tells you that i the case, only Regional and two or three other vendors would be able to bid on the system. Six other vendors with their own quick-dial equipment would not be able to respond to the bid. Tom explains that in some cases, a whole new system was less -expensive than hooking up one of Regional’s systems to existing quick-dial equipment. +expensive than hooking up one of Regionalďż˝s systems to existing quick-dial equipment. Tom also tells you he has heard that several staff members from the Communications Department have threatened to quit if the bid goes to a company other than Regional. After fifteen years, they feel Regional is the best and only qualified vendor. Tom wants -to know how he should proceed to satisfy both the university’s needs and the vendors’ +to know how he should proceed to satisfy both the universityďż˝s needs and the vendorsďż˝ rights to a fair bidding process. SOURCE: The preceding case was provided by Bill Carney. -a. How should Tom proceed to ensure that all bidders have an equal chance to partici¬ +a. How should Tom proceed to ensure that all bidders have an equal chance to particiďż˝ pate in the bid process? b. How can the procurement office avoid the practice of vendors helping buyers to write a bid proposal? -c. What about Tom’s responsibility to taxpayers? (Several thousands of dollars would be +c. What about Tomďż˝s responsibility to taxpayers? (Several thousands of dollars would be wasted if the quick-dial equipment already purchased was scrapped.) 4. The following is an exercise in zero-base budgeting: -As superintendent of the Highway Patrol, you have been advised by your depart¬ +As superintendent of the Highway Patrol, you have been advised by your departďż˝ ment head that only $13,950,000 will be available the next fiscal year for expenditure by the Highway Patrol. You have four decision units that could each achieve several @@ -11338,11 +10515,11 @@ performance levels with different funding levels. Rank your decision packages in order of decreasing benefit. 5. The following simulation reenacts a series of budget discussions held at the -University of Southern Anonymous (USA) during a time of significant budget reduc¬ +University of Southern Anonymous (USA) during a time of significant budget reducďż˝ tions. To conduct the simulation, divide the class into five groups, each of which will represent one character in the simulation. All students in the class should read the following general description of the situation facing USA. Then members of each -group should read only the character description assigned to their group. (It is im¬ +group should read only the character description assigned to their group. (It is imďż˝ portant that you read only the description assigned to you.) The role descriptions of the following characters can be found after the general description of the situation in the following pages. @@ -11395,8 +10572,8 @@ After everyone has had a chance to read the general description of the situation and the specific information pertaining to their character, each character group should meet separately for fifteen to twenty minutes. During this period, the group should (1) select a representative to play the character at a meeting to be held in Vice -President Cooper’s office, and (2) develop detailed strategies and information for that -person to use in representing your group’s interests in the meeting. +President Cooperďż˝s office, and (2) develop detailed strategies and information for that +person to use in representing your groupďż˝s interests in the meeting. Following the individual group meetings, the five individuals selected to play the five characters should meet around a table near the middle of the room. Vice President @@ -11409,47 +10586,47 @@ remain quiet during this part of the simulation. During the course of the meetin Cases and Exercises 203 member may request a recess to consult with his or her group (for no longer than five -minutes). When the meeting in Vice President Cooper’s office reconvenes, the person +minutes). When the meeting in Vice President Cooperďż˝s office reconvenes, the person who called the recess will have the floor. The meeting should continue until a consensus is reached concerning the reductions or until Vice President Cooper feels the meeting is stalled and he or she will have to make a decision independently. Enjoy the discussion! General Description of the Situation -The University of Southern Anonymous (USA) has been informed by the state administra¬ -tion that its budget for the current year will be reduced by several million dollars. The presi¬ +The University of Southern Anonymous (USA) has been informed by the state administraďż˝ +tion that its budget for the current year will be reduced by several million dollars. The presiďż˝ dent of the University, I. M. Fearless, has informed Vice President for Academic Affairs Cooper that the various colleges in the university will be required to reduce their budgets by an average of 8 percent. In turn, Vice President Cooper has chosen not to implement across- the-board cuts of 8 percent for all colleges, but has discussed different target percentage -reductions with each of the deans of the four colleges—Liberal Arts, Science, Education, +reductions with each of the deans of the four collegesďż˝Liberal Arts, Science, Education, and Business. In response to a request from several of the deans, Vice President Cooper has called a meeting of the four deans to get their reactions to his targeted amounts for each college and to find out how each college plans to implement the required reduction. -By way of background, USA is a medium-sized Midwestern university with the mis¬ +By way of background, USA is a medium-sized Midwestern university with the misďż˝ sion of providing students with a broad-based liberal arts education as well as limited graduate programs, primarily in business and education. The school serves a regional constituency in the southern part of the state, though it draws students from around the -country, many of whom first heard of USA because of its reputation as a leader in inter¬ -collegiate billiards. (In fact, some cynics refer to USA as “Cue U.”) +country, many of whom first heard of USA because of its reputation as a leader in interďż˝ +collegiate billiards. (In fact, some cynics refer to USA as ďż˝Cue U.ďż˝) Though the university has traditionally enjoyed a good relationship with the governor -and members of the legislature, President Fearless has antagonized many in the state cap¬ +and members of the legislature, President Fearless has antagonized many in the state capďż˝ ital with his rough and abrasive manner. Similarly, many on campus see the president as bringing the university the same administrative style he employed as a colonel in the Marine Corps. Despite these difficulties, most academic programs at the university are considered sound, with some exceptions. Similarly, many feel some programs are not -suited to the mission of a regional Midwestern university, notably the school’s long¬ -standing program in oceanography, which some feel is out of place because the univer¬ +suited to the mission of a regional Midwestern university, notably the schoolďż˝s longďż˝ +standing program in oceanography, which some feel is out of place because the univerďż˝ sity is seven hundred miles from the nearest ocean. Character Descriptions Vice President Cooper -In your five years as vice president at USA, you have never faced such a difficult situa¬ -tion. You recognize that the university’s president is in some political trouble and may be +In your five years as vice president at USA, you have never faced such a difficult situaďż˝ +tion. You recognize that the universityďż˝s president is in some political trouble and may be asked to resign soon. As a ploy to reduce the heat on his office, he has passed on the largest part of the budgetary reductions to you. If you can come through this situation in good shape, you will receive considerable notoriety and be a likely candidate for the @@ -11459,13 +10636,13 @@ good shape, you will receive considerable notoriety and be a likely candidate fo 204 Chapter 5 Budgeting and Financial Management presidency should the president be forced to resign; You will, however, need to be sure -that you maintain the support of all the deans of the colleges, for their support is essen¬ +that you maintain the support of all the deans of the colleges, for their support is essenďż˝ tial for your promotion. On the other hand, a major disruption at the university, in which you might lose support of the deans, would end any chances of your attaining your ambition. In fact, you might be fired along with the president! Given the instructions from the president, there seems to be little you can do other than -to assign reductions to the colleges. After reviewing the various programs within the col¬ +to assign reductions to the colleges. After reviewing the various programs within the colďż˝ leges, however, you have decided that across-the-board cuts would be inappropriate and that some colleges could indeed stand to be cut more than others. You have, therefore, assigned differential reductions to each college, with Education receiving the greatest @@ -11476,7 +10653,7 @@ ratios), the nature of the programs, and their suitability to the mission of you The total reductions you have assigned to the deans exceeds the total the president has required you to complete. Your reasons for this strategy are twofold: (1) if any of the -deans complain too loudly, you can fall back to the figure you actually need as a com¬ +deans complain too loudly, you can fall back to the figure you actually need as a comďż˝ promise, and (2) if you persuade all the deans to accept the assigned reduction, then you will have some money available for internal reallocations, which you would like to achieve anyway. @@ -11494,19 +10671,19 @@ public administration program. Dean Berryderry -College of Liberal Arts (target reduction—10 percent). You approach the meeting with +College of Liberal Arts (target reductionďż˝10 percent). You approach the meeting with the vice president with some trepidation, for you realize that your college is likely to be high on the list of cuts. You would prefer across-the-board cuts that would not place a -special burden on your college. Several of your programs, however, are of minimal qual¬ -ity and simply have not been attracting students over the years. For example, your pro¬ +special burden on your college. Several of your programs, however, are of minimal qualďż˝ +ity and simply have not been attracting students over the years. For example, your proďż˝ gram in German has graduated an average of two majors per year over the past several years, while having a faculty of three. Several other programs, such as anthropology and geography, are showing similar results. These programs, however, are important to a -broad-based liberal arts education. You feel that students should at least have the oppor¬ +broad-based liberal arts education. You feel that students should at least have the opporďż˝ tunity to enroll in such programs if they see fit. On the other hand, there are some programs currently housed in your college you -would just as soon see ended. For example, the graduate program in public adminis¬ +would just as soon see ended. For example, the graduate program in public adminisďż˝ tration is a professional program that you feel is inconsistent with the liberal arts @@ -11517,19 +10694,19 @@ perspective of the college. The total faculty salaries in this department would about equal the total by which you need to reduce your budget. This is an obvious area to eliminate. -Next, it has occurred to you that your staff of professional advisors could be elimi¬ +Next, it has occurred to you that your staff of professional advisors could be elimiďż˝ nated and all academic advising performed by members of your faculty. This could be accomplished with no faculty or program reductions. -You feel a natural alliance with the College of Science and would prefer to see reduc¬ +You feel a natural alliance with the College of Science and would prefer to see reducďż˝ tions occur in either Education or Business rather than in Liberal Arts or Science. However, Dean Stevens of the College of Science has always been somewhat antagonistic toward you, perhaps because of your critical remarks about the oceanography program, which you think should be eliminated. -Finally, several personal considerations enter into your thinking. First, if the vice pres¬ +Finally, several personal considerations enter into your thinking. First, if the vice presďż˝ ident were to become president, you would probably be the leading candidate for the -vice presidency. You would find that very attractive. Second, though you don’t want to +vice presidency. You would find that very attractive. Second, though you donďż˝t want to appear to favor any department, your home department, the Department of Political Science, is putting strong pressure on you to support expansion of the program. Across- the-board cuts within your college would make that impossible. Third, a member of @@ -11538,30 +10715,30 @@ Business, Dean Dollar. Dean Stevens -Dean of the College of Science (target reduction — 7 percent). You have conducted a +Dean of the College of Science (target reduction ďż˝ 7 percent). You have conducted a thorough analysis of the possibilities for reduction within your college. You feel that by eliminating one visiting professorship, four graduate teaching assistantship positions, and two staff positions, you will be able to accommodate the reductions. You are quite aware, however, that others see your Department of Oceanography as a primary target for elimination. This is, however, one of your oldest and strongest programs, certainly -one of the leading oceanography programs in the Midwest. You want to protect the pro¬ +one of the leading oceanography programs in the Midwest. You want to protect the proďż˝ gram as it is; however, even if you are required to reduce that program, you wish to do so only by eliminating several faculty positions rather than the entire department. You also feel this program will be protected because the chair of that department is the -vice president’s uncle. +vice presidentďż˝s uncle. Several other personal considerations affect your thinking. First, you feel that the entire College of Education could be eliminated with no real loss to the university. Other programs within the state clearly produce enough graduates in that field. Eliminating the entire college would mean no reductions would be needed in any other college. Second, -you think Dean Berryderry is an idiot. You were especially incensed by Berryderry’s com¬ -ments about oceanography. If Berryderry can’t run his own college, why try to run +you think Dean Berryderry is an idiot. You were especially incensed by Berryderryďż˝s comďż˝ +ments about oceanography. If Berryderry canďż˝t run his own college, why try to run yours? Third, one of your faculty members recently was offended by sexual advances from the dean of the School of Business, Dean Dollar. Dean Dudley -Dean of the College of Education (target reduction — 20 percent). You know you are in +Dean of the College of Education (target reduction ďż˝ 20 percent). You know you are in trouble! Over the past several years, enrollments have been dropping in Education to the @@ -11571,15 +10748,15 @@ trouble! Over the past several years, enrollments have been dropping in Educatio point that you are considerably overstaffed. At the same time,' other programs in the state have developed and now have better reputations. This is especially true for your Department of Higher Education Administration. The main campus of the university -boasts one of the country’s leading programs in this area. Your best hope is to argue for +boasts one of the countryďż˝s leading programs in this area. Your best hope is to argue for across-the-board cuts that would affect all colleges equally. Your suspicion is that the College of Business will receive the lowest reduction and the College of Liberal Arts and the College of Science will be somewhere above. One of them would probably benefit from across-the-board cuts as opposed to targeted reductions; the other would probably -lose—but you do not know which one. +loseďż˝but you do not know which one. In addition, several personal considerations guide your thinking. First, nearly all the -athletes who are part of the school’s winning billiards program are students in your +athletes who are part of the schoolďż˝s winning billiards program are students in your college. You doubt if they could pass their coursework elsewhere. Second, the chair of the Department of Higher Education Administration has been one of your strongest critics over the years, and eliminating that department would eliminate one of your @@ -11588,32 +10765,32 @@ advances from the dean of the School of Business, Dean Dollar. Dean Dollar -Dean of the School of Business (target reduction—2 percent). Though you realize that +Dean of the School of Business (target reductionďż˝2 percent). Though you realize that your college will have to take a token reduction, you are certain that your reduction is far less than that required from other schools. Consequently, you are highly supportive of the -vice president’s selective reduction and opposed to across-the-board cuts. Your college has +vice presidentďż˝s selective reduction and opposed to across-the-board cuts. Your college has grown by leaps and bounds in the past several years, and you are in desperate need of more faculty, not less. At the same time, salaries have increased dramatically in your field, -and retention of capable faculty is a problem. You can probably accommodate the reduc¬ +and retention of capable faculty is a problem. You can probably accommodate the reducďż˝ tions assigned to you through minimal staff changes and will not have to fire faculty. -You see all this as a possibility for considerable reorganization of programs. One pro¬ +You see all this as a possibility for considerable reorganization of programs. One proďż˝ gram that you would particularly be interested in bringing into the college is that in public -administration. This program is viewed with great favor by the governor and, conse¬ -quently, by those higher in the university’s administration. Moreover, the program would -seem to be consistent with the interest of your college in management. You wonder if per¬ +administration. This program is viewed with great favor by the governor and, conseďż˝ +quently, by those higher in the universityďż˝s administration. Moreover, the program would +seem to be consistent with the interest of your college in management. You wonder if perďż˝ haps somewhere in all of this redistribution of money you might be able to acquire a new -program. If you can discredit Dean Berryderry’s interest in public administration and +program. If you can discredit Dean Berryderryďż˝s interest in public administration and champion that field, you should stand a good chance of receiving support from the higher administration. All in all, you see this process as opening the possibility of adding to your college rather than reducing it. This result, however, depends on selective reductions rather than across-the-board cuts and upon reallocations beyond the amount required for the -president’s stated budget reduction. +presidentďż˝s stated budget reduction. You also have several personal concerns. First, you think both the College of Education and the Department of Oceanography (in the College of Science) could be eliminated outright . . . and you could use the money. Second, you have heard that -the chair of the Department of Oceanography is the vice president’s cousin. Third, you +the chair of the Department of Oceanography is the vice presidentďż˝s cousin. Third, you have just met a very attractive person who is an advisor in the College of Liberal Arts. You think you are falling in love, again! @@ -11623,9 +10800,9 @@ For Additional Reading 207 Do Not Read This Paragraph Until After the Simulation -Following the simulation, the entire class should discuss each group’s strategies and tac¬ +Following the simulation, the entire class should discuss each groupďż˝s strategies and tacďż˝ tics. Sometimes it is helpful to ask first what others thought each dean was trying to do, -then ask that group to describe its strategy. Pay particular attention to strategies of coop¬ +then ask that group to describe its strategy. Pay particular attention to strategies of coopďż˝ eration and competition, as well as to strategies that have little to do with actual budget reductions. (For example, shifting a program from one location to another does not save the university any money.) Note also the inevitable lack of information, as well as the @@ -11636,7 +10813,7 @@ same; then Dean Dudley; then Dean Dollar. For Additional Reading -Axelrod, Donald. Budgeting for Modern Government. New York: St. Martin’s Press, +Axelrod, Donald. Budgeting for Modern Government. New York: St. Martinďż˝s Press, 1988. Briffault, Richard. Balancing Acts. Washington: Brookings Institution, 1996. @@ -11648,7 +10825,7 @@ Frank, Howard A. Forecasting in Local Government: Near Tools and Techniques. New York: Quorum Books, 1993. Garner, C. William. Accounting and Budgeting in Public and Non-Profit Organizations: -A Manager’s Guide. San Francisco: Jossey-Bass, 1991. +A Managerďż˝s Guide. San Francisco: Jossey-Bass, 1991. Gross, Malvern, and Richard Larkin, eds. Financial and Accounting Guide for Non-Profit Organizations. New York: John Wiley & Sons, 1999. @@ -11703,20 +10880,20 @@ work in his or her organization. Yet the hiring and treatment of public employee seem so bound up in rules, regulations, and red tape that effective management is extremely difficult. Many managers feel that civil service systems (and central personnel offices), originally designed to attract and retain competent personnel, exist merely to -complicate the manager’s life and make it more difficult to manage. Instead of simply +complicate the managerďż˝s life and make it more difficult to manage. Instead of simply hiring someone for a job, the manager must advise an applicant to take a competitive examination and join many other candidates on a register for the position (some of whom may be given special preferences in the hiring process) and then to wait until all the paperwork clears. After someone has been hired, the manager finds there are limits -to the rewards and punishments that can be offered to encourage improved job perfor¬ -mance; and, should the person fail to perform adequately, the paperwork and justifica¬ +to the rewards and punishments that can be offered to encourage improved job perforďż˝ +mance; and, should the person fail to perform adequately, the paperwork and justificaďż˝ tions required to terminate his or her employment seem endless. You may wonder how anything else gets done! But there are good reasons for the way human resources or personnel management in government has developed. Even though it is true that some civil service systems have become overly rigid, even fossilized, most of the requirements relating to government -employment are deeply rooted in important political and ethical principles. So an under¬ +employment are deeply rooted in important political and ethical principles. So an underďż˝ standing of how government personnel systems operate not only includes knowledge of personnel techniques, but also a sensitivity to the values that underlie human resources management in public organizations. @@ -11743,7 +10920,7 @@ available is essential to effective management. On the other hand, it is equally those who staff the offices of government should be- responsive 'to the citizenry. In any case, the human resources or personnel system for any public organization ultimately reflects the political priorities of the particular public involved. In some cases or in some -periods, managerial concern for efficiency may receive preference; in others, the demo¬ +periods, managerial concern for efficiency may receive preference; in others, the demoďż˝ cratic concern for responsiveness may be uppermost. Merit Systems in Public Employment @@ -11752,7 +10929,7 @@ Because the Constitution made little mention of either administrative structures government or how they would be staffed, early leaders at the federal, state, and local levels experimented with many different approaches to hiring, treatment of employees, and firing. In the late 1800s, however, growing concern about the composition of the -civil service led to a new focus on competence and professionalism and, in turn, to leg¬ +civil service led to a new focus on competence and professionalism and, in turn, to legďż˝ islation establishing the merit principle in public employment. The merit principle, though widely varied in its application, generally means that selection and treatment of government employees should be based on merit or competence rather than on personal @@ -11761,8 +10938,8 @@ development of public personnel systems has been infused with controversy. Spoils versus Merit -Most of the early American presidents followed George Washington’s lead in seeking -persons of high competence and integrity—what he called “fitness of character”—to hold +Most of the early American presidents followed George Washingtonďż˝s lead in seeking +persons of high competence and integrityďż˝what he called ďż˝fitness of character��to hold governmental positions. This approach resulted in a stable and fairly skilled government workforce, but is not without several problems. Because there were few well-educated persons in society and because those with education tended to be from the wealthier @@ -11771,7 +10948,7 @@ Moreover, partisan considerations began to enter into the process as well. Presi members of Congress began to recognize not only that government employees needed to be loyal to the new government (and presumably the party in power) but also that public offices (and salaries) could be rewards to the party faithful. Finally, there was the question -of tenure—should civil servants hold office for life, thus providing experience and conti¬ +of tenureďż˝should civil servants hold office for life, thus providing experience and contiďż˝ nuity, or should they change with each administration, providing loyalty (and jobs) to the incoming party? @@ -11779,7 +10956,7 @@ All these concerns were dramatically illustrated in the administration of Andrew Jackson. Jackson was swept into office on a strong wave of democratic sentiment and was especially concerned with making government more accessible to those previously excluded, that is, the common people. Though Jackson was not the first to employ the -spoils system (the notion that “to the victor belongs the spoils”—in this case, the ability +spoils system (the notion that ďż˝to the victor belongs the spoils��in this case, the ability to give government jobs to the party faithful), his administration was notable for its expansion of the system and for his elaborate justification of it. Jackson not only argued @@ -11792,7 +10969,7 @@ most government jobs could be done without special training. Jackson is sometimes portrayed as something of a villain for his defense of the spoils system, though far greater abuses occurred later at all levels of government. At the same -time, however, Jackson made several rather positive contributions to democratic govern¬ +time, however, Jackson made several rather positive contributions to democratic governďż˝ ment; for example, there is no question that he democratized the civil service of his era and set a tone for greater representativeness within government agencies for decades to come. @@ -11801,18 +10978,18 @@ become associated with the spoils system (see Box 6.1). Succeeding presidents we beyond Jackson in applying the system, as did political bosses at the state and local levels. The quality of the civil service rapidly declined, and even those who found jobs in government became disenchanted with the financial contributions exacted from them -each election year. The system also became a problem for each new president, as thou¬ +each election year. The system also became a problem for each new president, as thouďż˝ sands of office-seekers came to press their claims for patronage positions, and presidents soon grew weary of the long lines of people seeking jobs. -These factors began to set the stage for reform, but even more important in eventu¬ +These factors began to set the stage for reform, but even more important in eventuďż˝ ally bringing about change was the increasing corruption in government. There were BOX 6.1 The Early Spoils System -By the late 1800s, the spoils system was firmly a part of political life in most jurisdic¬ +By the late 1800s, the spoils system was firmly a part of political life in most jurisdicďż˝ tions. One aspect of the system was collecting funds from appointees to help sustain the party in power. Although such practices persisted in some jurisdictions well into the 1950s and even 1960s, they were hardly as blatant as the tribute requested in the @@ -11825,7 +11002,7 @@ office is therefore called for, and you will please inclose that amount, without to the treasurer, E. S. Rowse, in the envelope inclosed. This assessment is made after conference with our friends at Washington, where it is confidently expected that those who receive the benefits of Federal appointments will support the machinery -that sustains the party which gives them pecuniary benefit and honor. The exigen¬ +that sustains the party which gives them pecuniary benefit and honor. The exigenďż˝ cies are great, and delay or neglect will rightly be construed into unfriendliness to the Administration. We do not look for such a record from you, and you will at once see the propriety and wisdom of the earliest attention to the matter. @@ -11836,7 +11013,7 @@ Chairman of Committee SOURCE: Reprinted with the permission of The Free Press, a Division of Simon & Schuster, Inc., from The Republican Era: 1869-1901, A Study in Administrative History by Leonard D. White. Copyright -© 1958 by The Macmillan Company. +ďż˝ 1958 by The Macmillan Company. @@ -11848,15 +11025,15 @@ government business. The various ills that grew from the spoils system eventually led to a strong and active reform movement, spearheaded by such groups as the National Civil Service Reform -League. The reformers made both vigorous and eloquent appeals, but their eventual suc¬ +League. The reformers made both vigorous and eloquent appeals, but their eventual sucďż˝ cess was assured more by a historical accident, the assassination of President Garfield, than by eloquence. Though Garfield had hardly been a proponent of civil service reform and had indeed drawn criticism from the reform groups for his failure to support -a reform bill, the fact that he was killed by a disappointed office-seeker made him a mar¬ +a reform bill, the fact that he was killed by a disappointed office-seeker made him a marďż˝ tyr for the reform cause. -A man named Charles Guiteau had hoped to be consul to Paris. After weeks of mak¬ -ing his case and after repeatedly being turned away from Garfield’s office, he followed +A man named Charles Guiteau had hoped to be consul to Paris. After weeks of makďż˝ +ing his case and after repeatedly being turned away from Garfieldďż˝s office, he followed Garfield into a train station and shot him twice in the back. As he did so, he shouted that now Chester Arthur, a noted advocate of the spoils system, would be president. The reformers capitalized on this comment, portraying the situation as the obvious result @@ -11878,7 +11055,7 @@ federal government. practical within the agencies covered by the law and were to become the primary basis upon which to make hiring decisions. 3. Employees were given protection against political pressures, such as assessments -(mandatory contributions) or “required” participation in campaign activities. +(mandatory contributions) or ďż˝requiredďż˝ participation in campaign activities. 4. Lateral entry into government positions (that is, entry at any level as opposed to entry only at the beginning level) was encouraged, thus maintaining an important element of Jacksonian openness. @@ -11895,30 +11072,30 @@ and local governments. A respected writer on public personnel provides the follo Merit Systems in Public Employment 213 -definition of the civil service system that emerged: “Throughout its history, the civil +definition of the civil service system that emerged: ďż˝Throughout its history, the civil service idea has rested on three basic principles: (1) that the selection of subordinate -government officials should be based on merit—the ability to perform the work rather +government officials should be based on meritďż˝the ability to perform the work rather than any form of personal or political favoritism; (2) that since jobs are to be filled by weighing the merits of applicants, those hired should have tenure regardless of political changes at the top of organizations; and (3) that the price of job security should be a -willing responsiveness to the legitimate political leaders of the day” (Helco, 1977, p. 20). -The concept of merit is so central to the American approach to public personnel admin¬ -istration that the terms “merit system” and “civil service system” have become almost +willing responsiveness to the legitimate political leaders of the dayďż˝ (Helco, 1977, p. 20). +The concept of merit is so central to the American approach to public personnel adminďż˝ +istration that the terms ďż˝merit systemďż˝ and ďż˝civil service systemďż˝ have become almost synonymous. The Pendleton Act, although it was important in establishing the notion of a merit -system of public employment, merely provided a framework within which a more full¬ +system of public employment, merely provided a framework within which a more fullďż˝ blown system might develop. Unfortunately, the development of the system was not well -coordinated. Although the merit system was gradually extended to more and more gov¬ +coordinated. Although the merit system was gradually extended to more and more govďż˝ ernment employees, the values of the system were not always the primary motivation for extension. For example, one unlikely set of agents for the extension of personnel reforms -turned out to be out-going presidents, many of whom sought to “blanket in” those they -had appointed to patronage positions by making their positions subject to the merit sys¬ +turned out to be out-going presidents, many of whom sought to ďż˝blanket inďż˝ those they +had appointed to patronage positions by making their positions subject to the merit sysďż˝ tem. In this way, merit coverage was extended from its original 10 percent of all federal employees in 1883 to approximately 70 percent by the end of World War I and some 90 percent today. -Other changes in the system also occurred slowly. The Pendleton Act contained provi¬ +Other changes in the system also occurred slowly. The Pendleton Act contained proviďż˝ sions for examinations, but other devices for improving the quality of the workforce, such as position classification, standard pay schedules, and objective performance appraisals, had not yet been developed. Over the next decades, however, these ideas too became @@ -11933,15 +11110,15 @@ essentially clerkships, but as government grew and entered new fields, there was more professional and more highly specialized people. Similarly, especially through the Roosevelt years, a multitude of new agencies were created, each placing different demands on the personnel system. Prior to this time, the Civil Service Commission had assumed the -role of the government’s central personnel agency; now it was necessary to decentralize +role of the governmentďż˝s central personnel agency; now it was necessary to decentralize personnel responsibilities to the various agencies, with the commission setting regulations and monitoring implementation. In any case, the merit system has now become firmly established at the federal level. Nine out of ten federal employees are covered by either the general merit system or by one of several special systems created by law to pursue merit principles within specific -agencies — the Postal Service, the Federal Bureau of Investigation, the Foreign Service, -and so on. The remaining positions are exempt because they are not amenable to com¬ +agencies ďż˝ the Postal Service, the Federal Bureau of Investigation, the Foreign Service, +and so on. The remaining positions are exempt because they are not amenable to comďż˝ petitive selection or to regular personnel procedures; they include seasonal workers, those in intelligence, and a limited number of policy-making/confidential positions. @@ -11949,16 +11126,16 @@ those in intelligence, and a limited number of policy-making/confidential positi 214 Chapter 6 The Management of Human Resources -Any incoming president now has only about 2,400 -positions to' fill on a purely politi¬ -cal basis — a number that many think is still too high. +Any incoming president now has only about 2,400 -positions to' fill on a purely politiďż˝ +cal basis ďż˝ a number that many think is still too high. Many questions have been raised in recent years about whether there are too many political appointees in the federal government or, in other words, whether the federal bureaucracy has become too highly politicized. This concern has been intensified as the growth in numbers of political appointees was accompanied by increasing centralization -of the appointment process in the White House. At present, nearly all the several thou¬ -sand political appointments that occur at the federal level—executives, as well as mem¬ -bers of boards and commissions, ambassadorships, and judgeships—are cleared through +of the appointment process in the White House. At present, nearly all the several thouďż˝ +sand political appointments that occur at the federal levelďż˝executives, as well as memďż˝ +bers of boards and commissions, ambassadorships, and judgeshipsďż˝are cleared through the White House personnel office. The Civil Service Reform Act and Its Aftermath @@ -11966,7 +11143,7 @@ The Civil Service Reform Act and Its Aftermath For nearly one hundred years, the Pendleton Act provided the primary statutory basis for federal civil service. That changed with the passage and implementation of the Civil Service Reform Act of 1978. During the 1960s and 1970s, it became increasingly clear -that there were serious problems in the federal personnel management system. The prob¬ +that there were serious problems in the federal personnel management system. The probďż˝ lems were in large part a result of the fairly haphazard pattern through which the system had been established. Responsibilities for various aspects of personnel management were spread among the president, the Congress, the courts, the Civil Service Commission, and @@ -11974,9 +11151,9 @@ the various agencies; but there was often disagreement on the basic principles t should guide the development of the system. Even within the Civil Service Commission itself, there was confusion about the direction -of personnel policy. On the one hand, the commission existed to execute the president’s +of personnel policy. On the one hand, the commission existed to execute the presidentďż˝s personnel directives; on the other hand, it was also responsible for protecting employees -from political abuse. At times, the two objectives came into conflict. As a result, the num¬ +from political abuse. At times, the two objectives came into conflict. As a result, the numďż˝ bers of federal personnel rules and regulations were not only excessive, they often directly conflicted with one another. @@ -11986,14 +11163,14 @@ administration and targeted at least five problem areas. 1. Technical overkill: Critics charged that those in charge of the personnel function had, in their drive to achieve political neutrality, created overly detailed regulations for recruiting, testing, selecting, classifying, and releasing employees. In many cases, these technical rules -became a maze that prevented rather than aided action, and sorting through the proce¬ +became a maze that prevented rather than aided action, and sorting through the proceďż˝ dures to replace a key manager could take as long as two years. Firing one $8,000-per-year Commerce Department employee who consistently failed to show up for work without valid reasons took twenty-one months! 2. Excessive protection of employees: Similarly, many felt that the drive to achieve -political neutrality created excessive protections for employees. Although these protec¬ -tions were initiated for the best of reasons — so that employees would not be unduly or -arbitrarily punished or dismissed — they sometimes resulted in incredible outcomes, +political neutrality created excessive protections for employees. Although these protecďż˝ +tions were initiated for the best of reasons ďż˝ so that employees would not be unduly or +arbitrarily punished or dismissed ďż˝ they sometimes resulted in incredible outcomes, such as an award of almost $5,000 in back pay to a postal employee who had been fired for shooting a coworker in the stomach! On the other hand, protections were @@ -12002,35 +11179,35 @@ fired for shooting a coworker in the stomach! On the other hand, protections wer Merit Systems in Public Employment 215 needed in other areas; for example, employees who pointed out cases of waste, fraud, -and abuse in public agencies — whistle blowers—were often subjected to harassment +and abuse in public agencies ďż˝ whistle blowersďż˝were often subjected to harassment or even dismissal. 3. Lack of management flexibility: Managers, especially political appointees, claimed that civil service regulations were so inflexible that they could not manage effectively. In an -effort to counter this tendency, one official in the Nixon administration prepared a docu¬ +effort to counter this tendency, one official in the Nixon administration prepared a docuďż˝ ment suggesting 130 ways that managers could subvert the intent of the merit system and do what they wanted to do. One entry described how to get rid of someone who does not -enjoy traveling: “[He] is given extensive travel orders crisscrossing the country to towns +enjoy traveling: ďż˝[He] is given extensive travel orders crisscrossing the country to towns (hopefully with the worst accommodations possible) of a population of 20,000 or under. Until his wife threatens him with divorce, unless he quits, you have him out of town and out of the way. When he finally asks for relief you tearfully reiterate the importance of the -project and state that he must continue to obey travel orders or resign.” +project and state that he must continue to obey travel orders or resign.ďż˝ 4. Inadequate incentives to eliminate inefficiencies: It was also charged that a system that seemed to grant raises according to longevity rather than performance and that made raises and promotion appear almost automatic encouraged inefficiency. Over 99 percent of the nearly three million federal employees regularly received satisfactory performance ratings -that entitled them to raises. Alan Campbell a leading advocate of reform, wrote: “The cur¬ -rent system provides few incentives for managers to manage or for employees to perform.” -5. Discrimination: Many—notably women and minorities — felt the federal personnel +that entitled them to raises. Alan Campbell a leading advocate of reform, wrote: ďż˝The curďż˝ +rent system provides few incentives for managers to manage or for employees to perform.ďż˝ +5. Discrimination: Manyďż˝notably women and minorities ďż˝ felt the federal personnel system was not adequately promoting their representation within the bureaucratic ranks. They wanted to make sure that any new system would be more attentive to their interests and better able to cope with the increasing number of complaints in this area. -The Civil Service Reform Act was proposed to “restore the merit principle to a system -which has grown into a bureaucratic maze” (Carter, 1978). (See Box 6.2.) The act sought +The Civil Service Reform Act was proposed to ďż˝restore the merit principle to a system +which has grown into a bureaucratic mazeďż˝ (Carter, 1978). (See Box 6.2.) The act sought to deal with the often contradictory roles of the Civil Service Commission by creating a new office of Personnel Management responsible for policy leadership and a Merit -Systems Protection Board to handle investigations and appeals. OPM is “the President’s -principal agent for managing the federal workforce”; it has responsibility for human +Systems Protection Board to handle investigations and appeals. OPM is ďż˝the Presidentďż˝s +principal agent for managing the federal workforceďż˝; it has responsibility for human resource management and enforcement of personnel regulations (Campbell, 1978, p. 100). The Merit System Protection Board, on the other hand, is the watchdog of the personnel system, hearing and resolving complaints, as well as protecting whistle blowers @@ -12044,7 +11221,7 @@ the Nixon years, the SES created a separate personnel system for the highest-ran service officials, permitting greater flexibility in assignments and establishing a new system of incentives for top-level managers. Basically, eligible managers would apply for positions in the SES and, if accepted, would hold SES rank as individuals, rather than being limited -to the rank of a particular position. This meant that, within certain limitations, SES man¬ +to the rank of a particular position. This meant that, within certain limitations, SES manďż˝ agers could be moved from agency to agency depending on their talents and the needs of the agencies. A new system of performance evaluations and pay increases closely tied to @@ -12052,12 +11229,12 @@ the agencies. A new system of performance evaluations and pay increases closely 2i 6 Chapter 6 The Management of Human Resources -BOX 6.2 _ ... tm-it-t_-_— .. +BOX 6.2 _ ... tm-it-t_-_ďż˝ .. Reinventing Human Resource Management 1. Create a flexible and responsive hiring system. -Authorize agencies to establish their own recruitment and examining pro¬ +Authorize agencies to establish their own recruitment and examining proďż˝ grams. Abolish centralized registers and standard application forms. Allow federal departments and agencies to determine that recruitment shortages exist @@ -12074,7 +11251,7 @@ Schedule framework. organization performance. Authorize agencies to design their own performance management programs -which define and measure success based on each agency’s unique needs. +which define and measure success based on each agencyďż˝s unique needs. 4. Authorize agencies to develop incentive award and bonus systems to improve individual and organization performance. @@ -12090,10 +11267,10 @@ knowledge, and support they need to deal with poor performers, and holds supervisors accountable for effectively managing their human resources. Reduce by half the time needed to terminate federal employees for cause. -SOURCE: From From Red Tape to Results by A1 Gore, copyright © 1993 by A1 Gore. Used by permission +SOURCE: From From Red Tape to Results by A1 Gore, copyright ďż˝ 1993 by A1 Gore. Used by permission of Times Books, a division of Random House, Inc. -performance was also developed, along with an elaborate system of bonuses for excep¬ +performance was also developed, along with an elaborate system of bonuses for excepďż˝ tional executives. A 1991 deal involving pay plans and performance measures required SES members to be recertified every three years. @@ -12110,7 +11287,7 @@ Merit Systems in Public Employment 217 establishing a new and more sophisticated performance appraisal system, creating a merit pay system for managers just below the SES range, providing protection for -whistle blowers, assigning the federal Equal Employment Opportunity program (previ¬ +whistle blowers, assigning the federal Equal Employment Opportunity program (previďż˝ ously with the Civil Service Commission) to the Equal Employment Opportunity Commission, and creating a more independent Federal Labor Relations Authority. @@ -12121,39 +11298,39 @@ to increase the number of political appointees. Others continue to suggest that was based on questionable assumptions about the nature of the federal workforce and was doomed from the beginning. In any case, the Civil Service Reform Act represented the first major change in personnel policy at the federal level since the Pendleton Act. -Its confirmation of the principle of merit, its effort to sort out the multiple responsibili¬ +Its confirmation of the principle of merit, its effort to sort out the multiple responsibiliďż˝ ties of the personnel system, and its attempt to produce greater managerial flexibility have been significant. Reinvention and the National Performance Review -During the 1990s, Vice President Gore’s National Performance Review (NPR), and the -reinventing government movement generally, has had a dramatic impact on personnel sys¬ -tems within the federal government. The goal of NPR was to enhance government produc¬ +During the 1990s, Vice President Goreďż˝s National Performance Review (NPR), and the +reinventing government movement generally, has had a dramatic impact on personnel sysďż˝ +tems within the federal government. The goal of NPR was to enhance government producďż˝ tivity by streamlining processes, increasing accountability, and decentralizing authority to encourage entrepreneurial behavior. Federal administrators searched for innovative ways of conducting the business of government while cutting costs. An immediate consequence -of NPR was a substantial reduction in the federal workforce. Within two years of NPR’s +of NPR was a substantial reduction in the federal workforce. Within two years of NPRďż˝s release, more than 160,000 jobs had been cut and more than 2,000 federal field offices closed across the country. -A second consequence of NPR was an overall shift in the culture of federal organiza¬ +A second consequence of NPR was an overall shift in the culture of federal organizaďż˝ tions. Decentralization and the focus on results have instituted a fundamental change in the way government agencies, and thus personnel systems, work. Public employees are now held accountable for customer service and productivity. And, they are rewarded -based on their agency’s efficiency and performance. (For some of the human resources +based on their agencyďż˝s efficiency and performance. (For some of the human resources recommendations from the National Performance Review, see Box 6.2.) The long-term impact of the NPR, and the reinventing movement, remains to be seen. Some laud the -approach as a key step in improving public service and restoring the public’s trust, while +approach as a key step in improving public service and restoring the publicďż˝s trust, while others suggest that reinvention serves purely as a way of downsizing big government. At the very least, the reinventing government movement has significantly changed the systems of management and human resources that underlie public organizations at all levels (Kellough, 1999). -Even more recently, and especially after the September 11 attacks, the federal gov¬ +Even more recently, and especially after the September 11 attacks, the federal govďż˝ ernment has become aware of the need to maintain its core capabilities and to refocus its human resources policies to attract people who can perform new types of tasks. -(See Box 6.3.) In part, the concern is that the retirement of many “baby boomers” at +(See Box 6.3.) In part, the concern is that the retirement of many ďż˝baby boomersďż˝ at @@ -12163,40 +11340,40 @@ BOX 6.3 .__J_;_ Mass Retirement Could Hinder Anti-Terror War -WASHINGTON (AP)—A wave of retirements set to spread across the federal govern¬ +WASHINGTON (AP)ďż˝A wave of retirements set to spread across the federal governďż˝ ment in the next few years could seriously hamper the war on terrorism. Some of the -agencies most crucial in fighting terrorism—the Defense, State and Transportation -departments, and the Federal Emergency Management Agency—could lose up to 45% +agencies most crucial in fighting terrorismďż˝the Defense, State and Transportation +departments, and the Federal Emergency Management Agencyďż˝could lose up to 45% of their workers through retirements in the next five years, according to the General -Accounting Office. “If we are going to win the war, we have got to have the people,” -said Sen. George Voinovich, R-Ohio. He’s the ranking member of the House +Accounting Office. ďż˝If we are going to win the war, we have got to have the people,ďż˝ +said Sen. George Voinovich, R-Ohio. Heďż˝s the ranking member of the House Subcommittee on Oversight of Government Management and has taken a lead role in -trying to draw attention to the “human capital crisis.” +trying to draw attention to the ďż˝human capital crisis.ďż˝ Voinovich said the federal government must find ways to keep its best workers -while recruiting new staff with the skills to address new missions. It’s the difference, +while recruiting new staff with the skills to address new missions. Itďż˝s the difference, for example, between having a Defense Department loaded with Russian-speaking -workers when today’s war against terrorism requires people who speak Arabic, Farsi +workers when todayďż˝s war against terrorism requires people who speak Arabic, Farsi and Pashto. -“It’s not just how many, but what kinds,” said Frank Cipolla, senior consultant -to the National Academy of Public Administration’s Center for Human Resources +ďż˝Itďż˝s not just how many, but what kinds,ďż˝ said Frank Cipolla, senior consultant +to the National Academy of Public Administrationďż˝s Center for Human Resources Management. The terrorist attacks have helped focus attention on the problem, but the looming shortage was identified long before Sept. 11. -Last winter, the GAO, the investigative arm on Congress, placed “strategic -human capital management”—identifying key jobs and filling them — on its list of -federal programs and operations identified as “high risk.” And last March, former +Last winter, the GAO, the investigative arm on Congress, placed ďż˝strategic +human capital management��identifying key jobs and filling them ďż˝ on its list of +federal programs and operations identified as ďż˝high risk.ďż˝ And last March, former Defense Secretary James Schlesinger and retired Adm. Harry D. Train told Congress -that national security is “on the brink of an unprecedented crisis of competence -in government.” +that national security is ďż˝on the brink of an unprecedented crisis of competence +in government.ďż˝ -“The maintenance of American power in the world depends on the quality of U.S. -government personnel—civil and military—at all levels,” they said in a statement. -“We must take immediate action in the personnel area to ensure that the United -States can meet future challenges.” +ďż˝The maintenance of American power in the world depends on the quality of U.S. +government personnelďż˝civil and militaryďż˝at all levels,ďż˝ they said in a statement. +ďż˝We must take immediate action in the personnel area to ensure that the United +States can meet future challenges.ďż˝ SOURCE: From USA Today.com, November 1, 2001. Copyright 2001. Reprinted with permission of The Associated Press. @@ -12206,7 +11383,7 @@ be particularly intense if the government can not attract new employees to take places. Also, it is clear that the government will need people with new and different skills to fill emerging needs. The General Accounting Office already has suggested three ways of improving the system: better pay and benefits; more active recruitment -of young people; and reform of antiquated management practices that complicate hir¬ +of young people; and reform of antiquated management practices that complicate hirďż˝ ing and fail to address needed skill areas. @@ -12216,8 +11393,8 @@ State and Local Personnel Systems 119 State and Local Personnel Systems Many of the same problems that led to institution of the federal civil service system in -the late 1800s also existed at the state and local levels—indeed, the problems were often -even more severe. Although the federal government was certainly influenced by politi¬ +the late 1800s also existed at the state and local levelsďż˝indeed, the problems were often +even more severe. Although the federal government was certainly influenced by politiďż˝ cians interested in maintaining power through patronage, it was never so completely dominated by political bosses and machines as were the states and, especially, the cities. @@ -12234,19 +11411,19 @@ adopt a civil service system (1884), and a few other cities and counties followe to the turn of the century, but reform came slowly at the local level. Moreover, even where formal systems were adopted, patronage practices and political manipulation of the government workforce continued. Chicago and Cook County were among the first -to adopt civil service systems; yet even today, mayoral candidates often run on a plat¬ -form of reducing the power of political “machines” in Chicago. In any case, today +to adopt civil service systems; yet even today, mayoral candidates often run on a platďż˝ +form of reducing the power of political ďż˝machinesďż˝ in Chicago. In any case, today almost 90 percent of local jurisdictions with populations of over 50,000 have some type of merit system on the books. Over the years, a primary motivator for adopting merit systems at state and local levels has been the number of federal laws requiring such systems in order for states -and localities to receive federal funds. By 1980, every state and thousands of local gov¬ +and localities to receive federal funds. By 1980, every state and thousands of local govďż˝ ernments had federal grants that required personnel systems that met a set of federal -standards. The result has been that most state agencies receiving large amounts of fed¬ +standards. The result has been that most state agencies receiving large amounts of fedďż˝ eral funding are now covered by merit systems; those that receive limited or no federal funds are much less likely to have a merit system. In addition to these requirements, the -courts have extended due process protections to many public employees and have sup¬ +courts have extended due process protections to many public employees and have supďż˝ ported affirmative action and other personnel-related actions that place greater burdens on state and local governments for detailed testing, classification, and reporting. Many states have thus found it advisable to establish or to extend merit concepts for their @@ -12256,7 +11433,7 @@ Though these regulations have been somewhat relaxed in recent years, it seems un that state and local governments will return to massive use of the spoils system. Indeed, there is some evidence that governments are pursuing many of the same reforms pursued at the federal level in the late 1970s, which some charge have led to greater politicization -of the public workforce. For example, states and localities are experimenting with decen¬ +of the public workforce. For example, states and localities are experimenting with decenďż˝ tralization of personnel functions, greater responsiveness of managerial and political authority, and closer ties between performance appraisals and merit pay. Whether elected officials at state and local levels will be subject to the same temptation as were those at the @@ -12270,10 +11447,10 @@ remains to be seen. Hiring, Firing, and Things In-Between -Most provisions of public personnel systems exist to protect public employees from exces¬ +Most provisions of public personnel systems exist to protect public employees from excesďż˝ sive political interference; however, in some cases, they appear to make public personnel actions unduly complicated. Knowing the rules of the game will be a considerable help in -your administrative work and will also be of help if you are looking for a job in a govern¬ +your administrative work and will also be of help if you are looking for a job in a governďż˝ ment agency. Classification Systems @@ -12281,18 +11458,18 @@ Classification Systems The key to most public personnel systems is the notion of position classification, the arrangement of jobs on the basis of duties and responsibilities and the skills required to perform them. A position classification system usually begins with a set of job -descriptions, each based on a thorough analysis of the work and the required capabili¬ +descriptions, each based on a thorough analysis of the work and the required capabiliďż˝ ties. A job description typically contains the following elements: job title, duties required, responsibilities associated with the position, and qualifications needed to carry out the job. A clerk-typist position, for example, might be described as including -duties such as typing reports, maintaining correspondence records, answering tele¬ +duties such as typing reports, maintaining correspondence records, answering teleďż˝ phone and walk-in inquiries, arranging for meetings and conferences on behalf of the supervisor, and other duties as assigned. Qualifications might include such things as a high school degree or the equivalent, typing speed of forty words per minute, and two -years’ secretarial experience. +yearsďż˝ secretarial experience. Typically, sets of jobs that are closely related are then grouped together in classes that -indicate increasing levels of difficulty—Clerk-Typist I, Clerk-Typist II, Clerk-Typist III, +indicate increasing levels of difficultyďż˝Clerk-Typist I, Clerk-Typist II, Clerk-Typist III, and so forth. In larger jurisdictions, such as the federal government, various classes may also be grouped into grade schedules that group jobs of varying levels of difficulty. For example, the federal General Schedule, which covers clerical and professional positions, @@ -12301,12 +11478,12 @@ lists within one grade, GS-11, a variety of different occupations. Organizations use personnel classification systems for several reasons: to maintain an objective inventory of positions, to provide equity across similar jobs, to connect tasks and the skills required to perform them, and to provide standards for judging the work -of specific employees. Historically, such systems developed out of a concern for objectiv¬ +of specific employees. Historically, such systems developed out of a concern for objectivďż˝ ity and equity consistent with the idea of protecting employees from political abuse. The Position Classification Act of 1923, for example, required grouping jobs into classes on -the basis of duties and responsibilities and, in language sounding much more contempo¬ -rary, committed the federal government to providing “equal compensation for equal -work, irrespective of sex.” With this early impetus, most public organizations have +the basis of duties and responsibilities and, in language sounding much more contempoďż˝ +rary, committed the federal government to providing ďż˝equal compensation for equal +work, irrespective of sex.ďż˝ With this early impetus, most public organizations have developed rather sophisticated classification systems that are usually more advanced than their private-sector counterparts. @@ -12314,32 +11491,32 @@ than their private-sector counterparts. Hiring, Firing, Things In-Between 221 -While most people agree that the objective of current classification systems—equal pay -for substantially equal work — is basically sound, many have argued that classification +While most people agree that the objective of current classification systemsďż˝equal pay +for substantially equal work ďż˝ is basically sound, many have argued that classification systems have become burdensome, inflexible, and unfair. Specifically, many argue that the -complexity of the system creates excessive requirements that interfere with agency perfor¬ +complexity of the system creates excessive requirements that interfere with agency perforďż˝ mance. Consequently, the National Academy of Public Administration has developed an alternative classification scheme that groups the existing 459 federal job categories into -occupational “families” based on similarities in career progression, basic skills, recruit¬ -ment training, and performance measurement. Families might include such areas as gen¬ +occupational ďż˝familiesďż˝ based on similarities in career progression, basic skills, recruitďż˝ +ment training, and performance measurement. Families might include such areas as genďż˝ eral support, office services, technical, engineering, health, or law enforcement. Likewise, the National Performance Review (NPR), which we mentioned previously, -identified existing classification systems as a primary target for reinvention. Key recom¬ -mendations of NPR, for example, involved adopting “a broader system of classification, -reducing the number of occupational families and using grade and pay banding” (Risher, +identified existing classification systems as a primary target for reinvention. Key recomďż˝ +mendations of NPR, for example, involved adopting ďż˝a broader system of classification, +reducing the number of occupational families and using grade and pay bandingďż˝ (Risher, Fay et al., 1997, p. 38). Proponents of NPR say that the traditional system relies on rigid job descriptions, which tend to constrict employee performance to a limited set of tasks. Instead, more flexible parameters should be used that allow for innovation and more businesslike performance on the part of public employees. Administrators should be -given greater authority to establish classification systems that contribute to each agency’s +given greater authority to establish classification systems that contribute to each agencyďż˝s overall productivity and accountability. The Recruitment Process -Having objective statements of duties, responsibilities, and qualifications makes it possi¬ +Having objective statements of duties, responsibilities, and qualifications makes it possiďż˝ ble to recruit personnel based not on who one knows, but on what one knows and what -one can do. Recruitment efforts in the public sector must also be concerned with assur¬ +one can do. Recruitment efforts in the public sector must also be concerned with assurďż˝ ing fairness, openness, and representativeness. Typically, the recruitment process involves the following steps: @@ -12352,9 +11529,9 @@ In most jurisdictions, a personnel officer within a particular agency or someone a central personnel department is significantly involved in the first three steps. Testing or screening processes have been subject to special scrutiny in recent years. -Screening can occur through a review of written applications and recommendations, apti¬ +Screening can occur through a review of written applications and recommendations, aptiďż˝ tude or ability testing, performance examinations, interviews, or assessment centers. Of the -various aptitude or ability tests that public organizations use, some measure general knowl¬ +various aptitude or ability tests that public organizations use, some measure general knowlďż˝ edge, others measure personality characteristics, and still others measure specific job-related knowledge or abilities. Performance examinations, such as typing tests, measure specific job capabilities. @@ -12368,12 +11545,12 @@ are a common part of the hiring process, for example, they tend to be poor predi eventual job performance. Generally speaking, structured interviews, in which a previously developed set of questions is used with each applicant, and panel interviews involving -more than one interviewer are preferable. Similarly, carefully constructed assessment cen¬ +more than one interviewer are preferable. Similarly, carefully constructed assessment cenďż˝ ters using several independent raters may be used. (An assessment center involves putting -several job applicants through a series of job-related simulations to observe their perfor¬ +several job applicants through a series of job-related simulations to observe their perforďż˝ mance under nearly real-life conditions.) -For almost a decade, the primary examination for entry-level administrative and pro¬ +For almost a decade, the primary examination for entry-level administrative and proďż˝ fessional positions in the federal government was the Professional and Administrative Career Examination (PACE). In 1982, however, the Reagan administration bowed to repeated challenges from groups charging that the test unfairly discriminated against @@ -12382,10 +11559,10 @@ African Americans and 13 percent of Hispanics who took the PACE exam passed it.) Through most of the 1980s, the federal Office of Personnel Management (OPM) advised agencies to promote from within, to use noncompetitive appointments, or to use temporary -appointments to fill vacancies—an approach that has obvious limitations in attracting and +appointments to fill vacanciesďż˝an approach that has obvious limitations in attracting and retaining the best and the brightest for government service. -In 1990, OPM implemented a hiring plan with two alternative recruitment possibili¬ +In 1990, OPM implemented a hiring plan with two alternative recruitment possibiliďż˝ ties. The first featured the use of a series of tests, which it called the Administrative Careers with America (ACWA) test; the second, known as the Outstanding Scholar Program (OSP), enabled agencies to select college graduates with a GPA of 3.5 or higher @@ -12395,21 +11572,21 @@ candidates in the hiring pool. Likewise, they state that while OSP leveled the p field somewhat, particularly when compared to the ACWA, the result was the same: more nonminority than minority candidates being considered by federal agencies. -In any case, after testing or screening, a small number of eligible applicants are certi¬ -fied and forwarded to the hiring agency, often with rankings based on the candidates’ +In any case, after testing or screening, a small number of eligible applicants are certiďż˝ +fied and forwarded to the hiring agency, often with rankings based on the candidatesďż˝ qualifications. Most merit systems require that at least the top three names be forwarded to the agency, so that the manager has some flexibility to consider personal or subjective -characteristics in the final selection. This rule of three provision has proven controver¬ +characteristics in the final selection. This rule of three provision has proven controverďż˝ sial, however; many claim that it has been used as a device to discriminate against women and minorities. (Under this provision, for instance, a sexist employer could hire a -male even if a woman candidate were objectively more capable.) An equally controver¬ +male even if a woman candidate were objectively more capable.) An equally controverďż˝ sial provision of many merit systems requires that veterans (or sometimes even relatives of veterans) receive extra points in the ranking system. Such a provision works against the interests of nonveterans, most of whom are women; as you might imagine, however, -it is strongly supported by veterans’ groups. +it is strongly supported by veteransďż˝ groups. The centralized process of recruitment traditionally underlying public personnel systems -itself has come under fire in recent years, with many suggesting that it places decision¬ +itself has come under fire in recent years, with many suggesting that it places decisionďż˝ making authority in the hands of human resources staff as opposed to public managers. For example, NPR recommended that federal agencies be given the power to establish their own recruitment and examining programs. The report concluded that managers in @@ -12437,16 +11614,16 @@ some cases the entire recruitment process can occur without the candidate ever v in the hiring organization. Whether it is done in person or online, be sure to submit the appropriate application materials. In some cases this may be as simple as sending in a current resume, which states the vacancy number and level. But most often even resumes -should be accompanied by the proper application forms. Many recruiters will not con¬ +should be accompanied by the proper application forms. Many recruiters will not conďż˝ sider application materials unless they are submitted in a style and format consistent -with those called for in the vacancy announcement. (In the federal government, candi¬ +with those called for in the vacancy announcement. (In the federal government, candiďż˝ dates may submit their information using forms that can be downloaded from the Office of Personnel Management Web site.) Networking For employment opportunities in the federal government, go to the Office of -Personnel Management at http://www.opm.gov, America’s Job Bank at +Personnel Management at http://www.opm.gov, Americaďż˝s Job Bank at http://www.ajb.org, or Careers in Government at http://www.careersingovernment. com, or visit any of the federal agencies online. Those interested in employment at other levels of government can go to http://www.aspanet.org or http:// @@ -12455,8 +11632,8 @@ http://www.philanthropy.com or http://www.opportunitynocs.org. Pay Systems -Naturally, both the recruiting process and the individual’s performance on the job are -affected by compensation patterns, including both wages and benefits. Generally speak¬ +Naturally, both the recruiting process and the individualďż˝s performance on the job are +affected by compensation patterns, including both wages and benefits. Generally speakďż˝ ing, pay is determined by the nature of the work and the quality of performance in the job. But pay plans in the public sector are difficult to construct, for they must embody two often contradictory principles. On the one hand, to be fair and equitable, they must @@ -12464,7 +11641,7 @@ be highly structured; on the other hand, to be competitive, they must be respons changing political and economic conditions. Most large personnel systems in government (including states and big cities) base their -pay plans on their classification systems, which usually define a series of grades, each con¬ +pay plans on their classification systems, which usually define a series of grades, each conďż˝ taining a set of jobs that are generally comparable in terms of difficulty, and a number of @@ -12490,15 +11667,15 @@ The idea of merit pay is simply that increases in salaries and wages should be t the actual quality of the work being done, so that those who perform better or more productively receive greater rewards. Although governments have used various merit pay systems, such systems have not always worked well. In many cases, the money available -for merit raises for a few is spread so thinly that meritorious employees are not differen¬ +for merit raises for a few is spread so thinly that meritorious employees are not differenďż˝ tiated from others. Part of the reason for this development is the difficulty of objectively -measuring an individual’s performance and the fact that many managers find it awkward -to evaluate their employees’ work. +measuring an individualďż˝s performance and the fact that many managers find it awkward +to evaluate their employeesďż˝ work. As noted, the Civil Service Reform Act of 1978 sought to remedy this situation by requiring merit pay based on formal performance appraisal systems. Although agencies have been given considerable flexibility as to what systems they adopt, efforts have been -made to base evaluations on critical elements of the individual’s job or to develop results- +made to base evaluations on critical elements of the individualďż˝s job or to develop results- oriented systems that tie evaluation to specific job outcomes. Any system of performance appraisal must be both accurate and fair: @@ -12512,20 +11689,20 @@ One aspect of compensation policy that has received substantial attention over t is the comparability of wages and salaries in the public and private sectors. Though nearly all efforts to make such comparisons have been plagued by the difficulty of comparing apples and oranges, early studies tended to show public-sector salaries considerably below -those in the private sector, today ranging between 22 percent and 38 percent below, depend¬ +those in the private sector, today ranging between 22 percent and 38 percent below, dependďż˝ ing on grade level. (Incidentally, the greatest differences are at the top-level positions.) Under these conditions, the federal Pay Comparability Act of 1990 required the federal government to close the gap between the public and private sectors, beginning by closing the gap 20 percent in 1993 and then 10 percent in following years. While both Presidents -Reagan and Bush cited the country’s economic problems as a reason to impose lower +Reagan and Bush cited the countryďż˝s economic problems as a reason to impose lower wages than those suggested by comparability studies, President Clinton, while proposing Hiring, Firing, and Things In-Between 225 -some increases, rejected the comparability targets, arguing that the law’s formulas were +some increases, rejected the comparability targets, arguing that the lawďż˝s formulas were based on flawed methodology. Conditions of Employment and Related Matters @@ -12541,7 +11718,7 @@ Testing for drugs, primarily through urinalysis, has become quite common. Despit fact that such programs violate personal dignity and have a variety of technical problems, a substantial number of private companies now use drug testing. Whereas in 1983 only about 3 percent of private firms used drug testing, today over three-quarters do so. -Employees in private firms have little protection from testing and, in the absence of col¬ +Employees in private firms have little protection from testing and, in the absence of colďż˝ lective bargaining agreements to the contrary, may be tested at management discretion. Because public employees (at least civilian employees) are more clearly protected against illegal search and seizure and are guaranteed equal protection and due process, programs @@ -12549,13 +11726,13 @@ to test public employees have frequently been challenged in the courts. For the the courts have held that random mandatory testing is a violation of employee rights, but that testing may be required where there is reasonable suspicion of abuse or where testing is made a part of the hiring process. But questions continue to be debated; for example, -what type of testing is appropriate for those in sensitive positions, such as air traffic con¬ +what type of testing is appropriate for those in sensitive positions, such as air traffic conďż˝ trollers or those in contact with nuclear or chemical weapons? Networking The following sites track contemporary issues in personnel management. -Many others are available—just conduct your own search. +Many others are availableďż˝just conduct your own search. http://www.shrm.org/hrlinks/comp.htm (sources on benefits) http://aad.english.ucsb.edu (information on affirmative action and diversity) http://www.feminist.com/fairpay/ (National Committee on Pay Equity) @@ -12577,7 +11754,7 @@ http://www.shrm.org/docs/FIRmagazine.html {HR Magazine) Sexual Harassment Another contemporary concern is establishing a work environment that is supportive of all -persons and sensitive to their needs, regardless of gender. One aspect of this concern is sex¬ +persons and sensitive to their needs, regardless of gender. One aspect of this concern is sexďż˝ ual harassment, a topic that has received considerable national attention in the wake of several highly publicized cases, including the Clarence Thomas confirmation hearings in 1991, the inquiry into the behavior of Senator Bob Packwood in 1994, and the suit @@ -12587,7 +11764,7 @@ nonreciprocal verbal or physical sexual advances or derogatory remarks that the finds offensive or that interfere with job performance. Sexual harassment especially includes (though is not limited to) situations in which one person in a position of power or influence uses his or her position to encourage or coerce a subordinate or coworker into -undesired sexual activity, even to the point of withholding or taking away job advance¬ +undesired sexual activity, even to the point of withholding or taking away job advanceďż˝ ments or promotions. The courts consider sexual harassment a type of inequality that employers must deal with, both in terms of eliminating offensive behaviors and creating a less hostile or intimidating work environment for both men and women. (See Box 6.4.) @@ -12602,7 +11779,7 @@ BOX 6.4 What Can Agencies Do about Sexual Harassment? 1. Agencies should find ways to capitalize on what is already known about the -most effective actions that can be taken to prevent and eliminate sexual harass¬ +most effective actions that can be taken to prevent and eliminate sexual harassďż˝ ment; that is, they should publicize penalties and encourage assertive actions on the part of employees who are targets of unwanted sexual attention. @@ -12638,9 +11815,9 @@ unreported. (The number of reported incidents has risen dramatically during the the complex and often ambiguous procedures many organizations have for dealing with complaints. Most tend to be lengthy, expensive, and psychologically draining. For this reason, public organizations are currently reviewing their policies on sexual -harassment, establishing more clearly the seriousness of the offense, and develop¬ +harassment, establishing more clearly the seriousness of the offense, and developďż˝ ing strong enforcement and disciplinary measures, including dismissal. The goal is -not only to eliminate specific instances of harassment, but also to create a work envi¬ +not only to eliminate specific instances of harassment, but also to create a work enviďż˝ ronment that is fully supportive of the potential of all employees, both men and women. @@ -12648,16 +11825,16 @@ Aids Policy Related issues having to do with creating a positive work environment arise as public organizations, like others, work to protect the rights of individuals with HIV/AIDS. -The Office of Personnel Management provided one of the first directives for federal agen¬ +The Office of Personnel Management provided one of the first directives for federal agenďż˝ cies, setting a policy that prohibits the discrimination against employees with AIDS and that allows managers to take disciplinary action against anyone who refuses to work with an employee who has AIDS. Among other things, the guidelines said that employees with -AIDS “should be allowed to continue working as long as they are able to maintain +AIDS ďż˝should be allowed to continue working as long as they are able to maintain acceptable performance and do not pose a safety or health threat to themselves or others -in the workplace.” Moreover, because there is no medical basis for someone to refuse to -work with employees with AIDS, where managers feel that employees’ refusal is “imped¬ -ing or disrupting the organization’s work, [the manager] should consider appropriate cor¬ -rective or disciplinary action against the threatening or disruptive employees” (Flavemann, +in the workplace.ďż˝ Moreover, because there is no medical basis for someone to refuse to +work with employees with AIDS, where managers feel that employeesďż˝ refusal is ďż˝impedďż˝ +ing or disrupting the organizationďż˝s work, [the manager] should consider appropriate corďż˝ +rective or disciplinary action against the threatening or disruptive employeesďż˝ (Flavemann, 1988a, p. 34). These considerations have become even more important with the passage of the 1990 @@ -12678,7 +11855,7 @@ Workplace Violence In recent years, the incidence and the threat of violence in the workplace has had a dramatic effect on work environments. While multiple murders and acts of terrorism, such as the -1995 Oklahoma City bombing, tend to capture the public’s attention, other forms of vio¬ +1995 Oklahoma City bombing, tend to capture the publicďż˝s attention, other forms of vioďż˝ lence pose an equally significant threat to workplace safety and quality. Of course, violent crime affects a variety of organizations in all sectors; however, the government remains a primary target. For example, the U.S. Justice Department reported that nearly one-third @@ -12686,33 +11863,33 @@ of the 1 million victims of workplace violence in 1994 were government employees in a separate report, researchers found that in the U.S. Postal Service alone, twenty-nine employees were killed and sixteen wounded from August 1983 to May 1993. -The increase in violence over the past decade has prompted administrators to imple¬ +The increase in violence over the past decade has prompted administrators to impleďż˝ ment strategies for reducing the risk of workplace crime. Some preventive measures include improving the physical environment, adding security and related staff, and -reducing hours of operation during high-risk periods. However, many public adminis¬ +reducing hours of operation during high-risk periods. However, many public adminisďż˝ trators have yet to realize the actual threat of violence that affects their organization. -Some continue to view occupational violence as someone else’s problem. Recent -research on violent crime, though, suggests otherwise. The political nature of govern¬ +Some continue to view occupational violence as someone elseďż˝s problem. Recent +research on violent crime, though, suggests otherwise. The political nature of governďż˝ ment, the deterioration in public perception of government workers, and the increase in -stress loads among public employees combine to make public organizations likely tar¬ +stress loads among public employees combine to make public organizations likely tarďż˝ gets for workplace violence. Removing Employees For whatever reason, things occasionally do not work out on the job. An employee may not live up to expectations or may become unproductive. In cases such as these, your -first step as a manager is to try to improve the individual’s work (a strategy that is, of +first step as a manager is to try to improve the individualďż˝s work (a strategy that is, of course, far easier than recruiting and training a replacement). You may encourage or -counsel the employee, either personally or, better, through an employee assistance pro¬ +counsel the employee, either personally or, better, through an employee assistance proďż˝ gram. Or, in a surprising number of cases, you may be able to restructure the job so as -to better motivate the employee. Concerns about an employee’s work can often be +to better motivate the employee. Concerns about an employeeďż˝s work can often be addressed in positive and productive ways that are helpful to both the individual and the organization. But if your efforts to help the employee fail, you may have to resort to disciplinary action, which might include formal reprimands, reduction of pay, suspension without pay, or outright dismissal. In all cases, it is important to be able to demonstrate that -there is adequate cause for disciplinary action. Simply firing someone for personal rea¬ +there is adequate cause for disciplinary action. Simply firing someone for personal reaďż˝ sons unrelated to the job opens both you and the organization to possible lawsuits; and, of course, firing someone for political reasons is contrary to the whole concept of merit employment in the public sector. @@ -12726,8 +11903,8 @@ cannot take such action in an arbitrary way. The Changing Character of Labor-Management Relations 229 -At the federal level, the Civil Service Reform Act encourages development of perfor¬ -mance appraisal systems that make it easier for managers to document employee incompe¬ +At the federal level, the Civil Service Reform Act encourages development of perforďż˝ +mance appraisal systems that make it easier for managers to document employee incompeďż˝ tence and remove them from the organization. At the state and local levels, various court cases have indicated that employees being terminated have certain due process rights, such as advance notice and the opportunity for a hearing. In any case, if you decide to pursue @@ -12738,19 +11915,19 @@ The Changing Character of Labor-Management Relations An interesting issue that cuts across the field of public personnel management is the rise and decline of public-sector unions. At the federal level, many rather narrow -issues, having to do primarily with working conditions, are resolved through collec¬ +issues, having to do primarily with working conditions, are resolved through collecďż˝ tive bargaining, though more controversial issues, such as compensation and hiring practices, are rarely considered. At state and local levels, there is a patchwork of labor relations practices, ranging from highly restrictive to extremely permissive labor legislation. -The early development of public-sector unions was tied to the reform of the patron¬ +The early development of public-sector unions was tied to the reform of the patronďż˝ age system. With the establishment of merit principles in public employment, employees had greater protection from political intrusions, but they also had fewer direct ways to get the attention of political leaders. To combat the possibility that they might simply be ignored, public employees began organizing in the late 1800s and early 1900s. At first, political leaders strenuously opposed these efforts; at least two presidents issued gag -orders to prevent federal workers from pursuing wage demands except through depart¬ +orders to prevent federal workers from pursuing wage demands except through departďż˝ mental channels. In response, the newly organized employees, led by the postal workers, pressed Congress for recognition, which they finally received in the Lloyd-LaFollette Act of 1912. The only statutory basis for public-sector unionization for more than half a @@ -12759,15 +11936,15 @@ right to strike) and to appeal directly to Congress. With the early emergence of unions at the federal level, a few agencies, such as the Tennessee Valley Authority, developed rather advanced patterns of labor-management -relations; elsewhere, however, public unions emerged relatively slowly, especially in com¬ +relations; elsewhere, however, public unions emerged relatively slowly, especially in comďż˝ parison to their counterparts in the private sector. The slow development of public unions can be explained in part by the several difficult questions that public-sector unionization raised for those in public organizations. First, there was the issue of sovereignty, the notion that the ultimate power to decide -issues of public policy in a democracy lies with the people or their elected representa¬ +issues of public policy in a democracy lies with the people or their elected representaďż˝ tives and cannot properly be delegated, even partially, to some nongovernmental group -such as a union. Illustrating this position, President Franklin Roosevelt wrote, “The +such as a union. Illustrating this position, President Franklin Roosevelt wrote, ďż˝The process of collective bargaining, as usually understood, cannot be transplanted into the public service. . . . The very nature and purpose of Government makes it impossible for administrative officials to represent fully or bind the employer in mutual discussions. @@ -12776,16 +11953,16 @@ administrative officials to represent fully or bind the employer in mutual discu 230 Chapter 6 The Management of Human Resources -The employer is the whole people who speak by means of laws enacted by their repre¬ -sentatives in Congress” (Klingner & Nalbandian, 1985, p. 292). +The employer is the whole people who speak by means of laws enacted by their repreďż˝ +sentatives in Congressďż˝ (Klingner & Nalbandian, 1985, p. 292). A second set of factors restricting the growth of public unions concerns the nature of -governmental services, which are often considered either essential to the community (po¬ +governmental services, which are often considered either essential to the community (poďż˝ lice, fire, national defense) or relatively unprofitable (systems of mass transportation). In -the case of essential services, the ultimate union weapon — the strike — may be seen as -holding the public interest hostage and can backfire; in the case of low-profit undertak¬ -ings, the balancing factor of the market—the fact that a company may go out of busi¬ -ness if pressed too far—does not appear to operate. In either case, the private-sector +the case of essential services, the ultimate union weapon ďż˝ the strike ďż˝ may be seen as +holding the public interest hostage and can backfire; in the case of low-profit undertakďż˝ +ings, the balancing factor of the marketďż˝the fact that a company may go out of busiďż˝ +ness if pressed too farďż˝does not appear to operate. In either case, the private-sector model of collective bargaining seems to apply only loosely. Networking @@ -12798,28 +11975,28 @@ A third factor limiting the growth of public-sector unions through much of this century is the varied nature of government employment and the difficulties this presents for unionizing. Traditionally, unions have organized around occupational groups, such as truck drivers or garment workers. But government employs people in -thousands of occupational groups; to have a union for each group would lead to end¬ -less and unsuccessful bargaining for both sides. The federal government is also char¬ +thousands of occupational groups; to have a union for each group would lead to endďż˝ +less and unsuccessful bargaining for both sides. The federal government is also charďż˝ acterized by geographic dispersion (only about 10 percent of the federal workforce is located in the Washington area), and the fact that there are so many white-collar workers in government, who have been historically reluctant to organize. Thus, the -question of finding an appropriate focus for union activity has been especially diffi¬ +question of finding an appropriate focus for union activity has been especially diffiďż˝ cult at the federal level. Yet unions have been able to organize. Sparked at least partly by the success of unions in the private sector, where the right to bargain collectively was never seriously questioned -after passage of the Wagner Act in 1935, public employees continued to press for recogni¬ -tion of their right to negotiate labor-management disputes. Soon even the sovereignty argu¬ -ment was eroded. Secretary of Labor Willard Wirtz commented, “This doctrine is wrong -in theory; what’s more, it doesn’t work” (Levitan, 1983, p. 6). Bills providing recognition +after passage of the Wagner Act in 1935, public employees continued to press for recogniďż˝ +tion of their right to negotiate labor-management disputes. Soon even the sovereignty arguďż˝ +ment was eroded. Secretary of Labor Willard Wirtz commented, ďż˝This doctrine is wrong +in theory; whatďż˝s more, it doesnďż˝t workďż˝ (Levitan, 1983, p. 6). Bills providing recognition for unions in the public sector were introduced (although unsuccessfully) in every session of Congress from 1949 to 1961. -Just as another such bill seemed stalled in Congress, President Kennedy took the ini¬ +Just as another such bill seemed stalled in Congress, President Kennedy took the iniďż˝ tiative in reforming public labor-management relations by issuing Executive Order -10988 in 1962. Kennedy’s order affirmed the right of federal employees to form and +10988 in 1962. Kennedyďż˝s order affirmed the right of federal employees to form and join unions, set up conditions under which unions would be recognized for purposes of -“meeting and conferring” (discussing, not necessarily negotiating) with management on +ďż˝meeting and conferringďż˝ (discussing, not necessarily negotiating) with management on certain issues, and established limits on the kinds of issues that could be discussed. Though the order placed a great deal of administrative authority in the hands of the @@ -12846,11 +12023,11 @@ comprehensive statute rather than a series of executive orders. Currently, some three out of every five federal workers are represented by unions, the largest of which is the American Federation of Government Employees (AFGE). -But because Congress has refused to permit a “union shop” among federal workers, -though it exists in the private sector, the actual membership of federal unions is signifi¬ +But because Congress has refused to permit a ďż˝union shopďż˝ among federal workers, +though it exists in the private sector, the actual membership of federal unions is signifiďż˝ cantly less than it might otherwise be. (A union shop is an arrangement under which all members of an agency are required to join the union that represents them.) The -AFGE, for instance, negotiates agreements that apply to three times its actual member¬ +AFGE, for instance, negotiates agreements that apply to three times its actual memberďż˝ ship. Despite that fact, however, the percentage of federal workers who pay dues to unions compares quite favorably to that among workers in the private sector; public unions have done quite well in terms of membership (Levitan, 1983, pp. 14-20). @@ -12883,31 +12060,31 @@ both of which operate exclusively at the state and local levels. Steps in the Bargaining Process -The first and major steps in the bargaining process are recognizing the union’s right to -exist, determining the type of bargaining permitted, and determining the scope of bar¬ +The first and major steps in the bargaining process are recognizing the unionďż˝s right to +exist, determining the type of bargaining permitted, and determining the scope of barďż˝ gaining. The scope of bargaining is a source of continuing debate in many jurisdictions. -Legislation may prescribe areas where negotiation is permitted, areas where it is prohib¬ -ited, and areas where it is required. But the applicable legislation may range from a pro¬ +Legislation may prescribe areas where negotiation is permitted, areas where it is prohibďż˝ +ited, and areas where it is required. But the applicable legislation may range from a proďż˝ hibition on negotiating wages and salaries (as exists at the federal level) to situations in which wages and salaries are at the heart of the process (as in many states and localities). -Even beyond these questions, many other issues are less clear. For example, does inclu¬ +Even beyond these questions, many other issues are less clear. For example, does incluďż˝ sion of work methods and procedures in a bargaining arrangement for public schools mean that teachers can negotiate class sizes? -The typical procedure requires that organizers who wish to represent employees peti¬ +The typical procedure requires that organizers who wish to represent employees petiďż˝ tion the administrative authority to establish a bargaining unit that will represent the employees in conferring or negotiating various issues. (The decision to include or exclude certain groups in the bargaining unit is called unit determination.) Whereas the -traditional standard for setting unit boundaries has been to establish a “community of -interests,” governments have loosely applied this concept, in some cases recognizing +traditional standard for setting unit boundaries has been to establish a ďż˝community of +interests,ďż˝ governments have loosely applied this concept, in some cases recognizing agency-based units (the Department of Social Services or the Department of Mental -Health) and in others recognizing units based on occupational classes (nurses, custodi¬ +Health) and in others recognizing units based on occupational classes (nurses, custodiďż˝ ans, or security officers). After deciding on the bargaining unit, some mechanism must -be established to ensure coordination among the various groups and to prevent whip¬ +be established to ensure coordination among the various groups and to prevent whipďż˝ saw tactics (arguing that pay or benefits negotiated by one group should apply to others as well). -A similar concern is where to draw the line between managers and workers; for exam¬ +A similar concern is where to draw the line between managers and workers; for examďż˝ ple, are first-line supervisors part of the bargaining unit or part of management? The importance of this issue was illustrated in the case of NLRB v. Yeshiva University (1980), in which it was determined that faculty at Yeshiva University, a private university, are @@ -12917,16 +12094,16 @@ any unit determination; inclusion or exclusion of supervisors in the bargaining varies greatly from place to place. After appropriate bargaining units have been established, the administrative authority -may either voluntarily recognize a particular union, essentially by petition, as represent¬ +may either voluntarily recognize a particular union, essentially by petition, as representďż˝ ing a group of employees, or it may conduct an election to determine which, if any, union will represent the employees in that area. Once a union has been recognized, it is usually granted exclusive representation of employees in the unit, including the ability to -bargain on all issues required or permitted by law. (The reverse of this process, decertifi¬ +bargain on all issues required or permitted by law. (The reverse of this process, decertifiďż˝ cation, is rare, though it can occur.) -Bargaining may then begin, typically with both sides bargaining in good faith— +Bargaining may then begin, typically with both sides bargaining in good faithďż˝ attempting to resolve the issues at hand even while following the strategy they feel will -be most advantageous to them. In most cases, the bargaining process results in an agree¬ +be most advantageous to them. In most cases, the bargaining process results in an agreeďż˝ ment; occasionally it does not. Where an impasse occurs, there are several possibilities for resolving the issue: mediation, fact-finding, and arbitration. @@ -12935,8 +12112,8 @@ for resolving the issue: mediation, fact-finding, and arbitration. The Changing Character of Labor-Management Relations 233 1. Mediation involves the use of a neutral third party to attempt to work out a settlement. -The work of the mediator is to assist the parties in communicating and clarifying their posi¬ -tions, but not to impose solutions. Though the mediator’s recommendations are not bind¬ +The work of the mediator is to assist the parties in communicating and clarifying their posiďż˝ +tions, but not to impose solutions. Though the mediatorďż˝s recommendations are not bindďż˝ ing, professional mediators are remarkably successful in helping parties reach agreements. 2. Fact finding employs the third party in a somewhat more investigative and judicial role, to examine evidence on both sides of the issue, present the evidence, and, in most cases, @@ -12948,7 +12125,7 @@ recommendations that are usually binding on the parties. One form of arbitration has received attention recently is final-offer arbitration, a technique in which both parties must present their best offer with the understanding that the arbitrator will choose one or the other without modification. Presumably, since both parties know that unreasonable -proposals will lead to the arbitrator’s choosing the opposing proposal, it is in the interest +proposals will lead to the arbitratorďż˝s choosing the opposing proposal, it is in the interest of both parties to submit their most reasonable position. To Strike or Not to Strike @@ -12964,16 +12141,16 @@ protection, may justify different standards in the public sector. Experts make the following arguments against public employee strikes: -1. Strikes violate sovereignty (conceding authority to any special interest group contra¬ +1. Strikes violate sovereignty (conceding authority to any special interest group contraďż˝ venes the public interest). -2. Public services are essential and cannot be interrupted. In effect, all government ser¬ +2. Public services are essential and cannot be interrupted. In effect, all government serďż˝ vices are vital. 3. Traditional channels of influence on public policy exist for unions: lobbying and voting. 4. Whereas strikes in the private sector are usually of an economic nature, those in the public service are political. They are strategies that use the leverage of public inconvenience to cause a redirection of budgetary priorities (Siegel & Myrtle, 1985, pp. 377-378). -On the other hand, advocates of public employees’ right to strike make these points: +On the other hand, advocates of public employeesďż˝ right to strike make these points: 1. Public employee strikes occur whether or not they are illegal and regardless of heavy penalties prescribed by law. @@ -12982,50 +12159,50 @@ penalties prescribed by law. 234 Chapter 6 The Management of Human Resources -2. In strike situations, labor-management conflict bŁcomes channeled and socially con¬ -structive— both labor and management gain greater understanding of each other and of +2. In strike situations, labor-management conflict bďż˝comes channeled and socially conďż˝ +structiveďż˝ both labor and management gain greater understanding of each other and of the consequences of work stoppages. -3. The right to strike enhances a union’s strength as a bargaining agent. Lack of the ulti¬ -mate ability to withdraw services weakens labor’s position at the bargaining table. +3. The right to strike enhances a unionďż˝s strength as a bargaining agent. Lack of the ultiďż˝ +mate ability to withdraw services weakens laborďż˝s position at the bargaining table. 4. Many private workers doing the same work that public employees do (for example, in transit, health care, garbage collection, and communications) have the right to strike, and for many other public employees (clerks, for instance), the public consequences of striking would be little different from what they are when private-sector clerks strike. Though strikes at the state and especially at the local level are more frequent, two -landmark strikes at the federal level were especially dramatic. The postal workers’ strike +landmark strikes at the federal level were especially dramatic. The postal workersďż˝ strike of 1970 occurred when members of the Manhattan-Bronx Branch of the National -Association of Letter Carriers voted to strike against the U.S. Postal Service. The imme¬ -diate issue was the low wage scale for carriers—a scale that left a substantial number +Association of Letter Carriers voted to strike against the U.S. Postal Service. The immeďż˝ +diate issue was the low wage scale for carriersďż˝a scale that left a substantial number of postal workers on welfare. Beyond this concern, the postal workers desired the right to negotiate wages and benefits, especially if the Nixon administration followed its plans to make the post office a government corporation. The strike began with about 25,000 postal workers in New York City, but soon spread up and down the East Coast and to -several major cities around the country, ultimately involving some 200,000 union mem¬ +several major cities around the country, ultimately involving some 200,000 union memďż˝ bers. As the situation became more intolerable, President Nixon sent 27,500 National Guardsmen into New York to sort and deliver the mail. He also broke a long-standing precedent, however, and agreed to permit postal workers to bargain for wages. Following this agreement, the postal workers returned to work, most claiming victory in -the strike. Eventually, the Postal Reorganization Act was passed, setting up the govern¬ +the strike. Eventually, the Postal Reorganization Act was passed, setting up the governďż˝ ment corporation Nixon sought, and also providing for a bargaining pattern similar to that in the private sector. -A quite different result occurred when members of the Professional Air Traffic Control¬ +A quite different result occurred when members of the Professional Air Traffic Controlďż˝ lers Organization (PATCO) went on strike in August 1981. PATCO had earlier established -itself as one of the most powerful and most militant of the public unions, boasting 90 per¬ -cent of the FAA’s air traffic controllers as members (probably the highest percentage +itself as one of the most powerful and most militant of the public unions, boasting 90 perďż˝ +cent of the FAAďż˝s air traffic controllers as members (probably the highest percentage among federal-level unions at the time). Early in the year, the FAA was pressured into negotiating with the union concerning issues of wages and working conditions, even though it had no statutory power to do so and could only recommend wage increases to Congress. The union, arguing that the controllers were underpaid and subject to severe job stress, presented several demands, including a $10,000 across-the-board annual salary increase for the controllers and a four-day, thirty-two-hour workweek. Although the FAA -did not meet these demands, then-Secretary of Transportation Drew Lewis agreed to sup¬ +did not meet these demands, then-Secretary of Transportation Drew Lewis agreed to supďż˝ port a $40 million package of improvements, including a $4,000 wage increase. However, 95 percent of the union membership rejected this proposal. After a final round of negotiations was unsuccessful, the union decided to strike. -Union leader Robert Poli declared, “The only illegal strike is one that fails” (Steele, 1982, +Union leader Robert Poli declared, ďż˝The only illegal strike is one that failsďż˝ (Steele, 1982, p. 38). As it turned out, this strike was to fail. What had begun as a confrontation between the union and the FAA now became a confrontation between the union and the White House. President Reagan acted decisively, fining the union and firing nearly @@ -13047,21 +12224,21 @@ The character and role of organized labor has undergone a fundamental change dur 1990s, as efforts to reinvent government and reform personnel processes have redefined the ties between labor and management. In some respects, the influence of unions has been diminished by the more businesslike approach taken by government agencies. Contracting -out and privatization, too, have contributed to labor’s troubles, due to more and more ser¬ +out and privatization, too, have contributed to laborďż˝s troubles, due to more and more serďż˝ vices being delivered by private or nongovernmental organizations. The net result has been a drop not only in the power of unions, but in some cases in the level of union membership. -For instance, while AFGE still represents more than 640,000 employees, its roster of mem¬ +For instance, while AFGE still represents more than 640,000 employees, its roster of memďż˝ bers nearly was cut in half during the last two decades. And, though a few public employee unions grew during this period, the overall trend has been a decline in union representation. What remains the same, however, is the highly confrontational nature of the labor- -management relationship, with many identifying collective bargaining as a key contrib¬ +management relationship, with many identifying collective bargaining as a key contribďż˝ utor to the problem. Though collective bargaining has been useful in private-sector contract negotiations, its application by public agencies often results in bitter contests between management and staff personnel. As a consequence, the National Commission -on State and Local Government reported that an “adversarial climate . . . has predomi¬ -nated. It is a climate that can stifle innovation and government’s ability to get the job -done.” Public organizations often spend months, or sometimes years, trying to reach +on State and Local Government reported that an ďż˝adversarial climate . . . has predomiďż˝ +nated. It is a climate that can stifle innovation and governmentďż˝s ability to get the job +done.ďż˝ Public organizations often spend months, or sometimes years, trying to reach agreements or attempting to effectively manage existing contracts. Meanwhile, the relationship between managers and union employees becomes bogged down over what amounts to minuscule matters. @@ -13074,7 +12251,7 @@ approach to labor issues. To carry out these objectives, the order created the N Partnership Council, with representatives from public unions, management, and the Public Employee Department of the AFL-CIO. -Change in labor-management relations also has been targeted in the culture and lead¬ +Change in labor-management relations also has been targeted in the culture and leadďż˝ ership styles that characterize public organizations. Many public agencies have opted for a more participatory form of management, thus precluding the legalistic, not to mention lengthy, process of collective bargaining. Administrators work to dismantle bureaucratic @@ -13086,16 +12263,16 @@ traditional channels. The result is a more effective, productive organization. 236 Chapter 6 The Management of Human Resources -B°X 6.5 \ ... +Bďż˝X 6.5 \ ... Labor-Management Cooperation -To strengthen relations between labor and management at Wisconsin’s Department of +To strengthen relations between labor and management at Wisconsinďż˝s Department of Industry, Labor and Human Relations (DILHR), Secretary Carol Skornicka two years ago established a twelve-member Labor Management Advisory Council. -The council includes six management and six union representatives, including rep¬ -resentatives from the department’s six divisions. The group meets monthly with the +The council includes six management and six union representatives, including repďż˝ +resentatives from the departmentďż˝s six divisions. The group meets monthly with the following groundrules: 1. Decisions are by consensus. @@ -13105,10 +12282,10 @@ following groundrules: The council is advisory, but operates under a strong presumption that the Secretary will act upon consensus recommendations on non-contractual issues. -The council’s goal is to build labor-management policies that foster harmony, trust -and cooperation. “We’ve got good relations at the top,” says Tom Lonsdorf, a board -member of the Wisconsin State Employees Union, Council 24, AFSCME. “Now we’ve -got to move it down through the organization to get that team concept throughout” +The councilďż˝s goal is to build labor-management policies that foster harmony, trust +and cooperation. ďż˝Weďż˝ve got good relations at the top,ďż˝ says Tom Lonsdorf, a board +member of the Wisconsin State Employees Union, Council 24, AFSCME. ďż˝Now weďż˝ve +got to move it down through the organization to get that team concept throughoutďż˝ the department. SOURCE: Copyright 1994 by the National Academy of Public Administration Foundation, 1120 G Street, @@ -13125,11 +12302,11 @@ of communication between labor and management appears necessary. Correcting Patterns of Discrimination in Public Employment Whereas civil service systems have traditionally emphasized the concept of merit in public -employment, other values have become increasingly important. Most prominent is a con¬ +employment, other values have become increasingly important. Most prominent is a conďż˝ cern for correcting patterns of discrimination in hiring and treatment of workers in public agencies. The two terms that have been central to that debate are equal employment -opportunity and affirmative action. Equal employment opportunity refers to efforts to elim¬ -inate employment discrimination on the basis of race, ethnic background, sex, age, or phys¬ +opportunity and affirmative action. Equal employment opportunity refers to efforts to elimďż˝ +inate employment discrimination on the basis of race, ethnic background, sex, age, or physďż˝ ical handicap; it simply seeks to ensure that all persons have an equal chance to compete for @@ -13137,9 +12314,9 @@ ical handicap; it simply seeks to ensure that all persons have an equal chance t Correcting Patterns of Discrimination in Public Employment 23 7 and hold positions of employment based on their job qualifications. Affirmative action, on -the other hand, involves the use of “positive, results-oriented practices to ensure that -women, minorities, handicapped persons, and other protected classes of people will be equi¬ -tably represented in the organization” (Hall & Albrecht, 1979, p. 26). +the other hand, involves the use of ďż˝positive, results-oriented practices to ensure that +women, minorities, handicapped persons, and other protected classes of people will be equiďż˝ +tably represented in the organizationďż˝ (Hall & Albrecht, 1979, p. 26). The concept of equal opportunity has a firm basis in constitutional and legal history, but the primary piece of federal legislation guiding current practices is the Civil Rights @@ -13157,23 +12334,23 @@ of discrimination; this requirement was included in an executive order issued by Johnson. Executive Order 11246 sought to secure compliance with the Civil Rights Act by requiring that federal contractors not discriminate on the basis of race, creed, or national origin and that they develop affirmative action programs leading to equal employment -practices. President Johnson’s Executive Order 11375 later added women to the list of +practices. President Johnsonďż˝s Executive Order 11375 later added women to the list of protected groups and specified requirements for affirmative action plans. These requirements were first applied to federal contractors, but were soon adopted elsewhere in government and the private sector. The Civil Rights Act of 1964 had -declared “that it shall be the policy of the United States to ensure equal employment -opportunities for federal employees,” but it was an executive order issued by President -Nixon in 1969 that required agency heads to create “affirmative programs” in eliminat¬ +declared ďż˝that it shall be the policy of the United States to ensure equal employment +opportunities for federal employees,ďż˝ but it was an executive order issued by President +Nixon in 1969 that required agency heads to create ďż˝affirmative programsďż˝ in eliminatďż˝ ing patterns of discrimination (Shafritz, Hyde, & Rosenbloom, 1981, pp. 185-186). Similarly, state and local governments were brought under the provisions of the Civil Rights Act in 1972 and were threatened with loss of federal funds in the event of non- -compliance. Title IX of the Higher Education Act of 1972 was interpreted to require uni¬ +compliance. Title IX of the Higher Education Act of 1972 was interpreted to require uniďż˝ versities to provide equal athletic opportunities for both sexes in intercollegiate sports; the penalty was withdrawal of federal funds from universities found not in compliance. During the past two decades, however, there has been a waning of support for equal -employment opportunity programs. Beginning in 1984, with the Supreme Court’s ruling +employment opportunity programs. Beginning in 1984, with the Supreme Courtďż˝s ruling in Grove City v. Bell (1984), limits on the applicability of civil rights legislation have been the source of considerable controversy. In Grove, the Court narrowly interpreted the law as it regarded sex discrimination to mean that federal funds were to be restricted from the @@ -13183,9 +12360,9 @@ federal funds would be cut off, but funds to other parts of the institution woul The effect of the Grove case was to severely limit enforcement power of the federal legislation dealing with sex discrimination, and, by implication, similar legislation dealing -with discrimination based on race, age, or handicap. Barely a week after the Grove rul¬ +with discrimination based on race, age, or handicap. Barely a week after the Grove rulďż˝ ing, for example, the Department of Education dropped charges against the University of -Maryland’s athletic programs because they did not receive federal aid — although the +Marylandďż˝s athletic programs because they did not receive federal aid ďż˝ although the @@ -13197,7 +12374,7 @@ teeth back into the various civil rights laws. The Civil Rights Restoration Act, an overwhelming bipartisan majority, applies not only to educational institutions, but to a wide range of other public and private organizations receiving federal funds. -The Civil Rights Restoration Act, in many respects, proved to be the last of Congress’ +The Civil Rights Restoration Act, in many respects, proved to be the last of Congressďż˝ progressive stances on civil rights. Since then, equal opportunity legislation has come under fire from a conservative judiciary (for example, Kimel v. Florida Board of Regents [2000] and University of Alabama v. Garrett [2001], which will be discussed in more @@ -13208,7 +12385,7 @@ those petitioning on the grounds of discrimination. ADA In 1990, the Americans with Disabilities Act was passed. The purpose of the ADA is to -prohibit discrimination against 43 million Americans who live with some type of disabil¬ +prohibit discrimination against 43 million Americans who live with some type of disabilďż˝ ity. Beginning in 1992, the ADA prohibited employers of twenty-five or more persons from discriminating against people with disabilities who can satisfactorily meet the expectations of the job they hold or seek, with or without reasonable accommodation. @@ -13217,8 +12394,8 @@ able to perform the essential functions of the position. However, the employer i required to make reasonable accommodations to the work environment so the disabled person can perform to the best of his or her ability (Bishop & Jones, 1993, p. 122). -With respect to public services, the ADA prohibits excluding a person from participat¬ -ing in programs or activities of a public entity or denying an individual benefits of its ser¬ +With respect to public services, the ADA prohibits excluding a person from participatďż˝ +ing in programs or activities of a public entity or denying an individual benefits of its serďż˝ vices. A public entity is defined to include not only the federal government but any part of state or local government. Other sections of the act deal with transportation, public accommodations, and telecommunications. @@ -13228,15 +12405,15 @@ design of public facilities, a recent Supreme Court decision dealt a major blow enforceability of the law. In University of Alabama v. Garrett (2001), the Court reviewed a petition brought by employees of the state who claimed to have been discriminated against under the ADA. The Court ruled against the plaintiffs, stating that suits of this -nature abrogate states’ immunity under the Eleventh Amendment. In doing so, the Court +nature abrogate statesďż˝ immunity under the Eleventh Amendment. In doing so, the Court effectively blocked the rights of state employees to file suit for monetary damages in federal court for discrimination under the ADA. Questions of Compliance -Early efforts to prove discrimination against an employer required proof of evil inten¬ -tion—evidence that the employer was knowingly discriminating. The difficulty of proving -intent led to a new focus on unequal treatment—proof that an employer used different +Early efforts to prove discrimination against an employer required proof of evil intenďż˝ +tionďż˝evidence that the employer was knowingly discriminating. The difficulty of proving +intent led to a new focus on unequal treatmentďż˝proof that an employer used different @@ -13249,9 +12426,9 @@ In 1971, however, the Supreme Court, in Griggs v. Duke Power Company, settled on a new definition, adverse or disparate impact. The Griggs decision held that it was no longer necessary to prove discriminatory motive or differential treatment; it was simply necessary to show that employment practices affect one group more harshly than -another. The Court stated, “Practices, procedures, or tests neutral on their face, and even -neutral in terms of intent cannot be maintained if they operate to ‘freeze’ the status quo -of prior discriminatory practices” (Hays & Reeves, 1984, p. 354). +another. The Court stated, ďż˝Practices, procedures, or tests neutral on their face, and even +neutral in terms of intent cannot be maintained if they operate to ďż˝freezeďż˝ the status quo +of prior discriminatory practicesďż˝ (Hays & Reeves, 1984, p. 354). The notion of adverse impact has been articulated more fully in a set of Uniform Guidelines agreed upon by federal agencies. Under the Uniform Guidelines, employers are @@ -13261,12 +12438,12 @@ groups in selection for a position. If, for example, women constitute 50 percent labor market, yet only 20 percent of the workforce are women, there is evidence of adverse impact. (Actual figures show that about 41 percent of employees in local government are women, 41 percent of employees in state government are women, and 43 percent of -employees in federal government are women. And, of course, women are disproportion¬ +employees in federal government are women. And, of course, women are disproportionďż˝ ately represented in lower-paying positions, such as secretarial or clerical jobs.) The guidelines also follow another aspect of the Griggs case in requiring employers whose practices are found to have adverse impact to demonstrate the job relatedness of -tests or procedures used in hiring or promotion decisions. That is, if a screening test can¬ +tests or procedures used in hiring or promotion decisions. That is, if a screening test canďż˝ not be shown to relate specifically to job performance, then it cannot be used as a criterion in making employment decisions. Elimination of the Professional and Administrative Career Examination (PACE), which we noted earlier, is a classic case of the job-relatedness @@ -13276,11 +12453,11 @@ these persons would hold and had an adverse impact on African Americans and Hisp For this reason, the exam was shelved. A conservative shift in the Supreme Court, however, led to an end in these protective -standards. In Wards Cove v. San Antonio (1989), the court reversed the Griggs interpreta¬ +standards. In Wards Cove v. San Antonio (1989), the court reversed the Griggs interpretaďż˝ tion of Title VII and ruled that plaintiffs, not employers, must substantiate their position in discrimination cases. In particular, the court deemed unconstitutional the earlier ruling that allowed the establishment of a prima facie case based on the so-called four-fifths -rule—that is, when minority hires constitute less than 80 percent of the nonminority +ruleďż˝that is, when minority hires constitute less than 80 percent of the nonminority hires. While the Wards Cove packing plant paid minority employees less and segregated their living and dining quarters, justices said that the workers would have to prove that such practices created a gap between the percentage of minorities actually employed and @@ -13289,44 +12466,44 @@ the percentage in the workforce. Federal lawmakers tried repeatedly to counter the Wards Cove ruling and restore the more progressive provisions of Griggs, finally adopting the Civil Rights Act of 1991. In many respects, though, the act only confused the issue of Title VII protection. -Progressive critics argued that too much had to be sacrificed in order to gain the act’s -approval. While it contained several important provisions, such as extending the defini¬ +Progressive critics argued that too much had to be sacrificed in order to gain the actďż˝s +approval. While it contained several important provisions, such as extending the definiďż˝ tion of discrimination to personnel decisions other than hiring and promotion, the act 240 Chapter 6 The Management of Human Resources -still placed in the court’s hands the final decision on what can be considered discrimina¬ +still placed in the courtďż˝s hands the final decision on what can be considered discriminaďż˝ tion in the workplace. -Consequently, the courts have continued to narrow the bounds on what constitutes dis¬ -crimination. The Supreme Court’s decision in University of Alabama v. Garrett (2001) was +Consequently, the courts have continued to narrow the bounds on what constitutes disďż˝ +crimination. The Supreme Courtďż˝s decision in University of Alabama v. Garrett (2001) was discussed previously, but another example of this trend can be seen in Kimel v. Florida -Board of Regents (2000). In Kimel, the Court considered a challenge to the Age Discri¬ +Board of Regents (2000). In Kimel, the Court considered a challenge to the Age Discriďż˝ mination in Employment Act (ADEA) that allows suits to be filed against state governments for monetary damages on the grounds of discrimination in employment decisions. The case -was filed by three sets of petitioners in Florida, who claimed to have experienced discrimi¬ +was filed by three sets of petitioners in Florida, who claimed to have experienced discrimiďż˝ nation on the basis of age during the employment process. However, the Court not only ruled against the plaintiffs, but also criticized Congress for passing the ADEA in the first -place. The Court held that (1) “age is not a suspect classification under the Equal Protection +place. The Court held that (1) ďż˝age is not a suspect classification under the Equal Protection Clause, and so states may discriminate on the basis of age without offending the Fourteenth -Amendment, if the age classification in question is rationally related to a legitimate state in¬ -terest” and (2) Congress had “failed to identify a widespread pattern of age discrimination +Amendment, if the age classification in question is rationally related to a legitimate state inďż˝ +terestďż˝ and (2) Congress had ďż˝failed to identify a widespread pattern of age discrimination by states, and it concluded this failure confirms that Congress had no reason to believe that -broad prophylactic legislation was necessary in this field” (Wise, 2001, p. 348). +broad prophylactic legislation was necessary in this fieldďż˝ (Wise, 2001, p. 348). The long-term impact of the University of Alabama v. Garrett and Kimel decisions remains to be seen, but the immediate effect is that the burden of proof now lies with the plaintiff on matters of discrimination. Moreover, given the underlying message in the -Court’s rulings, it appears that even the statutory foundation of equal opportunity -employment has come under scrutiny, leaving us to wonder if our days of formal protec¬ +Courtďż˝s rulings, it appears that even the statutory foundation of equal opportunity +employment has come under scrutiny, leaving us to wonder if our days of formal protecďż˝ tion against discrimination may be numbered. Affirmative Action and Reverse Discrimination -Another area of intense controversy involves attempts to correct past patterns of dis¬ -crimination against minorities and women, namely the use of affirmative action pro¬ +Another area of intense controversy involves attempts to correct past patterns of disďż˝ +crimination against minorities and women, namely the use of affirmative action proďż˝ grams. Such plans typically include (1) a statement of policy indicating a commitment to correct discrimination with respect to employment practices; (2) an analysis of existing practices and their results; and (3) a statement of goals to improve those practices. @@ -13338,7 +12515,7 @@ groups (and are rarely used in actual practice), goals or timetables are intende flexible and are to be established internally by the employer. Both goals and quotas may involve numbers (and this causes some of the confusion), but the goals are merely intended to show a direction in which an employer wishes to move; generally, a good -faith effort in that direction will be viewed as satisfactory in terms of providing opportu¬ +faith effort in that direction will be viewed as satisfactory in terms of providing opportuďż˝ nities for equal employment. Even the Supreme Court has found it difficult to clarify exactly what is acceptable and @@ -13359,27 +12536,27 @@ the program voluntarily to eliminate obvious patterns of discrimination and that not necessitate the discharge of white workers (Stewart, 1983). On the other hand, in Firefighters Local Union #1784 v. Stotts (1984), the Court held that a lower court could not order an employer to lay off more senior employees in favor of less senior employees on the -basis of race to preserve a specific percentage of minority employees. The emerging consen¬ +basis of race to preserve a specific percentage of minority employees. The emerging consenďż˝ sus, reflected in such recent cases as United States v. Paradise (1987) and Johnson v. Transportation Agency (1987), seems to be that affirmative action programs will be limited to specific needs and circumstances. Broad-scale programs are not likely to be accepted. More recently, the federal courts also have begun to hear challenges to affirmative action programs used by universities to increase student diversity. Following a federal -appellate court’s decision in Hopwood v. University of Texas Law School (1996), in +appellate courtďż˝s decision in Hopwood v. University of Texas Law School (1996), in which the school was barred from using race as a factor in admissions decisions, several suits were filed against institutions across the country, including the University of Michigan, University of Maryland, University of Georgia and others. Given this trend, as well as the increasingly conservative view in Washington and in -many states, as evident in California’s Proposition 209 (1996) that ended affirmative +many states, as evident in Californiaďż˝s Proposition 209 (1996) that ended affirmative action programs, the future of affirmative action seems questionable. Some suggest that while preferences and so-called set asides leveled the playing field, they no longer offer -what the nation needs to ensure a diverse workforce. Unfortunately, though, the dis¬ +what the nation needs to ensure a diverse workforce. Unfortunately, though, the disďż˝ course on the issue often degenerates into political rhetoric with both sides losing sight -of an important principle—that is, not only must all persons have an equal opportunity +of an important principleďż˝that is, not only must all persons have an equal opportunity to serve but also that the distinct contribution made by each person must be appreciated. -By pursuing an agenda to enhance diversity, organizations may gain important contribu¬ +By pursuing an agenda to enhance diversity, organizations may gain important contribuďż˝ tions from a broader range of viewpoints. A few alternatives have been offered for promoting and sustaining such diversity, @@ -13389,10 +12566,10 @@ all levels to contribute action steps for achieving this goal. Periodic assessme used to determine how successful the organizational change has been and to identify any future barriers the group may need to overcome. The U.S. Forest Service, for example, has been working on the issue of diversity for a number of years. The Forest Service takes the -position that since the character of the nation’s workforce is changing, the character of the -Forest Service must also change. “To be competitive in the business sense, the Forest +position that since the character of the nationďż˝s workforce is changing, the character of the +Forest Service must also change. ďż˝To be competitive in the business sense, the Forest Service must have a multicultural workforce that is representative of our multicultural -society. Such a workforce will increase the productivity and quality of the organization” +society. Such a workforce will increase the productivity and quality of the organizationďż˝ (Denhardt, 1993, p. 118). The Glass Ceiling @@ -13411,12 +12588,12 @@ key jobs that lead to middle- and upper-management positions. Similarly, at the local level, about 41 percent of government employees are women, but they still fill only 27 percent of the management positions. -The “glass ceiling” encountered by many women and minorities has been recognized -in several recent studies. Data from OPM revealed that “women were promoted less than +The ďż˝glass ceilingďż˝ encountered by many women and minorities has been recognized +in several recent studies. Data from OPM revealed that ďż˝women were promoted less than men who had comparable amounts of formal education and experience and who entered -government at the same grade levels as the women; and women face obstacles to advance¬ +government at the same grade levels as the women; and women face obstacles to advanceďż˝ ment at lower levels in the pipeline. For those women who have advanced, it usually -meant staying late, relocating, or working longer hours” (Desky, 1992, p. 1). Recognizing +meant staying late, relocating, or working longer hoursďż˝ (Desky, 1992, p. 1). Recognizing these concerns, the Civil Rights Act of 1991 set up a glass ceiling commission to study the barriers to the advancement of women and minorities in the private sector. @@ -13430,23 +12607,23 @@ forces to achieve parity, meaning that firms are not obligated to contract with contractors. The result of these trends is that despite some gains made by women to achieve equal -treatment, they still experience a significant gap in pay, job status and overall employ¬ +treatment, they still experience a significant gap in pay, job status and overall employďż˝ ment opportunity. Recent figures suggest that more women are becoming entrepreneurs now than a decade ago, with about 37 percent of American firms owned by women compared to 22 percent, and that the pay gap has closed to 76 cents from 61 cents on -each dollar of a man’s salary. The divide has even closed for minority women, who now -earn 61 cents to each dollar earned by a white male. But supporters of women’s rights +each dollar of a manďż˝s salary. The divide has even closed for minority women, who now +earn 61 cents to each dollar earned by a white male. But supporters of womenďż˝s rights argue that these figures, rather than marking a significant improvement for women, tend to be used more as ammunition for lawmakers who want to end affirmative action and other civil rights programs. The political debate in Washington, and in communities across the country, has shifted so far away from any type of set-asides or preferential treatment that even advocates for -women find themselves side-stepping the labels outright in their efforts to lobby for new leg¬ +women find themselves side-stepping the labels outright in their efforts to lobby for new legďż˝ islation. In fact, even some advocates for protection on the basis of race, sexual preference and other factors have turned away from protection of women, arguing that women have achieved equal opportunity and that continuation of affirmative action not only would give -an undue advantage but that it will begin to negatively affect women’s self-perception. +an undue advantage but that it will begin to negatively affect womenďż˝s self-perception. The Debate over Comparable Worth @@ -13461,58 +12638,58 @@ Correcting Patterns of Discrimination in Public Employment 143 1. Studies have shown that female electricians make less money on the average than male electricians doing the same work. In situations like this, should employers be required by -law to increase women’s pay to equal that of men? +law to increase womenďż˝s pay to equal that of men? 2. Studies have shown that nurses, who have greater job skills and more extensive responsibilities than electricians, make less money on the average than electricians. Most nurses are women and most electricians are men. In situations like this, should -employers be required by law to increase nurses’ pay to match their job skills and +employers be required by law to increase nursesďż˝ pay to match their job skills and responsibilities? The first question raises the familiar issue of equal pay for equal work; the second rests on the concept of equal pay for comparable work. The comparable worth issue has its roots in Title VII of the Civil Rights Act of 1964, which prohibited discrimination -based on sex, and in the Equal Pay Act of 1963, which provided for equal pay “on jobs +based on sex, and in the Equal Pay Act of 1963, which provided for equal pay ďż˝on jobs the performance of which requires equal skills, effort, and responsibility, and which are -performed under similar working conditions.” These two pieces of legislation (primarily +performed under similar working conditions.ďż˝ These two pieces of legislation (primarily the former) provide the basis upon which action can be taken to redress past patterns of discrimination. -Here is how it works. Persons in a female-dominated field seeking to prove discrim¬ +Here is how it works. Persons in a female-dominated field seeking to prove discrimďż˝ ination would have to convince a court that their work requires equal skills, effort, and responsibility, and is performed under working conditions similar to those in a comparable male-dominated field. If these matters could be proven, the defendant -company or agency would then have to convince the court that the reason for the dif¬ +company or agency would then have to convince the court that the reason for the difďż˝ ference was not sex discrimination but rather something that occurred under one of -the Equal Pay Act’s exceptions. These exceptions permit paying workers of different -sexes different wages where there is (1) a seniority system, (2) a merit system, (3) a sys¬ -tem that measures earnings by quantity and quality of production, or where the differ¬ -ential is based on a factor other than sex; for example, where there is a scarcity of peo¬ +the Equal Pay Actďż˝s exceptions. These exceptions permit paying workers of different +sexes different wages where there is (1) a seniority system, (2) a merit system, (3) a sysďż˝ +tem that measures earnings by quantity and quality of production, or where the differďż˝ +ential is based on a factor other than sex; for example, where there is a scarcity of peoďż˝ ple to fill a particular job. The issue of comparable worth became a hot topic recently in the nonprofit sector, -when a report revealed sharp disparities in management positions and pay scales at char¬ +when a report revealed sharp disparities in management positions and pay scales at charďż˝ itable organizations. According to a GuideStar survey of 75,000 charities nationwide, women are less likely than men to serve in executive roles at larger (and better paying) organizations, but even when they do act as top managers they are paid anywhere from 21 percent to 47 percent less than their male counterparts (Lipman, 2001, p. 33). The purpose of the study was to provide a benchmark for nonprofits to use when setting -pay scales, as a way of staying in line with federal guidelines. However, the report’s +pay scales, as a way of staying in line with federal guidelines. However, the reportďż˝s sponsors said they hoped the study would do more to level the playing field for women in philanthropy. Those who argue against the concept of comparable worth hold that even the best available job analyses cannot properly compare apples and oranges and that, even if they could, it would be improper (as well as excessively costly) to intervene in wage setting. -It is much better, they contend, to let the market decide prevailing wages in various occu¬ +It is much better, they contend, to let the market decide prevailing wages in various occuďż˝ pations and for women who desire higher pay to train for different jobs. On the other -hand, those who favor the notion of comparable worth point out that the full-time earn¬ +hand, those who favor the notion of comparable worth point out that the full-time earnďż˝ ing power of women has consistently been about 60 percent of that of men over the past 244 Chapter 6 The Management of Human Resources -decade and that where pay differentials are clearly the result of'patterns of sex discrimi¬ +decade and that where pay differentials are clearly the result of'patterns of sex discrimiďż˝ nation, corrective action should be taken. Again, regardless of the outcome of specific cases, it is clear that managers in public @@ -13524,12 +12701,12 @@ the public workplace. Political Appointee-Career Executive Relations -The tension between political responsiveness and managerial effectiveness that character¬ +The tension between political responsiveness and managerial effectiveness that characterďż˝ izes public management is especially well illustrated in the relationship between political -appointees and career executives. Each newly elected administration, whether at the fed¬ +appointees and career executives. Each newly elected administration, whether at the fedďż˝ eral, state, or local level, has a certain number of top-level managerial positions to fill with persons of its choosing. These appointees become the bosses of career civil servants -who staff the various agencies of government. As you might imagine, there is occasion¬ +who staff the various agencies of government. As you might imagine, there is occasionďż˝ ally some tension between the two groups. Incoming presidents are usually elected on a platform of change and view career employees as representing opposition to change (Colvard, 1992, p. 17). The political executive wants to move in new policy directions, @@ -13538,7 +12715,7 @@ other hand, has both knowledge and expertise, but, aware of potential problems, appear reluctant to change. The inevitable tension between political executives and careerists has become even -more pronounced in recent years. Many argue that both the Carter and Reagan admin¬ +more pronounced in recent years. Many argue that both the Carter and Reagan adminďż˝ istrations came into office with a serious misunderstanding of the role of civil servants and, consequently, encountered difficulties in their relationships with the career service. Both presidents had, in a sense, run against the bureaucracy, pledging to clean up the @@ -13550,10 +12727,10 @@ federal bureaucracy and indeed sought to establish more positive relations with civil servants. In any case, sorting out the relationship between politically appointed executives and -career executives returns us to the old question of politics and administration. One in¬ +career executives returns us to the old question of politics and administration. One inďż˝ terpretation suggests that the role of the career executive is solely to execute orders -given by superior authorities—elected officials and their appointees. In the most ex¬ -treme formulation of this view, the career executive should be isolated from any in¬ +given by superior authoritiesďż˝elected officials and their appointees. In the most exďż˝ +treme formulation of this view, the career executive should be isolated from any inďż˝ volvement in policy development and should concentrate on implementing policies handed down from above. @@ -13569,7 +12746,7 @@ I recall an instance in which I was instructed by a new cabinet secretary to awa sole source contract of substantial dollar value to an individual who had been active in the presidential campaign which had just ended. The contract would have provided a service for which many other firms were qualified, and one clearly could not make -a reasonable ease of unique capability, which would justify a sole source procure¬ +a reasonable ease of unique capability, which would justify a sole source procureďż˝ ment. I indicated to the secretary that while a sole source procurement in this instance violated federal procurement regulations, he possessed the authority to approve it. I further advised, however, that to award the proposed contract would be a serious @@ -13579,18 +12756,18 @@ him and undermine his credibility, [In another case], I had pointed out to an assistant secretary, who had been an J executive with a major bank, the advisability of consulting with, or at least providing advance notice to, the chairman of the appropriate congressional committees on -action to be taken. In rejecting my advice, I was told “at the bank when we decided -to change minimum deposit requirements, we merely posted an announcement. We’ll -decide and then tell them what we’ve done.” Needless to say, throughout the assistant -secretary’s tenure, he never had good relations with the Congress. +action to be taken. In rejecting my advice, I was told ďż˝at the bank when we decided +to change minimum deposit requirements, we merely posted an announcement. Weďż˝ll +decide and then tell them what weďż˝ve done.ďż˝ Needless to say, throughout the assistant +secretaryďż˝s tenure, he never had good relations with the Congress. -SOURCE: Excerpted from Alfred M. Zuck, “Education of Political Appointees,” The Bureaucrat 13 +SOURCE: Excerpted from Alfred M. Zuck, ďż˝Education of Political Appointees,ďż˝ The Bureaucrat 13 (Fall 1984): 17. Reprinted by permission. In contrast to this extreme position, career executives and many others find another interpretation of the politics-administration issue more appealing. This view holds that -there are important reasons for career executives’ involvement in policy development -(see Box 6.6). Certainly, career executives have the background and expertise to con¬ +there are important reasons for career executivesďż˝ involvement in policy development +(see Box 6.6). Certainly, career executives have the background and expertise to conďż˝ tribute substantially to developing practical and effective public policies. In addition, these executives are likely to be more effective in implementing policy if they have been involved in developing it, if they understand the need for policy changes, and if they feel @@ -13598,11 +12775,11 @@ some sense of ownership of the new policies. Political appointees, on the other hand, generally come to government with relatively little knowledge about their subject matter (at least compared to career bureaucrats) and -certainly with little understanding of how policies are developed in a governmental set¬ -ting. While the average tenure of career civil servants is over thirteen years, political ex¬ +certainly with little understanding of how policies are developed in a governmental setďż˝ +ting. While the average tenure of career civil servants is over thirteen years, political exďż˝ ecutives last an average of only eighteen to twenty-two months. If the stereotype of the bureaucrat is one of hostility to any change, the stereotype of the political appointee is -someone brash, inexperienced, and intent on “quick and flashy change” (Lorentzen, +someone brash, inexperienced, and intent on ďż˝quick and flashy changeďż˝ (Lorentzen, 1985, p. 411). @@ -13612,38 +12789,38 @@ someone brash, inexperienced, and intent on The Relationship between Political and Career Executives Assuming that political appointees and career executives are going to work side by side, -how might their relationship be improved and their work together be made more effec¬ +how might their relationship be improved and their work together be made more effecďż˝ tive and more responsible? Paul Lorentzen, a former federal executive, summarizes the major problems in the relationship: -1. the new political appointee’s lack of knowledge of and prior experience in the public +1. the new political appointeeďż˝s lack of knowledge of and prior experience in the public sector -2. the need of career staffs to learn about the new leadership’s policy goals and directions -3. the joint need of the political appointees and executives to understand each other’s +2. the need of career staffs to learn about the new leadershipďż˝s policy goals and directions +3. the joint need of the political appointees and executives to understand each otherďż˝s perceptions, attitudes, role perspectives, and values (Lorentzen, 1984, p. 8) There have been several efforts to define a more effective relationship between political appointees and career executives. A1 Zuck, a former career official in the Department of Labor and elsewhere emphasizes the responsibility of the career executive. Zuck writes, -“Career executives have a distinct advantage and, therefore, a distinct educational respon¬ +ďż˝Career executives have a distinct advantage and, therefore, a distinct educational responďż˝ sibility, as it relates to the substantive knowledge of program content and history, as well as the knowledge of government processes to get things done. They possess invaluable -institutional knowledge which can be of great assistance to political executives” (Zuck, +institutional knowledge which can be of great assistance to political executivesďż˝ (Zuck, 1984, p. 18). Based on this perspective, Zuck makes the following suggestions as to how the career executive can relate most effectively to the political appointee: 1. A successful relationship between career executives and political appointees must begin -with the career person’s recognition that policy changes can and will occur and that the +with the career personďż˝s recognition that policy changes can and will occur and that the career staff will be used as an instrument of change. 2. Career executives need to act professionally; the career executive should offer the best advice, information, and insight that his or her experience has provided. -3. The career executive must be careful not to be too bureaucratic — so bound by proce¬ +3. The career executive must be careful not to be too bureaucratic ďż˝ so bound by proceďż˝ dures and processes that nothing gets done. 4. Options or alternative courses of action should be provided to political officials so they have full and complete information about their various choices. -5. The career executive should expect to have one’s advice ignored or rejected. “Not only -is it likely that one’s advice is not always sound, but also each administration and politi¬ -cal appointee has the right to fail” (Zuck, 1984, p. 18). +5. The career executive should expect to have oneďż˝s advice ignored or rejected. ďż˝Not only +is it likely that oneďż˝s advice is not always sound, but also each administration and politiďż˝ +cal appointee has the right to failďż˝ (Zuck, 1984, p. 18). There appear to be at least three areas in which further improvements might be made in the relationship between political appointees and career executives. First, political @@ -13651,7 +12828,7 @@ appointees must receive the training and orientation they need to effectively ma organizations and to work with career executives both in developing and implementing policies. Second, an exchange of views between political leaders and careerists, including team-building sessions between politically appointed executives and career executives, may -help to develop greater understanding between the groups and forge more effective work¬ +help to develop greater understanding between the groups and forge more effective workďż˝ ing relationships. Third, Congress should reassess the structure of executive management in government and make whatever structural changes are needed to establish a more balanced political-career interface. But the basic dilemma continues: the political appointee @@ -13671,7 +12848,7 @@ demands. Much of the earliest personnel legislation at the federal level was dir toward assuring a neutral and competent bureaucracy protected from the potentially corrupting influences of politics. More recent efforts have sought greater responsiveness on the part of the bureaucracy to political leadership. Personnel systems in the public -sector—like systems of budgeting and financial management — reflect important, though +sectorďż˝like systems of budgeting and financial management ďż˝ reflect important, though sometimes changing, values. The development of merit systems of public employment reflects such concerns. @@ -13682,24 +12859,24 @@ employment (for example, drug testing), labor-management relations, and comparab worth are played out in the public sector. As a manager, you must be concerned with recruitment, training, and retention of the -best possible people to work in your organization. You may often feel that public per¬ +best possible people to work in your organization. You may often feel that public perďż˝ sonnel systems and the people who monitor them are simply roadblocks to effective management. Fortunately, in many jurisdictions, the relationship between manager and personnel officer is shifting in a more positive direction. Personnel managers have been given the responsibility of protecting the merit system -from abuse by maintaining detailed records of personnel transactions and enforcing per¬ -sonnel rules and procedures. Personnel officers have thus often been placed in the posi¬ +from abuse by maintaining detailed records of personnel transactions and enforcing perďż˝ +sonnel rules and procedures. Personnel officers have thus often been placed in the posiďż˝ tion of exercising control over the activities of program managers. But public personnel -officers, like their private-sector counterparts, have always had another role as well — +officers, like their private-sector counterparts, have always had another role as well ďż˝ helping managers employ and utilize personnel effectively. -Although this service aspect of the personnel officer’s role has often been treated as a sec¬ +Although this service aspect of the personnel officerďż˝s role has often been treated as a secďż˝ ondary function, there is every reason to believe that the more progressive personnel systems will increasingly emphasize this aspect. Increasingly, personnel officers are shifting from the traditional emphasis on compliance to a new emphasis on consultation. In this role, those in personnel will be available to help with human resource management questions of all kinds; -for example, a personnel specialist might be called in to help develop a productivity improve¬ +for example, a personnel specialist might be called in to help develop a productivity improveďż˝ ment program or to advise on legal questions. As this new orientation becomes established, line managers will tend to view the personnel officer more as an ally than as a protagonist. @@ -13707,7 +12884,7 @@ Consequently, you are likely to be more effective as a public manager if you are to develop a good understanding of the technical details of personnel transactions and an effective working relationship with the personnel professionals in your agency. The support of trained experts in the field of personnel management can help improve your -organization’s performance and, in turn, its service to the public. +organizationďż˝s performance and, in turn, its service to the public. @@ -13719,7 +12896,7 @@ Adverse or disparate impact: Criterion for showing that employment practices aff one group more harshly than another. Affirmative action: Use of positive, results-oriented practices to ensure that women, -minorities, handicapped persons, and other protected classes of people will be equi¬ +minorities, handicapped persons, and other protected classes of people will be equiďż˝ tably represented in an organization. Bargaining unit: The organization that will represent employees in conferring and @@ -13728,13 +12905,13 @@ negotiating various issues. Comparable worth: Notion that men and women in jobs that are not identical but require similar levels of skill and training should be paid equally. -Equal employment opportunity: Refers to efforts to eliminate employment discrimi¬ +Equal employment opportunity: Refers to efforts to eliminate employment discrimiďż˝ nation on the basis of race, ethnic background, sex, age, or physical handicap; ensures that all persons have an equal chance to compete for employment and promotions based on job qualifications. Final-offer arbitration: Technique in which both parties must present their best -offer with the understanding that an arbitrator will choose one or the other with¬ +offer with the understanding that an arbitrator will choose one or the other withďż˝ out modification. Job description: A thorough analysis of the work to be done and the capabilities for a @@ -13749,18 +12926,18 @@ performed. Merit principle: Concept that selection and treatment of government employees should be based on merit or competence rather than personal or political favoritism. -Position classification: Analyzing and organizing jobs on the basis of duties, responsi¬ +Position classification: Analyzing and organizing jobs on the basis of duties, responsiďż˝ bilities, and knowledge and skills required to perform them. -Rule of three: Provision of most merit systems that requires at least the top three appli¬ -cants’ names to be forwarded to the hiring official to allow some flexibility in selection. +Rule of three: Provision of most merit systems that requires at least the top three appliďż˝ +cantsďż˝ names to be forwarded to the hiring official to allow some flexibility in selection. Sexual harassment: Any unwarranted and nonreciprocal verbal or physical sexual advances or derogatory remarks that the recipient finds offensive or that interfere with his or her job performance. -Spoils system: The ability to give government jobs to the party faithful; “to the victor -belongs the spoils.” +Spoils system: The ability to give government jobs to the party faithful; ďż˝to the victor +belongs the spoils.ďż˝ Structured interviews: Those in which a previously developed set of questions is used with each applicant. @@ -13776,7 +12953,7 @@ applied to others. Study Questions -1. “To the victor belongs the spoils” was a phrase used to define the spoils system for +1. ďż˝To the victor belongs the spoilsďż˝ was a phrase used to define the spoils system for filling vacancies of government jobs. Discuss the historical use of this system and its contemporary manifestations. @@ -13815,8 +12992,8 @@ it might be improved. Cases and Exercises 1. Consider the following case: You are Steve Style, a programming director in a large -city’s data-processing department. You manage five sections of computer program¬ -mers, each made up of a senior programmer and three to four trainees. The depart¬ +cityďż˝s data-processing department. You manage five sections of computer programďż˝ +mers, each made up of a senior programmer and three to four trainees. The departďż˝ ment generates computer systems for the other city departments, thus requiring you and your staff to spend a lot of time with the users of the systems. Your staff has a reputation throughout the city for being highly professional. For some time, your @@ -13830,53 +13007,53 @@ by adding a database administrator. A few months ago, a new police chief was hired, brought in from another city. In the past, when a new department head came in, if he or she were married, the spouse -also found a job somewhere in city government. You had heard that the police chief’s +also found a job somewhere in city government. You had heard that the police chiefďż˝s wife has a degree in computer science. On Monday, Tom calls to tell you he has just hired Muffy Mann as the database administrator in your area. Tom is happy to get -someone with Muffy’s education and background, which includes working for several -software companies. Tom also tells you that Muffy is the police chief’s wife and that +someone with Muffyďż˝s education and background, which includes working for several +software companies. Tom also tells you that Muffy is the police chiefďż˝s wife and that she will be making more money than any of your current senior programmers. Excited about the addition of a database administrator, you go to tell the staff about the program expansion. Rather than the positive reaction you had expected, they are -quite negative. David Denman, the most experienced programmer, is upset for two rea¬ -sons. First, is she not the police chief’s wife? It sounds to him like a deal was made. +quite negative. David Denman, the most experienced programmer, is upset for two reaďż˝ +sons. First, is she not the police chiefďż˝s wife? It sounds to him like a deal was made. And, second, why did not any of the current staff have a chance to interview for the new position? Another staff member leaves the meeting grumbling about how much money Muffy will be making in comparison to the other senior programmers. You go back to your office trying to figure out how to deal with this problem. You are looking forward to having a database administrator, and from what Tom tells you, -Muffy is well qualified. You are concerned about the staff’s reaction. You know you will +Muffy is well qualified. You are concerned about the staffďż˝s reaction. You know you will face an uphill battle to convince the users that Muffy is qualified for the position. -• As a practical matter, how does an administration deal with the problem of a +ďż˝ As a practical matter, how does an administration deal with the problem of a -“qualified spouse”? -• How do you justify to your staff the fact that Muffy is making a higher salary than +ďż˝qualified spouseďż˝? +ďż˝ How do you justify to your staff the fact that Muffy is making a higher salary than any of them and that they did not have the chance to interview for the position? -• How does the personnel office handle this problem in light of the city’s civil service +ďż˝ How does the personnel office handle this problem in light of the cityďż˝s civil service system? SOURCE: The preceding case was provided by Perri Lampe. -2. Through contacts with the U.S. Office of Personnel Management, the state’s personnel -office, and the city’s personnel office, learn as much as you can about finding employ¬ +2. Through contacts with the U.S. Office of Personnel Management, the stateďż˝s personnel +office, and the cityďż˝s personnel office, learn as much as you can about finding employďż˝ ment in a government agency in your area. Address such questions as -• What kinds of positions are typically available? -• What should you expect in terms of the salary range for entry at the bachelor’s or +ďż˝ What kinds of positions are typically available? +ďż˝ What should you expect in terms of the salary range for entry at the bachelorďż˝s or -master’s level? -• What benefits and salary increments are associated with these positions? -• What is the hiring process (how do you apply; what types of tests or interviews are +masterďż˝s level? +ďż˝ What benefits and salary increments are associated with these positions? +ďż˝ What is the hiring process (how do you apply; what types of tests or interviews are required; who makes the final decision)? In addition, contact a variety of nonprofit organizations in your community or a representative of the American Society of Association Executives to discuss career possibilities in the nonprofit sector. Make your report available to students on campus -through your academic department and through your school’s placement center. +through your academic department and through your schoolďż˝s placement center. 3. Obtain a copy of your schools policy (or policies) on sexual harassment regarding administrators, faculty, staff, and students. Based on conversations with knowledgeable @@ -13887,20 +13064,20 @@ Cases and Exercises 2J1 faculty and other school officials, as well as your own reading and research, analyze the policy in terms of the following questions: -• Does the policy define sexual harassment in terms that are generally understandable? -• Does the policy specify particular types of actions that will be considered harassment? -• Are there clearly defined procedures through which charges of harassment can be +ďż˝ Does the policy define sexual harassment in terms that are generally understandable? +ďż˝ Does the policy specify particular types of actions that will be considered harassment? +ďż˝ Are there clearly defined procedures through which charges of harassment can be brought and heard? -• Are there specific penalties, including dismissal from the school, for prohibited actions? -• Has the policy been employed in actual cases with success? -• Does the policy act as a deterrent to sexual harassment? -• Are there training programs or other educational materials available to help admin¬ +ďż˝ Are there specific penalties, including dismissal from the school, for prohibited actions? +ďż˝ Has the policy been employed in actual cases with success? +ďż˝ Does the policy act as a deterrent to sexual harassment? +ďż˝ Are there training programs or other educational materials available to help adminďż˝ istrators, faculty, and students understand the issue of sexual harassment specifically and gender sensitivity more generally? -• What would you suggest to strengthen, to clarify, or to more easily enforce the policy? +ďż˝ What would you suggest to strengthen, to clarify, or to more easily enforce the policy? SOURCE: The preceding exercise was adapted from material provided by Charles Sampson of the University of Missouri-Columbia. @@ -13911,9 +13088,9 @@ You have just accepted membership on the Energy Resources Commission Recruitment (ERC) Task Force. This task force was recently created by the newly elected governor. The purpose of the task force is to develop recruitment strategies to staff the ERC, which has just been established to fulfill the following functions: -• Determine the future energy needs for the state. -• Develop strategies to meet these needs. -• Provide technical assistance to the public utilities and agencies involved in meeting +ďż˝ Determine the future energy needs for the state. +ďż˝ Develop strategies to meet these needs. +ďż˝ Provide technical assistance to the public utilities and agencies involved in meeting these needs. Special recruitment problems are anticipated because this is a completely new @@ -13933,7 +13110,7 @@ Factors that may or may not complicate the recruitment effort include the follow 1. The primary sources of employment in the state are in agriculture, mining, and transportation. -2. The population of the state totals 10 million, but almost 40 percent of the popu¬ +2. The population of the state totals 10 million, but almost 40 percent of the popuďż˝ lation resides in a single upstate metropolitan district. 3. The political environment has traditionally been characterized by conflict @@ -13948,7 +13125,7 @@ means for staffing most public agencies. 2J2 Chapter 6 The Management of Human Resources 5. Control of state government has just shifted to the Republicans after twelve years -of Democratic control, but one of the new governor’s major campaign promises +of Democratic control, but one of the new governorďż˝s major campaign promises was to professionalize the personnel system and expand civil service coverage to most state employees. @@ -13958,7 +13135,7 @@ state whenever possible. 7. The state is currently involved in two employment discrimination lawsuits: one brought by the National Organization for Women, and the other by the NAACR -8. Racial minorities compose 15 percent of the population, but most of these indi¬ +8. Racial minorities compose 15 percent of the population, but most of these indiďż˝ viduals reside in the upstate metropolitan area. 9. Of the total state workforce, 22 percent are women and 4 percent are classified @@ -13967,7 +13144,7 @@ minority. 10. The unemployment rate for the state is 12 percent, but most of the unemployed reside in the upstate area. -11. The unemployment rate by occupational class is as follows: 18 percent blue-col¬ +11. The unemployment rate by occupational class is as follows: 18 percent blue-colďż˝ lar, 7 percent white-collar, and 3 percent professional/technical. 12. The unemployment rate for minorities is 21 percent, and the rate for women is @@ -13975,14 +13152,14 @@ lar, 7 percent white-collar, and 3 percent professional/technical. 13. Public-sector unionization is in its early stages of development in the state. Unions are competing for membership and becoming more and more militant. -A key demand, which is currently before the legislature, is to establish an “union -shop” for public utility employees. +A key demand, which is currently before the legislature, is to establish an ďż˝union +shopďż˝ for public utility employees. -14. Citizens’ groups and professional associations actively lobbied for the creation of +14. Citizensďż˝ groups and professional associations actively lobbied for the creation of the ERC. -15. The ERC is being partially funded by a federal grant-in-aid program that, in ad¬ -dition to requiring 50 percent matching funds from the state, also requires estab¬ +15. The ERC is being partially funded by a federal grant-in-aid program that, in adďż˝ +dition to requiring 50 percent matching funds from the state, also requires estabďż˝ lishment of a merit system to ensure nondiscrimination in employment. The task force is to design a specific recruitment strategy to meet all the staffing @@ -13990,9 +13167,9 @@ needs of the new Energy Resources Commission. Besides paying particular interest to the characteristics delineated above, you might also consider the following in your deliberations: -1. Need and approach for determining the commission’s specific staffing requirements +1. Need and approach for determining the commissionďż˝s specific staffing requirements 2. Characteristics of the labor market geographically and by occupational field -3. Level and availability of the state’s labor resources +3. Level and availability of the stateďż˝s labor resources 4. Extent of search process for candidates geographically and occupationally; type of institutions/organizations/agencies to be covered in recruitment process @@ -14014,7 +13191,7 @@ so on) For Additional Reading 253 -9. Recruitment approaches for each occupational category; for example, job announce¬ +9. Recruitment approaches for each occupational category; for example, job announceďż˝ ments, written brochures and materials, recruitment visits (and institutions that will be covered, if any), use of professional/collegial contacts (whose?), and so on @@ -14030,7 +13207,7 @@ Capozzoli, Thomas, and R. Steven McVey. Managing Violence in the Workplace. Delray Beach, FL: St. Lucie Press, 1996. Cayer, N. Joseph. Public Personnel Administration in the United States. 2d ed. -New York: St. Martin’s Press, 1986. +New York: St. Martinďż˝s Press, 1986. Coleman, Charles J. Managing Labor Relations in the Public Sector. San Francisco: Jossey-Bass, 1990. @@ -14115,21 +13292,21 @@ managers. A new monitoring program is initiated in the Balkans. To support that the U.S. Navy organizes a fleet of vessels to patrol those waters, while political and military leaders assess the operation and decide what to do next. Similarly, a new policy involves sending literature on AIDS to all households in the United States. A group in -the surgeon general’s office is convened to monitor the operation. Both the efficiency of +the surgeon generalďż˝s office is convened to monitor the operation. Both the efficiency of getting the mailing out and its effectiveness as an educational device are discussed. Meanwhile, a local parks and recreation department joins with nonprofit organizations to develop a program for handicapped athletes. After staff and money are acquired to support the program and it begins operations, the department director asks whether the program is worth the time and energy it seems to be taking from other tasks. Repeatedly, -plans are made, policies and programs are implemented, and the work of the organiza¬ +plans are made, policies and programs are implemented, and the work of the organizaďż˝ tion is evaluated. Recently these issues have taken on increased importance as managers in the public -and nonprofit sectors have been asked to do more with less, while at the same time pro¬ +and nonprofit sectors have been asked to do more with less, while at the same time proďż˝ viding more and better services. This has led many to call for managing for results, that -is, clearly stating goals and objectives in terms of public outcomes, designing and imple¬ +is, clearly stating goals and objectives in terms of public outcomes, designing and impleďż˝ menting programs, then measuring the performance of the government or other agency -against established standards. The idea of managing for results or performance manage¬ +against established standards. The idea of managing for results or performance manageďż˝ ment suggests the importance of bringing together careful planning, implementation, and evaluation. @@ -14141,8 +13318,8 @@ to specific quantitative methods for measuring performance. Moreover, these tech reflect a change in the way public and nonprofit organizations account for their actions. Citizens, lawmakers, and other advocacy groups increasingly hold agencies accountable not only for their efficiency in expending public and charitable resources but also their -effectiveness in achieving public outcomes. Techniques such as strategic planning, reengi¬ -neering, and performance measurement link the actions of public and nonprofit orga¬ +effectiveness in achieving public outcomes. Techniques such as strategic planning, reengiďż˝ +neering, and performance measurement link the actions of public and nonprofit orgaďż˝ nizations with specific, measurable results. Through the use of such techniques, public *5 5 @@ -14187,28 +13364,28 @@ anticipated demands of the environment to produce a plan of action that will ens achievement of objectives. William Glucek (1980, p. 9) points out that a strategy is a plan that is unified (ties all the parts of the enterprise together), comprehensive (covers all aspects of the enterprise), and integrated (all parts are compatible with one another and -fit together well). Similarly, Robert Shirley (1982, p. 262) writes that “strategy (1) defines +fit together well). Similarly, Robert Shirley (1982, p. 262) writes that ďż˝strategy (1) defines the relationship of the total organization to its environment and (2) gives guidance to -administrative and operational activities on an ongoing basis.” +administrative and operational activities on an ongoing basis.ďż˝ Strategic Planning 257 -We can differentiate strategic planning from more familiar long-range planning activi¬ -ties in several ways. Long-range planning primarily concerns establishing goals or perfor¬ +We can differentiate strategic planning from more familiar long-range planning activiďż˝ +ties in several ways. Long-range planning primarily concerns establishing goals or perforďż˝ mance objectives over a period of time; it is less concerned with specific steps that must be undertaken to achieve those goals. Strategic planning, on the other hand, implies that a series of action steps will be developed as part of the planning process and that these steps -will guide the organization’s activities in the immediate future. Strategic planning takes +will guide the organizationďż˝s activities in the immediate future. Strategic planning takes the future into account, but in such a way as to improve present decisions. A second way that strategic planning differs from long-range planning is its special -attention to environmental complexity. The organization is not assumed to exist in a vac¬ -uum; rather, both the organization’s objectives and the steps to achieve them are seen in -the context of the resources and constraints presented by the organization’s environment. +attention to environmental complexity. The organization is not assumed to exist in a vacďż˝ +uum; rather, both the organizationďż˝s objectives and the steps to achieve them are seen in +the context of the resources and constraints presented by the organizationďż˝s environment. -A final distinction between the two types of planning is that strategic planning, espe¬ +A final distinction between the two types of planning is that strategic planning, espeďż˝ cially in the public sector, is a process that must involve many individuals at many levels. As most managers know quite well, effective changes in organizational practices are most readily accomplished by involving all those who will be affected by the change. This @@ -14218,16 +13395,16 @@ planning. Public organizations undertake strategic planning efforts for many reasons: (1) to give clarity and direction to the organization, (2) to choose from among competing goals and activities, (3) to cope with expected shifts in the environment, and (4) to bring together -the thoughts and ideas of all participants in the work of the organization. Most impor¬ +the thoughts and ideas of all participants in the work of the organization. Most imporďż˝ tantly, planning activities provide an opportunity for the widespread involvement of leaders and citizens in defining the direction of the community or the agency as it moves into the future, thus building trust and commitment. Planning for Planning -As a manager, you may wonder whether such activities are appropriate for your jurisdic¬ -tion or agency. Whatever your work—at any level of government or in a nonprofit organi¬ -zation— you will find precedents for planning. Many federal, state, and local agencies +As a manager, you may wonder whether such activities are appropriate for your jurisdicďż˝ +tion or agency. Whatever your workďż˝at any level of government or in a nonprofit organiďż˝ +zationďż˝ you will find precedents for planning. Many federal, state, and local agencies have begun strategic planning programs over the past several years, as have voluntary associations, human service organizations, and job training programs. The key seems to be that any organization is a candidate for strategic planning if, by allocation of resources, it @@ -14249,22 +13426,22 @@ treated differently when an administrative agency such as a state government dep 25 8 Chapter 7 Planning, Implementation, and Evaluation -is considering planning. Although strategic planning might make the agency more com¬ +is considering planning. Although strategic planning might make the agency more comďż˝ petitive in attracting resources from the executive or legislature, this clearly should not be the purpose of planning. Rather, the agency should use strategic planning to involve -key stakeholders in assessing the unit’s work and the possibilities for improving its ser¬ +key stakeholders in assessing the unitďż˝s work and the possibilities for improving its serďż˝ vices (Ackoff, 1981). The process may indeed lead to requests for further funding, but it may also suggest ways to more effectively utilize existing resources or even ways to reduce the scope of activities. You may also question, because of budgetary uncertainties, whether the time is right -for planning activities. Some say that planning can not take place without solid informa¬ -tion about funding levels. But the opposite argument is compelling—that planning is +for planning activities. Some say that planning can not take place without solid informaďż˝ +tion about funding levels. But the opposite argument is compellingďż˝that planning is most essential in times of uncertainty, for these are exactly the times when you most need to be in control of your own destiny. Times of uncertainty do not mitigate the need for planning; they intensify it. -Managers in the public sector voice a related argument—that periodic changes in +Managers in the public sector voice a related argumentďż˝that periodic changes in political leadership make planning more difficult than in private industry. Again, the opposite argument is compelling: in times of transition, planning can provide continuity. Even when the new leadership wishes to change the directions specified in an earlier @@ -14272,18 +13449,18 @@ planning effort, changes can be made with greater clarity and aimed more readily critical concerns if a plan is in place. Finally, you may wonder whether strategic planning efforts are consistent with your -organization’s commitment to democratic or participatory processes. Here lies the most +organizationďż˝s commitment to democratic or participatory processes. Here lies the most significant difference between strategic planning in the public and private sectors. -Whereas planning in the private sector may involve many people throughout an organi¬ +Whereas planning in the private sector may involve many people throughout an organiďż˝ zation, it remains centered and directed at the top, because that is where the private interests of the firm are most clearly articulated. In the public sector, however, every effort must be made to significantly involve all those who play an important role in the jurisdiction or the agency. For example, a local government planning effort should involve not only elected leadership and city staff, but also many others with a stake in -the outcome — unions, neighborhood associations, chambers of commerce, civic orga¬ -nizations, and so forth. Similarly, a state government agency’s planning effort should +the outcome ďż˝ unions, neighborhood associations, chambers of commerce, civic orgaďż˝ +nizations, and so forth. Similarly, a state government agencyďż˝s planning effort should involve persons from all levels of the organization, members of constituent groups, -elected officials, persons from other agencies and other levels of government, and repre¬ +elected officials, persons from other agencies and other levels of government, and repreďż˝ sentatives of the general citizenry. Strategic planning in the public sector must be a highly participatory process, but this @@ -14295,9 +13472,9 @@ may therefore be undertaken to achieve both direction and commitment. Organizing for Planning The planning process can proceed in a number of different ways, but the most common -approach is to form a central planning group to work closely with an outside consul¬ +approach is to form a central planning group to work closely with an outside consulďż˝ tant to obtain information and make commitments to various new directions. In a local -community, the group might include the city’s political leadership; representatives of city +community, the group might include the cityďż˝s political leadership; representatives of city @@ -14305,18 +13482,18 @@ Strategic Planning 259 administration (for example, the city manager); representatives of business, industry, and labor; members of neighborhood associations; and so on. For a federal or state agency, -on the other hand, the major planning group might comprise the agency director, man¬ +on the other hand, the major planning group might comprise the agency director, manďż˝ agers from the next organizational level below, and selected program directors. The -planning group in a nonprofit organization might include the executive director, mem¬ +planning group in a nonprofit organization might include the executive director, memďż˝ bers of the board, staff members, and representatives of constituent groups. Steps in Planning Once it has been brought together, the planning group will want to give its attention to -four primary concerns: (1) the organization’s mission or objectives, (2) an assessment of +four primary concerns: (1) the organizationďż˝s mission or objectives, (2) an assessment of the environment in terms of both opportunities and constraints, (3) an examination of -the organization’s existing strengths and weaknesses, and (4) the values, interests, and -aspirations of those important to the organization’s future (see Box 7.1). Consideration +the organizationďż˝s existing strengths and weaknesses, and (4) the values, interests, and +aspirations of those important to the organizationďż˝s future (see Box 7.1). Consideration of these issues will lead to several strategic alternatives, perhaps stated as scenarios for the future, and to the choice of a particular direction in which the organization should move. Finally, a set of action steps or implementation items will be developed to indicate @@ -14325,7 +13502,7 @@ the future most effectively. Mission or Objectives -Arriving at a concise, yet inclusive, statement of the mission of the organization is a dif¬ +Arriving at a concise, yet inclusive, statement of the mission of the organization is a difďż˝ ficult step in the planning process. Although most organizations have a general sense of their mission, questions often arise that cannot be readily answered in terms of stated objectives. Having a specific mission statement, however, provides an identity for the @@ -14333,7 +13510,7 @@ organization, as well as a guideline for future decisions and a standard against measure specific actions. Because arriving at a mission statement may imply certain strategies, care should -be taken to consider alternative approaches to the organization’s goals. A statement of +be taken to consider alternative approaches to the organizationďż˝s goals. A statement of mission might indicate, for instance, whether a city wishes to seek a broad industrial base or focus on particular types of businesses, such as tourism or high-tech industries. Similarly, a university mission statement might indicate whether the institution seeks a @@ -14363,15 +13540,15 @@ Environmental Analysis After developing a mission statement, the planning group should move to an analysis of the environment within which the organization operates. This assessment should include legal and political considerations, social and cultural trends, economic circumstances, -technological developments, and, where appropriate, the organization’s competitive or +technological developments, and, where appropriate, the organizationďż˝s competitive or market position. Each area should be examined in terms of the present environment and -how it is likely to change in the future. This assessment leads the group toward identify¬ +how it is likely to change in the future. This assessment leads the group toward identifyďż˝ ing possibilities for reducing constraints and extending opportunities. Strengths and Weaknesses -At this point, the planning group can turn its attention toward assessing the organi¬ -zation’s existing capabilities—its strengths and weaknesses. The analysis should be as +At this point, the planning group can turn its attention toward assessing the organiďż˝ +zationďż˝s existing capabilitiesďż˝its strengths and weaknesses. The analysis should be as forthright and inclusive as possible, taking into account financial resources (including changing patterns of funding), human resources (including political and managerial strengths and weaknesses), the operation of both technical and organizational systems, @@ -14379,16 +13556,16 @@ and quality of work. This assessment of capabilities should relate as directly a to the stated mission of the organization. For example, an agency involved in facilities design and construction might want to consider the age and condition of facilities, the number and abilities of architects and engineers, the number and frequency of design -projects, and the unit’s standing among other similar organizations. Examining strengths -and weaknesses should be accompanied by some attention to programs that might sig¬ +projects, and the unitďż˝s standing among other similar organizations. Examining strengths +and weaknesses should be accompanied by some attention to programs that might sigďż˝ nificantly improve capabilities in one or more areas. Values of Organizational Leaders -A final step in preparing to develop strategic alternatives is to take into account the val¬ +A final step in preparing to develop strategic alternatives is to take into account the valďż˝ ues, interests, and aspirations of those who will guide the organization into the future. People will respond to the same environmental and organizational analysis in different -ways. In business, for example, some will be perfectly satisfied with the security of a sta¬ +ways. In business, for example, some will be perfectly satisfied with the security of a staďż˝ ble market share, while others will be willing to take greater risks in the hope of greater payoffs. Leaders vary in terms of creativity, energy, and commitment. Yet to effectively implement a plan, it must reflect the concerns and interests of those who will play major @@ -14397,14 +13574,14 @@ roles in shaping the future of the organization. Development of Alternative Strategies At this point, the planning group can move to formulate alternative strategies. These -strategies can take several forms; however, one useful way to proceed is to draw up alter¬ +strategies can take several forms; however, one useful way to proceed is to draw up alterďż˝ native scenarios of the future, indicating what the organization might look like five, ten, Strategic Planning z6i -or twenty years into the future. The scenarios should indicate new directions the orga¬ +or twenty years into the future. The scenarios should indicate new directions the orgaďż˝ nization might take; pessimistic, realistic, and optimistic interpretations of its future; and factors likely to influence these future patterns. It is helpful to develop more than one scenario, then use them as competing viewpoints from which to debate the merits of @@ -14412,12 +13589,12 @@ various alternatives. From a thorough discussion of the scenarios, one or more s will emerge. The strategy should be chosen that most effectively moves the organization toward its mission, given environmental opportunities and constraints, organizational strengths and weaknesses, and the values, interests, and aspirations of the leadership. -After developing the strategic orientation, the planning group should be pressed to iden¬ +After developing the strategic orientation, the planning group should be pressed to idenďż˝ tify specific action steps for implementing the strategy. A local job-training program, for example, went through an extensive planning exercise involving thorough analysis of environmental opportunities and constraints as well as organizational strengths and weaknesses. Based on the information developed, and especially on expectations of -future funding patterns, the program’s directors chose to de-emphasize subsidies for +future funding patterns, the programďż˝s directors chose to de-emphasize subsidies for local businesses to employ those without work and to try for longer-term benefits through skills training and job preparation. @@ -14426,12 +13603,12 @@ The Logic of Policy Analysis One possible outcome of a formal planning process is that the need for new policies will be identified. (The need for new policies can be generated in other ways as well, many of which we discussed in Chapter 2.) A local group considering economic development -issues might recognize the need for new tax incentives for industries interested in locat¬ +issues might recognize the need for new tax incentives for industries interested in locatďż˝ ing in the community. A state welfare department planning group might focus on the relationship between providing day care and job training. Or a nonprofit organization might decide there is a need for a new publications program. In each case, a problem is -identified and the question arises as to whether a new approach to the problem—a new -policy—might help. +identified and the question arises as to whether a new approach to the problemďż˝a new +policyďż˝might help. Many issues may come up. Exactly what is the nature of the problem? What would we be trying to achieve with the new policy? What might be alternative approaches? @@ -14439,15 +13616,15 @@ What might we expect from each alternative? What criteria would we use to evalua alternatives? Which alternative would best meet our criteria? Answering questions like these is the basis of analysis of public policies. We can therefore define policy analysis as the process of researching or analyzing public problems to give policy makers specific -information about the range of available policy options and the advantages and dis¬ +information about the range of available policy options and the advantages and disďż˝ advantages of various approaches. There are several ways you might become involved in policy analysis. All managers engage almost daily in a sort of informal analysis of public policies; they encounter new problems and consider alternative policies. But often a more formal review of policy options is called for. Sometimes staff members can do the -analysis; many public organizations employ policy analysts to work on just such prob¬ +analysis; many public organizations employ policy analysts to work on just such probďż˝ lems. In other cases, another governmental agency may be able to help; for example, the Office of Management and Budget, as well as its counterparts in many states, develops -policy reports. Policy analysis might also be performed by legislative staff or legis¬ +policy reports. Policy analysis might also be performed by legislative staff or legisďż˝ lative research groups. Finally, many analyses are performed by consultants, including @@ -14461,7 +13638,7 @@ analysis and work of limited usefulness. Broadly speaking, most policy analyses attempt to follow a rational model of decision making, involving five major steps: formulating the problem, establishing criteria for -evaluation, developing policy alternatives, considering the expected impact of the vari¬ +evaluation, developing policy alternatives, considering the expected impact of the variďż˝ ous alternatives, and ranking the alternatives according to the established criteria (see Box 7.2). As a simple illustration, think about how you might decide what would be the best route from home to work (Quade, 1989, pp. 33-34). If we assume at the outset that @@ -14470,7 +13647,7 @@ map and select the shortest. (Using a map would in effect create a model that wo in our analysis.) As in almost all policy analyses, however, there may be more than one criterion involved. For example, the shortest route might involve more traffic and take longer to drive. The shortest travel time might then constitute a second criterion, but -would require a more sophisticated model than a map, taking into account traffic con¬ +would require a more sophisticated model than a map, taking into account traffic conďż˝ gestion and perhaps other variables. Just thinking through the various complications that might arise in this simple example, you can get some sense of the difficulties you might encounter in moving through the five stages of a more comprehensive policy @@ -14480,13 +13657,13 @@ Problem Definition There are many problems facing any public organization and, correspondingly, many opportunities to analyze policy alternatives. Someone, however, must decide about the -problem to be analyzed and about how the analysis will proceed. This someone—the -sponsor of the analysis—may be a legislator, an elected chief executive, or an agency -manager. But, in any case, the one who will perform the analysis — the analyst—should +problem to be analyzed and about how the analysis will proceed. This someoneďż˝the +sponsor of the analysisďż˝may be a legislator, an elected chief executive, or an agency +manager. But, in any case, the one who will perform the analysis ďż˝ the analystďż˝should seek as clear a statement of the problem as possible and as much information about the nature of the problem and the range of solutions. Why has the problem surfaced? Who is affected? How does this problem relate to similar problems? What policy options have -already been tried? What is the range of policies that would be feasible, both economi¬ +already been tried? What is the range of policies that would be feasible, both economiďż˝ cally and politically? What resources are available to support the analysis? BOX 7.2 @@ -14503,26 +13680,26 @@ Steps in Policy Analysis Strategic Planning 263 -How the question is initially formulated will guide the analyst toward certain pos¬ -sibilities and away from others, so it is important at the outset to be as clear as possi¬ +How the question is initially formulated will guide the analyst toward certain posďż˝ +sibilities and away from others, so it is important at the outset to be as clear as possiďż˝ ble, without unnecessarily cutting off alternatives. The sponsor might ask, for example, -“How can we provide adequate shelter for the homeless in our community this winter?” -This statement of the issue permits exploring alternatives ranging from subsidizing exist¬ +ďż˝How can we provide adequate shelter for the homeless in our community this winter?ďż˝ +This statement of the issue permits exploring alternatives ranging from subsidizing existďż˝ ing shelters to building new shelters. If, however, certain options, such as building new shelters, are clearly out of the question by reason of time or money, then the analyst should be advised of these limitations. -Sometimes the problem is only vaguely understood at the outset, and part of the ana¬ -lyst’s job is to develop a background statement or issue paper formulating the problem. +Sometimes the problem is only vaguely understood at the outset, and part of the anaďż˝ +lystďż˝s job is to develop a background statement or issue paper formulating the problem. In some cases, gathering information at the library will be helpful, especially in laying out the history of the problem, discovering approaches used in other jurisdictions, and in becoming aware of technical developments in the field. Additionally, the analyst may -want to talk with other people, perhaps in other jurisdictions, to see what their expe¬ +want to talk with other people, perhaps in other jurisdictions, to see what their expeďż˝ rience has taught them. People in other governments, other levels of government, and other agencies at the same level can be helpful. The analyst can also gather information from those involved. In our example, the analyst would probably want to talk with those already involved in providing shelter. A statistical survey might even be possible. -Finally, agency records and statistics might be helpful. Throughout these initial informa¬ +Finally, agency records and statistics might be helpful. Throughout these initial informaďż˝ tion-gathering efforts, the analyst wants to develop an idea of how different people and different groups perceive the problem and possible solutions. @@ -14530,9 +13707,9 @@ Setting Objectives and Criteria As we have seen, establishing objectives for a new policy or criteria for judging alternatives is often quite difficult. In some rare agencies, the existing values and preferences are clear -enough to guide choices. The manager might be able to say, “It’s worth much more to -our agency to achieve result A than result B, C, or D. Therefore, whenever the choice pre¬ -sents itself, choose A.” But in most policy areas, there are likely to be multiple and often +enough to guide choices. The manager might be able to say, ďż˝Itďż˝s worth much more to +our agency to achieve result A than result B, C, or D. Therefore, whenever the choice preďż˝ +sents itself, choose A.ďż˝ But in most policy areas, there are likely to be multiple and often conflicting objectives. To route a highway through an urban area, for example, one must consider factors such as the cost of the project, how many and who might use the highway, the number of houses and other properties that might be displaced, and the impact of @@ -14549,7 +13726,7 @@ maximizes output at minimum cost, then discover that no single alternative can m both criteria. Which is more important? Finally, choosing criteria depends on individual perspective. Most policy areas have -many different stakeholders—many different people who are involved in the policy deci¬ +many different stakeholdersďż˝many different people who are involved in the policy deciďż˝ sion and affected by the result. These may include legislators, agency personnel, client @@ -14557,7 +13734,7 @@ sion and affected by the result. These may include legislators, agency personnel Chapter 7 Planning, Implementation, and Evaluation groups, and other interest groups, and each group may feel quite differently about what -is most important. In the design of a new highway, for example, a neighborhood associa¬ +is most important. In the design of a new highway, for example, a neighborhood associaďż˝ tion might place highest value on environmental concerns, while someone who lives in the suburbs might be most concerned with finding the shortest, quickest route to work. Many different criteria are likely to compete for prominence in any policy analysis. And, @@ -14568,30 +13745,30 @@ Developing Alternatives Developing alternative policies is without question the most creative phase of policy analysis, for it is here that the analyst must move beyond easy solutions and develop -innovative approaches to public problems. Different alternatives often derive from differ¬ +innovative approaches to public problems. Different alternatives often derive from differďż˝ ent assumptions about the problem. For example, should the welfare system be oriented toward providing support at home for impoverished mothers or should it enable mothers to work by providing day care? Should day care be addressed by building new centers or by providing tax credits or vouchers to subsidize attendance at existing centers? Answers to questions about alternative approaches to child support depend on interpretation of both the causes of poverty and the motivations of the mothers. To develop a complete -range of alternatives, the analyst must assume the perspectives of many different stake¬ +range of alternatives, the analyst must assume the perspectives of many different stakeďż˝ holders. Another way to develop far-ranging alternatives is to consider the relationship between the particular problem and other similar issues. For example, adequate care for the homeless ties to issues of health care, financial support for housing, welfare policy, and perhaps such areas as mental health and Social Security. Again, alternatives that -take the various interrelated concerns into account are likely to be generated if the ana¬ +take the various interrelated concerns into account are likely to be generated if the anaďż˝ lyst takes into account the views of many different stakeholders. Rather than saying, -“How can my organization solve this problem?” the analyst should ask, “How can this -problem be solved?” +ďż˝How can my organization solve this problem?ďż˝ the analyst should ask, ďż˝How can this +problem be solved?ďż˝ Analyzing Various Policies Having generated a number of realistic policy alternatives, the analyst must now assess -the likely impact each alternative will have. How one analyzes impacts will vary accord¬ -ing to the particular type of policy. In some policy areas, including some of major impor¬ +the likely impact each alternative will have. How one analyzes impacts will vary accordďż˝ +ing to the particular type of policy. In some policy areas, including some of major imporďż˝ tance, only limited information about possible impacts will be available. The analyst can only make intuitive judgments based on his or her experience and the experience of others. In other cases, however, one can gather specific data and analyze it by means @@ -14599,17 +13776,17 @@ of quantitative techniques. In the urban highway example, data could be gathered analyzed to determine cost per mile, load-bearing capabilities, travel time for users, and a variety of other factors. -Occasionally, actual experiments with several policy options may be possible, some¬ +Occasionally, actual experiments with several policy options may be possible, someďż˝ times with an experimental design similar to that used in the natural sciences. That is, the behavior of a particular target population may be compared to that of a control -group when only one variable (the policy) is changed. Applied to large-scale social prob¬ +group when only one variable (the policy) is changed. Applied to large-scale social probďż˝ lems, such experiments may be quite costly, but they may also save considerable time Strategic Planning 2 65 -and money in the long run. Sometimes it is appropriate to spend millions to save bil¬ +and money in the long run. Sometimes it is appropriate to spend millions to save bilďż˝ lions. (We should also note the ethical problems associated with providing a treatment expected to be beneficial to one group, but intentionally denying it to another control group. Is it ethical to deny some persons a treatment you think will be beneficial?) @@ -14619,8 +13796,8 @@ a particular policy approach and makes the results available to other communitie Sometimes this form of experimentation is simply the result of different groups trying different programs, but sometimes it is conscious. When state and local groups pressured the Carter administration to move the administration of the small cities portion of the -Community Development Block Grant program to the states, two states—Wisconsin -and Kentucky—were asked to run the program on an experimental basis. Their success +Community Development Block Grant program to the states, two statesďż˝Wisconsin +and Kentuckyďż˝were asked to run the program on an experimental basis. Their success in tailoring programs to local needs led to legislation allowing all other states to assume administration of the program (Jennings, Krane, Pattakos, & Reed, 1986). @@ -14632,7 +13809,7 @@ and organizational decision making in Chapter 8.) Alternatives can then be ranke terms of their respective impacts. When both the criteria and the impact levels are fairly straightforward, a simple comparison of possible effects may readily show which choice should be made; other cases may be more complex. The highway construction example, -for instance, might yield three or four alternative proposals and as many as twenty crite¬ +for instance, might yield three or four alternative proposals and as many as twenty criteďż˝ ria by which to evaluate the alternatives. One way to treat such cases is to simply lay out the expected results of each alternative in terms of the various criteria, leaving the task of comparing the data and ranking the alternatives to the decision maker. Sometimes @@ -14641,15 +13818,15 @@ more sophisticated quantitative techniques are available to the analyst. Costs and Benefits One of the most straightforward quantitative techniques is the cost-effectiveness -approach, which “permits analysts to compare and advocate policies by quantifying -their total costs and effects” (Dunn, 1981, p. 250). Costs are usually measured in mone¬ +approach, which ďż˝permits analysts to compare and advocate policies by quantifying +their total costs and effectsďż˝ (Dunn, 1981, p. 250). Costs are usually measured in moneďż˝ tary terms, but effects may be measured in units of any type. Typically, the cost-effectiveness approach takes one of two forms. First, the level of effectiveness can be fixed, and one can search for the alternative that achieves this level -at the least cost. If, for example, we want to increase the number of houses in a commu¬ +at the least cost. If, for example, we want to increase the number of houses in a commuďż˝ nity tested for radon by 25 percent, would it be cheaper to hire inspectors or to spend -money on advertising so that homeowners would do the inspection themselves? A sec¬ +money on advertising so that homeowners would do the inspection themselves? A secďż˝ ond approach fixes the budget amount, then asks which alternative will provide the highest level of effectiveness for that amount. If we want to spend no more than $50,000 a year on radon inspections, which of our two approaches will result in a higher number @@ -14662,7 +13839,7 @@ demand the same degree of precision as other approaches. Cost-effectiveness is e i66 Chapter 7 Planning, Implementation, and Evaluation -useful when the relative merits of competing proposals, such as different child-care deliv¬ +useful when the relative merits of competing proposals, such as different child-care delivďż˝ ery mechanisms, are being debated. It is not as useful in comparing questions of absolute merits, however, such as whether to allocate resources to early childhood programs or to radon testing. Moreover, the cost-effectiveness approach may be somewhat limited @@ -14680,12 +13857,12 @@ quite complicated. There are several advantages to cost-benefit analysis (Sylvia, Meier, & Gunn, 1985, pp. 48-49). If programs can be evaluated in terms of costs and benefits, the approach can result in rather precise recommendations. But even if it is difficult to calculate costs -or benefits, focusing on the two areas may help clarify the manager’s thinking about a +or benefits, focusing on the two areas may help clarify the managerďż˝s thinking about a proposal. Legislation often requires that cost-benefit analysis precede particular policy changes, especially in environmental or regulatory policy. -Several factors make it difficult to assess the costs and benefits of a particular pro¬ -gram. First, the analyst will be asked to come up with measures of both costs and bene¬ +Several factors make it difficult to assess the costs and benefits of a particular proďż˝ +gram. First, the analyst will be asked to come up with measures of both costs and beneďż˝ fits and reduce them to a common unit of measure (usually money). But in analyzing a proposed new highway, can we accurately portray the fatality rate for similar highway segments as a measure of safety? And, if so, how can we translate the rate of fatalities @@ -14695,17 +13872,17 @@ costs and benefits in our highway example, a particular level of fatalities may considered too high, either politically or ethically. Typically, costs are thought of as inputs and benefits as outputs. Costs might include -one-time items such as research and development, buildings and facilities, land acqui¬ -sition, equipment purchases, and so on, and recurring budgetary items such as person¬ +one-time items such as research and development, buildings and facilities, land acquiďż˝ +sition, equipment purchases, and so on, and recurring budgetary items such as personďż˝ nel, rent, maintenance, administrative overhead, insurance, and so forth. Because these expenditures take place over time, calculations usually take into account the time value -of money—the fact that people generally are not as willing to pay for something in +of moneyďż˝the fact that people generally are not as willing to pay for something in the future as in the present. Although the particular calculations are beyond the scope of this text, taking time into account enables us to answer questions such as whether Project A with low initial cost but high maintenance is better than Project B with high initial cost but low maintenance. -Benefits, based on outputs, include both positive and negative effects. (The nega¬ +Benefits, based on outputs, include both positive and negative effects. (The negaďż˝ tive effects of a program might be calculated either as increases in cost or decreases in benefits. They are usually the latter.) Positive benefits might include reduction in disease or improved drinking water or increased highway safety; negative benefits @@ -14721,12 +13898,12 @@ Measuring outputs and translating them into dollars are exceedingly difficult ta example, eliminating a disease might increase productivity, which could be measured, but also reduce pain and suffering, which would be more difficult to measure. Omitting these factors because they are hard to measure biases the analysis, but assigning a dollar value -to them might do the same. Consequently, the quantitative presentation of costs and ben¬ +to them might do the same. Consequently, the quantitative presentation of costs and benďż˝ efits is often accompanied by an explanation of additional qualitative considerations. Other Quantitative Techniques -In addition to cost-effectiveness and cost-benefit analyses, there are many other tech¬ +In addition to cost-effectiveness and cost-benefit analyses, there are many other techďż˝ niques to aid policy analysis. It is not necessary to examine the mathematical formulas, but it is helpful to understand the logic they depend on. Let us examine the following payoff matrices with that goal in mind. Assume a simple example: hiring an office worker @@ -14751,7 +13928,7 @@ Possible actions Computers Budgeting Choose A 1 2 Choose B 2 1 -Now there is no clear choice. Even if you thought computer skills were more impor¬ +Now there is no clear choice. Even if you thought computer skills were more imporďż˝ tant than budgeting skills, you could not choose, because candidate A might be a little better with computers, but candidate B may be much better in budgeting. To decide, you need either more sophisticated measures of ability or a way to weight the two factors, as @@ -14768,25 +13945,25 @@ Weight .7 .3 268 Chapter 7 Planning, Implementation, and Evaluation Here we are assuming that we can measure ability in the two areas on a ten-point -scale and that we have established that computer skills are more important than budget¬ +scale and that we have established that computer skills are more important than budgetďż˝ ing skills. By multiplying the scores by the weights, we obtain a combined value measure for the two candidates, thus enabling us to choose the better candidate. (This example is adapted from Latane, 1963.) We could extend the logic of the payoff matrix even further. One way is to combine scores under differing working conditions. Indeed, following the logic of the payoff -matrix, we could accommodate large numbers of weighted variables, as might be invol¬ +matrix, we could accommodate large numbers of weighted variables, as might be involďż˝ ved in a large-scale policy analysis; the logic remains much the same. Remember that one can adopt different decision rules and that the choice of criteria is subjective. -Another tool of policy analysis is decision analysis, a technique for use where deci¬ +Another tool of policy analysis is decision analysis, a technique for use where deciďż˝ sions are likely to be made sequentially and with some degree of uncertainty. Decision analysis is applicable to a variety of complex problems, such as choosing airport sites or developing plans for commercial breeder reactors, but the underlying logic is fairly straightforward and often quite helpful. Consider the following case: The officer in charge of a United States Embassy recreation program has decided to -replenish the employees’ club funds by arranging a dinner. It rains nine days out of +replenish the employeesďż˝ club funds by arranging a dinner. It rains nine days out of ten at the post, and he must decide whether to hold the dinner indoors or out. An enclosed pavilion is available but uncomfortable, and past experience has shown turnout to be low at indoor functions, resulting in a 60 percent chance of gaining @@ -14794,7 +13971,7 @@ $100 from a dinner held in the pavilion and a 40 percent chance of losing $20. O the other hand, an outdoor dinner could be expected to earn $500 unless it rains, in which case the dinner would lose about $10. (Stokey & Zechauser, 1978, p. 202) -Using decision analysis to structure the officer’s dilemma involves first constructing a +Using decision analysis to structure the officerďż˝s dilemma involves first constructing a decision tree to show the various possible outcomes, given the risks associated with each (see Figure 7.1). @@ -14838,7 +14015,7 @@ might result from a given set of moves. Let us say that White is ready to move a two options, W1 and W2, leading to the following decision tree. (If we move Wl, then Black can move either B1 or B2; if we move W2, then Black can move either B3 or B4; and so on. We will take the values across the bottom to be the outcomes.) We would -prefer to choose W2, then have Black choose B4, so that we could choose W9, the alter¬ +prefer to choose W2, then have Black choose B4, so that we could choose W9, the alterďż˝ native with the highest value for us. But taking into account what Black is likely to do, we recognize that if we take W2, then Black will take B3, leading us to the two lowest payoffs. Recognizing this probability, we will instead take Wl, expecting that Black will @@ -14848,7 +14025,7 @@ Although our examples have been quite simple, their logic can support far more sophisticated applications of policy analysis. Moreover, the discipline these techniques imposes makes them useful for even relatively simple applications. The models force us to examine our assumptions, structure the problem clearly and logically, and consider -the full range of available options. The models also allow us to more effectively commu¬ +the full range of available options. The models also allow us to more effectively commuďż˝ nicate our analysis to others. That brings us to one final point. No matter how sophisticated the analysis and how @@ -14856,11 +14033,11 @@ rational its conclusions, a policy analysis must be effectively communicated to decision makers. Communication is often quite difficult, because decision makers are extremely busy and have a variety of conflicting demands on their time and interests. Sometimes even those who are invited to do a policy analysis find themselves and the -analysis swept aside by political or other considerations and, indeed, that is the preroga¬ +analysis swept aside by political or other considerations and, indeed, that is the prerogaďż˝ tive of major decision makers. A noted sociologist, Amitai Etzioni, spent several years as a senior advisor to the White House during the Carter administration. After trying unsuccessfully to interest the administration in a reindustrialization program, he wrote -with some frustration: “Outsiders who seek to promote policy ideas uninvited, especially +with some frustration: ďż˝Outsiders who seek to promote policy ideas uninvited, especially without the backing of an organized societal group, lobby, or pressure group, will usually x @@ -14878,7 +14055,7 @@ Chess Match Decision Tree 270 Chapter 7 Planning, Implementation, and Evaluation find the process tortuous. Those who choose to travel this road should understand that as -a rule they are in for a long haul” (Majchrzak, 1984, p. 92). A rational analysis is helpful +a rule they are in for a long haulďż˝ (Majchrzak, 1984, p. 92). A rational analysis is helpful in the decision process, but political considerations, in the positive sense, must also be taken into account before actions are taken. @@ -14886,7 +14063,7 @@ Implementation In the cycle of planning, implementation, and evaluation, implementation is the action phase. Once plans have been made and policies decided upon, you must put them into -operation. Financial and human resources must be allocated and mobilized, organiza¬ +operation. Financial and human resources must be allocated and mobilized, organizaďż˝ tional structures and systems must be devised, and internal policies and procedures must be developed. During implementation, you may be involved in issuing and enforcing directives, disbursing funds, awarding grants and contracts, analyzing programmatic and @@ -14894,29 +14071,29 @@ operational problems, taking corrective action, and negotiating with citizens, b and those in other public and nonprofit organizations. Recently, a body of literature dealing with the implementation process has emerged. -Some of the literature merely uses new terms to talk about the general processes of admin¬ +Some of the literature merely uses new terms to talk about the general processes of adminďż˝ istration in the public sector, whereas other parts of the literature focus on the relationship between policy development and program implementation, specifically alerting us to the difficulty of effective implementation and to how implementation of programs may distort or even subvert the intent of policy makers. Most pointedly, one commentator has written, -“It is hard enough to design public policies and programs that look good on paper. It is +ďż˝It is hard enough to design public policies and programs that look good on paper. It is harder still to formulate them in words and slogans that resonate pleasingly in the ears of -political leaders and the constituencies to which they are responsive. And it is excruciat¬ +political leaders and the constituencies to which they are responsive. And it is excruciatďż˝ ingly hard to implement them in a way that pleases anyone at all, including the supposed -beneficiaries or clients” (Bardach, 1977, p. 3). +beneficiaries or clientsďż˝ (Bardach, 1977, p. 3). A classic study of the relationship between policy and implementation was suggestively titled Implementation: How Great Expectations in Washington Are Dashed in Oakland; -or Why It’s Amazing That Federal Programs Work at All (Pressman & Wildavsky, 1973). +or Why Itďż˝s Amazing That Federal Programs Work at All (Pressman & Wildavsky, 1973). Implementation described a particular economic development program in the Oakland, California, area that was less than successful. Pressman and Wildavsky conclude that -“what seemed to be a simple program turned out to be a very complex one, involving -many participants, a host of different perspectives, and a long and tortuous path of deci¬ -sion points that had to be cleared” (p. 94). Implementation was characterized by multiple -and conflicting interests, each trying to influence the program’s direction to suit their +ďż˝what seemed to be a simple program turned out to be a very complex one, involving +many participants, a host of different perspectives, and a long and tortuous path of deciďż˝ +sion points that had to be clearedďż˝ (p. 94). Implementation was characterized by multiple +and conflicting interests, each trying to influence the programďż˝s direction to suit their many and divergent needs. The major recommendation of the study seemed to be that -persons involved in designing public policies “pay as much attention to the creation of -organizational machinery for executing a program as for launching one” (pp. 144-145). +persons involved in designing public policies ďż˝pay as much attention to the creation of +organizational machinery for executing a program as for launching oneďż˝ (pp. 144-145). This lesson has been clearly recognized in the literature of strategic planning. Plans remain sterile without implementation, so there has always been a close connection @@ -14927,8 +14104,8 @@ make immediate decisions in light of future impact. Thus, a final step in any pl Implementation z 71 -process is to arrive at a series of specific actions to take in the near future — the next six -months, or the next year or two years—who does what, when and to what effect. These +process is to arrive at a series of specific actions to take in the near future ďż˝ the next six +months, or the next year or two yearsďż˝who does what, when and to what effect. These steps, which may detail new policy positions or new organizational processes, will form a new action agenda for the community or the agency. @@ -14941,10 +14118,10 @@ division of labor within an organization and the structure of command or control In the late 1930s, Luther Gulick advised managers developing new organizations that there were several ways they could divide work (Gulick, 1937, pp. 21-29). Among these -were (1) purpose, (2) process, (3) persons or things, or (4) place. Dividing work accord¬ +were (1) purpose, (2) process, (3) persons or things, or (4) place. Dividing work accordďż˝ ing to purpose might result in distinctions such as that between providing education or controlling crime, while dividing it according to process might lead to a legal unit, a -medical unit, or an engineering unit. One could also divide work according to the per¬ +medical unit, or an engineering unit. One could also divide work according to the perďż˝ sons served or the things being dealt with; for example, the Veterans Administration deals with all problems that veterans face, whether legal, medical, and so on. Finally, one may organize according to geographic area, as would a state welfare department that @@ -14952,24 +14129,24 @@ has regional or county offices. Networking -Online resources and case studies relating to the planning and implementation of pro¬ +Online resources and case studies relating to the planning and implementation of proďż˝ ductivity initiatives can be found at http://www.alliance.napawash.org/ALLIANCE/ and at the U.S. Conference of Mayors site at http://www.usmayors.org/uscm/ best_practices/. For information on scenario planning, go to the Global Business Network at http://www.gbn.org. Gulick and his contemporaries also talked about the number of levels that would -be appropriate to an organization. Many organizations are fairly tall—they have many -levels; others are flat—they have relatively few levels. The number of levels is guided +be appropriate to an organization. Many organizations are fairly tallďż˝they have many +levels; others are flatďż˝they have relatively few levels. The number of levels is guided to a degree by the type of work and by the number of people who report to any one manager. The term span of control signifies the number of people that one individual -supervises; though there are significant variations depending on type of work, it is gener¬ +supervises; though there are significant variations depending on type of work, it is generďż˝ ally considered difficult to supervise more than six to ten people. In addition to developing organizational structures, early writers urged charting work -processes as an aid to organizational design. Process charting or flowcharting can pro¬ +processes as an aid to organizational design. Process charting or flowcharting can proďż˝ vide a graphic demonstration of the various steps in an operation, the people performing -each step, and the relationships among these elements. Figure 7.3 shows a simple illus¬ +each step, and the relationships among these elements. Figure 7.3 shows a simple illusďż˝ tration of process charting, though charts can become far more sophisticated in actual applications. This process chart uses a variety of symbols to indicate different activities. @@ -14987,14 +14164,14 @@ which the item or operation is stationary. Finally, the square indicates an insp the work item, usually to check for quality or quantity. As illustrated here, one can make notations on the chart to indicate the nature of particular steps in the process. -Process charting is most useful where a considerable number of clerical or nonprofes¬ +Process charting is most useful where a considerable number of clerical or nonprofesďż˝ sional employees perform the same general classes of work and follow the same general sequence of operating steps. Although process charting is less useful in analyzing the work of professionals, there are possible applications here as well. For example, charting a professional operation may reveal bottlenecks, excessive periods of review, or excessive check points that inhibit the flow of work. As with other techniques, process charting can become quite complex, but its logic is both simple and compelling. Process charting -simplifies analysis because it sharply points out backtracking, excessive detail, unneces¬ +simplifies analysis because it sharply points out backtracking, excessive detail, unnecesďż˝ sary repetition, poor distribution of functions, and other administrative defects. For this reason process charting has enjoyed a revival of interest by those implementing total quality management programs. @@ -15021,15 +14198,15 @@ I Conducts Operations 1 T audit Transportation i Confers with -• ¦ administrative +ďż˝ ďż˝ administrative T officer -Inspection 1 Ł Prepares +Inspection 1 ďż˝ Prepares Urough draft Storage ? -By analyst |§1 +By analyst |ďż˝1 Awaits handling @@ -15047,17 +14224,17 @@ Systems Analysis There are many other sophisticated devices that have been developed for analyzing the design and operations of both public and private organizations. Many of the approaches are based in systems theory, an effort to identify, in logical fashion, the interactions -of various internal and external elements that impinge on an organization’s operations. +of various internal and external elements that impinge on an organizationďż˝s operations. The systems approach has been used in a variety of fields, including physics, biology, economics, sociology, and information science, but the basic concepts are much the same regardless of discipline. Generally speaking, a system is a set of regularized interactions configured or hounded in a way that differentiates and separates them from other -actions that constitute the systems environment; thus, we can speak of a biological sys¬ +actions that constitute the systems environment; thus, we can speak of a biological sysďż˝ tem, a physical system, an economic system, or a political system. Any such system -receives inputs from its environment, then translates these through some sort of conver¬ +receives inputs from its environment, then translates these through some sort of converďż˝ sion process into outputs that are returned to the environment. These outputs in turn affect future inputs to the system through a feedback loop. Presumably, if the outputs of -a system are valued by the environment, new inputs will be forthcoming and the organi¬ +a system are valued by the environment, new inputs will be forthcoming and the organiďż˝ zation will survive. (A basic systems model is illustrated in Figure 7.4.) Following this model, consider the operation of a thermostat. The thermostat takes @@ -15068,7 +14245,7 @@ information (feedback), which becomes part of the next input into the system. The systems concept works similarly in human organizations. A business might receive input from its environment that customers are demanding more red shoes. A decision might -be made to produce more red shoes, and those shoes would be part of the organization’s +be made to produce more red shoes, and those shoes would be part of the organizationďż˝s Environment @@ -15097,24 +14274,24 @@ apply systems logic to a variety of problems public organizations face, and, as techniques, the systematic discipline that the approach brings to problem solving is perhaps its greatest strength. -Systems analysis emphasizes the relationship between the organization and its envi¬ +Systems analysis emphasizes the relationship between the organization and its enviďż˝ ronment, suggesting that public managers carefully consider factors in the environment -that impinge on their operations. These factors include legal and political matters, sup¬ +that impinge on their operations. These factors include legal and political matters, supďż˝ port and opposition generated by interest groups and client organizations, human and financial resources, and applicable technology. Naturally, the environment also includes a large number of other organizations with which the agency interacts, such as the chief -executive’s office, the legislature, the budget office, related agencies at the same level of +executiveďż˝s office, the legislature, the budget office, related agencies at the same level of government, parallel agencies at other levels of government, and a variety of private and nonprofit groups and associations. Many systems analysts tend to ignore what occurs within the system itself, preferring to think of it as a black box into which inputs go and from which outputs come. Others -speak of several different subsystems that carry forward the organization’s work. In a -classic formulation, the institutional subsystem is responsible for adapting the organiza¬ +speak of several different subsystems that carry forward the organizationďż˝s work. In a +classic formulation, the institutional subsystem is responsible for adapting the organizaďż˝ tion to its environment and for anticipating and planning for the future. People involved -in this activity generally constitute the organization’s leadership cadre. The technical sub¬ -system, on the other hand, is concerned with the effective performance of the organi¬ -zation’s actual work. If the work of the organization is building rockets, the technical +in this activity generally constitute the organizationďż˝s leadership cadre. The technical subďż˝ +system, on the other hand, is concerned with the effective performance of the organiďż˝ +zationďż˝s actual work. If the work of the organization is building rockets, the technical subsystem is the people who actually build the rockets. Finally, the managerial subsystem is concerned with providing the necessary resources for accomplishing the technical task, as well as mediating between the technical and institutional subsystems (Thompson, @@ -15122,7 +14299,7 @@ as well as mediating between the technical and institutional subsystems (Thompso Outputs of public organizations range from goods (such as highways or buildings) to services (such as student loans or employment counseling), but also include regulations, -adjudication, and support for other programs. To know the effect of their efforts, man¬ +adjudication, and support for other programs. To know the effect of their efforts, manďż˝ agers need some sort of feedback mechanism. Feedback often occurs naturally: clients write letters of appreciation; legislators inquire about program operations; a program may even become an issue during an election campaign. Sometimes, however, you will @@ -15165,13 +14342,13 @@ take place until all events logically prior to that event occur. For instance, t mail the brochures (I), it is necessary to develop a budget (H), contract for the space (D), and identify the conference speakers (K). Each event is necessarily preceded by others. Time estimates for each activity are entered above each line. (Some PERT charts give -a normal, an optimistic, and a pessimistic time projection, but we give one figure—the -expected time in days. PERT charts can also be constructed with cost estimates substi¬ +a normal, an optimistic, and a pessimistic time projection, but we give one figureďż˝the +expected time in days. PERT charts can also be constructed with cost estimates substiďż˝ tuted for time estimates.) Various paths lead from the decision to hold the conference (A) to the opening session (G). If you add the times required to complete all the steps along any particular path, -you arrive at an expected time to complete that path—ABCDEFG requires twenty-two +you arrive at an expected time to complete that pathďż˝ABCDEFG requires twenty-two days; ABJKIFG requires forty-two days. The path that takes the most time is the critical path (in this case, path ABHKIFG) and is usually highlighted in some way. Any delay in the critical path will delay the entire project. Other paths may have built-in slack times, @@ -15182,8 +14359,8 @@ sooner, they must find some way to decrease the time required to complete the cr path. In summary, program implementation involves the full range of administrative skills -and concepts, but implementation can occasionally be facilitated by using certain tech¬ -niques. Our examples are simplified to illustrate the logic of the technique. All the tech¬ +and concepts, but implementation can occasionally be facilitated by using certain techďż˝ +niques. Our examples are simplified to illustrate the logic of the technique. All the techďż˝ niques, however, can be applied to projects of much greater magnitude and complexity. @@ -15192,19 +14369,19 @@ zj6 Chapter 7 Planning, Implementation, and Evaluation 4 * ' ... -«/ „ / • +ďż˝/ ďż˝ / ďż˝ <5)/ (4) / / \ -(5) © +(5) ďż˝ (7)\ (12\ (3)/ \ \ / / 0) -©--(1-5)-® J» +ďż˝--(1-5)-ďż˝ Jďż˝ Critical path -— +ďż˝ (12)''VX X (4) <> Expected time in days @@ -15228,8 +14405,8 @@ FIGURE 7.5 Chart for Organizing a Conference -Regardless of the complexity of the application, the result should be the same—a more -disciplined and precise view of the implementation of one’s program. +Regardless of the complexity of the application, the result should be the sameďż˝a more +disciplined and precise view of the implementation of oneďż˝s program. Reengineering @@ -15242,49 +14419,49 @@ this technique, they attempt to make public organizations more flexible and capa responding to the dynamic conditions in contemporary society. In some respects, reengineering builds upon systems theory, PERT/CPM and other -techniques in that it involves the recognition of core processes and the systemic con¬ +techniques in that it involves the recognition of core processes and the systemic conďż˝ text of staff behavior. However, the outcome of reengineering goes well beyond simply making alterations within the existing bureaucratic structure. Its goal is to overhaul -rigid government agencies into what one author calls seamless organizations: “In con¬ +rigid government agencies into what one author calls seamless organizations: ďż˝In conďż˝ trast to the fragmented bureaucracies of the past, seamless organizations provide a smooth, transparent, almost effortless experience for their customers. Staff in seamless -organizations perform the full job, in direct contact with their end users” (Linden +organizations perform the full job, in direct contact with their end usersďż˝ (Linden 1994, p. xii). Evaluation 277 -Implementation of a reengineering process begins with an identification of the organi¬ -zation’s desired outcomes. These include the short- and long-term impacts the agency +Implementation of a reengineering process begins with an identification of the organiďż˝ +zationďż˝s desired outcomes. These include the short- and long-term impacts the agency wants to achieve. Then, the organization is redesigned around the core and support processes that will produce these outcomes. Given the hierarchical, inflexible nature of many public organizations, though, this is not as simple as it may seem. Reengineering requires that public administrators change their current assumptions, those equating organization with traditional bureaucracy. Such a reorientation helps to -transform work processes and agency structures to those driven by meaningful out¬ -comes— a shift from segmentation to integration, from division of labor to seamless +transform work processes and agency structures to those driven by meaningful outďż˝ +comesďż˝ a shift from segmentation to integration, from division of labor to seamless work (Linden, 1994). Reengineering involves enhancing those activities that may be considered value- -added— that is, activities that give customers more of what they are willing to pay for +addedďż˝ that is, activities that give customers more of what they are willing to pay for and cutting functions that merely stand in the way. Of course, some of the functions -in this latter category remain crucial for the organization’s success. Central administra¬ +in this latter category remain crucial for the organizationďż˝s success. Central administraďż˝ tion activities such as budgeting, accounting, and quality inspections cannot simply be -removed from the picture. On the other hand, these functions often hinder the comple¬ +removed from the picture. On the other hand, these functions often hinder the compleďż˝ tion of the more value-added activities. The key to successful reengineering is to separate the core processes from the other tasks, enabling the critical activities to be carried out more effectively. -While management plays a central role in any reengineering effort, the technique’s -success depends upon the capacity of key teams engaged in project design and imple¬ +While management plays a central role in any reengineering effort, the techniqueďż˝s +success depends upon the capacity of key teams engaged in project design and impleďż˝ mentation. The first team is responsible for identifying organizational processes in need of change. Next, the second group leads the change initiative. Individuals from -throughout the organization, as well as members of the organization’s stakeholder +throughout the organization, as well as members of the organizationďż˝s stakeholder groups, are brought in to inform the process and to develop indicators that will help -keep the initiative on track. Leaders emerge from each of these teams—individuals -who guide the reengineering process by ensuring that it has adequate resources, admin¬ +keep the initiative on track. Leaders emerge from each of these teamsďż˝individuals +who guide the reengineering process by ensuring that it has adequate resources, adminďż˝ istrative support, and overall organizational commitment (Hammer & Champy, 1993; Linden, 1994). @@ -15292,7 +14469,7 @@ Evaluation The sequence of planning, implementation, and evaluation is completed by asking whether the goals and objectives of the program have been achieved in a way that was -both efficient and effective. Such evaluations may, however, operate at a variety of differ¬ +both efficient and effective. Such evaluations may, however, operate at a variety of differďż˝ ent levels. Some may respond to the interest of the legislature in knowing whether the intended benefits of legislation were achieved; others may be designed to communicate to the public what is happening in areas of broad citizen interest; still others may be oriented @@ -15305,9 +14482,9 @@ and more traditional program evaluation approaches. 278 Chapter 7 Planning, Implementation, and Evaluation -While program evaluation offers insight into each'policy or program’s direction, effec¬ +While program evaluation offers insight into each'policy or programďż˝s direction, effecďż˝ tiveness, and sustainability, performance measurement generates information concerning -the organization or network as a whole. When combined within the framework of eval¬ +the organization or network as a whole. When combined within the framework of evalďż˝ uation research, these strategies not only assist" in the decision-making process, they improve the overall accountability of public organizations. In turn, evaluation research enhances legislative oversight and administrative control. @@ -15315,7 +14492,7 @@ enhances legislative oversight and administrative control. Several legislative groups conduct or sponsor evaluation research at the federal level. These include the General Accounting Office (GAO), the Congressional Budget Office, the Congressional Research Service, and the Office of Technology Assessment, as well as -various legislative committees, primarily those concerned with the budget and with over¬ +various legislative committees, primarily those concerned with the budget and with overďż˝ sight of specific programs. Executive agencies, such as the Office of Management and Budget and the Executive Office of the President, also conduct evaluation research. Much of this research, however, is sponsored by the various agencies themselves, as @@ -15329,18 +14506,18 @@ branch, often through the budget office. In recent years, many states have restr their budgets to be in line with predetermined performance standards. This has enabled state governments to link fiscal resources to the desired results targeted by each agency. Evaluation research is then used to help the state government determine how successful -it has been in achieving its performance goals. Consequently, state legislatures and citi¬ +it has been in achieving its performance goals. Consequently, state legislatures and citiďż˝ zens can now see what services and impacts were gained with public resources. Again, at the state and local levels and in most nongovernmental organizations, as at the federal level, a great deal of evaluation research is done as part of the agency or -program manager’s ongoing responsibility. Particularly in the era of reinvention and +program managerďż˝s ongoing responsibility. Particularly in the era of reinvention and the National Performance Review, public administrators increasingly must show not only the efficiency of their actions but also the results of their actions within the broader stakeholder community. Examples of performance measurement and program evaluation range from complex, detailed, one-time studies to the ongoing, integrated monitoring of performance goals. Regardless of the level of sophistication, evaluation research offers -important details in support of the organization’s overall strategic planning and to assist +important details in support of the organizationďż˝s overall strategic planning and to assist the organization in determining the direction of individual programs. Performance Measurement @@ -15371,39 +14548,39 @@ Institute (http://www.conginst.org). For information concerning evaluation activities by state and local governments, visit these sites: http://policyworks.gov and http://www.auditor.leg.state.mn.us/info.htm. -In 1993, performance measurement became the law under the Government Perfor¬ -mance and Results Act (GPRA). The act mandated that federal agencies undergo a strate¬ +In 1993, performance measurement became the law under the Government Perforďż˝ +mance and Results Act (GPRA). The act mandated that federal agencies undergo a strateďż˝ gic planning process to identify five-year performance outcomes. Organizational activities toward these outcomes, then, would be measurable through annual performance reviews. The performance review plans were required starting in fiscal year 1999. Within these -plans, federal agencies identified performance indicators — specific, quantifiable goals that +plans, federal agencies identified performance indicators ďż˝ specific, quantifiable goals that the agency strives for in pursuit of its more substantive objectives. These indicators reflect -each agency’s outputs and outcomes. +each agencyďż˝s outputs and outcomes. A distinction should be made here between inputs, outputs, and outcomes: inputs are -those resources — financial, human, and otherwise — available to the organization; out¬ +those resources ďż˝ financial, human, and otherwise ďż˝ available to the organization; outďż˝ puts are the actual goods or services produced by an organization; and outcomes, as we have mentioned, are the long-term objectives that the organization wants to achieve. As an illustration, the Federal Aviation Administration issues regulations, which constitute one type of its outputs. But someone measuring the performance of this organization -would be only moderately interested in the number of regulations it issues. More impor¬ +would be only moderately interested in the number of regulations it issues. More imporďż˝ tant would be the effect of the regulations on desired goals, such as improved air safety. Improved air safety would be an outcome. (Generally speaking, objectives are likely -to be narrow and specific, directly tied to each organization’s particular activities; out¬ -comes, on the other hand, are related to the larger purposes to be served by the organi¬ -zation’s work.) +to be narrow and specific, directly tied to each organizationďż˝s particular activities; outďż˝ +comes, on the other hand, are related to the larger purposes to be served by the organiďż˝ +zationďż˝s work.) The long-term impact of GPRA remains to be seen; however, in a recent symposium, representatives from federal agencies and the academic community had a chance to reflect on some of the reactions to federally mandated performance measurement. Kathryn -Newcomer, one of the scholarly participants, wrote, “[T]he message given at the confer¬ +Newcomer, one of the scholarly participants, wrote, ďż˝[T]he message given at the conferďż˝ ence was certainly mixed. There are benefits in the form of improved dialogue about Federal government performance in this GPRA era, but there is still much progress to be made in improving dialogue across agencies and across congressional committees. And the report cards on performance reporting in the federal government [based on reporting standards for federal agencies] are not out yet. The criteria to be used by Congress in -grading performance reports are still big—and significant—unknowns in the perfor¬ -mance rating game” (Newcomer, 1999, p. 10). All else aside, GPRA certainly has helped +grading performance reports are still bigďż˝and significantďż˝unknowns in the perforďż˝ +mance rating gameďż˝ (Newcomer, 1999, p. 10). All else aside, GPRA certainly has helped @@ -15413,10 +14590,10 @@ to broaden the dialogue to include issues of government effectiveness and the ca federal agencies to achieve public objectives. Of course, the move toward performance measurement goes well beyond GPRA and -its requirements for federal agencies. Public organizations at all levels, as well as organi¬ +its requirements for federal agencies. Public organizations at all levels, as well as organiďż˝ zations in the nonprofit sector, have begun to tie evaluation research to their planning and implementation functions. Most state governments, for instance, now use performance -measurement as a means of assessing their activities in terms of both outputs and out¬ +measurement as a means of assessing their activities in terms of both outputs and outďż˝ comes. Accordingly, these states can associate budget decisions and program directives with specific performance standards set by each agency. And, as a result, the states enjoy a more effective system of accounting for their efficiency and effectiveness to citizens and @@ -15424,7 +14601,7 @@ other stakeholders. Several years ago, for example, the state of Texas instituted a performance budgeting system as a means of enhancing agency accountability and productivity. Under the new -system, state agencies must determine the resources necessary to accomplish perfor¬ +system, state agencies must determine the resources necessary to accomplish perforďż˝ mance goals, then negotiate the goals and resources with the state legislature. Once the outcomes and allocations have been established, lawmakers grant spending authority based on the performance goals. The move away from program categories and line @@ -15436,17 +14613,17 @@ Box 7.3, the task of identifying measures is not always easy. Altering the Outcomes These days, discussions of welfare reform invariably turn to outcomes. Historically, -welfare programs used measurements that assessed process efficiencies. In an entitle¬ +welfare programs used measurements that assessed process efficiencies. In an entitleďż˝ ment system, the measurement of error rates and the number of cases per caseworker -were appropriate, since the business was focused — as its primary driver — on deter¬ +were appropriate, since the business was focused ďż˝ as its primary driver ďż˝ on deterďż˝ mining eligibility. -In the new world of welfare reform, with time-limited benefits and workfare pro¬ +In the new world of welfare reform, with time-limited benefits and workfare proďż˝ grams, the objectives are more complex than getting the applicant a check. The new paradigm involves helping recipients develop enough self-sufficiency so that they do not need state-provided financial supports. It is no longer acceptable that -welfare programs are just efficient; they must also be effective. The only way to con¬ +welfare programs are just efficient; they must also be effective. The only way to conďż˝ firm that they are effective is to measure their effectiveness against some agreed-upon criteria. Therefore, the discussion of outcome measures is critical to welfare reform. @@ -15466,21 +14643,21 @@ Take an example of a hypothetical mother and child that were getting assistance under the old Aid to Families with Dependent Children (AFDC) program; the child was removed from the home and put into the care and protection of the state in its foster care program. The child welfare worker that removed the child -from the mother’s care was supposed to inform the welfare caseworker that the +from the motherďż˝s care was supposed to inform the welfare caseworker that the child was out of the household, so that the benefit to the mother was reduced. The assumed measure of program success for welfare was to reduce the caseload level; we went one case down in AFDC and one up in child welfare. But a positive outcome measure for the child welfare program was to get the children in foster -care back to their mothers. Working toward that outcome, the child welfare case¬ +care back to their mothers. Working toward that outcome, the child welfare caseďż˝ worker would not have informed the AFDC program of the foster care placement, -because doing so would have reduced the mother’s income level. The child welfare +because doing so would have reduced the motherďż˝s income level. The child welfare caseworker worried that the reduced resources available to the mother would reduce the likelihood that she could create the conditions necessary for the return of the child. The finance people went nuts when this type of situation occurred, but from the perspective of the child welfare worker it was a rational decision -because of the assumed outcome of reunification. From the welfare agency’s per¬ -spective it was a poor outcome—fraud! ... I think that you would find that every -public servant is in vociferous agreement with the concept of performance mea¬ +because of the assumed outcome of reunification. From the welfare agencyďż˝s perďż˝ +spective it was a poor outcomeďż˝fraud! ... I think that you would find that every +public servant is in vociferous agreement with the concept of performance meaďż˝ surement. . . . The difficulty is converting policy objectives into metrics for accountability. A lot of people have tried to use the budget process as a tool for holding agencies accountable for outcomes, but I do not know if that works. @@ -15488,23 +14665,23 @@ In the private sector, goals and objectives can be converted to financial terms easily. In the public sector, it is a stretch beyond reason to think that all things can be measured in terms of budgetary outcomes. -SOURCE: Larry Singer, “Altering the Outcomes: Assessing Welfare Program Effectiveness Requires More -Than Just Caseload Count.” Government Technology 10 (December 1997): 143. Copyright © 1997, +SOURCE: Larry Singer, ďż˝Altering the Outcomes: Assessing Welfare Program Effectiveness Requires More +Than Just Caseload Count.ďż˝ Government Technology 10 (December 1997): 143. Copyright ďż˝ 1997, Government Technology magazine. Reprinted with permission. Similarly, the United Way of America has implemented a comprehensive outcome -measurement program, to foster a consistent, effective system of performance man¬ +measurement program, to foster a consistent, effective system of performance manďż˝ agement across United Way-funded agencies (Hatry et ah, 1996). The United Way -approach concentrates on a logical chain — linking program inputs, activities, outputs -and outcomes — with outcomes measured by specific points of information referred to +approach concentrates on a logical chain ďż˝ linking program inputs, activities, outputs +and outcomes ďż˝ with outcomes measured by specific points of information referred to as indicators. The goal for the United Way is to encourage agencies to move away from traditional, efficiency-related measures to more meaningful assessments of program -impact, based on the number and percentage of clients to achieve the program out¬ +impact, based on the number and percentage of clients to achieve the program outďż˝ comes (Hatry et ah, 1996, pp. 1-2). In identifying performance standards, public and nonprofit organizations may pull -from a variety of sources. This is usually done in what is called a process of bench¬ -marking. Benchmarking features the targeting of specific goals based on previous per¬ +from a variety of sources. This is usually done in what is called a process of benchďż˝ +marking. Benchmarking features the targeting of specific goals based on previous perďż˝ formance levels, standards set by similar organizations, objectives created through a strategic planning process, or any combination of these and other relevant sources. @@ -15514,7 +14691,7 @@ strategic planning process, or any combination of these and other relevant sourc Public administrators then assess agency performance, using comparisons with these predetermined indicators. Through benchmarking, administrators are able to connect -their evaluation research directly with the agency’s planning and implementation +their evaluation research directly with the agencyďż˝s planning and implementation strategies. The most effective application of performance measurement integrates evaluation @@ -15523,31 +14700,31 @@ report on one successful performance management exercise was developed by Jay Hakes, administrator of the Energy Information Administration (EIA) of the U.S. Department of Energy, based on his work with the agency. Specifically, based on the EIA experience, Hakes suggests that organizations that attempt to pattern assessment -strategies, without first sequencing these strategies in the overall process of organiza¬ -tional change, may lose sight of important organizational barriers both to perfor¬ +strategies, without first sequencing these strategies in the overall process of organizaďż˝ +tional change, may lose sight of important organizational barriers both to perforďż˝ mance measurement and to the change itself. These groups may fall into the trap of monitoring activities without linking them to the targeted goals and outcomes of the organization. -To prevent this, Hakes suggests several action steps that lay a foundation for success¬ +To prevent this, Hakes suggests several action steps that lay a foundation for successďż˝ ful performance measurement, which include: -• analyzing goals deriving from statutes and historic practices -• discussing desired outputs and outcomes with major customers in and out of +ďż˝ analyzing goals deriving from statutes and historic practices +ďż˝ discussing desired outputs and outcomes with major customers in and out of government -• writing a strategic plan -• drawing an input/output map of the organization (Hakes, 1997, p. 10) +ďż˝ writing a strategic plan +ďż˝ drawing an input/output map of the organization (Hakes, 1997, p. 10) However, it is important to note that these steps represent merely the beginning of successful performance management. Commitments from top leadership, organizational members, stakeholders and those overseeing agency resources must be gained in order for the change strategy to be effective. The performance measures themselves must -be linked with the organization’s budget allocations and reward systems. In this regard, +be linked with the organizationďż˝s budget allocations and reward systems. In this regard, creating an effective measurement strategy means transforming the organization into a performance-based organization. -The next steps in the process involve integrating the measures throughout the organi¬ +The next steps in the process involve integrating the measures throughout the organiďż˝ zation. This can be done, according to Hakes, by involving organizational members in the process and by gaining feedback to enhance the measures. Data sources, complete with baseline indicators, should be established and a benchmarking process initiated to @@ -15557,10 +14734,10 @@ performance standards. Finally, clear decisions must be reached on how the performance measurement system will be used. Some may opt for a more punitive application of assessment, choosing to use the techniques to play a watchdog role. Hakes encourages public administrators to -employ measurement strategies in a more constructive way: “If workers can use mea¬ +employ measurement strategies in a more constructive way: ďż˝If workers can use meaďż˝ sures for self correction and continuous improvement without risk of punishment or -with some prospect for reward, progress on providing value for dollar (maximum out¬ -puts and outcomes for minimal inputs) will surpass the expectations of most observers” +with some prospect for reward, progress on providing value for dollar (maximum outďż˝ +puts and outcomes for minimal inputs) will surpass the expectations of most observersďż˝ (1997, p. 17). @@ -15569,22 +14746,22 @@ Evaluation 283 As with any successful approach to organizational change, Hakes reveals that the most meaningful attempt at performance management will occur when leadership -engages members from throughout the organization and, in turn, connects the assess¬ -ment strategy to the organization’s long-term outcomes. More important, Hakes -suggests that public administrators must become less concerned with strictly the quan¬ +engages members from throughout the organization and, in turn, connects the assessďż˝ +ment strategy to the organizationďż˝s long-term outcomes. More important, Hakes +suggests that public administrators must become less concerned with strictly the quanďż˝ titative indicators and more concerned with creating a culture of success within their organizations. (The challenges of applying performance management in practice are discussed in Box 7.4) BOX 7.4 -iH!¦¦¦ +iH!��� Performance Management: Theory and Practice -In theory, measures of performance are thought to be answers to questions. In prac¬ +In theory, measures of performance are thought to be answers to questions. In pracďż˝ tice, performance measures are often themselves questions, or at least they raise as many questions as they answer. Performance measures are exactly that, quantitative -representations of some reality. Because performance measures are represented quan¬ +representations of some reality. Because performance measures are represented quanďż˝ titatively, they have the appearance of fact and convey impressions of objectivity and neutrality. In practice, such measures are quantitative interpretations of reality in exactly the same way words are narrative interpretations of reality. In practice, very @@ -15610,11 +14787,11 @@ Program domain . . . comparable particular Casual assertions demonstrated unclear can be . . . -“This program ...” performs poorly performs poorly, but things +ďż˝This program ...ďż˝ performs poorly performs poorly, but things would be worse without it -SOURCE: H. George Frederickson, “Measuring Performance in Theory and Practice.” Public +SOURCE: H. George Frederickson, ďż˝Measuring Performance in Theory and Practice.ďż˝ Public Administration Times, Vol. 23, No. 8, 2000, pp. 8-10. @@ -15622,13 +14799,13 @@ Administration Times, Vol. 23, No. 8, 2000, pp. 8-10. Chapter 7 Planning, Implementation, and Evaluation An interesting approach to performance measurement that has begun making its way -into the public and nonprofit sectors is Kaplan and Norton’s (1996) “Balanced -Scorecard.” The Balanced Scorecard balances concerns for financial performance and +into the public and nonprofit sectors is Kaplan and Nortonďż˝s (1996) ďż˝Balanced +Scorecard.ďż˝ The Balanced Scorecard balances concerns for financial performance and internal business processes with customer service and organizational learning, enabling -decision makers to track various dimensions of an organization’s performance and com¬ +decision makers to track various dimensions of an organizationďż˝s performance and comďż˝ municated more effectively with stakeholders. Kaplan and Norton point out, however, that the Balanced Scorecard is not a just technique to control behavior or evaluate past -performance. Rather it should be used to communicate, to inform, and to enable learn¬ +performance. Rather it should be used to communicate, to inform, and to enable learnďż˝ ing and growth. Through the use of this technique managers should be able to monitor and adjust the implementation of their strategies and make fundamental changes in the way the organization operates (Kaplan & Norton, 1996, pp. 18-24). @@ -15638,34 +14815,34 @@ begun to develop strategies to help them evaluate their efforts and assume more centered approaches to meeting public outcomes. A recent study examined reform efforts in member states of the Organization for Economic Cooperation and Development (OECD) and selected nonmember nations. Nations such as Canada, Spain, and Sweden -were targeted for their efforts to develop and implement performance measurement tech¬ +were targeted for their efforts to develop and implement performance measurement techďż˝ niques on a nationwide basis. Other countries, like the United States, Germany, Korea, Mexico, and the Netherlands, were cited for implementing performance monitoring in specific policy areas. The areas sampled included health care, police and public safety, and policy advice. -The findings from this research suggested that several requirements influence the suc¬ -cess of performance monitoring by public organizations, including the need for “strategic -leadership from central units,” “the establishment of the proper organizational incentives -which support and encourage results-based management,” and “the use of program +The findings from this research suggested that several requirements influence the sucďż˝ +cess of performance monitoring by public organizations, including the need for ďż˝strategic +leadership from central units,ďż˝ ďż˝the establishment of the proper organizational incentives +which support and encourage results-based management,ďż˝ and ďż˝the use of program evaluation as a complement to ongoing performance measurement systems to address performance issues that performance measurement cannot well deal with so as to make -the best use of these two measurement tools” (Mayne, 1997, p. 16). +the best use of these two measurement toolsďż˝ (Mayne, 1997, p. 16). The research showed that the dynamic environments in which the organizations -functioned had a significant impact on each agency’s capacity for performance and its +functioned had a significant impact on each agencyďż˝s capacity for performance and its measurement. In fact, the study found that the ability of an organization to adapt to -changing conditions exceeded raw performance as the primary indicator of organiza¬ -tional success. Mayne (1997) wrote, “Maximizing flexibility may be more important -than maximizing short-term utility” (p. 16). The study concluded that organizational -survival depended on each group’s ability to integrate performance measurement with -the organization’s overall capacity for problem solving and strategic management. +changing conditions exceeded raw performance as the primary indicator of organizaďż˝ +tional success. Mayne (1997) wrote, ďż˝Maximizing flexibility may be more important +than maximizing short-term utilityďż˝ (p. 16). The study concluded that organizational +survival depended on each groupďż˝s ability to integrate performance measurement with +the organizationďż˝s overall capacity for problem solving and strategic management. -Of course, such a capacity depends on each agency’s ability to monitor both the +Of course, such a capacity depends on each agencyďż˝s ability to monitor both the broader organizational performance as well as the effectiveness of individual programs. We have noted the significance of the first of these evaluation strategies in our discussion of performance measurement. However, additional attention should be given to program -evaluation, which generates valuable insight into organizational processes and the pro¬ +evaluation, which generates valuable insight into organizational processes and the proďż˝ grammatic impacts produced by policies and initiatives. If performance measurement connects the organization as a whole to specific results and outcomes, then program evaluation reveals how actions by an organization contribute to the objectives within @@ -15680,9 +14857,9 @@ Program Evaluation There are a variety of ways to classify the approaches to program evaluation. These are, for example, outcome evaluations and process evaluations. Outcome evaluations, which are closely tied to the type of assessment in performance measurement, focus on the results -of program activity—that is, the extent to which a program meets its objectives in terms +of program activityďż˝that is, the extent to which a program meets its objectives in terms of impact on the environment (for example, the previous discussion relating to the United -Way of America). If the work of an organization is to improve adult literacy, then an eval¬ +Way of America). If the work of an organization is to improve adult literacy, then an evalďż˝ uation might measure the number of individuals who learned to read. That information would likely then be related to program inputs to show, in a cost-benefit ratio (in this case, based on allocative efficiency), the number of individuals learning to read per thousand @@ -15692,11 +14869,11 @@ imagine, outcome evaluations are particularly valuable to legislators, grant-mak others concerned with performance of various programs. In contrast to outcome evaluations, process evaluations focus on ways program -implementation might be improved to better meet the program’s objectives. The ques¬ -tion here is what can be done to X, the program’s management, to improve Y, the +implementation might be improved to better meet the programďż˝s objectives. The quesďż˝ +tion here is what can be done to X, the programďż˝s management, to improve Y, the desired outcome. Where an evaluator interested in outcomes might spend a great deal of time developing systematic measures of program results, someone interested in -process evaluation would analyze the organization and management of the agency’s +process evaluation would analyze the organization and management of the agencyďż˝s activities, including distribution of financial and human resources and design of service delivery mechanisms (Sylvia, Meier, &c Gunn, 1985, p. 136). Process evaluations also determine if legally prescribed processes are being followed and assure that individual @@ -15704,24 +14881,24 @@ rights are not violated. Relevant measures here would fall more on the input side, and might include such items as workload measures or data on resource allocation. In such studies it may be important -to distinguish between efficiency and effectiveness. Efficiency is concerned with the rela¬ +to distinguish between efficiency and effectiveness. Efficiency is concerned with the relaďż˝ tionship between inputs and outputs, usually expressed in a ratio per unit of input. For -example, a measure of streets paved per thousand dollars spent would be a measure of effi¬ +example, a measure of streets paved per thousand dollars spent would be a measure of effiďż˝ ciency. Effectiveness, on the other hand, is concerned with the extent to which a program is achieving or failing to achieve its stated objectives (Poister, McDavid, & Magoun, 1979, -p. 3). Effectiveness measures are outcome-oriented; they focus on the real changes the pro¬ +p. 3). Effectiveness measures are outcome-oriented; they focus on the real changes the proďż˝ gram produces, such as a decrease in airline deaths. Sometimes process evaluations occur after the fact, that is, upon completion of the -program; but often they occur during program operation. Indeed, some process evalua¬ +program; but often they occur during program operation. Indeed, some process evaluaďż˝ tions are almost continuous in their ongoing review of program operations (Poister, 1983). In either case, the information that emerges in the course of a process evaluation is likely to be of greatest interest to the program manager who hopes to improve his or -her organization’s performance. +her organizationďż˝s performance. Program evaluations may therefore be directed toward many different audiences and -serve many different purposes. The specific kinds of information required vary from eval¬ -uation to evaluation. Eleanor Chelimsky, former head of the General Accounting Office’s +serve many different purposes. The specific kinds of information required vary from evalďż˝ +uation to evaluation. Eleanor Chelimsky, former head of the General Accounting Officeďż˝s @@ -15730,25 +14907,25 @@ uation to evaluation. Eleanor Chelimsky, former head of the General Accounting O Program Evaluation and Methodology Division, lists the following types of information that may be developed retrospectively: -• information on program implementation (such as the degree to which the program +ďż˝ information on program implementation (such as the degree to which the program is operational, how similar it is across sites, whether it conforms to the policies and expectations formulated, how much it costs, how stakeholders feel about it, whether there are major problems of service delivery or of error, fraud, and abuse, and so on) -• ongoing information on the current state of the problem or threat addressed by +ďż˝ ongoing information on the current state of the problem or threat addressed by the program (Is the problem growing? Is it diminishing? Is it diminishing enough so that the program is no longer needed? Is it changing in terms of its significant characteristics?) -• information on program outcomes (What happened as a result of program imple¬ +ďż˝ information on program outcomes (What happened as a result of program impleďż˝ mentation?) -• information on the degree to which the program made, or is making, a difference -(That is, what change in the problem or threat occurred that can be directly attrib¬ +ďż˝ information on the degree to which the program made, or is making, a difference +(That is, what change in the problem or threat occurred that can be directly attribďż˝ uted to the program?) -• information on the unexpected (as well as the expected) effects of the programs +ďż˝ information on the unexpected (as well as the expected) effects of the programs (For instance, was a program of drug education accompanied by an increase in the use of drugs?) (Chelimsky, 1985, pp. 8-9) @@ -15758,18 +14935,18 @@ Approaches to the evaluation of public programs range from historical analysis t sophisticated experimental designs. Indeed, over the years, there has been a recurring debate over the proper approach to evaluation. Some argue that such research should be primarily qualitative, concerned with tracking program development and indicating -forces that helped shape the program. Advocates of this approach tend to be most inter¬ -ested in process questions, such as reasons for success or failure and unanticipated con¬ -sequences of the program. They ask, “What happened?” Others argue that program +forces that helped shape the program. Advocates of this approach tend to be most interďż˝ +ested in process questions, such as reasons for success or failure and unanticipated conďż˝ +sequences of the program. They ask, ďż˝What happened?ďż˝ Others argue that program evaluations should, wherever possible, employ the most rigorous scientific methods -appropriate to the subject matter, including the design and execution of formal experi¬ +appropriate to the subject matter, including the design and execution of formal experiďż˝ ments. These analysts tend to be more interested in program outcomes. They ask, -“Does it work?” (Chelimsky, 1985, p. 14). +ďż˝Does it work?ďż˝ (Chelimsky, 1985, p. 14). Whatever the approach, those involved in program evaluation must confront two challenges to the validity of their work. The first question, concerning internal validity, asks whether the approach measured what was intended. Was the design consistent with -the goals of the program and the needs of the sponsor? Were the methods most appro¬ +the goals of the program and the needs of the sponsor? Were the methods most approďż˝ priate for answering the questions that needed to be asked? Were the results as free from bias as possible? A second question, concerning external validity, asks to what extent the findings may be applicable to more general circumstances. What does the study say @@ -15785,12 +14962,12 @@ Qualitative Techniques Many program evaluations depend on qualitative information derived from reading about the program, from interviewing important actors (including agency personnel, -clients, and others), and sometimes from actually participating in the work of the pro¬ +clients, and others), and sometimes from actually participating in the work of the proďż˝ gram. The initial step in a qualitative evaluation project is usually to read everything available about the program and the subject matter, including background material on the subject of the program (flu vaccines, child nutrition, rapid transit systems, and so -on), agency documents, operating procedures, internal memoranda, newspaper and mag¬ -azine articles, articles on similar programs elsewhere, and reports issued by various con¬ +on), agency documents, operating procedures, internal memoranda, newspaper and magďż˝ +azine articles, articles on similar programs elsewhere, and reports issued by various conďż˝ cerned groups. The researcher would also likely make a few phone calls to identify the significant actors in the program and determine where the most important activities are taking place. @@ -15798,16 +14975,16 @@ taking place. Following an initial reconnaissance, the analyst settles on a limited number of sites (schools, hospitals, highway systems, and so on) as the focus of the investigation. Most qualitative evaluations are largely exploratory, designed to explore a variety of hunches -or intuitions about the program’s operation. For these cases, the analyst will probably +or intuitions about the programďż˝s operation. For these cases, the analyst will probably try to select sites that vary widely along several crucial dimensions. Some evaluations, however, are hypothesis-guided, designed to demonstrate the plausibility of a particular -hypothesis, so the analyst might choose a limited number of crucial sites that are espe¬ +hypothesis, so the analyst might choose a limited number of crucial sites that are espeďż˝ cially illustrative of the issue under investigation (Murphy, 1980, pp. 38-47). Once the research sites have been chosen, the analyst may choose to gather most of his or her information through intensive interviews, detailed information-gathering sessions involving major actors both inside and outside the agency responsible for the program. -Interviewing skills include establishing the interviewer’s credentials, setting the proper cli¬ +Interviewing skills include establishing the interviewerďż˝s credentials, setting the proper cliďż˝ mate, arranging questions effectively, asking reasonable but challenging questions, and keeping a good record of all that is said. Perhaps most important, the interviewer must keep the discussion on the subject, in a way that is neither obvious nor embarrassing @@ -15819,14 +14996,14 @@ An alternative means of gathering qualitative information is the use of a partic observer, someone involved in either the target population or the agency itself, who makes observations and draws conclusions based on firsthand data. For example, an evaluation of an antipoverty program in eastern Kentucky some years ago employed a -participant-observer who lived in the community, talked daily with others in the commu¬ +participant-observer who lived in the community, talked daily with others in the commuďż˝ nity about the program, and reported back to the overall evaluation staff. Either technique can be questioned with respect to both internal and external validity. Biased information and questions about internal validity can arise if the wrong people -are chosen to interview or if those interviewed provide misleading information, inten¬ -tionally or unintentionally. Participant-observers can affect the program’s operation -through their own presence, leading to outcomes far different from what would other¬ +are chosen to interview or if those interviewed provide misleading information, intenďż˝ +tionally or unintentionally. Participant-observers can affect the programďż˝s operation +through their own presence, leading to outcomes far different from what would otherďż˝ wise have happened. Questions concerning external validity (or generalizability) might be raised with either technique based on the choice of only a limited number of sites for investigation. @@ -15838,19 +15015,19 @@ investigation. Quantitative Techniques Policy evaluations often endeavor to approximate the scientific methods of the physical -sciences, though such efforts are extremely difficult. In its classic formulation, an experi¬ +sciences, though such efforts are extremely difficult. In its classic formulation, an experiďż˝ mental design involves examination of two or more groups under carefully controlled conditions. One group, the experimental group, receives a treatment or intervention; in the case of program evaluation, members of the experimental group receive the benefits -of the program being evaluated. Another group, the control group, consists of individu¬ +of the program being evaluated. Another group, the control group, consists of individuďż˝ als who are as similar as possible to those in the experimental group and who act under the same general conditions, yet do not receive the intervention. Members of both groups are tested before and after the experimental intervention (pretest and posttest -measures) and the results are compared. If the program has had either a positive or nega¬ +measures) and the results are compared. If the program has had either a positive or negaďż˝ tive effect, the differences should show up in the data. We can illustrate the difficulties in designing a rigorous experimental design with -respect to social programs by imagining that we are interested in analyzing the effective¬ +respect to social programs by imagining that we are interested in analyzing the effectiveďż˝ ness of a new approach to mathematics education in the fourth grade. One classroom might be designated an experimental group and be taught using the new approach; another classroom might be designated the control group and be taught using traditional @@ -15861,27 +15038,27 @@ children in the experimental group should be higher than those of the children i control group. Very generally, this is an application of an experimental design to a social program, -and you can easily imagine how similar designs might be used to measure other pro¬ +and you can easily imagine how similar designs might be used to measure other proďż˝ grams, ranging from immunizations to welfare incentives to highway designs. But we can readily observe the difficulties in such designs, some of which relate to questions of internal validity. One might respond to the study by saying that the students in the experimental group were smarter to begin with, or that the absence rate was higher among those in the control group. Or you might suggest that one teacher was better than the other, and that made the difference. Or, even if the same teacher taught both -groups, you might speculate that he or she taught the new material with more enthusi¬ +groups, you might speculate that he or she taught the new material with more enthusiďż˝ asm. Similar questions might be raised about external validity. For instance, if the results were obtained in a rural school, would they apply as well to an urban setting? Some, if not all, of these questions could be anticipated by slightly altering the research -design. For example, students could be randomly assigned to the two groups, thus elimi¬ -nating any possibility of bias in the group’s composition. But questions such as these show +design. For example, students could be randomly assigned to the two groups, thus elimiďż˝ +nating any possibility of bias in the groupďż˝s composition. But questions such as these show the difficulty of achieving true experimental conditions in measuring social programs. For this reason, most evaluations of social programs are called quasi-experimental. Quasi-experimental designs retain the requirement for systematic data gathering that -should be part of any quantitative approach, but free the researcher from some of the dif¬ +should be part of any quantitative approach, but free the researcher from some of the difďż˝ ficulties of developing experimental designs, such as the need for random assignment of -subjects to various groups. Flere again, different groups may be compared, but an essen¬ +subjects to various groups. Flere again, different groups may be compared, but an essenďż˝ tial task for the researcher is to separate the effects of a treatment from effects of other factors. Only the effects caused by the treatment are of interest. @@ -15890,20 +15067,20 @@ factors. Only the effects caused by the treatment are of interest. Terms and Definitions 289 Quasi-experimental approaches are not only more adaptable to social situations; they -also better fit the situation in which program evaluators often find themselves — assigned +also better fit the situation in which program evaluators often find themselves ďż˝ assigned to the evaluation long after the program has begun and having little way to influence patterns of intervention. In such a case, a historical approach may be of special value. For example, one quasi-experimental design, time series analysis, involves making a number of observations about the target population both before and after the program -intervention. (These observations may even be made retrospectively, by gathering histori¬ +intervention. (These observations may even be made retrospectively, by gathering historiďż˝ cal data.) In one case, basic information about neighborhood crime was developed for a period of years prior to the introduction of a new patrol pattern, then similar data followed after the new approach was introduced. Summary and Action Implications -As a public manager, you will become quite familiar with the cycle of planning, imple¬ -mentation, and evaluation. In practice, the phases of the cycle will rarely appear as dis¬ +As a public manager, you will become quite familiar with the cycle of planning, impleďż˝ +mentation, and evaluation. In practice, the phases of the cycle will rarely appear as disďż˝ tinct as in our discussion, but you will still find that you must devote a portion of your time to each phase. In middle and upper management, the planning, implementation, and evaluation cycle will become especially complex, because you will find yourself engaged @@ -15919,16 +15096,16 @@ helpful in dealing even with fairly simple and immediate problems. Throughout the planning, implementation, and evaluation cycle, you should remember that, whereas we have focused on technical aids to your administrative work, each of the -three areas will be strongly affected by how you interact with the people in your organi¬ +three areas will be strongly affected by how you interact with the people in your organiďż˝ zation (and elsewhere). Planning, implementation, and evaluation are human processes, -and are thus subject to people’s shifting values, attitudes, and behaviors. In planning, -implementation, and evaluation, as with budgeting, financial management, and person¬ +and are thus subject to peopleďż˝s shifting values, attitudes, and behaviors. In planning, +implementation, and evaluation, as with budgeting, financial management, and personďż˝ nel, techniques are only successful when you use them with full regard for democratic values, clear leadership, and humane management. Terms and Definitions -Benchmarking: Targeting of specific goals based on previous performance levels, stan¬ +Benchmarking: Targeting of specific goals based on previous performance levels, stanďż˝ dards set by similar organizations, objectives created through a strategic planning process, or any combination of these and other relevant sources. @@ -15943,7 +15120,7 @@ benefit. Decision analysis: Technique wherein decisions are likely to be made sequentially and under some degree of uncertainty. -Decision tree: Technique that identifies various possible outcomes, given the risk asso¬ +Decision tree: Technique that identifies various possible outcomes, given the risk assoďż˝ ciated with each. Effectiveness: Extent to which a program is achieving or failing to achieve its stated @@ -15954,7 +15131,7 @@ Efficiency: Relationship between inputs and outputs. Institutional subsystem: Responsible for adapting the organization to its environment and for anticipating and planning for the future. -Managerial subsystem: Concerned with providing necessary resources for accomplish¬ +Managerial subsystem: Concerned with providing necessary resources for accomplishďż˝ ing a technical task and mediating between the technical and institutional subsystems. Outcome evaluations: Evaluations that focus on the results of program activity, @@ -15974,7 +15151,7 @@ PERT: A way to monitor the time or costs of various activities required to compl project, showing the sequence in which the activities must be completed. Policy analysis: Process of researching or analyzing public problems to provide policy -makers with specific information about the range of available policy options and advan¬ +makers with specific information about the range of available policy options and advanďż˝ tages and disadvantages of different approaches. Process charting or flowcharting: Graphically demonstrating the various steps in @@ -15994,17 +15171,17 @@ are affected by the results. Cases and Exercises 291 -Strategic planning: Matching organizational objectives and capabilities to the antici¬ -pated demands of the environment to produce a plan of action that will ensure achieve¬ +Strategic planning: Matching organizational objectives and capabilities to the anticiďż˝ +pated demands of the environment to produce a plan of action that will ensure achieveďż˝ ment of objectives. -System: Set of regularized interactions configured or “bounded” in a way that differenti¬ -ates and separates them from other actions that constitute the system’s environment. +System: Set of regularized interactions configured or ďż˝boundedďż˝ in a way that differentiďż˝ +ates and separates them from other actions that constitute the systemďż˝s environment. -Systems theory: Effort to identify the interactions of various internal and external ele¬ -ments that impinge on an organization’s operations. +Systems theory: Effort to identify the interactions of various internal and external eleďż˝ +ments that impinge on an organizationďż˝s operations. -Technical subsystem: Concerned with effective performance of an organization’s +Technical subsystem: Concerned with effective performance of an organizationďż˝s actual work. Time series analysis: Making a number of observations about the target population @@ -16021,10 +15198,10 @@ their objectives. 5. The second phase of the policy process is implementation of plans. Discuss some of the techniques available to help in the beginning stages of the implementation process. -6. Compare and contrast the several different subsystems that carry forward an organi¬ +6. Compare and contrast the several different subsystems that carry forward an organiďż˝ -zation’s work. -7. What does the phrase “managing for results” mean? How might such a program be +zationďż˝s work. +7. What does the phrase ďż˝managing for resultsďż˝ mean? How might such a program be implemented? 8. What are the different types of evaluation approaches? Discuss the distinctions among @@ -16034,7 +15211,7 @@ them. Cases and Exercises 1. As a class or working in small groups, assume the role of a task force that the -governor has asked to develop plans for a new university the legislature has cre¬ +governor has asked to develop plans for a new university the legislature has creďż˝ ated in a rapidly expanding area in the corner of your state. Your plan should be based on whatever assumptions you wish to make by explicitly stating them in writing; however, all your assumptions should be consistent with the following @@ -16050,38 +15227,38 @@ power to develop a full range of undergraduate programs and a limited number of graduate programs in areas of special interest ro the state. 'Assume a high degree of political support within the corner of the state where the university will be built, and general support throughout the state, but assume major opposition from the -state’s leading public university. +stateďż˝s leading public university. b. Assume that the area where the new university is to be located already houses a community college, which the university will take over, and a couple of small, -private liberal arts colleges. Assume that the community college has two thou¬ +private liberal arts colleges. Assume that the community college has two thouďż˝ sand freshmen and sophomores and operates in two large buildings on a large tract of otherwise undeveloped land, which will be sufficient to accommodate the new university. c. Assume that the area in which the university will be built has traditionally had an agricultural and tourist-based economy, but is experiencing rapid growth in high- -tech industry, primarily because companies are attracted to the area’s natural beauty +tech industry, primarily because companies are attracted to the areaďż˝s natural beauty and comfortable climate. d. Assume that you can anticipate a budget starting at $12 million for the first year of operations (this is inclusive of the community college budget), but rising at a rate of $7 million a year for the next nine years. Assume also that, in addition, there is adequate financing available for whatever new construction will be required during -the first ten years of the university’s existence. +the first ten years of the universityďż˝s existence. -e. Assume that you have full control over the curriculum of the university and author¬ +e. Assume that you have full control over the curriculum of the university and authorďż˝ ity to propose to the Coordinating Board on Higher Education any new program offerings. Assume, however, that the major university in the state will fight hard to protect its engineering and computer science programs from competition. You should create a plan for development of the new university over the next ten years. You should take into account all aspects of development, including all academic -programs, student services, administrative support (including the physical plant, per¬ -sonnel, and financial and accounting systems), capital construction, and intercolle¬ +programs, student services, administrative support (including the physical plant, perďż˝ +sonnel, and financial and accounting systems), capital construction, and intercolleďż˝ giate athletics. You may wish to establish subcommittees or task forces to work on particular areas; however, all reports should be combined into one single planning -document to be submitted to the governor’s office. +document to be submitted to the governorďż˝s office. 2. Imagine that your city council is considering a proposed ordinance to require a 5-cent deposit on each beverage container sold in the city. Each beer can, soft drink bottle, @@ -16090,8 +15267,8 @@ deposit on each container sold and would be required to pay 5 cents for each emp container returned to the store. Proponents of the bill argue that it would help clean up the city and provide better recycling of containers. Opponents argue that the bill would be difficult for stores to adhere to and a nightmare for the city to enforce. -Develop a research design—that is, a plan for conducting research—that would -enable you to report to the city council on the potential costs and benefits of the pro¬ +Develop a research designďż˝that is, a plan for conducting researchďż˝that would +enable you to report to the city council on the potential costs and benefits of the proďż˝ posed ordinance. 3. Complete the following exercise: The newly elected governor of a large Middle @@ -16108,8 +15285,8 @@ goes on to threaten a cutoff of all federal highway funds to the state if someth done. Perhaps of greater urgency, however, is the finding that the number of accidents per 1,000 miles driven is rising dramatically. -The governor’s office has provided you with a set of alternative strategies for -patrolling the highways and the associated costs and probable reductions in both acci¬ +The governorďż˝s office has provided you with a set of alternative strategies for +patrolling the highways and the associated costs and probable reductions in both acciďż˝ dents and speeders. Also included ifi the materials is a study of the revenue generated by the issuance of citations. You are asked to write a report indicating the various payoffs associated with each strategy. The types of patrols are: @@ -16128,21 +15305,21 @@ cruising = $800 per patrol airplane = $1,500 per patrol -The cost of servicing each accident that occurs during a patrol is $250. The likeli¬ +The cost of servicing each accident that occurs during a patrol is $250. The likeliďż˝ hood of accidents, however, differs depending on the type of patrol: the stationary patrol results in a .50 probability of two accidents; the cruising patrol results in a .30 probability of two accidents; and the airplane patrol results in a .25 probability of -two accidents. Finally, the number of citations issued varies by type of patrol: sta¬ +two accidents. Finally, the number of citations issued varies by type of patrol: staďż˝ tionary patrols issue eight citations on average; cruising patrols issue five citations on average; and airplane patrols issue three citations on average. A previous study indicated that accident rates of less than an average of one per -patrol were typical of states where the Department of Transportation found accept¬ +patrol were typical of states where the Department of Transportation found acceptďż˝ able levels of speeding. In a concluding paragraph, the governor indicates that it costs the state $50 to process a citation (which averages a fine of $85), but the governor goes on to say -that may not be relevant to the choice of patrol type since the whole idea is to pre¬ +that may not be relevant to the choice of patrol type since the whole idea is to preďż˝ vent accidents by slowing traffic to the legal speed limit (and preventing a cutoff of federal money). @@ -16153,7 +15330,7 @@ University. 4. Complete the following exercise: You have been hired by Expert Analysis consulting firm to work on a project for New York City. The city has hired the firm to analyze -the advisability of contracting out garbage collection,' expanding city garbage collec¬ +the advisability of contracting out garbage collection,' expanding city garbage collecďż˝ tion capacity, or going to a twenty-four-hour collection system. The city currently operates a sanitation department of 2,538 people using 781 @@ -16199,14 +15376,14 @@ SOURCE: The preceding case was adapted from material provided by Barry Hammond o University. 5. The governor of a large Midwestern state has recently introduced a performance -management initiative to enhance the activities of state agencies and, more specifi¬ -cally, to reverse downward trends in educational achievement and increases in juve¬ +management initiative to enhance the activities of state agencies and, more specifiďż˝ +cally, to reverse downward trends in educational achievement and increases in juveďż˝ nile crime. The governor, responding to increasing public outcry, has encouraged her -cabinet to develop ten outcomes in the area of human and social services, then iden¬ -tify performance indicators that can be used in monitoring the state’s progress in +cabinet to develop ten outcomes in the area of human and social services, then idenďż˝ +tify performance indicators that can be used in monitoring the stateďż˝s progress in achieving these outcomes. As a senior cabinet member, you have been called upon to play a leadership role in this process. What are the primary outcomes that the state -would need to accomplish in order to reverse the downward trends? What perfor¬ +would need to accomplish in order to reverse the downward trends? What perforďż˝ mance indicators could be used to help keep the statewide initiative on track? How would you ensure that these performance measurement strategies are implemented throughout the state and that the necessary organizational change has occurred to @@ -16242,7 +15419,7 @@ Press, 1989. Greene, Jennifer C., and Valerie J. Caracelli. Advances in Mixed Method Evaluation. San Francisco: Jossey-Bass, 1997. -Goggin, Malcolm L., Ann O. Bowman, James P. Lester, and Laurence O’Toole, Jr. +Goggin, Malcolm L., Ann O. Bowman, James P. Lester, and Laurence Oďż˝Toole, Jr. Implementation Theory and Practice: Toward a Third Generation. New York: HarperCollins, 1990. @@ -16308,13 +15485,13 @@ Chapter 8 Managing Organizational Dynamics -A public administrator needs a good understanding of the values and principles underly¬ -ing work in the public and nonprofit sectors, knowledge of how public policy is devel¬ +A public administrator needs a good understanding of the values and principles underlyďż˝ +ing work in the public and nonprofit sectors, knowledge of how public policy is develďż˝ oped and executed, and familiarity with a number of administrative techniques peculiar to public and nonprofit organizations. But the real key to managerial success is not what you know, but what you can do. How effectively and how responsibly can you deal with -the seemingly endless series of problems and opportunities that confront you in an orga¬ -nizational setting? A legislator or foundation program officer calls to ask for an immedi¬ +the seemingly endless series of problems and opportunities that confront you in an orgaďż˝ +nizational setting? A legislator or foundation program officer calls to ask for an immediďż˝ ate report on a matter you know will require a week to examine properly; a subordinate confesses that he has grown dependent on drugs and needs your help; someone in a meeting becomes outraged over what you perceive as a minor matter and threatens to @@ -16324,7 +15501,7 @@ them constitute the real challenges of public administration. Your response to each event, of course, is spontaneous; yet your actions will soon add up to a pattern that reflects your knowledge, values, and most of all, skills in dealing -with other people. If, time after time, you can act effectively and responsibly in situa¬ +with other people. If, time after time, you can act effectively and responsibly in situaďż˝ tions that arise unexpectedly and require immediate answers with little time to think through the theoretical possibilities, you will likely be considered a highly successful manager. @@ -16334,7 +15511,7 @@ In this and the following chapters, we will examine how your knowledge and value be brought to bear in real-world situations. We will focus on the specific personal and interpersonal skills a manager requires and on some ways you might further develop those skills. In this chapter, we will look at several broad approaches to understanding the -structure and design of public and nonprofit organizations, as well as people’s behavior in +structure and design of public and nonprofit organizations, as well as peopleďż˝s behavior in those organizations. Images of Organizing in the Public and Nonprofit Sectors @@ -16350,9 +15527,9 @@ the most effective structures for public agencies, the best way to manage employ 29# Chapter 8 Managing Organizational Dynamics -the proper relationship between elected and appointed officials'. Depending on your par¬ +the proper relationship between elected and appointed officials'. Depending on your parďż˝ ticular view, you will tend to look for and emphasize certain things and ignore others. -The images you carry in your head will lead you to emphasize certain aspects of organiza¬ +The images you carry in your head will lead you to emphasize certain aspects of organizaďż˝ tional life and de-emphasize others. Some of these images derive from our experiences in our families; others derive from @@ -16363,14 +15540,14 @@ world of public service. Some are fairly conscious; others lie far beneath the s Whatever their form, these images direct our actions in specific ways. They cause us to see the world in a particular way and, correspondingly, to act in a particular way. So it is -important to carefully consider how each of us thinks about public and nonprofit organi¬ +important to carefully consider how each of us thinks about public and nonprofit organiďż˝ zations. What images do we have, and how do they direct us to think? Which images allow us to be most successful? Which images hold us back or get in our way? As you begin to think more carefully about the images that shape your work, and especially as you begin to accumulate experiences, you will begin to identify areas where your insight (and consequently your actions) might be improved. One way to sharpen -your images of public and nonprofit organizations is to consider what scholars and prac¬ +your images of public and nonprofit organizations is to consider what scholars and pracďż˝ titioners in the field of management generally and public and nonprofit management in particular have said and written. Fortunately, there is a considerable and growing body of material to draw upon that offers many categories and approaches you might use in @@ -16383,7 +15560,7 @@ Reflective practitioners and thoughtful academics have asked over and over how p and nonprofit managers can be helped to select those features of organizational life that will be most helpful to them. Many students and practitioners of public administration have contributed to our understanding of the management of public agencies. They have -developed “word pictures” (often simply called theories) to suggest what will be most +developed ďż˝word picturesďż˝ (often simply called theories) to suggest what will be most helpful when you approach similar problems. Each theoretical approach directs attention toward certain topics or ideas and away @@ -16395,7 +15572,7 @@ on fairly obvious points; more recent approaches seem more complex and sophistic The Functions of Management Writing early in the twentieth century, French management theorist and practitioner FFenri -Fayol (1949) identified five general functions managers should perform: planning, organiz¬ +Fayol (1949) identified five general functions managers should perform: planning, organizďż˝ ing, commanding, coordinating, and controlling. Several years later, Luther Gulick arrived @@ -16410,7 +15587,7 @@ functions that had to be performed if organizations were to be managed effective constituted advice to managers about what they should be doing. Planning involves preparing yourself and your organization to move effectively into -the future. All managers engage in planning at least to some extent, and for some man¬ +the future. All managers engage in planning at least to some extent, and for some manďż˝ agers, such as those on strategic planning staffs, planning is almost a full-time activity. Some managers make plans for the entire organization, others make plans for the units they directly supervise, and all managers plan for their own activities. Unfortunately, as @@ -16427,57 +15604,57 @@ decision making is a central activity. (We will discuss decision making in more later in this chapter.) Organizing refers to many different activities, including division of the organization -into different departments, creating levels in the organization’s hierarchy, and deciding +into different departments, creating levels in the organizationďż˝s hierarchy, and deciding who reports to whom. In a specific department or division, organizing also includes the task of defining specific positions and jobs. Note that organizing includes job design, but the assignment of individuals to specific jobs involves the staffing rather than the organizing function. Staffing is the process of acquiring, training, and developing the personnel to conduct -the organization’s activities. Staffing is today more generally described as personnel man¬ +the organizationďż˝s activities. Staffing is today more generally described as personnel manďż˝ agement or sometimes as human resources management. As we saw in Chapter 6, specific tasks such as hiring, training, firing, and so forth are examples of the staffing or personnel function. Dealing with people involves important skills in communication and motivation, as well as the ability to make sound decisions about whom you hire to work with you. Directing is often the most dynamic and most visible management function. It includes -three critical management activities: leading, motivating, and changing things when neces¬ +three critical management activities: leading, motivating, and changing things when necesďż˝ sary. Providing direction to an organization is a subtle and complex task that involves the full range of personal and interpersonal skills. Coordinating the work of many different people in many different places is also a central managerial function. The complexity and diversity of most modern organizations means that a great deal of time must be spent making sure that all the pieces fall into -place at the right time. Coordinating involves special skills in problem solving—how to -make things work — but also involves skills in communicating and negotiating. +place at the right time. Coordinating involves special skills in problem solvingďż˝how to +make things work ďż˝ but also involves skills in communicating and negotiating. -Budgeting involves managing the organization’s resources, especially financial. -Budgeting involves securing, planning for, and managing the organization’s funds. As we +Budgeting involves managing the organizationďż˝s resources, especially financial. +Budgeting involves securing, planning for, and managing the organizationďż˝s funds. As we saw in Chapter 5, budgeting is a technical field, but it also involves considerable human 300 Chapters Managing Organizational Dynamics -skills, especially those of developing funding for one’s programs' and allocating scarce +skills, especially those of developing funding for oneďż˝s programs' and allocating scarce resources among many different competing programs and people. -In addition to these standard management functions, there are also a number of miscel¬ +In addition to these standard management functions, there are also a number of miscelďż˝ laneous tasks that are usually considered managerial work. One of the most important is dealing with people from outside the organization. Skills in presenting your organization and point of view to others are becoming increasingly important as the relationships among organizations at many different levels become more intense. Representing your -organization before outside groups and organizations has come to be known in the litera¬ +organization before outside groups and organizations has come to be known in the literaďż˝ ture on management as boundary spanning. The Early Writers: A Concern for Structure The question of how managers might be guided in their work has occupied theorists and -practitioners for many years. Early writers on public administration thought of manage¬ +practitioners for many years. Early writers on public administration thought of manageďż˝ ment in highly mechanical terms and considered questions of organizational structure and design of paramount importance. Recall that the birth of public administration as a separate field of study occurred during a time of impressive gains in science and industry; -new ideas and new products were changing society almost overnight, as were the indus¬ +new ideas and new products were changing society almost overnight, as were the indusďż˝ trial and organizational processes that made them possible. It was a time of rigid control by the captains of industry; it was also a time of fostering the birth of the assembly line. @@ -16489,28 +15666,28 @@ proper structures and operating them with great efficiency. This orientation was epitomized in the influential work of Frederick W. Taylor, who developed what he termed scientific management, an approach based on carefully defined -“laws, rules, and principles” (1923, p. 7). Taylor focused first on the individual worker, +ďż˝laws, rules, and principlesďż˝ (1923, p. 7). Taylor focused first on the individual worker, designing detailed measurements of time and motion to discover how the worker might -become more efficient. For example, one might measure the distance from where a partic¬ +become more efficient. For example, one might measure the distance from where a particďż˝ ular piece of equipment was stored to where it was used, then try to reduce that distance and the time and motion required to use the equipment. (In one example, Taylor sought -to develop a “science of shoveling” based on the premise that the size of each individual -shovel load would affect the daily output of “first-class shovelers.” After careful and +to develop a ďż˝science of shovelingďż˝ based on the premise that the size of each individual +shovel load would affect the daily output of ďż˝first-class shovelers.ďż˝ After careful and detailed experiments, it was determined that the greatest tonnage per day would be achieved with an average shovel load of about twenty-one pounds!) -Taylor’s approach could be applied to a wide variety of work-process problems, from -the design of assembly lines to the arrangement of items on one’s desk. But beyond these -efforts to turn workers into highly tuned machines, Taylor’s work provided guidance for -managers throughout the organization. The manager’s role became that of making the -organization more efficient through the application of detailed so-called scientific infor¬ +Taylorďż˝s approach could be applied to a wide variety of work-process problems, from +the design of assembly lines to the arrangement of items on oneďż˝s desk. But beyond these +efforts to turn workers into highly tuned machines, Taylorďż˝s work provided guidance for +managers throughout the organization. The managerďż˝s role became that of making the +organization more efficient through the application of detailed so-called scientific inforďż˝ mation. The smooth-running organization was to be highly mechanical, with the human The Early Writers: A Concern for Structure 301 -elements strictly controlled to contribute to overall efficiency. The manager’s job was to +elements strictly controlled to contribute to overall efficiency. The managerďż˝s job was to ensure the efficient operation of the system. Networking @@ -16518,41 +15695,41 @@ Networking The Academy of Management Online (http://www.aom.pace.edu), the Society for Industrial and Organizational Psychology (http://www.siop.org), and the Institute for Operations Research and the Management Sciences (http://www.informs.org) -offer research and information sources concerning the general principles of organi¬ +offer research and information sources concerning the general principles of organiďż˝ zation theory and behavior. For an alternative, visit the Electronic Journal of Radical Organisation Theory at http://www.mngt.waikato.ac.nz/depts/sml/journal/ -ejrot.htm. This site is published by the University of Waikato School of Manage¬ +ejrot.htm. This site is published by the University of Waikato School of Manageďż˝ ment Studies in New Zealand. Just as Taylor and others emphasized the efficient operation of industrial systems, others -soon applied this emphasis in public administration. Leonard White wrote, “The objective +soon applied this emphasis in public administration. Leonard White wrote, ďż˝The objective of public administration is the most efficient utilization of the resources at the disposal of -officials and employees” (1926, p. 2). “In the science of administration, whether public or -private, the basic ‘good’ is efficiency,” Luther Gulick concurred (1937b, p. 192). Though +officials and employeesďż˝ (1926, p. 2). ďż˝In the science of administration, whether public or +private, the basic ďż˝goodďż˝ is efficiency,ďż˝ Luther Gulick concurred (1937b, p. 192). Though several writers objected, pointing out that other values, such as responsiveness, need to -come into play in public organizations and that mechanical efficiency is “coldly calculating -and inhuman” (Dimock, 1936, p. 120), efficiency was clearly the primary interest of most +come into play in public organizations and that mechanical efficiency is ďż˝coldly calculating +and inhumanďż˝ (Dimock, 1936, p. 120), efficiency was clearly the primary interest of most early public administrationists. From the field of business, the early writers in public administration transferred other lessons about the design and structure of organizations, specifically the importance of establishing single centers of power controlling basically top-down structures. At the top -of the organization there was to be one single authority to whom all subordinate person¬ -nel ultimately reported. Though the organization would be characterized by many man¬ +of the organization there was to be one single authority to whom all subordinate personďż˝ +nel ultimately reported. Though the organization would be characterized by many manďż˝ agers and perhaps many organizational units, the ultimate responsibility and authority lay at the top. To reconcile this view with the democratic requirement that public organizations -should be responsive to the popular will, the early writers suggested that the organiza¬ -tion’s head, the single source of power and authority, should simply be accountable to the +should be responsive to the popular will, the early writers suggested that the organizaďż˝ +tionďż˝s head, the single source of power and authority, should simply be accountable to the legislative body in much the same way a corporate chief executive officer is accountable -to a board of directors. (In Chapter 4 this idea was mentioned as “the doctrine of neutral -competence.”) In describing the role of an agency chief executive, the advice of the early +to a board of directors. (In Chapter 4 this idea was mentioned as ďż˝the doctrine of neutral +competence.ďż˝) In describing the role of an agency chief executive, the advice of the early writers was to vest all administrative authority in a single executive, who would be given appropriate powers to carry out the work and responsibility for seeing that it was done. According to W. F. Willoughby, this was the first step in making the executive branch a -“single, integrated piece of administrative machinery” (1927, p. 37). (This advice was at -odds with the standard political practice of that period, the election of many administra¬ +ďż˝single, integrated piece of administrative machineryďż˝ (1927, p. 37). (This advice was at +odds with the standard political practice of that period, the election of many administraďż˝ tive officers and the use of many large executive boards. As we saw earlier, even today, most states elect officers such as secretary of state or treasurer rather than having such officers report to a single chief executive, in this case the governor.) @@ -16561,7 +15738,7 @@ officers report to a single chief executive, in this case the governor.) 302 Chapters Managing Organizational Dynamics -The early writers who put forth the administrative-management viewpoint were prac¬ +The early writers who put forth the administrative-management viewpoint were pracďż˝ tical people who drew on their experience in managing public agencies. Consequently, when they described their work, they tended to emphasize how organizational structures might be built. Luther Gulick, for example, wrote extensively about the formation of @@ -16585,10 +15762,10 @@ Recall that Gulick suggested organizing on the basis of (1) the major purpose se Having established a division of labor, the next problem facing the new director or manager was to create a structure of authority to coordinate and control the various -parts of the organization. Gulick’s answer to this question, like others during this -period, was again drawn from orthodox practice in business — the organization should +parts of the organization. Gulickďż˝s answer to this question, like others during this +period, was again drawn from orthodox practice in business ďż˝ the organization should feature unity of command exercised through a hierarchical structure of authority. -By the turn of the century, hierarchical organizations, like those symbolized in the stan¬ +By the turn of the century, hierarchical organizations, like those symbolized in the stanďż˝ dard organization chart (see Figure 8.1), had become models for industry (as they had FIGURE 8.1 @@ -16603,48 +15780,48 @@ previously been in the military and the Catholic Church). Gulick and many other scholars and practitioners in public administration suggested a similar approach in the public sector. -Guidance for creating such structures was given by two former General Motors exec¬ +Guidance for creating such structures was given by two former General Motors execďż˝ utives, James Mooney and Alan Reiley (1939). Mooney and Reiley described four main principles for structuring large organizations. The first, coordination through unity of command, emphasized the importance of strong executive leadership exercised through a specific and formal chain of command. In this structure, each person would have only -one boss, and each boss would have a limited span of control—that is, a limited number +one boss, and each boss would have a limited span of controlďż˝that is, a limited number of people reporting to him or her. Mooney and Reiley argued that there should be no question about whose orders to obey. The second principle was the scalar principle which described the vertical division of labor among various organizational levels. -(In military terms, the difference between a general and a private reflects the scalar prin¬ +(In military terms, the difference between a general and a private reflects the scalar prinďż˝ ciple.) Third was the functional principle, describing a horizontal division of labor. -(Again, in military terms, the difference between Infantry and Air Force would be a func¬ +(Again, in military terms, the difference between Infantry and Air Force would be a funcďż˝ tional difference.) Finally, Mooney and Reiley discussed the relationship between line and staff, with line offices representing the direct flow of authority, and staff offices (such as personnel or finance) available to advise the chief executive, but not exercising direct authority over line offices. -The language of hierarchical structures became somewhat standard. And, just as dis¬ +The language of hierarchical structures became somewhat standard. And, just as disďż˝ tinctions were often drawn between line and staff, managers were (and are today) often classified as top, middle, or supervisory. Supervisory managers are at the bottom of the hierarchy, top managers at the peak, and middle managers in between. A supervisory -manager directly manages the people involved in producing the organization’s output. +manager directly manages the people involved in producing the organizationďż˝s output. The supervisory level is the first level of management, so supervisors are sometimes called first-line managers. There are normally no managers below the supervisory level. An example of a supervisory manager is the person to whom your mail carrier reports at the post office. Supervisors report to middle managers, and are usually defined as managers who -manage other managers! If the organization is small, there may be only one level of mid¬ +manage other managers! If the organization is small, there may be only one level of midďż˝ dle managers; large organizations usually have more than one middle-management level. The highest level of management, the top level, usually has the fewest managers of the -three levels. Top managers, often called executives, are responsible for entire organiza¬ -tions, whereas middle- and supervisory-level managers focus on increasingly smaller sec¬ +three levels. Top managers, often called executives, are responsible for entire organizaďż˝ +tions, whereas middle- and supervisory-level managers focus on increasingly smaller secďż˝ tions of it at each level. Top managers are usually the most involved in relationships with other groups and agencies. It is easy to distinguish supervisory-level from middle-level managers, but it is often ambiguous as to where middle management stops and top management begins. Titles -often confuse things more than they help. The title of vice president, for example, indi¬ +often confuse things more than they help. The title of vice president, for example, indiďż˝ cates a top manager in some organizations; in others, the vice president is only a middle manager. Banks are particularly well known for having many vice presidents, most of -whom are obviously not part of top management. Similarly, titles in public organiza¬ +whom are obviously not part of top management. Similarly, titles in public organizaďż˝ tions, such as division director, branch chief, and department head, are used in many different ways and are usually only meaningful if you understand the conventions of the particular organization. @@ -16654,34 +15831,34 @@ particular organization. 3 04 Chapter 8 Managing Organizational Dynamics Independently of the American writers we have mentioned, German sociologist Max -Weber examined the concept of bureaucracy early in this century, though Weber’s work -was not well known to the earlier public administrationists. Weber used the term bureau¬ +Weber examined the concept of bureaucracy early in this century, though Weberďż˝s work +was not well known to the earlier public administrationists. Weber used the term bureauďż˝ cracy to refer to any large organization, public or private, characterized by a clearly defined hierarchy of impersonal offices to which persons are appointed based on technical qualifications and through which they are subject to strict discipline and control (Weber, -1947, p. 328). Though we now often use bureaucracy pejoratively, Weber’s more techni¬ +1947, p. 328). Though we now often use bureaucracy pejoratively, Weberďż˝s more techniďż˝ cal use carries no negative connotation. Indeed, Weber argued that bureaucracy is an -attractive way to organize because it is so efficient: “Experience tends to universally show +attractive way to organize because it is so efficient: ďż˝Experience tends to universally show that the purely bureaucratic type of administration [is] capable of attaining the highest -degree of efficiency and is in the sense formally the most rational known means of carry¬ -ing out imperative control over human beings” (p. 337). +degree of efficiency and is in the sense formally the most rational known means of carryďż˝ +ing out imperative control over human beingsďż˝ (p. 337). In any case, early writers on public administration generally sought to apply what they saw as the correct principles of administrative management to the conduct of public organizations. In doing so they implied that the problems facing government -and their solutions were much the same as those in industry: centralization of author¬ +and their solutions were much the same as those in industry: centralization of authorďż˝ ity and the development of hierarchical structures. But this assumption sidestepped several important issues essential to the operations of public agencies. Is the criterion of efficiency the only criterion by which the work of public organizations should be evaluated? Is it incompatible to create highly authoritarian structures to carry out the work of a democracy? -There were also questions about whether approaches to organization based on struc¬ +There were also questions about whether approaches to organization based on strucďż˝ tural analyses alone were even the most efficient. In both the public and private sectors, for example, managers and researchers began to ask whether the rigid structures described in -the principles of administrative management could effectively adapt to change. And, per¬ +the principles of administrative management could effectively adapt to change. And, perďż˝ haps most important, where does the individual enter into the equation, other than as a -potential machine? The structural lens through which many early scholars and practition¬ +potential machine? The structural lens through which many early scholars and practitionďż˝ ers viewed the world proved to be somewhat limiting; something else was needed. Recognizing Human Behavior @@ -16694,49 +15871,49 @@ relationship between working conditions (such as lighting, temperature, and humi worker productivity (including monotony and fatigue). In the experiment, certain groups were isolated from their coworkers and placed in carefully controlled environments where conditions could be varied systematically. But, as the experiment developed, regardless -of the changes in environmental conditions—lighter or darker, hotter or colder, more -or less humid—the productivity of the experimental group tended to increase. Can you +of the changes in environmental conditionsďż˝lighter or darker, hotter or colder, more +or less humidďż˝the productivity of the experimental group tended to increase. Can you guess why? Recognizing Human Behavior 305 -The researchers’ answer was that the experimental group was responding not to the -conditions around them, but to the fact that they had been singled out for special atten¬ -tion. As a result, the researchers developed a new interest in the human aspects of orga¬ +The researchersďż˝ answer was that the experimental group was responding not to the +conditions around them, but to the fact that they had been singled out for special attenďż˝ +tion. As a result, the researchers developed a new interest in the human aspects of orgaďż˝ nizational life. Those involved in the Hawthorne study began to see organizations as not only meeting the stated goals of producing goods or services but as being concerned also, -even if implicitly, with the distribution of “satisfactions” — some monetary, others social -and psychological—to the members of the organization. The informal organization, the +even if implicitly, with the distribution of ďż˝satisfactionsďż˝ ďż˝ some monetary, others social +and psychologicalďż˝to the members of the organization. The informal organization, the human interactions that paralleled those prescribed by the organizational structure, was viewed as important or even more important than the formal organization. If this were -the case, then it made sense that the manager’s role involved attention to both the formal -structure of the work process and the pattern of informal relationships among the work¬ +the case, then it made sense that the managerďż˝s role involved attention to both the formal +structure of the work process and the pattern of informal relationships among the workďż˝ ers. Either one could affect efficiency and effectiveness. There was, of course, abundant advice on how to manage the formal structure, but only speculation about how to manage the informal or the human side of organizations. Consequently, a number of studies were undertaken that dealt with the critical human relationship between manager and worker. Many of the studies suggested that changes in -one’s approach to managing, or management style, could lead to important differences +oneďż˝s approach to managing, or management style, could lead to important differences in productivity. By treating workers differently, you could affect the work they did. -An example of this orientation was Douglas MacGregor’s discussion of Theory X and -Theory Y. After reviewing other work on management, MacGregor suggested that a bet¬ +An example of this orientation was Douglas MacGregorďż˝s discussion of Theory X and +Theory Y. After reviewing other work on management, MacGregor suggested that a betďż˝ ter theory of human behavior might make it possible to more effectively control workers in organizations. Specifically, MacGregor contrasted a set of assumptions about human behavior that appeared to form the basis for traditional management techniques (Theory X) with a set of assumptions he felt would underlie a new and more enlightened approach (Theory Y). Traditionally, MacGregor argued, managers seemed to assume that human beings are lazy and dislike work, that they must therefore be coerced to produce, and that -most in fact want such direction. MacGregor suggested in contrast that work is quite nat¬ +most in fact want such direction. MacGregor suggested in contrast that work is quite natďż˝ ural, that people do not need to be coerced, that they will devote energy to objectives to which they are committed, and that they will make commitments to objectives that, when completed, will lead to rewards. As a consequence, MacGregor suggested that most workers were not being utilized to their full potential. The lesson was straightforward: managers must take care to determine the needs and desires of their employees, then help -orient the individual’s objectives so that they are met by work toward the organization’s +orient the individualďż˝s objectives so that they are met by work toward the organizationďż˝s objectives (MacGregor, 1960). Two Classic Works @@ -16748,28 +15925,28 @@ Chris Argyris, began his work in the field of industrial psychology. Both have i all fields of management even to the present. Simon began by suggesting that the reason we have large organizations in the first place -is that individual human beings are limited or “bounded” in their rationality or capacity to +is that individual human beings are limited or ďż˝boundedďż˝ in their rationality or capacity to Chapter 8 Managing Organizational Dynamics -solve the complex problems we face in the modern world. “The'capacity of the human +solve the complex problems we face in the modern world. ďż˝The'capacity of the human mind for formulating and solving complex problems is very small in comparison with the size of the problems whose solution is required for objectively rational behavior in the real -world or even for a reasonable approximation to such objective rationality” (1957, +world or even for a reasonable approximation to such objective rationalityďż˝ (1957, p. 198). Organizations are seen as devices for molding our sometimes erratic behavior to rational patterns of obtaining our objectives. -In the abstract, it is really not difficult to design a rational system for reaching organiza¬ +In the abstract, it is really not difficult to design a rational system for reaching organizaďż˝ tional objectives. The difficulty comes when human beings, with all their emotions and interests, are inserted into the system. Because they are human, they often appear irrational in terms of the system, even though what they are doing, from their point of view, may be perfectly rational. The chief problem for Simon, therefore, became how to understand and -direct human behavior in such a way that it aids in pursuit of the organization’s objectives +direct human behavior in such a way that it aids in pursuit of the organizationďż˝s objectives in a rational (that is, efficient) way. -Simon described the organization as a decision-making system involving two pri¬ +Simon described the organization as a decision-making system involving two priďż˝ mary sets of decisions on the part of the individual: the decision to be a part of an organization and the decision to contribute desired behaviors to the organization. Simon approaches each problem through a rational calculation of costs and benefits. @@ -16777,26 +15954,26 @@ For example, a person may be expected to remain a member of an organization as long as the benefits provided by the organization appear to exceed those that might be obtained elsewhere. -The same approach is used with respect to the individual’s contributions to the organi¬ -zation, an issue closely tied to the question of authority. Simon argued that each individ¬ +The same approach is used with respect to the individualďż˝s contributions to the organiďż˝ +zation, an issue closely tied to the question of authority. Simon argued that each individďż˝ ual establishes an area of acceptance within which the subordinate is willing to accept the -decisions made for him by his superior” (Simon, 1957, pp. 74-75). But since it is in the -interest of the organization to have the “zone” as wide as possible, the organization, -through its managers, offers certain “inducements” designed to increase the individual’s -“contributions.” Inducements include money and status, but they also involve creating a +decisions made for him by his superiorďż˝ (Simon, 1957, pp. 74-75). But since it is in the +interest of the organization to have the ďż˝zoneďż˝ as wide as possible, the organization, +through its managers, offers certain ďż˝inducementsďż˝ designed to increase the individualďż˝s +ďż˝contributions.ďż˝ Inducements include money and status, but they also involve creating a state of mind in which individuals will tend to obey rather than disobey. In establishing this state of mind, Simon argues that you cannot expect people to make perfectly rational decisions. Indeed, most human beings act with bounded rationality; they seek the best possible solution, though not necessarily the one that is most rational from a purely economic standpoint. The member can be made to fall in -line with the organization’s expectations by means of inducements that are just good -enough to elicit the desired contributions. In this way, what Simon terms “administrative -man” (in contrast to “economic man”) becomes a part of a rationally behaving system. +line with the organizationďż˝s expectations by means of inducements that are just good +enough to elicit the desired contributions. In this way, what Simon terms ďż˝administrative +manďż˝ (in contrast to ďż˝economic manďż˝) becomes a part of a rationally behaving system. Chris Argyris, rather than focusing on the design of rational systems, focused on the interaction of the individual and the organization, and suggested, much like MacGregor, -that formal organizational structures and traditional management practices were inconsis¬ +that formal organizational structures and traditional management practices were inconsisďż˝ tent with a natural human striving for growth and development. Individuals in our soci- ety, Argyris concluded, develop from infancy through adulthood along several important dimensions: from passivity to activity, from dependence to independence, from a limited @@ -16809,9 +15986,9 @@ dimension contributes to what we know as the healthy adult personality. The Organization and Its Environment 307 -Yet, argued Argyris, these goals are exactly those that traditional management prac¬ +Yet, argued Argyris, these goals are exactly those that traditional management pracďż˝ tices prevent. For example, standard patterns of management give the individual little -control over his or her work. Workers are expected to be passive, submissive, and lim¬ +control over his or her work. Workers are expected to be passive, submissive, and limďż˝ ited in the range of their responses. They are basically expected to behave like children. Moreover, if individuals express frustration at such a situation, managers often see their behavior as hostile and dysfunctional. The typical managerial response is to crack down, @@ -16820,13 +15997,13 @@ to assert even more severe methods of control. A healthier approach, suggests Argyris, would be to understand the basic tendencies of the human personality for growth and development, then to fuse these tendencies with the objectives of the organization. Achieving this congruence or fusion is the task of -the manager. This requires that the manager develop “skill in self-awareness, in effective +the manager. This requires that the manager develop ďż˝skill in self-awareness, in effective diagnosing, in helping individuals grow and become more creative, in coping with -dependent-oriented . . . employees, and in surviving in a competitive world of manage¬ -ment” (1962, p. 213). +dependent-oriented . . . employees, and in surviving in a competitive world of manageďż˝ +mentďż˝ (1962, p. 213). In the work of both Simon and Argyris, there is a dramatic shift from concerns with -structure to concerns with human behavior. Each offers a new way of looking at organi¬ +structure to concerns with human behavior. Each offers a new way of looking at organiďż˝ zations and the people in them. The manager, according to this new view, needs to take structure into account (for that will affect human behavior), but the bottom line is how people behave. And, of course, the behavior of human beings is affected by much more @@ -16838,13 +16015,13 @@ The Organization and Its Environment Both the early emphasis on structure and the later emphasis on human behavior proved helpful in focusing attention on important aspects of life in complex organizations. But -neither viewpoint even considered the relationship between the organization and its envi¬ +neither viewpoint even considered the relationship between the organization and its enviďż˝ ronment. This missing element began to appear, however, as writers in the field of public administration returned to issues of structure, though they viewed it in a quite different way. The new concern for structure was stimulated by two emerging approaches to public organizations: systems theory and the political economy approach. The systems approach suggested that public (or other) organizations could be viewed in the same general way as -biological or physical systems as whole organisms, independent of their parts and pursu¬ +biological or physical systems as whole organisms, independent of their parts and pursuďż˝ ing specific purposes within a complex environment; the political economy approach focused on politics and economics as categories for analyzing organizational behavior. @@ -16860,7 +16037,7 @@ receives from its environment the human and material resources it requires to fu as well as requests and directives about how it should operate. These resources, requests, and directives are processed through the organization and transformed by it, and the -resulting outputs (products, services, and so on) are transmitted back into the environ¬ +resulting outputs (products, services, and so on) are transmitted back into the environďż˝ ment. In turn, these outputs are taken into account as new inputs are developed, and, over time, a balancing point is reached that makes possible the survival of the organization. @@ -16868,11 +16045,11 @@ While we will discuss applications of systems theory of organizational design la should note here that the systems approach led those in public administration to think more carefully about the environment in which they worked and to begin to consider what influences were most important. A classic study of the relationship between an agency and -its environment was Selznick’s analysis of the Tennessee Valley Authority (TVA) in the +its environment was Selznickďż˝s analysis of the Tennessee Valley Authority (TVA) in the 1940s. Selznick (1949) argued that, in contrast to the closed, mechanical systems implied in many approaches to public organizations, those organizations are in fact open systems. -That is, they exist within an institutional framework, which includes political parties, pres¬ -sure groups, and special interests, and, though the groups’ demands may appear irrational +That is, they exist within an institutional framework, which includes political parties, presďż˝ +sure groups, and special interests, and, though the groupsďż˝ demands may appear irrational from the perspective of the organization, they simply cannot be ignored. The Tennessee Valley Authority sought to involve already existing local agencies in @@ -16882,27 +16059,27 @@ to try to get local groups committed to the TVA program by making them feel part of the organization. By bringing outside groups into the structure of the organization (by placing persons on advisory groups or negotiating service contracts with them), TVA sought support for its own programs. You will recall this idea as co-optation, a term -Selznick defined as “the process of absorbing new elements into the leadership or policy- +Selznick defined as ďż˝the process of absorbing new elements into the leadership or policy- determining structure of the organization as a means of averting threats to its stability or -existence” (Selznick, 1949, p. 13). +existenceďż˝ (Selznick, 1949, p. 13). Another study examining the influence of environmental factors on the operations of -public agencies was Herbert Kaufman’s analysis of the U.S. Forest Service (Kaufman, +public agencies was Herbert Kaufmanďż˝s analysis of the U.S. Forest Service (Kaufman, 1960). The Forest Service faced the problem of how to secure compliance and consistency from forest rangers scattered across the country and subject to all kinds of pressures from their local communities. Rangers often served, of course, in isolated locations. While they sought to carry out the policies of the Forest Service, they also developed loyalties to their local communities. They often had to carry out regulations that would adversely affect -their friends and neighbors in the local areas and, in such cases, might be tempted to devi¬ -ate from central office directives. The agency’s response was to devise a series of training +their friends and neighbors in the local areas and, in such cases, might be tempted to deviďż˝ +ate from central office directives. The agencyďż˝s response was to devise a series of training programs, procedural devices, inspections, and sanctions as efforts to reduce the influence of the local environment and to ensure that central office orders were actually carried out in the field. Looking at how environmental factors influence public organizations led other writers -to characterize public agencies as interdependent systems operating in a complex envi¬ -ronment. No longer could one agency’s work be viewed in isolation from other public -and private agencies; one would simply not be able to understand how an agency oper¬ +to characterize public agencies as interdependent systems operating in a complex enviďż˝ +ronment. No longer could one agencyďż˝s work be viewed in isolation from other public +and private agencies; one would simply not be able to understand how an agency operďż˝ ated without understanding the myriad external influences on the agency. Imagine, for example, the difficulty of implementing a new set of standards for water quality in a city such as Cincinnati, located on a state boundary. Think of all the agencies, public and @@ -16912,21 +16089,21 @@ private, that would have to be notified and would wish to express their views. T The Organization and Its Environment 309 -the various political jurisdictions — states, cities, counties, and possibly many special dis¬ -tricts. Think of the various bodies within each jurisdiction that might want input—the +the various political jurisdictions ďż˝ states, cities, counties, and possibly many special disďż˝ +tricts. Think of the various bodies within each jurisdiction that might want inputďż˝the mayor, legislature, and administrative agencies. The complexity of administrative activities (as in this example) have led some scholars -to suggest that it is no longer even meaningful to focus on a specific agency’s contribu¬ +to suggest that it is no longer even meaningful to focus on a specific agencyďż˝s contribuďż˝ tion to implementing a particular policy, but to think instead in terms of programs. We have already noted that many federal programs operate through a pattern of funding in -which money, rules, and guidelines are established for programs that are actually deliv¬ +which money, rules, and guidelines are established for programs that are actually delivďż˝ ered at the state and local levels through both public and private agencies. For example, -in the delivery of social services, such as drug prevention efforts, state and local govern¬ +in the delivery of social services, such as drug prevention efforts, state and local governďż˝ ments use federal money to fund private or nonprofit providers of the services. In many cases, the money goes to fund programs, not specific agencies, so that these programs operate through rather diffuse networks of loosely joined groups rather than through -traditional hierarchical structures. In such groups, older notions of organizational con¬ +traditional hierarchical structures. In such groups, older notions of organizational conďż˝ trol necessarily give way to new emphasis on bargaining and negotiation, in which the systems perspective has much to offer. @@ -16939,38 +16116,38 @@ conjunction of political and economic factors influencing their operation. These affect the organization both internally and externally, leading to four categories through which we might view organizations. First, the external political environment involves the interplay of various interest groups and other organizations that affect the -organization’s political climate. Second, the external economic environment consists of +organizationďż˝s political climate. Second, the external economic environment consists of market exchanges that influence the available supply of resources. Third, the internal political category focuses on the distribution of power and authority; and fourth, the internal economy concerns the allocation of resources and how they are used. The Wamsley-Zald approach is related to a more sophisticated and complex approach -most often associated with Vincent Ostrom. Ostrom’s public choice approach begins +most often associated with Vincent Ostrom. Ostromďż˝s public choice approach begins with examining how individuals might make choices if they were free to act rationally and in their own self-interest. Under some circumstances, people might be expected to -engage in collective action, especially where public goods are involved, or where situa¬ +engage in collective action, especially where public goods are involved, or where situaďż˝ tions are neither purely public nor purely private. (Public goods are distinguished from -private goods — those that can be measured, marketed, and maintained — by the fact +private goods ďż˝ those that can be measured, marketed, and maintained ďż˝ by the fact that they are highly indivisible; a public good such as the national defense is available to all once it is provided for one.) -Following this logic, Ostrom sees public organizations as “a means for allocating deci¬ +Following this logic, Ostrom sees public organizations as ďż˝a means for allocating deciďż˝ sion-making capabilities in order to provide public goods and services responsive to the -preferences of individuals in different social contexts” (Ostrom & Ostrom, 1971, p. 207). -Ostrom argues that the best structures for satisfying individual preferences are not central¬ +preferences of individuals in different social contextsďż˝ (Ostrom & Ostrom, 1971, p. 207). +Ostrom argues that the best structures for satisfying individual preferences are not centralďż˝ ized bureaucratic agencies, but rather more fragmented, multiorganizational arrangements. 3io Chapter 8 Managing Organizational Dynamics -Although earlier behavioral studies like Simon’s and Argyris’s were important in coun¬ -tering the field’s dependence on a structural interpretation of organizational life, they +Although earlier behavioral studies like Simonďż˝s and Argyrisďż˝s were important in counďż˝ +tering the fieldďż˝s dependence on a structural interpretation of organizational life, they were limited in certain ways. First, most of the behavioral literature failed to question the top-down pattern of organizational authority, so many thought it merely provided more -sophisticated mechanisms for managerial control. Second, there seemed to be little inter¬ +sophisticated mechanisms for managerial control. Second, there seemed to be little interďż˝ est in organization change processes at a time that rapid social change was becoming a -dominant feature of the landscape. Third, the perspective failed to comprehend the com¬ +dominant feature of the landscape. Third, the perspective failed to comprehend the comďż˝ plexity of interorganizational bargaining and negotiation. Similarly, the political economy approach seemed to unnecessarily limit the creativity and communications possibilities of those in public organizations, and seemed, at least to some, to place values in a secondary @@ -16978,16 +16155,16 @@ position. Among major critics of earlier approaches were a group of scholars in the early 1970s whose collective work came to be known (and, despite the passage of time, is still known) -as “the New Public Administration.” In contrast to older approaches that emphasized +as ďż˝the New Public Administration.ďż˝ In contrast to older approaches that emphasized efficiency and control, the New Public Administration heralded openness and change, equity, and involvement. In a rapidly changing society populated by diverse groups, the -New Public Administrationists felt that the key element in the survival of organizations — -indeed, of the society—was the capacity to adapt to rapid social change. Organizations +New Public Administrationists felt that the key element in the survival of organizations ďż˝ +indeed, of the societyďż˝was the capacity to adapt to rapid social change. Organizations would have to find ways to deal with an increasingly turbulent environment. -Doing so would require stimulating the creativity of everyone involved in any pub¬ -lic program, both within the agency and in the environment. Involving the organiza¬ -tion’s members and its clients in the decision-making process would, the New Public +Doing so would require stimulating the creativity of everyone involved in any pubďż˝ +lic program, both within the agency and in the environment. Involving the organizaďż˝ +tionďż˝s members and its clients in the decision-making process would, the New Public Administrationists felt, foster creativity. Moreover, such an approach seemed far more consistent with democratic norms and practices than operating through top-down structures of control. The key words in the New Public Administration were equity @@ -16996,12 +16173,12 @@ and involvement. Many of those associated with the New Public Administration became students of organizational change processes and sought ways to help organizations implement needed changes. One of the most important approaches they employed was organization -development, a process-oriented approach to planned change. Organization develop¬ +development, a process-oriented approach to planned change. Organization developďż˝ ment suggests many techniques for change that we will examine later, but it also offers another approach through which to view the work of organizations. -Robert Golembiewski, a leader in the application of organization development strate¬ -gies and techniques to the public sector, points out that organization development repre¬ +Robert Golembiewski, a leader in the application of organization development strateďż˝ +gies and techniques to the public sector, points out that organization development repreďż˝ sents a particular philosophy of management that is considerably at odds with traditional top-down tendencies. It values: @@ -17023,12 +16200,12 @@ Decision Making in Organizations As we suggested in our discussion of the public policy process, decision making represents one of the most critical functions of public and nonprofit organizations. While the scope and nature of decision making varies from issue to issue, the process itself is a daily activity. -Some have even suggested that organizations can be viewed as living histories of their deci¬ +Some have even suggested that organizations can be viewed as living histories of their deciďż˝ sion-making processes. To better appreciate this important function, it may be helpful to examine some of the core concepts of organizational decision making and to understand how leaders use these concepts in their management practice (Hatch, 1997, pp. 270-281). -Scholars of organizations traditionally followed an economic view of decision mak¬ +Scholars of organizations traditionally followed an economic view of decision makďż˝ ing, which assumed that decisions were the result of rational, well-informed selection procedures. (Much of our discussion to this point reflects this traditional viewpoint.) In the rational model, management recognizes the problem, identifies alternatives, selects @@ -17036,10 +16213,10 @@ and implements the most efficient alternative, and monitors the results. However, a series of works, beginning with March and Simon (1958) and Cyert and March (1963), challenged this rational viewpoint, arguing that decision making can be -viewed as rational only in certain circumstances. Most often, organizations lack the infor¬ +viewed as rational only in certain circumstances. Most often, organizations lack the inforďż˝ mation and capacity needed for making rational decisions. Simon, who received a Nobel -Prize for his work in artificial intelligence, referred to this phenomenon as a “bounded -rationality.” He identified five of the most common constraints: +Prize for his work in artificial intelligence, referred to this phenomenon as a ďż˝bounded +rationality.ďż˝ He identified five of the most common constraints: 1. imperfect and incomplete information 2. the complexity of the problem @@ -17051,16 +16228,16 @@ rationality. Despite attempts on the part of managers to use more rational processes, these factors pose insurmountable barriers to rational decision making. The implications are two-fold. First, managers will never have enough data to adequately inform decision-making -processes. Second, even if they did, they would face conflicting goals on the part of stake¬ +processes. Second, even if they did, they would face conflicting goals on the part of stakeďż˝ holders, to the point that they would be unable to make a truly rational selection of the most efficient alternatives. For Simon, the best that managers can do involves, what he -called, “satisficing”—that is, making do with the most information possible at the time +called, ďż˝satisficing��that is, making do with the most information possible at the time and attempting to balance between competing demands. But what happens when the goals of a particular decision point are relatively clear and the only true variable lies in the uncertainty of the policy direction or the outcome? Henry -Mintzberg and his colleagues (1976) referred to this as the trial-and-error model of deci¬ -sion making. Managers take an incremental approach to implementing policy alterna¬ +Mintzberg and his colleagues (1976) referred to this as the trial-and-error model of deciďż˝ +sion making. Managers take an incremental approach to implementing policy alternaďż˝ tives, assess the impact, then move to the next decision point. Over time, the belief is that a comprehensive solution to the issue will be attained, but the process will allow decision makers to proceed with caution. @@ -17073,28 +16250,28 @@ of competing demands on the part of stakeholders, which they must balance before 3i2 Chapters Managing Organizational Dynamics moving to the decision stage. Handling the complexity of these situations requires -what organization theorists refer to as the coalition model of decision making. The coali¬ +what organization theorists refer to as the coalition model of decision making. The coaliďż˝ tion model involves a search for interest-accommodating alternatives as opposed to the problem-solving information in the rational model. Policy leaders recognize that what may be the most efficient alternative will not be acceptable to the different interest groups. The best option is the one they can sell to their key constituencies. While some believe that the coalition model implies some sort of a breakdown in normal decision -making, in today’s dynamic, multicultural world (particularly in the public and nonprofit +making, in todayďż˝s dynamic, multicultural world (particularly in the public and nonprofit sectors) it tends to be the rule more than the exception. Of course, both the trial-and-error and coalition models of decision making assume that either the certainty of approach or the goals of the process has been determined. Anyone who has served in a public or nonprofit organization will tell you that many -times both sets of questions need to be answered. In these situations, which are character¬ -ized by a continuous ebb and flow of leadership, ongoing change in the policy environ¬ +times both sets of questions need to be answered. In these situations, which are characterďż˝ +ized by a continuous ebb and flow of leadership, ongoing change in the policy environďż˝ ment, and shifting sets of coalitions among stakeholder groups, leaders find themselves using the garbage can model of decision making. (Sound familiar? If not, it will very soon!) Randomness replaces rationality. Indeed, Cohen, March and Olsen (1972) used -the term “organized anarchies” to describe organizations that practice the garbage can +the term ďż˝organized anarchiesďż˝ to describe organizations that practice the garbage can model as normal policy. The approaches to organizational decision making described here should not be taken -as mutually exclusive. Leaders in public and nonprofit organizations should explore a vari¬ +as mutually exclusive. Leaders in public and nonprofit organizations should explore a variďż˝ ety of methods, depending on the changing conditions in the policy environment. In fact, the most effective managers will be able to read the shifting conditions and balance their desire for rationality with a sensitivity to their internal barometers. @@ -17103,19 +16280,19 @@ Organizational Culture, Organizational Learning, and Strategic Management -During the past generation, many discussions of management and organizations, espe¬ +During the past generation, many discussions of management and organizations, espeďż˝ cially in the private sector, have emphasized the importance of understanding the culture of the organization. Most writers refer to organizational culture as the basic pattern of -attitudes, beliefs and values that underlie the organization’s operations. An organization’s +attitudes, beliefs and values that underlie the organizationďż˝s operations. An organizationďż˝s culture consists of the shared assumptions that members of the organization hold. Edgar H. Schein (1997, pp. 8-10) notes that culture can be manifested in many ways, including the following: -1. Observed behavioral regularities when people interact: The language they use, the cus¬ +1. Observed behavioral regularities when people interact: The language they use, the cusďż˝ toms and traditions that evolve, and the rituals they employ in a wide variety of situations. 2. Group norms: The implicit standards and values that evolve in working groups, such -as the particular norm of a “fair day’s work for a fair day’s pay” that evolved among +as the particular norm of a ďż˝fair dayďż˝s work for a fair dayďż˝s payďż˝ that evolved among workers in the Hawthorne studies. @@ -17124,11 +16301,11 @@ Organizational Culture, Organizational Learning, and Strategic Management 3. Espoused values: The articulated, publicly announced principles and values that the group claims to be trying to achieve. -4. Formal philosophy: The broad policies and ideological principles that guide a group’s +4. Formal philosophy: The broad policies and ideological principles that guide a groupďż˝s actions toward stockholders, employees, customers, and other stakeholders. 5. Rules of the game: Implicit rules for getting along in the organizations and the ropes that -a newcomer must learn to be an accepted member—“the way we do things around here.” +a newcomer must learn to be an accepted member��the way we do things around here.ďż˝ 6. Climate: The feeling that is conveyed in a group by the physical layout and the way in which members of the organization interact with each other, with customers, or with @@ -17148,7 +16325,7 @@ as they interact with each other. to characterize themselves that may or may not be appreciated consciously but that become embodied in buildings, office layout, and other material artifacts of the group. -As these manifestations suggest, some of the most important aspects of an organiza¬ +As these manifestations suggest, some of the most important aspects of an organizaďż˝ tion lie outside of the explicit characteristics shared in normal group interaction. The unique ways in which an organization communicates internally and externally, its system of reward and punishment, and the way group members perceive themselves and the @@ -17162,14 +16339,14 @@ Organizations face dynamic conditions in their internal and external environment variety of social, economic, and political factors that impact group performance. The successful organization is one that remains flexible to meet these changing conditions. Yet given the multiple levels of organizational culture, change within the group cannot -simply occur on the surface level. The organization’s underlying system of beliefs and val¬ +simply occur on the surface level. The organizationďż˝s underlying system of beliefs and valďż˝ ues must be transformed in order for change to be sustainable (Schein, 1997; Senge 1990). In this context, the notion of organizational culture becomes closely related to another -important management concept, what is called organizational learning. Learning organiza¬ +important management concept, what is called organizational learning. Learning organizaďż˝ tions recognize that the primary contributors to error, or the disparity between what the group intends to happen and what actually occurs (Argyris, 1993) and thus the barriers to -organizational change, are embedded deep within the organization’s collective conscious¬ +organizational change, are embedded deep within the organizationďż˝s collective consciousďż˝ ness. They are not talked about, nor even immediately acknowledged by group members. Therefore, groups that succeed in becoming learning organizations, those which are able to correct error and overcome their barriers, can much more successfully bring about change @@ -17179,13 +16356,13 @@ both in surface behavior and in the underlying levels of culture in the organiza 314 Chapter 8 Managing Organizational Dynamics -For example, say an organization’s performance'has started to suffer because of a -decline in employee satisfaction and a rise in infighting among staff members. An imme¬ -diate response may be to alter the group’s behavior in a way that reduces the infighting +For example, say an organizationďż˝s performance'has started to suffer because of a +decline in employee satisfaction and a rise in infighting among staff members. An immeďż˝ +diate response may be to alter the groupďż˝s behavior in a way that reduces the infighting and, in some ways, improves the quality of work life. This type of surface-level change would be a form of single-loop learning. However, such behavioral change more than likely would not resolve the deeper problem that produced the infighting in the first -place. To resolve this more tacit concern, double-loop learning, or a change in the under¬ +place. To resolve this more tacit concern, double-loop learning, or a change in the underďż˝ lying system of beliefs, would need to occur. Both the actions and the values of the group would need to be affected. @@ -17193,38 +16370,38 @@ Peter Senge, writing in The Fifth Discipline, suggests five elements that contri building a learning organization. These are: Personal mastery: A discipline that connects individual learning, personal skills, and -spiritual growth with organizational learning. It involves one’s inherent capacity to +spiritual growth with organizational learning. It involves oneďż˝s inherent capacity to continuously focus on what is most important, while ensuring that the view of reality remains clear and truthful (Senge, 1990, p. 141). -Mental models: A discipline that links the way in which we view the world—our -assumptions about “how things work”—with innovation and learning. Our mental -models may pose substantial barriers to new ideas, those that conflict with our cur¬ +Mental models: A discipline that links the way in which we view the worldďż˝our +assumptions about ďż˝how things work��with innovation and learning. Our mental +models may pose substantial barriers to new ideas, those that conflict with our curďż˝ rent understanding of reality, or they may become a source of new knowledge and creative learning (Senge, 1990, pp. 174-178). Shared vision: A discipline in which an image or idea becomes transformed into a powerful force that is shared throughout the organization or group. The organization -that has a shared vision is “connected, bound together by a common aspiration” +that has a shared vision is ďż˝connected, bound together by a common aspirationďż˝ (Senge, 1990, p. 206). -Team learning: A discipline that reflects the capacity of a group of individuals to coa¬ +Team learning: A discipline that reflects the capacity of a group of individuals to coaďż˝ lesce, to engage their respective energies into an integrated team. The team remains connected through its shared vision, thus ensuring that the individual learning that -occurs becomes translated into a group — indeed, a shared — experience (Senge, 1990, +occurs becomes translated into a group ďż˝ indeed, a shared ďż˝ experience (Senge, 1990, pp. 234-235). -Systems thinking: A discipline that shows how human action—whether in business, -government or other pursuits — represents a systemic, interrelated set of events. Thus, +Systems thinking: A discipline that shows how human actionďż˝whether in business, +government or other pursuits ďż˝ represents a systemic, interrelated set of events. Thus, we may understand and effect change by recognizing the interconnectedness of our actions and their consequences in the broader system. Those who are able to achieve -this type of systems thinking—what Senge calls the fifth discipline —have embodied +this type of systems thinkingďż˝what Senge calls the fifth discipline ďż˝have embodied the concept of individual and organizational learning (Senge, 1990, p. 7). The convergence of the concepts of organizational culture and organizational learning provide an important foundation for understanding organizational change. Yet they also relate to an older concept, but one which remains crucial in contemporary society: -strategic management. Several years ago, Peters and Waterman’s In Search of Excellence +strategic management. Several years ago, Peters and Watermanďż˝s In Search of Excellence (1982) introduced this concept in its analysis of implicit philosophies that guide most @@ -17236,16 +16413,16 @@ did nearly two decades ago. In particular, Peters and Waterman state the importa establishing a core set of values that comprise the mission of the organization and shape decisions throughout the structure. They suggest the importance of constant interchange between managers and workers, the organization and its clients. Though terms like -“MBWA,” or Management by Walking Around, may seem dated, the supporting princi¬ -ple of leadership remaining in close contact with members of the organization has per¬ +ďż˝MBWA,ďż˝ or Management by Walking Around, may seem dated, the supporting princiďż˝ +ple of leadership remaining in close contact with members of the organization has perďż˝ haps even grown in significance. Networking For a less formal introduction to organizational culture, begin with a Web site developed by graduate students at the University of Toronto at http://www.oise. -utoronto.ca/~vsvede/culture.htm. Next, visit MIT’s Society for Organizational -Learning at http://www.sol-ne.org/. This site discusses research about organiza¬ +utoronto.ca/~vsvede/culture.htm. Next, visit MITďż˝s Society for Organizational +Learning at http://www.sol-ne.org/. This site discusses research about organizaďż˝ tional culture and change. Some of the specific features of successful companies cited by Peters and Waterman @@ -17266,7 +16443,7 @@ maximum individual autonomy These criteria for excellence can be translated into a public-sector context without great difficulty. For example, the International City Management Association and the Center for Excellence in Local Government adapted the Peters and Waterman criteria to -define “excellence in local government”: +define ďż˝excellence in local governmentďż˝: 1. Action orientation: Excellent local governments identify problems and deal with them quickly, fighting through structural, political, legal, and environmental constraints that @@ -17280,26 +16457,26 @@ responsive to public input. Chapter 8 Managing Organizational Dynamics -3. Autonomy and entrepreneurship: Excellent local governments have developed cli¬ +3. Autonomy and entrepreneurship: Excellent local governments have developed cliďż˝ mates conducive to conceiving ideas and doing new things to solve problems. They have track records for implementing creative solutions, even in the face of declining resources. 4. Employee orientation: This criterion demands more than lip service to employees and -their needs. Excellent local governments insist on intensive, pervasive treatment of employ¬ +their needs. Excellent local governments insist on intensive, pervasive treatment of employďż˝ ees as human beings and adults. 5. Values: Excellent local governments have a defined set of values. Their overall focus is on being the best by providing superior quality service to the public. Their values are -communicated clearly and demonstrated regularly to employees. Those values also pro¬ +communicated clearly and demonstrated regularly to employees. Those values also proďż˝ vide the source of enthusiasm and pride among employees. 6. Mission, goals, and competence: Mission is the underlying premise of the organization. Excellent local governments have evaluated their missions based on changing resource -levels and citizen demands, and have used mission statements as the foundation for estab¬ +levels and citizen demands, and have used mission statements as the foundation for estabďż˝ lishing community and organizational goals. Within their defined mission, excellent local governments provide consistent, uniform service levels. 7. Structure: In excellent local governments, the potential negative effects of antiquated, -bureaucratic structures have been minimized. These organizations have fewer manage¬ +bureaucratic structures have been minimized. These organizations have fewer manageďż˝ ment levels and fewer centralized support staffs. They provide firm central direction while giving maximum autonomy to employees. -8. Political relationships: Political relationships refer to more than how the elected govern¬ +8. Political relationships: Political relationships refer to more than how the elected governďż˝ ing body and management staff work together. In excellent local governments, managers and policy makers are tuned in to the political environment; have established positive, open, and respectful relationships with each other; and have established political stability @@ -17307,22 +16484,22 @@ open, and respectful relationships with each other; and have established politic Most recently, Robert B. Denhardt (1993) has elaborated several approaches to public management based on interviews with highly successful public managers in Australia, -Canada, Great Britain, and the United States. Denhardt’s research has shown that these +Canada, Great Britain, and the United States. Denhardtďż˝s research has shown that these managers, highly regarded by their peers for improvements in quality and productivity in their organizations, have a distinctive style from the traditional rule-driven bureaucratic mode of operations, yet they have much in common. Among the approaches used by these revolutionary public managers are the following: 1. A commitment to values: The manager seeks organizational change less by attention to -structure than by developing a pervasive commitment to the mission and values of the orga¬ +structure than by developing a pervasive commitment to the mission and values of the orgaďż˝ nization, especially the values of professionalism and integrity, service and quality. Values are clearly articulated by the chief executive and shared throughout the organization. 2. Serving the public: The manager gives priority to service to both clients and citizens. That -priority is supported by high standards of performance and accountability and by a con¬ +priority is supported by high standards of performance and accountability and by a conďż˝ stant emphasis on quality. Most important, the manager recognizes that technical efforts alone will fail unless equal or even greater attention is given to the human side, especially to building a sense of community within the organization and a sense of cooperation outside. -3. Empowerment and shared leadership: The manager encourages a high level of participa¬ +3. Empowerment and shared leadership: The manager encourages a high level of participaďż˝ tion and involvement on the part of all members of the organization in efforts to improve the quality and productivity of the organization (see Box 8.1). Leadership from the top is @@ -17337,18 +16514,18 @@ Empowering an Organization Because I like to think I have learned a few things in 25 years (in the field of urban management), hopefully there are also some things I now do differently. At the front end of my career, for example, my concern was in making sure everybody in -the organization knew I was in charge. Reorganization, replacement of key person¬ +the organization knew I was in charge. Reorganization, replacement of key personďż˝ nel, and formal control mechanisms were the hallmarks of my early days. They -were meant to define me as a “take charge” person and to signal that change had +were meant to define me as a ďż˝take chargeďż˝ person and to signal that change had occurred.. . . In reflecting on my earlier approach, I have now come full circle. The kinds of changes I made back then were clearly visible and so probably satisfied those who wanted to see change. I have learned, however, that it is relatively simple to bring about -physical, visible change but that to cause actual improvement in the way an organiza¬ +physical, visible change but that to cause actual improvement in the way an organizaďż˝ tion functions is a far more difficult trick. . . . Obedience as the basis for organizational success has given way in my mind to the need for trust. A successful relationship is -based upon mutual give and take rather than on “you give and I take. . . .” +based upon mutual give and take rather than on ďż˝you give and I take. . . .ďż˝ What impresses me as more productive now is to figure out how you get those in the organization to feel confident about what they do, to move the organization @@ -17356,28 +16533,28 @@ where it needs to go. The values that permeate an organization have the power to override, at least in the long run, any other changes that may be made. What is new for me now in the second half of my career is an understanding that if dysfunctional and counterproductive values do not change, not much else of importance will either. -And if management is not trying to improve the organizational culture’s value system, +And if management is not trying to improve the organizational cultureďż˝s value system, no one else will. -A related lesson I have learned is that management cannot “order” values to -change. This kind of change takes place relatively slowly, and it occurs only if man¬ +A related lesson I have learned is that management cannot ďż˝orderďż˝ values to +change. This kind of change takes place relatively slowly, and it occurs only if manďż˝ agement talks a lot about what is expected, sets the right example, creates the right kind of organizational climate, and uses the personnel and compensation system to support the right behavior. -So I am preaching. I am talking about organizational values important to success — +So I am preaching. I am talking about organizational values important to success ďż˝ customer responsiveness, treating people right, supporting city policies, being a good -source of information, getting and giving “more bang for the buck,” and providing +source of information, getting and giving ďż˝more bang for the buck,ďż˝ and providing anticipative rather than reactive management. . . . -The point of all this is to empower the people in the organization to exert them¬ +The point of all this is to empower the people in the organization to exert themďż˝ selves by their own volition, in the right direction. A manager can indicate the proper direction. A manager can encourage needed values and can create the climate in which -employees will choose to make the organization’s success their goal. Managers used +employees will choose to make the organizationďż˝s success their goal. Managers used to see success as a function of the assertion of their own power. Now they see the empowerment of others as a more likely avenue to success. -SOURCE: Excerpted from Roy R. Pederson, “Empowering an Organization.” Reprinted from the August +SOURCE: Excerpted from Roy R. Pederson, ďż˝Empowering an Organization.ďż˝ Reprinted from the August 1989 issue Public Management (PM) magazine published by the International City/County Management Association, Washington, D.C. @@ -17385,25 +16562,25 @@ Association, Washington, D.C. 3i8 Chapter 8 Managing Organizational Dynamics -complemented by empowering individuals throughout the organization to assume leader¬ +complemented by empowering individuals throughout the organization to assume leaderďż˝ ship within their own realms. 4. Pragmatic incrementalism: Change occurs through a free-flowing process in which the -manager pursues a wide variety of often unexpected opportunities to move the organiza¬ +manager pursues a wide variety of often unexpected opportunities to move the organizaďż˝ tion in the desired direction. The manager views change as a natural and appropriate feature of organizational life and employs a creative and humane approach to change, taking into account the personal concerns and interests of members, clients, and others. 5. A dedication to public service: Individuals throughout the organization understand -and appreciate the special character of public service, especially the role of public organi¬ +and appreciate the special character of public service, especially the role of public organiďż˝ zations in the process of democratic governments. The manager insists that members of the organizations maintain high levels of standards and encourages them to make their organization a model of integrity for similarly situated groups. -Denhardt argues that these approaches to public management are not merely tech¬ -niques to be used in pursuit of the organization’s interest, but are ideas consistent with +Denhardt argues that these approaches to public management are not merely techďż˝ +niques to be used in pursuit of the organizationďż˝s interest, but are ideas consistent with the history and tradition of public service. For many public managers and many public employees the driving motive behind their best efforts is not the pursuit of self-interest, but rather the pursuit of the sense of meaning or significance in their work. As managers -become more aware of this factor and take it into account in the way they manage, pub¬ +become more aware of this factor and take it into account in the way they manage, pubďż˝ lic organizations can become more flexible, more creative, and more responsive to both clients and citizens. @@ -17411,19 +16588,19 @@ Total Quality Management Many of the themes in the organizational culture literature and the literature dealing with strategic management are coming together under the heading of Total Quality Management -(TQM). While some consider TQM merely another set of techniques to be used in improv¬ +(TQM). While some consider TQM merely another set of techniques to be used in improvďż˝ ing quality and in turn productivity, others consider TQM as embracing a variety of the most contemporary approaches to public management. They would say that TQM is a -broad-scale approach to changing an organization’s entire culture to focus it on establishing +broad-scale approach to changing an organizationďż˝s entire culture to focus it on establishing and maintaining high standards of quality, especially with respect to meeting customer expectations. The key of TQM is to serve the customer, whether the customer is internal to the organization or someone outside. In this chapter we will consider the broad thematics of TQM; in the next we will note particular applications of TQM techniques. -The OMB circular describing TQM for federal executives calls it “a comprehensive +The OMB circular describing TQM for federal executives calls it ďż˝a comprehensive management approach for meeting customer needs and expectations that involves all -employees in improving continuously the organization’s processes, products, and ser¬ -vices.” Specifically, TQM involves bringing together everyone in the organization in a +employees in improving continuously the organizationďż˝s processes, products, and serďż˝ +vices.ďż˝ Specifically, TQM involves bringing together everyone in the organization in a manner that creates a new culture of excellence that emphasizes: top management leadership and support @@ -17445,23 +16622,23 @@ reliance on measurement and analysis of process and outputs quality assurance (OMB Draft Circular A-132, 1990) The emphasis in TQM is first on improving quality, not productivity. Indeed, the -assumption is that if the quality of the organization’s work is improved, its productivity will +assumption is that if the quality of the organizationďż˝s work is improved, its productivity will also improve. Improvements in quality are sought through a variety of tools or techniques, each tailored to the specific work of the organization. One organization might develop a -series of quality control teams to oversee and control quality throughout its delivery of ser¬ +series of quality control teams to oversee and control quality throughout its delivery of serďż˝ vices; another organization might choose to develop a more detailed measurement system to pinpoint errors in its production processes. In all cases, however, the commitment to quality must be strongly expressed by top management and throughout the organization. It should -also be long-term; TQM is not seen as a quick fix but as a never-ending process of improve¬ +also be long-term; TQM is not seen as a quick fix but as a never-ending process of improveďż˝ ment. TQM Beginnings -The idea of quality management began in the late 1920s with Walter Shewart’s develop¬ +The idea of quality management began in the late 1920s with Walter Shewartďż˝s developďż˝ ment of a method for measuring variance in production systems, called statistical process control. During World War II, quality control methods were critical and the War -Department incorporated Shewart’s methods, hiring W. Edward Deming, who was actu¬ -ally a student of Shewart’s, to teach the statistical process control method. +Department incorporated Shewartďż˝s methods, hiring W. Edward Deming, who was actuďż˝ +ally a student of Shewartďż˝s, to teach the statistical process control method. After World War II, American industry and government, blessed with a rapidly expanding economy, became very powerful yet eventually complacent. The Japanese @@ -17469,16 +16646,16 @@ faced a very different situation after the war. While they had never been blesse abundant natural resources, they were quick to adopt progressive industrial management techniques. Deming traveled to Japan to help rebuild industry and taught the statistical control method to the Japanese, as did another important figure in the development of -TQM, Joseph Juran. Juran taught that quality should be defined as “fit for customer -use.” He also developed the concept of “cost of quality,” a type of cost-benefit analysis. +TQM, Joseph Juran. Juran taught that quality should be defined as ďż˝fit for customer +use.ďż˝ He also developed the concept of ďż˝cost of quality,ďż˝ a type of cost-benefit analysis. Under the guidance of Deming and Juran, the Japanese extended quality control methods -to production and inspection. Eventually, the Japanese learned how to increase their com¬ +to production and inspection. Eventually, the Japanese learned how to increase their comďż˝ petitiveness by improving the quality of the goods and services they produced. Throughout this period, American industrial leaders felt no need to learn a new way of thinking. However, a remarkable renaissance occurred during the second half of the twentieth century. In the 1950s, Japanese products were considered very shoddy, while -“Made in America” meant strength and competence. By the 1970s, the image had been +ďż˝Made in Americaďż˝ meant strength and competence. By the 1970s, the image had been reversed; Japanese products were now considered of higher quality and consequently fared better on world markets. Today, American industry (and American government), guided by such contemporary leaders in quality improvement as Philip Crosby, is taking @@ -17493,22 +16670,22 @@ Networking The Center for Quality and Productivity Improvement (http://www.engr.wisc.edu/ centers/cqpi/) and the Government Division of the American Society for Quality -(http://deming.eng.clemson.edu/pub/psci/psn/) provide resources and other infor¬ +(http://deming.eng.clemson.edu/pub/psci/psn/) provide resources and other inforďż˝ mation concerning TQM and quality improvement activities in the governmental and nongovernmental sectors. -TQM stresses customer satisfaction, examines relationships between existing manage¬ +TQM stresses customer satisfaction, examines relationships between existing manageďż˝ ment processes, improves internal communications, and responds to the valid demands of all customers, internal and external (Milakovich, 1991). Among the questions advocates of TQM seek to address are the following: 1. How can an organization assess and improve its basic services and product quality in the eyes of its clients and customers? -2. How should it plan process redesign, organizational restructuring, participative manage¬ +2. How should it plan process redesign, organizational restructuring, participative manageďż˝ ment, and employee development to aid in this effort? 3. What coordination and evaluation mechanisms need to be put in place to facilitate quality management? -4. What measurement systems must the organization develop and how should the infor¬ +4. What measurement systems must the organization develop and how should the inforďż˝ mation generated be used in its pursuit of quality? Guidelines for Public Management @@ -17521,12 +16698,12 @@ on strategic management seems to suggest the following guidelines: 1. Maintain clarity about organizational priorities, goals, and objectives. Although some ambiguity is often unavoidable in stating organization priorities, goals, and objectives, most organizations are far too confused on these issues. This confusion leaves people -throughout the organization, including people who are required to make frequent deci¬ -sions about organizational direction, without an appropriate basis for making such deci¬ +throughout the organization, including people who are required to make frequent deciďż˝ +sions about organizational direction, without an appropriate basis for making such deciďż˝ sions. The direction of the organization should be stated as clearly as possible and widely communicated to all members. -2. Make decisions today in terms of the most likely future circumstances. Strategic man¬ -agement implies making all organizational decisions in terms of “futurity”—that is, how +2. Make decisions today in terms of the most likely future circumstances. Strategic manďż˝ +agement implies making all organizational decisions in terms of ďż˝futurity��that is, how they will meet expected changes in the environment. It suggests taking every action in light of anticipated conditions, thus putting the organization in the best position to take advantage of future opportunities. @@ -17540,40 +16717,40 @@ Organizational Culture, Organizational Learning, and Strategic Management 321 tunnel vision in most organizations. Actions are viewed in immediate terms, without duly considering who will be affected by the action. Acknowledging the importance of the environment is essential to strategic thinking. -4. Understand clearly the organization’s capacities and limitations. New programs and +4. Understand clearly the organizationďż˝s capacities and limitations. New programs and policies can be effectively implemented only if they fall within the existing capacity of the organization or provide sufficient opportunity to build capacity. There are dangers in both underutilization of resources and becoming overextended. 5. Balance program goals with attention to organizational values and processes. It is -important to state programmatic objectives clearly; however, the organization’s cul¬ -ture and the prevailing norms, beliefs, and values of its members are equally impor¬ +important to state programmatic objectives clearly; however, the organizationďż˝s culďż˝ +ture and the prevailing norms, beliefs, and values of its members are equally imporďż˝ tant. Organizational processes, such as leadership, communications, motivation, group dynamics, and so forth, need constant attention, because they are essential to goal accomplishment. -6. Create diverse mechanisms, both temporary and permanent, for constantly renegotiat¬ +6. Create diverse mechanisms, both temporary and permanent, for constantly renegotiatďż˝ ing programs and processes. Both programmatic concerns and organizational processes are constantly changing in ways that affect persons throughout the organization. Thus, clarity with respect to priorities, goals, and objectives must not lead to rigidity. Mechanisms must -permit and, in fact, encourage the entire membership of the organization to contribute reg¬ +permit and, in fact, encourage the entire membership of the organization to contribute regďż˝ ularly to refining programs and processes. -7. Build trust and commitment through open communications and genuine participa¬ -tion. Guidelines by which we might measure the degree of participation the organiza¬ -tion encourages include members’ access to information and to forums of decision +7. Build trust and commitment through open communications and genuine participaďż˝ +tion. Guidelines by which we might measure the degree of participation the organizaďż˝ +tion encourages include membersďż˝ access to information and to forums of decision making, their ability to open any issue without fear of retaliation, and their feeling that their ideas will at least be considered by major decision makers (Redford, 1969, p. 8). Much of the work reviewed here applies equally to management in the public and private sectors. But it is interesting to note that some of the most recent general trends -in management have been anticipated in public-sector management. Public organiza¬ -tions’ dependence on pluralistic decision processes — that is, processes through which -many different people and groups are likely to be involved in any particular decision — +in management have been anticipated in public-sector management. Public organizaďż˝ +tionsďż˝ dependence on pluralistic decision processes ďż˝ that is, processes through which +many different people and groups are likely to be involved in any particular decision ďż˝ makes the process of managing change in the public sector quite complicated. Ip also means that a high degree of ambiguity and uncertainty is likely to surround most efforts to implement or alter programs, and that managers must be especially skillful -in negotiating across organizational boundaries rather than expecting to control cir¬ -cumstances from the top. In addition, public organizations must have a service orien¬ -tation— specifically, an understanding of and an attempt to act in accord with the +in negotiating across organizational boundaries rather than expecting to control cirďż˝ +cumstances from the top. In addition, public organizations must have a service orienďż˝ +tationďż˝ specifically, an understanding of and an attempt to act in accord with the public interest. We noted that organizations seeking public purposes must operate openly, be cognizant of client interests, and understand the political context within which they operate. @@ -17581,15 +16758,15 @@ which they operate. Under these circumstances, it is not at all surprising that the values and perspectives that now seem so much a part of modern management, such as those associated with strategic management or Total Quality Management, have always been central (if not -dominant) in public administration theory. Thus, for example, Marshall Dimock’s -(1936, p. 120) comment that “successful administration is warm and vibrant. It is +dominant) in public administration theory. Thus, for example, Marshall Dimockďż˝s +(1936, p. 120) comment that ďż˝successful administration is warm and vibrant. It is 3^2 Chapter 8 Managing Organizational Dynamics human. . . sounds very much like a quotation from Peters and Waterman. One might -thus argue that, in contrast to Woodrow Wilson’s admonition that public agencies +thus argue that, in contrast to Woodrow Wilsonďż˝s admonition that public agencies should operate like businesses, it seems that public organizations and the values and interests they represent today should be and are becoming models for organizations of all types. @@ -17602,28 +16779,28 @@ engagement and sustaining citizen participation in civil society. There is a dan devoting ourselves to satisfying the customer while neglecting to ensure equity, justice, and equality for citizens. -We will note later, in discussing recent critiques of the reinvention movement, that cit¬ +We will note later, in discussing recent critiques of the reinvention movement, that citďż˝ izens are more than mere customers of government, that they are its owners, and that placing this relationship in economic terms reduces the role (and responsibility) of the citizen in the governance process. This critique carries important implications for our -notions of public management. Specifically, in the current framework, public administra¬ +notions of public management. Specifically, in the current framework, public administraďż˝ tors can afford to view citizens in instrumental terms, and thus believe that by achieving -an efficient, market-oriented system of service delivery that citizen trust and participa¬ +an efficient, market-oriented system of service delivery that citizen trust and participaďż˝ tion will be maintained. Citizen engagement, in this context, may be limited to a source of legitimation for public decisions that have already been made in more rational forms (for different perspectives, see Bryson & Crosby, 1992; Chrislip & Larson, 1994; Thomas, 1995). -Such a limited concept of engagement not only weakens our systems of public man¬ -agement and administration, in that it removes decision-making processes from the pub¬ +Such a limited concept of engagement not only weakens our systems of public manďż˝ +agement and administration, in that it removes decision-making processes from the pubďż˝ lic realm, but also threatens to destroy the remaining level of citizen trust we as public -servants enjoy. Citizens have expressed that their confidence is less contingent on man¬ -agerial pursuits, such as efficiency and performance, and more on the values of respon¬ +servants enjoy. Citizens have expressed that their confidence is less contingent on manďż˝ +agerial pursuits, such as efficiency and performance, and more on the values of responďż˝ siveness and equity. Yet sometimes it is tempting to forget this important message and to continue to strive simply for greater productivity. -The question we encounter once again is, “How can we balance efficiency and -responsiveness in the operation of public programs?” The field of public administra¬ +The question we encounter once again is, ďż˝How can we balance efficiency and +responsiveness in the operation of public programs?ďż˝ The field of public administraďż˝ tion has generally leaned toward the efficiency side of the equation. Now, however, there is growing evidence that emphasizing responsiveness is not only consistent with democratic principles, but, in the long run, may also be the most effective way of @@ -17636,8 +16813,8 @@ creativity. Developing a democratic approach to management has often been attractive to public administration theorists because it seems only proper that government institutions in a democracy should operate democratically. What we are finding more and more is that -such an approach is not only appealing but necessary for organizations of all types — not -only those in the public sector—to survive. +such an approach is not only appealing but necessary for organizations of all types ďż˝ not +only those in the public sectorďż˝to survive. @@ -17645,11 +16822,11 @@ Postmodern Narratives on Management 323 Postmodern Narratives on Management -In recent years, the images of organizations discussed above have come under criti¬ +In recent years, the images of organizations discussed above have come under critiďż˝ cism from a variety of standpoints. Some challenge the notion of a single, unifying notion of management and organizations. Others bring into question the overly functionalistic nature of management theory. And still others attempt to counter the -political context of traditional theory, particularly the use of power by elites to mar¬ +political context of traditional theory, particularly the use of power by elites to marďż˝ ginalize the powerless. We will discuss these contrary perspectives on organizations under the heading of postmodernism. But as we will see even this term is problematic, since postmodernism defies our tendency for categorizing diverse viewpoints into @@ -17659,28 +16836,28 @@ Postmodernism The philosophical roots of what we call postmodernism can be traced to the late 1960s and a school of French philosophy known as poststructuralism. Poststructuralists took -issue with many of the core assumptions underlying modernist philosophy. For exam¬ -ple, highlighting modernity’s debt to the Enlightenment, the poststructuralists opposed -modernity’s primacy of rationality, objectivity, and the application of scientific princi¬ +issue with many of the core assumptions underlying modernist philosophy. For examďż˝ +ple, highlighting modernityďż˝s debt to the Enlightenment, the poststructuralists opposed +modernityďż˝s primacy of rationality, objectivity, and the application of scientific princiďż˝ ples in the development of a universal explanation of the social world. They argued -for more diverse readings of society—that is, for new ways of knowing, based on +for more diverse readings of societyďż˝that is, for new ways of knowing, based on semiotics and linguistics, to help explore the symbolic content of social phenomena. Such influences helped to bring about what has been called the linguistic turn in social theory. In management theory, a key theme underlying the postmodernist critique centers -on the multiple sources of knowledge that confront us in our organizational experi¬ -ence, what we may refer to as fragmentation. As Hatch explained, “Postmodernists +on the multiple sources of knowledge that confront us in our organizational experiďż˝ +ence, what we may refer to as fragmentation. As Hatch explained, ďż˝Postmodernists challenge the modernist desire for unifying views with their belief that knowledge is fundamentally fragmented, that is, knowledge is produced in so many different bits and pieces that there can be no reasonable expectation that it will ever add up to -an integrated and singular view” (Hatch, 1997, p. 44). Consequently, we are faced +an integrated and singular viewďż˝ (Hatch, 1997, p. 44). Consequently, we are faced with the question: Given the increasingly global, networked nature of public and nonprofit organizations, how can we cling to a belief in a central, complete theory of management? A second important theme involves a postmodernist challenge to what is called the -progress myth. This stems from modernity’s premise that our scientific knowledge is +progress myth. This stems from modernityďż˝s premise that our scientific knowledge is the result of a cumulative process, with one theory building uniformly upon previous theories, toward a shared end of advancing the human condition. Rather than some altruistic enterprise, postmodernists argue that the Enlightenment, and its offspring of @@ -17697,24 +16874,24 @@ around the world, much less to impose a particular'form of knowledge to identify evaluate policy alternatives? To counter these tendencies, postmodern theorists employ a narrative device known as -discourse analysis. It begins by viewing presentations of organizational inquiry—such as -oral, textual or visual narratives — as forms of discourse, then using discourse analysis to +discourse analysis. It begins by viewing presentations of organizational inquiryďż˝such as +oral, textual or visual narratives ďż˝ as forms of discourse, then using discourse analysis to deconstruct the narratives to reveal modernist assumptions underlying the content. One of the purposes of discourse analysis is to expose (and challenge) any attempt to provide some type of grand narrative, in the modernist tradition, of organizations or society. However, another purpose, one with more of an action orientation, involves the use of discourse analysis to reverse the power-saturated state of language in the organizational -context, thereby opening the door for more diverse voices in organizational narratives— +context, thereby opening the door for more diverse voices in organizational narrativesďż˝ that is, the inclusion of traditionally dispossessed participants in social experiences of management. Issues of Gender and Power -Feminist scholars have used elements of discourse analysis, as well as the liberating expe¬ +Feminist scholars have used elements of discourse analysis, as well as the liberating expeďż˝ rience of postmodernism generally, to launch a sustained critique against traditional organization and management theory. At the heart of their critique is the segmentation of power along gender lines in organizational hierarchies, what the feminist scholar Jane -Flax refers to as a “sexual division of labor” in modern management (Flax, quoted in +Flax refers to as a ďż˝sexual division of laborďż˝ in modern management (Flax, quoted in Hatch, 1997, p. 293). In Chapter 6, we discussed the glass ceiling that limits the advancement of women in @@ -17722,8 +16899,8 @@ the work place. However, Flax points out that the corollary to such structural b that women tend to be employed in occupational areas that consist overwhelmingly of other women, jobs that are paid less and subject women workers to gender-stereotyped roles, like childcare (school teachers), housecleaning (secretaries), and other forms of -“women’s work” (Flax, quoted in Hatch, 1997, p. 293). Besides these practical implica¬ -tions, modern management theory has relegated women to the role of subjects in other¬ +ďż˝womenďż˝s workďż˝ (Flax, quoted in Hatch, 1997, p. 293). Besides these practical implicaďż˝ +tions, modern management theory has relegated women to the role of subjects in otherďż˝ wise male-dominated power structures. It is this concern for the powerless that provides perhaps the most compelling argument @@ -17731,7 +16908,7 @@ of feminist theories. From a foundation in neo-Marxian critical theory, feminist draw into question the very legitimacy of our ways of organizing in the post-industrial era. To them, studies of organization and management theory have become little more than sources of intellectual justification for an abuse of power by elites. Their only purpose is to -maintain the social, political, and economic order. Even postmodernism itself has come un¬ +maintain the social, political, and economic order. Even postmodernism itself has come unďż˝ der attack from feminist critics, who see these theories as shifting the concern away from substantive issues of power and inequality in daily work life. @@ -17739,7 +16916,7 @@ Moreover, contrary to what advocates depict as a democratization of economic and political space in the global marketplace, feminist critics argue globalization and the imposition of new forms of governance by industrialized nations has done nothing but to take the northern, western drive for power and economic supremacy to new frontiers. -The result has been a further marginalization of women, especially in what the develop¬ +The result has been a further marginalization of women, especially in what the developďż˝ ment community refers to, in its colonialistic way, as third world societies. @@ -17749,7 +16926,7 @@ Terms and Definitions 3 23 Summary and Action Implications As we have seen, your behavior is guided by the images you carry around in your head. -Some of these images will have to do with the role of public agencies in a democratic soci¬ +Some of these images will have to do with the role of public agencies in a democratic sociďż˝ ety, others will have to do with the most effective and responsible way to run a complex public organization, and still others will have to do with the relationships you establish with other actors, both within and outside the governmental system. Over your career, @@ -17769,12 +16946,12 @@ so they spent considerable time detailing concerns for structure. Later theorist them also practitioners) felt that structural issues should be balanced, if not outweighed, by a concern for the behavior of individuals in the organization. Still others sought further refinements, moving from behavior to structure and back again. More recent approaches -have emphasized the organization’s culture or value structure, but others have challenged +have emphasized the organizationďż˝s culture or value structure, but others have challenged the very notion of our ways of organizing in contemporary society. For the time being, however, we should note the special sensitivity that those in public organizations have always shown for value questions. We have seen time and again how -the values of public service — the pursuit of the public interest—affect the work of those +the values of public service ďż˝ the pursuit of the public interestďż˝affect the work of those in public organizations. The concern of contemporary writers in business and related fields for service and human values is something that those in public administration have always had to contend with, especially as they have been challenged to find a form of @@ -17782,7 +16959,7 @@ management compatible with the requirements of a democratic society. Terms and Definitions -Area of acceptance: Area within which the subordinate is willing to accept the deci¬ +Area of acceptance: Area within which the subordinate is willing to accept the deciďż˝ sions made by the supervisor. Boundary spanning: Representing an organization to outside groups and organizations. @@ -17797,9 +16974,9 @@ Organization development: Process-oriented approach to planned change. 326 Chapter 8 Managing Organizational Dynamics Organizational culture: Basic patterns of attitudes, beliefs, and values that underlie -an organization’s operation. +an organizationďż˝s operation. -Organizational learning: The process of correcting error through recognizing the dis¬ +Organizational learning: The process of correcting error through recognizing the disďż˝ parity between what the group intends to happen and what actually occurs and then drawing appropriate lessons for the future from this fact. @@ -17819,14 +16996,14 @@ same general way as biological or physical systems. Study Questions 1. Discuss the approaches to public management espoused by early writers in the field. -2. Explain Douglas MacGregor’s Theory X and Theory Y management concepts. +2. Explain Douglas MacGregorďż˝s Theory X and Theory Y management concepts. 3. Compare the management approaches of Herbert Simon and Chris Argyris. 4. Two management approaches combine the human element with the structural aspect of the organization. Discuss the differences between the systems approach and the political economy approach. -5. What shared assumptions, as outlined by Edgar H. Schein, seem consistent in organi¬ +5. What shared assumptions, as outlined by Edgar H. Schein, seem consistent in organiďż˝ zational cultures? What features do Peters and Waterman contribute to the list? 6. What basic philosophies underlie recent work in organizational culture and strategic @@ -17837,7 +17014,7 @@ Cases and Exercises 1. Divide the class into four small groups (or multiples of four). Have each group analyze your class as an organization, taking into account questions of power and authority, communications, motivation, group dynamics, and so on. One group should employ -only a structural perspective; the second group should employ only a behavioral per¬ +only a structural perspective; the second group should employ only a behavioral perďż˝ spective; and the third group should employ only a systems perspective. The fourth group should employ whatever perspective (or combination of perspectives) that its members consider most modern and most complete. @@ -17846,11 +17023,11 @@ members consider most modern and most complete. Cases and Exercises 327 -Have each group (or a representative of each type of group, depending on the num¬ +Have each group (or a representative of each type of group, depending on the numďż˝ bers) report their conclusions to the entire class. Think of each perspective as allowing you to see certain things and preventing you from seeing others. What do you see from the structural perspective? What about the behavioral perspective? The systems -perspective? The combination perspective is likely to seem most complete, but con¬ +perspective? The combination perspective is likely to seem most complete, but conďż˝ sider the possibility that this modern viewpoint also overlooks a great deal, and that, though we think it is complete (as those using earlier perspectives considered them complete), there may be much left to understand about organizations, even small @@ -17859,16 +17036,16 @@ ones. What other questions might we encounter in the future? 2. As a class, study the interorganizational relationships of one small organization. The organization might be a unit at the university (either an academic or a staff unit); a unit in city, state, or federal government; or a local nonprofit organization. Pick an -organization that is clearly identifiable and, if possible, that appears to have consider¬ +organization that is clearly identifiable and, if possible, that appears to have considerďż˝ able autonomy. Based on interviews with its top administrators and top staff people, -develop a chart showing the organization’s relationships with others in its environ¬ +develop a chart showing the organizationďż˝s relationships with others in its environďż˝ ment. (A model something like one of a molecular structure might be appropriate.) Indicate the importance of each relationship, the degree to which that relationship is considered positive or negative, and the degree to which it is considered essential. Try to develop some sense for how much time administrators and staff members spend on external relations versus internal organizational work. -3. The following statement was included as part of a statement of management philoso¬ +3. The following statement was included as part of a statement of management philosoďż˝ phy for the Greensboro, NC, District of the Internal Revenue Service approximately a decade ago: @@ -17953,8 +17130,8 @@ Publications, 2000. Golembiewski, Robert T. Humanizing Organizations. Mt. Airy, MD: Lomond Publications, 1985. -Grubbs, Joseph W. “Cultural Imperialism: A Critical Theory of Interorganizational -Change.” Journal of Organizational Change Management 13, no. 3 (2000): 221-234. +Grubbs, Joseph W. ďż˝Cultural Imperialism: A Critical Theory of Interorganizational +Change.ďż˝ Journal of Organizational Change Management 13, no. 3 (2000): 221-234. Harmon, Michael M., and Richard T. Meyer. Organization Theory for Public Administration. Boston: Little, Brown, 1986. @@ -18023,9 +17200,9 @@ APPENDIX A Description of Total Quality Management (TQM) -Total Quality Management is a total, integrated organizational approach for meeting cus¬ -tomer needs and expectations that involves all managers and employees and uses quanti¬ -tative methods and employee involvement to improve continuously the organization’s +Total Quality Management is a total, integrated organizational approach for meeting cusďż˝ +tomer needs and expectations that involves all managers and employees and uses quantiďż˝ +tative methods and employee involvement to improve continuously the organizationďż˝s @@ -18037,10 +17214,10 @@ would exist in an advanced phase in an organization. Top Management Leadership and Support Top managers are directly and actively involved in the TQM process. They take the lead -in establishing an environment and culture that encourage change, innovation, risk tak¬ +in establishing an environment and culture that encourage change, innovation, risk takďż˝ ing, pride in work, and continuous improvement on behalf of all customers. They exhibit -a highly visible, personal leadership and communicate the organization’s quality vision, -goals, and values to all members. Managers provide the resources, time, and training nec¬ +a highly visible, personal leadership and communicate the organizationďż˝s quality vision, +goals, and values to all members. Managers provide the resources, time, and training necďż˝ essary for the organization to improve quality and productivity. They show by example that open communication (vertically and horizontally) and information sharing are the organizational norm. They understand that quality improvement is a long-term process, @@ -18054,9 +17231,9 @@ the quality improvement process. Strategic Planning -Strategic planning drives the organization’s improvement efforts. Short- and long-term goals +Strategic planning drives the organizationďż˝s improvement efforts. Short- and long-term goals for quality improvement are established across the organization and are integrated into the -strategic plan. Customer needs and expectations as well as issues relating to improved sup¬ +strategic plan. Customer needs and expectations as well as issues relating to improved supďż˝ plier relationships are considered and incorporated into the strategic plan. Resources are allocated to support the quality improvement objectives the organization wants to achieve. @@ -18067,15 +17244,15 @@ need. Employees can identify both the internal and external customers of all the and services. They understand that their primary task is to satisfy customer requirements and expectations. Communication with customers, as with suppliers, is open, continual, and two-way to ensure that clear definitions of needs and expectations are received and -problems and concerns are understood. Customer perceptions of performance are continu¬ +problems and concerns are understood. Customer perceptions of performance are continuďż˝ ally measured, evaluated, and reported to responsible managers and employees. Feedback data are used to improve processes and services and provide input for strategic planning. -Access by customers to information about the organization’s products or services is easy -and trouble-free. Complaints about aspects of the organization’s services are solicited and -corrected. Trends in customer satisfaction indicators are positive. The validity and objec¬ +Access by customers to information about the organizationďż˝s products or services is easy +and trouble-free. Complaints about aspects of the organizationďż˝s services are solicited and +corrected. Trends in customer satisfaction indicators are positive. The validity and objecďż˝ tivity of monitoring methods is ensured. Where expectations, desires, and perceptions of different customer groups are in conflict with each other, the organization strives to -achieve a balance among them that best fulfills the organization’s mission. +achieve a balance among them that best fulfills the organizationďż˝s mission. @@ -18084,22 +17261,22 @@ Appendix A 331 Commitment to Training and Recognition Managers and employees receive ongoing training to enable them to keep abreast of -changing job requirements and prepare for greater responsibilities. A key element of train¬ +changing job requirements and prepare for greater responsibilities. A key element of trainďż˝ ing for all managers and employees is quality awareness and the use of tools, technologies, and techniques to support continuous improvement. -Employees are motivated to achieve total quality through trust, respect, and recogni¬ +Employees are motivated to achieve total quality through trust, respect, and recogniďż˝ tion. Managers believe that employees want to do a good job; they personally, regularly, and fairly recognize individuals and teams for measurable contributions to quality improvement. Rewards and recognition are broad-based and innovative, encompass all levels of the organization, are centered on team quality and productivity improvement, -and include peer recognition as a part of the reward structure. Celebration of small suc¬ -cesses is common. Performance plans for managers include measurable quality improve¬ +and include peer recognition as a part of the reward structure. Celebration of small sucďż˝ +cesses is common. Performance plans for managers include measurable quality improveďż˝ ment objectives. Evaluations focus on the degree to which the objectives are met. Employee Empowerment and Teamwork -Management provides an environment that supports employee involvement, contribu¬ +Management provides an environment that supports employee involvement, contribuďż˝ tion, and teamwork. Where unions exist, union leaders are involved in high-level policy and decision-making groups, such as Quality Councils or Policy Boards. Teamwork is the vehicle for cooperation and communication among managers, supervisors, unions, @@ -18119,13 +17296,13 @@ exhibits personal pride in the quality of their work. Measurement and Analysis of Processes and Outputs -All information required to support total quality of processes and products/services is com¬ +All information required to support total quality of processes and products/services is comďż˝ plete, timely, accurate, useful, and clearly communicated to those who need it. The scope -of the data includes: customers and suppliers (both internal and external), internal opera¬ -tions, products and services, employees, comparisons or benchmarks of other organiza¬ +of the data includes: customers and suppliers (both internal and external), internal operaďż˝ +tions, products and services, employees, comparisons or benchmarks of other organizaďż˝ tions, and safety/environmental considerations (if appropriate). This information is the -basis for developing quality measures that cover all aspects of work processes and all prod¬ -ucts and services provided a customer. Customer satisfaction measures are used exten¬ +basis for developing quality measures that cover all aspects of work processes and all prodďż˝ +ucts and services provided a customer. Customer satisfaction measures are used extenďż˝ sively. These measures are used by employees to identify problems, determine root causes, identify solutions, and verify that proposed remedies produce the expected results. @@ -18136,16 +17313,16 @@ identify solutions, and verify that proposed remedies produce the expected resul Quality Assurance Products, services, and processes are designed and verified to meet customer needs and -expectations. Processes that produce the organization’s products and services are con¬ -trolled, optimized, and maintained. There is sufficient standardization within the organiza¬ +expectations. Processes that produce the organizationďż˝s products and services are conďż˝ +trolled, optimized, and maintained. There is sufficient standardization within the organizaďż˝ tion to ensure compatibility. Comprehensive assessments of the quality assurance system as well as of products and services are performed at appropriate intervals. An approach exists -for translating assessment findings into quality documentation supporting quality assur¬ +for translating assessment findings into quality documentation supporting quality assurďż˝ ance. Quality assurance systems are updated to keep pace with changes in technology, practice, and quality improvement. Product and service performance standards are set for internal support functions such as finance and accounting, personnel, and administrative -support. There is an established method to verify that the organization’s quality require¬ -ments are being met by suppliers and other providers of goods and services. The organiza¬ +support. There is an established method to verify that the organizationďż˝s quality requireďż˝ +ments are being met by suppliers and other providers of goods and services. The organizaďż˝ tion compares (benchmarks) its products, services, and internal operations with the best in the private or public sectors (e.g., other federal agencies, state and local governments, and the governments of other countries). @@ -18160,9 +17337,9 @@ The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations -Over the past few years, you probably have heard the expression the “New Public -Management,” or “reinventing government,” or perhaps even read Osborne and Gaebler’s -(1992) important work that popularized the concept of reform in American public admin¬ +Over the past few years, you probably have heard the expression the ďż˝New Public +Management,ďż˝ or ďż˝reinventing government,ďż˝ or perhaps even read Osborne and Gaeblerďż˝s +(1992) important work that popularized the concept of reform in American public adminďż˝ istration. The book voices a belief that public organizations or, more accurately, the systems underlying public organizations, lack the capacity to meet the challenges and opportunities of the twenty-first century. Thus, the concept of reinvention, and the broader @@ -18180,7 +17357,7 @@ not account merely for its own activities but should be assessed on its capacity substantial public outcomes. NPM and reinvention are, however, closely related to issues of quality and productivity -in government. The two stem from similar sources. Concern about government produc¬ +in government. The two stem from similar sources. Concern about government producďż˝ tivity centers around issues of efficiency and accountability. These issues have, of course, been debated throughout U. S. history; their modern expression is typically dated back to the passage of Proposition 13, a tax limitation initiative passed by California voters in the @@ -18189,7 +17366,7 @@ to limit what voters perceived as the excessive cost of government services. At the federal level, the desire to avoid new taxes meant reduction or elimination of numerous domestic programs, especially during the Reagan years. Many of these -programs provided aid to state and local governments. When the reductions were com¬ +programs provided aid to state and local governments. When the reductions were comďż˝ bined with the desire to limit state and local taxation, many governments were severely constrained in trying to provide sufficient revenues to support important, even basic, services. But despite these limitations, these governments were often asked to do more, to @@ -18203,7 +17380,7 @@ provide increased services, with the same or even with reduced funding. We examined some of the implications of this situation in Chapter 5 with respect to budgeting and financial management, as many governments were forced to search for -alternate funding methods, including privatization and so forth. But the same govern¬ +alternate funding methods, including privatization and so forth. But the same governďż˝ ments also sought new ways to improve both the quality and quantity of work without extra cost. Many governments and agencies at all levels began new or at least intensified efforts to innovate new solutions, to break from the traditional assumptions and find @@ -18213,7 +17390,7 @@ Success stories emerging from this innovation had a weakening effect on the trad assumptions in public administration, as even those in the mainstream started to question core principles that had defined the field since the Progressive Era. Around the world, management in the governmental and nongovernmental sectors began to take a new -shape. Public organizations started to lose their traditional bureaucratic structure, becom¬ +shape. Public organizations started to lose their traditional bureaucratic structure, becomďż˝ ing instead more lateral systems of shared power and teamwork. Systems of management, too, were transformed into more equitable, less controlling forms of leadership. And, government agencies began to form meaningful partnerships with other institutions and @@ -18226,18 +17403,18 @@ human rights, economic development, urban revitalization, even governmental refo Advances in information technology (IT) played an integral role in transforming public and nonprofit organizations worldwide. The impact was twofold. First, increased capacity for communication and information sharing redefined the distribution of authority within -institutions. Every member of the organization had access to the latest news and informa¬ +institutions. Every member of the organization had access to the latest news and informaďż˝ tion, thus shared in one of the more important sources of power. Second, IT enabled public -and nonprofit organizations to engage more effectively with their counterparts in other sec¬ +and nonprofit organizations to engage more effectively with their counterparts in other secďż˝ tors and around the world, as well as citizens. Such change restructured the ways in which governments and other public service agencies responded to opportunities and challenges. So, whether we call it an effect of NPM, reinvention, or efforts to improve quality and productivity, the public and nonprofit administration we have at the beginning of the twenty-first century is quite different from that of merely a generation ago. The -ways in which we organize ourselves, engage with others, and respond to public con¬ -cerns have undergone a transformation, or to use Don Kettl’s phrase, “a transformation -in governance” (Kettl, 2000, p. 488). Yet, as we explore the various aspects of reform, +ways in which we organize ourselves, engage with others, and respond to public conďż˝ +cerns have undergone a transformation, or to use Don Kettlďż˝s phrase, ďż˝a transformation +in governanceďż˝ (Kettl, 2000, p. 488). Yet, as we explore the various aspects of reform, keep asking yourself: Have we improved service to the public? Is the work we are doing today consistent with our expectations for a system of democratic governance? Are we truly acting in the interest of citizens? @@ -18252,14 +17429,14 @@ in industrialized countries underwent a rightward shift during the late 1970s an NPM, Reinvention, and Nonprofit Management Reform 335 -1980s, as political leaders recognized the unsustainable nature of comprehensive, central¬ +1980s, as political leaders recognized the unsustainable nature of comprehensive, centralďż˝ ized systems of public service delivery. Leaders in Europe, Asia and North America started to examine more cost-efficient, effective ways of providing public services, including public welfare, transportation, health care, and others. Second, fiscal challenges brought on by the oil crisis of the late 1970s and the changing nature of the global economy prompted scholars and practitioners to explore new ways of thinking about public administration. By the mid-1980s many public managers around the world, using -slogans like NPM and reinvention, had embarked on a journey to restructure bureau¬ +slogans like NPM and reinvention, had embarked on a journey to restructure bureauďż˝ cratic agencies, streamline agency processes, and decentralize policy decision making (Kamensky, 1996). @@ -18274,21 +17451,21 @@ Reformers strive for more flexible public organizations and more responsive inte zational networks, guided by the key principles of accountability, responsiveness, and a commitment to outcome-based governance (Boston, 1996; Peters, 1994). -Perhaps the best example of the NPM principles at work can be seen in New Zealand’s -administrative reforms. Beginning in 1985, New Zealand’s national government took +Perhaps the best example of the NPM principles at work can be seen in New Zealandďż˝s +administrative reforms. Beginning in 1985, New Zealandďż˝s national government took several bold steps aimed at transforming its system of public administration. Among the most significant reforms, the government redeveloped its personnel system, as an attempt -to make top executives more performance-oriented; instituted a comprehensive per¬ +to make top executives more performance-oriented; instituted a comprehensive perďż˝ formance measurement system, based on a new process of measuring the productivity and effectiveness of government agencies; and streamlined its departmental systems, to -reflect the Labour administration’s commitment to governmental accountability (Boston, +reflect the Labour administrationďż˝s commitment to governmental accountability (Boston, 1991,1996). -The effectiveness of New Zealand’s reform agenda, as well as parallel activities in +The effectiveness of New Zealandďż˝s reform agenda, as well as parallel activities in Canada, Great Britain and the United States, prompted public administration reformers around the world to adopt many of the principles from NPM, as well as to use NPM principles as a new framework for public policy and governance (Barzelay, 2001, -pp. xi-xv; also, Kettl, 1997). For example, reports from the United Nations’ Commission +pp. xi-xv; also, Kettl, 1997). For example, reports from the United Nationsďż˝ Commission on Global Governance and other international bodies reinforced this international movement, advocating decentralized decision making, civil society, empowerment, and a reliance on third-sector organizations for achieving public outcomes (Commission on @@ -18296,7 +17473,7 @@ Global Governance, 1995). Reinventing Government -In the early 1990s, Osborne and Gaebler’s (1992) landmark work, Reinventing +In the early 1990s, Osborne and Gaeblerďż˝s (1992) landmark work, Reinventing Government, brought many of the NPM principles to American shores. For Osborne @@ -18304,21 +17481,21 @@ Government, brought many of the NPM principles to American shores. For Osborne Chapter 9 The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations and Gaebler, the reform agenda represented a response to what they call the bankruptcy -of bureaucracy — that is, the ineffectiveness of government organizations. The authors +of bureaucracy ďż˝ that is, the ineffectiveness of government organizations. The authors believed that public agencies had failed to keep pace with changing conditions in the postindustrial society, with government still attempting to respond to public issues with a one-size-fits-all approach. As a result, the systems in which public administrators function had become the problem, not the solution, and consequently citizens had begun to lose faith in the capacity of government to serve their needs. -A central theme in reinvention is that only more entrepreneurial forms of govern¬ +A central theme in reinvention is that only more entrepreneurial forms of governďż˝ ment will enable public administrators to effectively deal with problems and capitalize on opportunities in contemporary society. Yet, in contrast to most interpretations, -Osborne and Gaebler (1992) actually avoided the more traditional view that govern¬ -ment should be run like a business: “Government and business are fundamentally dif¬ +Osborne and Gaebler (1992) actually avoided the more traditional view that governďż˝ +ment should be run like a business: ďż˝Government and business are fundamentally difďż˝ ferent institutions. Business leaders are driven by the profit motive; government leaders -are driven by the desire to get reelected . . . Differences such as these create fundamen¬ -tally different incentives in the public sector” (p. 20). While encouraging public admin¬ +are driven by the desire to get reelected . . . Differences such as these create fundamenďż˝ +tally different incentives in the public sectorďż˝ (p. 20). While encouraging public adminďż˝ istrators to derive insights from successful experiences in all sectors, Osborne and Gaebler maintain that public and private sector organizations face a distinct array of challenges. @@ -18327,12 +17504,12 @@ Entrepreneurial government, then, refers to more streamlined, flexible, and resp systems of public policy and administration. Osborne and Gaebler cite example after example of public organizations that had chosen innovative strategies for using more- with-less strategies for increasing the value of public services without raising costs for -public consumers, from privatization efforts in Phoenix, Arizona (which enhanced com¬ +public consumers, from privatization efforts in Phoenix, Arizona (which enhanced comďż˝ petition among service providers and thus raised significantly performance standards) to public school initiatives in East Harlem, New York (which empowered residents with -greater choice for students’ learning opportunities). The authors suggest that these com¬ -mon themes—competition and empowerment—combined with more attention to public -outcomes and action based on customer priorities rather than on bureaucratic impera¬ +greater choice for studentsďż˝ learning opportunities). The authors suggest that these comďż˝ +mon themesďż˝competition and empowermentďż˝combined with more attention to public +outcomes and action based on customer priorities rather than on bureaucratic imperaďż˝ tives, represent the future of successful government. To carry out the reform agenda, Osborne and Gaebler (1992) provide ten principles @@ -18351,18 +17528,18 @@ underlying reinvention and public entrepreneurship: 10. Market-oriented government: leveraging change through the market Osborne and Gaebler intended these ten principles to serve as a new conceptual -framework for public administration — an analytical checklist to transform the actions +framework for public administration ďż˝ an analytical checklist to transform the actions NPM, Reinvention, and Nonprofit Management Reform 337 -of government. “What we are describing is nothing less than a shift in the basic model of +of government. ďż˝What we are describing is nothing less than a shift in the basic model of governance used in America. This shift is under way all around us, but because we are -not looking for it — because we assume that all governments have to be big, centralized, -and bureaucratic—we seldom see it. We are blind to the new realities, because they do -not fit our preconceptions” (Osborne and Gaebler, 1992, p. 321). By applying the ten -reinvention principles in the context of any given policy area, a new universe of opportu¬ +not looking for it ďż˝ because we assume that all governments have to be big, centralized, +and bureaucraticďż˝we seldom see it. We are blind to the new realities, because they do +not fit our preconceptionsďż˝ (Osborne and Gaebler, 1992, p. 321). By applying the ten +reinvention principles in the context of any given policy area, a new universe of opportuďż˝ nity, an altogether different system of governance, would evolve. Networking @@ -18372,34 +17549,34 @@ Management Development (http://www.ccmd-ccg.gc.ca/index.html), the OECD Public Management and Governance Service (http://www.oecd.org/puma/), and the Australian Public Service Innovations (http://www.innovations.gov.au). Specific information about the New Zealand government can be found at -http://www.govt.nz/ or through the government’s Management Development +http://www.govt.nz/ or through the governmentďż˝s Management Development Centre at http://www.mdcentre.govt.nz/public/. Nonprofit Management Reform Since the 1990s, the reform agenda in government has had a substantial impact on the nonprofit sector. We have discussed the interconnected nature of public-nonprofit -relations, but as governments use contracts, grants, and other strategies to devolve pub¬ +relations, but as governments use contracts, grants, and other strategies to devolve pubďż˝ lic services to nonprofits they also have begun to hold their not-for-profit counterparts accountable to many of the same performance and outcome objectives. Consequently, -nonprofit organizations in today’s world find themselves buoyed by the tides of reform +nonprofit organizations in todayďż˝s world find themselves buoyed by the tides of reform affecting the public sector (Light, 2000). The factors precipitating reform in the nonprofit sector, of course, go beyond those imposed by the government. In fact, Paul Light (2000, pp. 17-43) has identified several important trends influencing the nonprofit reform movement, including nationalizing -trends relating to productivity, recruitment, resource development and technology, com¬ -bined with local realities of ensuring consistency, building patterns of shared responsibil¬ +trends relating to productivity, recruitment, resource development and technology, comďż˝ +bined with local realities of ensuring consistency, building patterns of shared responsibilďż˝ ity, and enhancing nonprofit capacity for public service-delivery. Unfortunately, nonprofit organizations have experienced less of the tides of reform -and more of a tidal wave! “The nonprofit sector has never been under greater pressure -to improve. Despite two decades of phenomenal growth, the sector suffers from a gen¬ +and more of a tidal wave! ďż˝The nonprofit sector has never been under greater pressure +to improve. Despite two decades of phenomenal growth, the sector suffers from a genďż˝ eral impression that it is less efficient and more wasteful than its government and -private competitors. Even if the sector could prove that it has achieved ordinary excel¬ +private competitors. Even if the sector could prove that it has achieved ordinary excelďż˝ lence, spending money wisely and producing measurable results as a natural by-product of organizational design, it faces a serious public relations problem among clients and -funders alike” (Light, 2000, p. 1). The result is that nonprofits have been flooded with +funders alikeďż˝ (Light, 2000, p. 1). The result is that nonprofits have been flooded with demands to reform systems of administration, service-delivery and accountability, with each set of demands often reflecting divergent philosophies. @@ -18411,23 +17588,23 @@ As Light (2000) explains, the movement to enhance productivity and accountabilit in nonprofit organizations can be categorized into the following four sets of reformist principles: -• Scientific management: Management should be based on the “one best way,” with +ďż˝ Scientific management: Management should be based on the ďż˝one best way,ďż˝ with individual organizations seeking to implement codes of internal conduct and basic best practices of administration. -• War on waste: Management should be based on a drive for external efficiency, with +ďż˝ War on waste: Management should be based on a drive for external efficiency, with organizations and alliances reengineering to achieve efficient, streamlined systems for administration and service-delivery. -• Watchful eye: Management should be based on creating more transparent patterns +ďż˝ Watchful eye: Management should be based on creating more transparent patterns of administration, with organizational stakeholders holding agencies accountable for openness and compliance. -• Liberation management: Management should be based on achieving positive +ďż˝ Liberation management: Management should be based on achieving positive outcomes, with agencies working together in the public interest. (Light, 2000, pp. 46-71) -While on a theoretical level these philosophies may not seem incompatible, the strug¬ +While on a theoretical level these philosophies may not seem incompatible, the strugďż˝ gle to apply such principles in management practice has taken a toll on nonprofits. Indeed, when faced with competing demands by funders and donors, a single nonprofit may find itself swept away in attempts to implement multiple reform strategies at the @@ -18436,9 +17613,9 @@ financial support to nonprofit organizations, even at the local level, have a po record for engaging in a substantive dialogue concerning policies and procedures, and have an even poorer track record for coordinating funding programs and reporting standards. As a result, nonprofits must be prepared to structure their administrative -practices and reporting systems to be in-line with each funder’s demands. +practices and reporting systems to be in-line with each funderďż˝s demands. -The problem here, though, is that few can agree on what constitutes a good non¬ +The problem here, though, is that few can agree on what constitutes a good nonďż˝ profit, this despite an emerging trend for foundations and government grantmakers to fund capacity-building activities (for discussion, see Greene, 2001, pp. 1-12). While scholars, management consultants and program officers have attempted to bring order @@ -18455,7 +17632,7 @@ Proffer the pole, not the fish. In times of great change, our support can reap great dividends. -Don’t redesign the kitchen while the house is on fire. +Donďż˝t redesign the kitchen while the house is on fire. Speak the truth. @@ -18467,10 +17644,10 @@ NPM, Reinvention, and Nonprofit Management Reform 339 Building a nonprofit organization is a long, hard haul. -We don’t know enough yet. (Kibbe, 2001, p. 10) +We donďż˝t know enough yet. (Kibbe, 2001, p. 10) Even the application of a particular reformist agenda may be carried out in different -ways, depending upon those implementing the strategy and on what level the implemen¬ +ways, depending upon those implementing the strategy and on what level the implemenďż˝ tation occurs. For example, a United Way-based outcome measurement system in one community may vary significantly from another just miles away. Another example is the definition of impact as interpreted at the state level, which may be off the mark with @@ -18481,11 +17658,11 @@ adopt sound management practices from the private sector with a dedication to pu service. Such a balance will be difficult, though, as demands for reform seem to be increasing and the tides appear to be toward the former rather than the latter. Perhaps even more important, greater attention needs to be placed on those activities that fall -outside of the individual nonprofit. Foundations, government agencies, and other fun¬ +outside of the individual nonprofit. Foundations, government agencies, and other funďż˝ ders, in conjunction with the nonprofits they support, must begin a more substantive dialogue around ways to coordinate grant-making and reporting requirements. This -might be a way to bring a level of consistency and coordination to an increasingly frag¬ -mented public policy process, and ease the administrative burden on nonprofit organi¬ +might be a way to bring a level of consistency and coordination to an increasingly fragďż˝ +mented public policy process, and ease the administrative burden on nonprofit organiďż˝ zations. Indeed, reforming the nonprofit sector will be as much about improving the dialogue among leaders in philanthropy, business, and government as it is building the capacity of nonprofit organizations. @@ -18497,43 +17674,43 @@ to improve nonprofit organizations. However, many have begun to question the les learned from the reform movements. Proponents point out that some of the key reform- oriented initiatives, such as the Government Performance and Results Act (GPRA), have helped improve the public service. Kathryn Newcomer and Aaron Otto (2000) recently -summarized the some of GPRA’s benefits at the federal level: +summarized the some of GPRAďż˝s benefits at the federal level: -• Amplifying conflicting/polarizing expectations —GPRA has raised consciousness +ďż˝ Amplifying conflicting/polarizing expectations ďż˝GPRA has raised consciousness over some of the terms and concepts underlying management reform, (p. 1) -• Strengthening programmatic communities — Federal agencies have started working +ďż˝ Strengthening programmatic communities ďż˝ Federal agencies have started working more collaboratively on achieving shared objectives, (p. 2) -• Asking the right questions about program performance — GPRA has helped to +ďż˝ Asking the right questions about program performance ďż˝ GPRA has helped to enhance the quality of the discourse around performance measurement. -• Effectively reporting performance — Federal officials have improved their agencies’ +ďż˝ Effectively reporting performance ďż˝ Federal officials have improved their agenciesďż˝ capacity for accurately and appropriately measuring program impacts, (pp. 2, 6) On the other hand, critics of NPM and reinvention suggest that while certain aspects of the reform agenda have contributed to meaningful improvements in public service, the -application of these principles have produced a variety of negative externalities not envi¬ +application of these principles have produced a variety of negative externalities not enviďż˝ sioned by early reformers. In practice, the adoption of business practices and the reliance -34° Chapter 9 The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations +34ďż˝ Chapter 9 The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations -on market forces by public organizations degenerated into a sense of managerialism — -a belief that government could and should be run like a business based on strictly eco¬ +on market forces by public organizations degenerated into a sense of managerialism ďż˝ +a belief that government could and should be run like a business based on strictly ecoďż˝ nomic principles. As public managers began to apply their reform agendas, many focused -on the pursuit of administrative efficiency more than maintaining the democratic princi¬ +on the pursuit of administrative efficiency more than maintaining the democratic princiďż˝ ples of effective governance. Another point of concern, the reform movement has centered on the customer- -centered, as opposed to citizen-centered, public administration. Critics argue that “citi¬ +centered, as opposed to citizen-centered, public administration. Critics argue that ďż˝citiďż˝ zens are not the customers of government; they are its owners who elect leaders to -represent their interests. A customer-centered model puts citizens in a reactive role lim¬ +represent their interests. A customer-centered model puts citizens in a reactive role limďż˝ ited to liking or disliking services and hoping that administrators will change delivery -if enough customers object” (Schachter, 1995, p. 530, citing Frederickson, 1994). In +if enough customers objectďż˝ (Schachter, 1995, p. 530, citing Frederickson, 1994). In contrast, citizen-centered public administration restores the public to an ownership -position — a proactive relationship in which citizens engage with the institutions of gov¬ +position ďż˝ a proactive relationship in which citizens engage with the institutions of govďż˝ ernance to achieve public outcomes. Despite this criticism, however, the NPM and reinvention movements have had a @@ -18551,15 +17728,15 @@ computer revolution in the early 1980s, when personal computers started to appea in every office (not to mention every home), IT has been a central part in the drive to increase public and nonprofit performance. Yet in the age of reform, IT was transformed from being a tool for enhancing productivity to a metaphor for the very -way in which we organize. We began to view ourselves as actors in “wired organiza¬ -tions,” members of “virtual communities,” and citizens in a growing web of “e-public -administration.” +way in which we organize. We began to view ourselves as actors in ďż˝wired organizaďż˝ +tions,ďż˝ members of ďż˝virtual communities,ďż˝ and citizens in a growing web of ďż˝e-public +administration.ďż˝ By the beginning of the twenty-first century, the transformation of the Internet, which -began as an electronic network of researchers and scholars, into a global, online commu¬ +began as an electronic network of researchers and scholars, into a global, online commuďż˝ nity supported our change in perspective. We could, in real-time, have a virtual chat with colleagues around the world on matters of public policy (or anything else for that -matter), exchange insights on common challenges, or swap information relating to man¬ +matter), exchange insights on common challenges, or swap information relating to manďż˝ agement innovations. Governments and nonprofit agencies soon turned to online resources for many of their core functions, including economic development, human and social service delivery, healthcare and engagement with citizens. So, we can say that @@ -18577,16 +17754,16 @@ our concept of organization. Intranets, e-mail, and other networking resources h allowed or in some cases forced agencies to transform work processes and integrate strategies for meeting public objectives. In fact, some even consider IT and integrated forms of organizing, such as team-based approaches, to be at the heart of management in -today’s society. Mankin, Cohen, and Bikson (1996), for example, suggested that “infor¬ +todayďż˝s society. Mankin, Cohen, and Bikson (1996), for example, suggested that ďż˝inforďż˝ mation technology can make teams more effective, and teams can help fulfill the promise of information technology. Together, teams and new information technology can catalyze -dramatic improvements in organizational performance” (p. ix). The connection between +dramatic improvements in organizational performanceďż˝ (p. ix). The connection between teamwork and IT provides a gateway for organizational performance. -Accordingly, IT became a key theme in Vice President A1 Gore’s National Performance +Accordingly, IT became a key theme in Vice President A1 Goreďż˝s National Performance Review (NPR) of the 1990s. The NPR plan, as well as the Information Technology Management Reform Act of 1996, focused on the use of IT in the reengineering process -of federal agencies. Specific NPR recommendations included the creation of an infor¬ +of federal agencies. Specific NPR recommendations included the creation of an inforďż˝ mation infrastructure that would allow for a more effective use of government resources, as well as facilitate the modernization of processing and customer service centers; the development of an efficient electronic mail service, improving federal agencies with @@ -18599,14 +17776,14 @@ the use of IT in the reinvention process. At a recent conference organized by th International Quality and Productivity Center, administrators from a variety of federal agencies shared their experiences and insights on one of the crucial advancements: the use of government intranets or internal Web sites for public organizations. Noted one -participant, “An intranet is much more than a glorified e-mail or groupware solution . . . +participant, ďż˝An intranet is much more than a glorified e-mail or groupware solution . . . (it) can be customized and tailored to a specific work environment, enabling employees to not just communicate internally, but collaborate, interact, and become part of a team -connected through their desktop computers” (Kerwood, 1997, p. 1). +connected through their desktop computersďż˝ (Kerwood, 1997, p. 1). Of course, the application of IT has not been limited to the federal government. State and local authorities around the country have forged relationships with private -service providers to expand their IT infrastructure and take the business of govern¬ +service providers to expand their IT infrastructure and take the business of governďż˝ ment online. State governments in Pennsylvania, Virginia, Washington, and elsewhere are capitalizing on IT innovations to create seamless systems of service delivery in the areas of health care, education, public safety, and corrections. Many states are @@ -18616,15 +17793,15 @@ pp. 34-50). At the local level, public agencies are using IT and online networks to manage the regulatory process, interact with citizens, and increase the efficiency of public services. -We mentioned the city of Baltimore’s use of Citistat in Chapter 5 in our discussion of -financial management systems. But another role of Baltimore’s Citistat has been to track +We mentioned the city of Baltimoreďż˝s use of Citistat in Chapter 5 in our discussion of +financial management systems. But another role of Baltimoreďż˝s Citistat has been to track the effectiveness of interagency partnerships in addressing important health and human 342 Chapter 9 The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations -service concerns. For example, as part of its Leadsfat initiative', city officials use geo¬ +service concerns. For example, as part of its Leadsfat initiative', city officials use geoďż˝ graphic information system (GIS) technology to pinpoint actual cases of lead poisoning, using a red dot on a GIS map. They then assess the effectiveness of their abatement strategies by monitoring the number of dots to change from red to green, with a green @@ -18638,15 +17815,15 @@ http://www.neighborhoodsonline.net/index.html. For information relating to the use of technology in government, go to http://www.govtech.net. Technology and the rise of the IT sector also have made a significant impact in the -philanthropic sector, opening new doors for resource development and performance mea¬ +philanthropic sector, opening new doors for resource development and performance meaďż˝ surement. But the process has come with its share of challenges. During the late 1990s, -the boom in high-tech firms created what seemed to be a new generation of philan¬ +the boom in high-tech firms created what seemed to be a new generation of philanďż˝ thropists. The Bill and Melinda Gates Foundation of Seattle, for example, which was -started by the family of Microsoft’s multibillion-dollar chairman, became the nation’s +started by the family of Microsoftďż˝s multibillion-dollar chairman, became the nationďż˝s largest foundation, with assets in 2000 exceeding $21 billion (an increase of more than 25 percent over 1999). Flowever, the halcyon days of the dot-coms quickly vanished, and -by mid 2001 the Chronicle of Philanthropy was reporting a “sober view the Internet’s -future” on charitable giving (Marchetti, 2001, p. 1). +by mid 2001 the Chronicle of Philanthropy was reporting a ďż˝sober view the Internetďż˝s +futureďż˝ on charitable giving (Marchetti, 2001, p. 1). Rather than give up on technology, many nonprofits began using the new landscape as a way of expanding their strategies for IT-based fundraising. Some charities are now @@ -18661,11 +17838,11 @@ ePublic Administration The pervasiveness of IT in public and nonprofit management has many talking about a new era of electronic governance. Dean and Stage outlined some of the artifacts of -e-government, including “government Web sites, pages, e-mails, and service delivery over -the Internet. It can also mean digital access to government information or electronic licens¬ -ing or payments.” But the most significant aspect of the public service in this information -age involves what they call a “revolution” in governance, a “dramatic shift in the methods -by which political and social power are organized and used today” (2000, p. 3). +e-government, including ďż˝government Web sites, pages, e-mails, and service delivery over +the Internet. It can also mean digital access to government information or electronic licensďż˝ +ing or payments.ďż˝ But the most significant aspect of the public service in this information +age involves what they call a ďż˝revolutionďż˝ in governance, a ďż˝dramatic shift in the methods +by which political and social power are organized and used todayďż˝ (2000, p. 3). This revolution began well before the dot-com craze of the late 1990s. Its origins can be traced to the utopian forms of governance conceived during the early part of the @@ -18677,25 +17854,25 @@ The Human Side of Technological Innovation 343 twentieth century. But the actual emergence of what is called cyber-democracy dates from the early 1990s and the growth in community networks (for discussion, see Bryan et al, 1998; Browning, 1996). Alexander and Grubbs (1998) define community networks -as “as a low cost, easy-to-use computer network that provides citizens with access +as ďż˝as a low cost, easy-to-use computer network that provides citizens with access to electronic mail, public bulletin boards, and electronic information relevant to their -locality.” These networks are usually used to enhance local community organizations, +locality.ďż˝ These networks are usually used to enhance local community organizations, facilitate neighborhood capacity-building programs, and foster citizen participation in public decision making. In recent years, these networks have gained in complexity and strength, with some even branching into providing Internet access, GIS technology, and computer-based civic and educational courses. Community networks serve as models for what Grossman (1995) calls a key-pad -democracy — an electronic republic in which public participation occurs in virtual +democracy ďż˝ an electronic republic in which public participation occurs in virtual settings: -• Greater communication with public officials and administrators is possible through +ďż˝ Greater communication with public officials and administrators is possible through electronic mail, faxing, and audio-video conferencing. -• Information necessary for rational decision making can be disseminated to the +ďż˝ Information necessary for rational decision making can be disseminated to the public via the Web and advanced multimedia presentations. -• Elections and public referenda may be conducted more accurately through +ďż˝ Elections and public referenda may be conducted more accurately through electronic voting mechanisms (in Alexander & Grubbs, 1998). Thousands of local authorities across the United States, and an increasing number @@ -18710,12 +17887,12 @@ never been greater. The Human Side of Technological Innovation Whether in designing new vehicles for collecting garbage, developing new techniques for -space exploration, or creating broad-based management information systems, the techni¬ +space exploration, or creating broad-based management information systems, the techniďż˝ cal questions are always accompanied by a related set of human concerns, most having to do with how human beings work together to solve technical problems. For example, what is the proper relationship between government and industry in supporting research and development activities? How can technological innovations be transferred from one -jurisdiction or organization to another? What are the human consequences for a particu¬ +jurisdiction or organization to another? What are the human consequences for a particuďż˝ lar organization in adopting particular approaches? How can people in the organization be helped in adapting to the new technology? @@ -18745,8 +17922,8 @@ that it was abandoned almost immediately. Experiences such as this led Public Technology Inc. to adopt a formula for technology management: for every $5 spent on hardware, $15 must be spent on software, and $80 -must be spent on orgware training, organization development, and so on. People’s con¬ -cerns about introduction of new technologies can be dealt with effectively, but imple¬ +must be spent on orgware training, organization development, and so on. Peopleďż˝s conďż˝ +cerns about introduction of new technologies can be dealt with effectively, but impleďż˝ menting a change to new technologies is time-consuming and costly. In any application of new technology, you must keep the human element very much in mind. For this reason, many agencies establish joint technology design committees to analyze how @@ -18754,26 +17931,26 @@ employees will respond to the changes brought about by new technology (Governmen Productivity News, September 1992, p. 4). Other dimensions of the human side of advanced technology, especially advanced -information technology, are also important. The first has to do with the impact of infor¬ -mation technology on day-to-day work patterns. As we will see in later chapters, man¬ -agers’ work is not only information-based, but highly interpersonal as well. There is no +information technology, are also important. The first has to do with the impact of inforďż˝ +mation technology on day-to-day work patterns. As we will see in later chapters, manďż˝ +agersďż˝ work is not only information-based, but highly interpersonal as well. There is no question that computer networking, for example, will increase the information available to managers and decrease the time spent waiting for it. Moreover, extensive networking -should improve managers’ capacity to more effectively integrate the work of various +should improve managersďż˝ capacity to more effectively integrate the work of various groups within the organization. On the other hand, managers with access to computer networks may spend much less time, in face-to-face conversations or in visits to various locations where the work is done, and these interpersonal tasks are essential. Second, we should expect greater dependence on advanced information technology to -raise several very personal concerns for those who work in or deal with public organiza¬ +raise several very personal concerns for those who work in or deal with public organizaďż˝ tions. The depersonalized nature of computerized control and evaluation systems may prove highly stressful for either employees or clients. In the private sector, for instance, -there have already been experiments with automated systems of accountability measur¬ +there have already been experiments with automated systems of accountability measurďż˝ ing the number of keystrokes a typist generates or the number of calls a salesperson makes. Similar applications in the public sector could well lead to the same negative reactions that have often occurred in the private sector applications. -Third, the use of advanced information technology raises questions about how organi¬ +Third, the use of advanced information technology raises questions about how organiďż˝ zations of the future are likely to be structured. Networking can simultaneously allow for greater centralized control or for greater decentralization. Some argue that knowledge is @@ -18784,9 +17961,9 @@ Human Resources, Innovation and Performance 345 power, and that making more information available to top officials on a timely basis will permit them to accumulate even greater power (perhaps to the detriment of others). Some argue instead that new technology will spread information throughout the organization -and, consequently, power will be decentralized. The latest studies take a different posi¬ -tion—that information technology in and of itself does not necessarily lead an organiza¬ -tion toward either more or less central control. Rather, the organization’s initial structure, +and, consequently, power will be decentralized. The latest studies take a different posiďż˝ +tionďż˝that information technology in and of itself does not necessarily lead an organizaďż˝ +tion toward either more or less central control. Rather, the organizationďż˝s initial structure, history and culture, and the behavior of its managers are the determinants. Information systems, it seems, can be designed to either centralize or decentralize an organization. @@ -18798,14 +17975,14 @@ resources. Many approaches for improving the commitment, motivation, and creativ of employees (including managers) have been developed over the years. Most today are considered merely good management practice, but many specific techniques are more often used in formal productivity improvement programs than as ongoing managerial -processes. We will provide an historical review of four techniques—management by +processes. We will provide an historical review of four techniquesďż˝management by objectives (MBO), quality of work-life programs (especially job enrichment), quality circles (or similar group approaches), and incentive programs, as well as more recent efforts to encourage innovation. Management by Objectives -One of the oldest productivity improvement techniques to be used systematically in busi¬ +One of the oldest productivity improvement techniques to be used systematically in busiďż˝ ness and government is management by objectives (MBO). Management by objectives became especially popular in the late 1960s and through the 1970s. President Nixon extended MBO concepts throughout many federal agencies, a pattern that was soon @@ -18813,15 +17990,15 @@ followed in a large number of state and local organizations. Although MBO has fa into some disfavor in government agencies, many of its key elements, such as objective setting and performance appraisal, remain in place in many agencies. -Essentially, management by objectives is a highly participatory approach to establish¬ +Essentially, management by objectives is a highly participatory approach to establishďż˝ ing clear and measurable objectives throughout an organization. First, MBO assumes that the organization as a whole will benefit by clarifying its broad-range goals and by targeting the work of all organizational units and all individuals in pursuit of those goals. Second, MBO assumes that all elements of the organization, from top to bottom, will benefit from establishing realistic objectives each year and measuring progress -toward the objectives as the year goes by. Third, MBO assumes that the process of estab¬ +toward the objectives as the year goes by. Third, MBO assumes that the process of estabďż˝ lishing goals and objectives should involve a broad spectrum of organizational members, -both to solicit the fullest range of ideas and to build patterns of effective communica¬ +both to solicit the fullest range of ideas and to build patterns of effective communicaďż˝ tions and commitment. @@ -18829,25 +18006,25 @@ tions and commitment. Chapter 9 The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations Management by objectives is based on an image of the organization as a hierarchy of -linked goals and objectives. The organization’s broad goals are developed at the top +linked goals and objectives. The organizationďż˝s broad goals are developed at the top of the hierarchy and become the basis for negotiating more specific objectives at the next level down. These objectives in turn become the basis for negotiating objectives at the next level and so on down through the organization, even to the level of setting objectives for each individual employee. In a fully developed MBO system, the broad -agency goals theoretically provide a framework within which everyone in the orga¬ +agency goals theoretically provide a framework within which everyone in the orgaďż˝ nization, including both managers and other employees, has before him or her a set of performance objectives to guide his or her work during the course of the year (June 1976, pp. 15-16). Note that the objective-setting process is not one in which objectives decided from above are merely handed down to each successive level. Rather, MBO involves a highly -decentralized objective-setting process, in which each supervisor works with each sub¬ +decentralized objective-setting process, in which each supervisor works with each subďż˝ ordinate manager or employee to arrive at a reasonable set of objectives. Ideally, this process of negotiation involves face-to-face conversations in which objectives at various levels are worked out; however, in many applications of MBO, the objective-setting process occurs through an exchange of memos and written forms. -For objectives to most effectively guide the work of those throughout the organiza¬ +For objectives to most effectively guide the work of those throughout the organizaďż˝ tion, you must pay special attention to the type of objectives being developed (Morley, 1986, p. 186). The most useful objectives are those that are: @@ -18883,13 +18060,13 @@ organizations here and abroad. Recently, MBO has been widely criticized, largely Human Resources, Innovation and Performance 347 because of the extremely detailed paperwork that many organizations required as part -of their MBO system, but many places still use important features of MBO. For exam¬ +of their MBO system, but many places still use important features of MBO. For examďż˝ ple, setting goals and objectives and developing accompanying action plans are central -to more contemporary strategic management efforts. Similarly, one of the most impor¬ +to more contemporary strategic management efforts. Similarly, one of the most imporďż˝ tant features of MBO systems, which has been retained in many organizations long after the demise of a full-blown MBO system, is the frequent review and revision of objectives, accompanied by detailed performance appraisal; that is, a specific evaluation -with respect to an individual’s progress in completing specified tasks. By setting a stan¬ +with respect to an individualďż˝s progress in completing specified tasks. By setting a stanďż˝ dard against which to measure performance (which is often especially difficult at the professional or managerial level), MBO-based performance appraisal systems provide a base against which results can be measured. Finally, the emphasis in MBO on frequent @@ -18903,7 +18080,7 @@ For a period, management by objectives took on the aura of a movement, complete classic texts, disciples and other advocates, and strong commitment to the cause. Much the same is true of the recent concern for Quality of Work-Life (QWL). The quality of work-life (see Box 9.1) movement traces its ancestry back to the development of child -labor laws, passage of workers’ compensation legislation, and more general concerns +labor laws, passage of workersďż˝ compensation legislation, and more general concerns for human relations arising in the 1930s. Its more recent impetus, however, has come primarily from a group of European scholars and practitioners associated with the Tavistock Institute for Human Relations in London. @@ -18913,7 +18090,7 @@ more adaptive to a society engaged in a shift from a production base to a servic one expected to exhibit a high degree of social change and turbulence. According to the Tavistock researchers, most organizations reflect their technological bases; that is, their organizational structure models their technology. Unfortunately, such a structure limits -adaptability. The Tavistock group urged attention to the interaction of social and tech¬ +adaptability. The Tavistock group urged attention to the interaction of social and techďż˝ nical systems. For at least some QWL advocates, creating a work environment of high quality was @@ -18923,8 +18100,8 @@ more humane and progressive work environment. Others, however, felt that one did have to trade productivity for quality. Rather, by improving the quality of work-life, the productivity would rise as well. Indeed, studies seemed to show that improving the quality of work-life led to decreased absenteeism and turnover, greater job satisfaction, -and greater commitment to the organization and its goals—all features that should -improve an organization’s productivity as a whole. +and greater commitment to the organization and its goalsďż˝all features that should +improve an organizationďż˝s productivity as a whole. Any movement directed toward concerns as broad as these may lack some focus, and that has been a problem with efforts to improve the quality of work-life; the term @@ -18938,24 +18115,24 @@ BOX 9.1 Judging the Quality of Work-Life -Adequate and fair compensation: Compensation for one’s work should meet -general standards for the work involved and should bear an appropriate relation¬ +Adequate and fair compensation: Compensation for oneďż˝s work should meet +general standards for the work involved and should bear an appropriate relationďż˝ ship to the pay provided for other work. -Safe and healthy working conditions: The conditions of work should include rea¬ +Safe and healthy working conditions: The conditions of work should include reaďż˝ sonable hours and should not be detrimental to the health of the worker. Immediate opportunity to use and develop human capacities: The job should allow for substantial autonomy and self-control, it should permit use of a wide range of capacities, and it should be meaningful to the worker. -Opportunity for continued growth and security: The job should allow for and in¬ +Opportunity for continued growth and security: The job should allow for and inďż˝ deed encourage personal growth and development on the part of the employee, as well as opportunities for meaningful advancement in a career. -Social integration in the work organization: The personal side of one’s organiza¬ -tional involvement, one’s interaction with others on the job, should be a source of +Social integration in the work organization: The personal side of oneďż˝s organizaďż˝ +tional involvement, oneďż˝s interaction with others on the job, should be a source of satisfaction. Constitutionalism in the work organization: The rights of the individual, including rights to privacy, free speech, equal treatment, and due process, should be protected. -Work and the total life space: One’s work life should be adequately balanced with -the other spheres of one’s life, especially one’s family life. +Work and the total life space: Oneďż˝s work life should be adequately balanced with +the other spheres of oneďż˝s life, especially oneďż˝s family life. The social relevance of work life: If the organization is not seen as being socially responsible (for example, in its employment policies or approaches to energy conservation or waste disposal), workers will think less of their work and their @@ -18963,20 +18140,20 @@ careers. SOURCE: Reprinted with the permission of The Free Press, a Division of Simon & Schuster, Inc., from The Quality of Working Life, Volume I: Problems, Prospects and the State of the Art, edited by Louis E. -Davis and Albert B. Cherns. Copyright © 1975 by Louis E. Davis and Albert B. Cherns. +Davis and Albert B. Cherns. Copyright ďż˝ 1975 by Louis E. Davis and Albert B. Cherns. -three paramount concerns—the autonomy, the responsibility, and the authority granted -to individual workers. “The general objective is to arrange organizations, management +three paramount concernsďż˝the autonomy, the responsibility, and the authority granted +to individual workers. ďż˝The general objective is to arrange organizations, management procedures, and jobs for the maximum utilization of individual talents and skills, in order to create more challenging and satisfying work and to improve organizational -effectiveness” (Jenkins, 1983, p. 2). Another writer puts the objective of QWL efforts in -this question: “How can jobs be designed so that effective performance is linked with -meaningful, interesting, and challenging work?” (Suttle, 1977, p. 1). +effectivenessďż˝ (Jenkins, 1983, p. 2). Another writer puts the objective of QWL efforts in +this question: ďż˝How can jobs be designed so that effective performance is linked with +meaningful, interesting, and challenging work?ďż˝ (Suttle, 1977, p. 1). -This question leads to a specific productivity improvement effort—job enrichment— +This question leads to a specific productivity improvement effortďż˝job enrichmentďż˝ which is concerned with designing or redesigning particular jobs so that workers experience greater meaning and satisfaction from the work and, consequently, can be more productive. -Job enrichment efforts usually assume that people will perform better (1) where they per¬ +Job enrichment efforts usually assume that people will perform better (1) where they perďż˝ form a diverse array of tasks; (2) where they have a high degree of autonomy in their work; and (3) where they get clear feedback on the quality of their work. @@ -18984,20 +18161,20 @@ and (3) where they get clear feedback on the quality of their work. Human Resources, Innovation and Performance 349 -Diversity, autonomy, and feedback in a particular job can be enhanced through a vari¬ +Diversity, autonomy, and feedback in a particular job can be enhanced through a variďż˝ ety of mechanisms. For example, you might combine tasks so that instead of a series of individuals each involved in only one part of an assembly process, each individual -would be responsible for the entire product. Jobs might also be enriched through verti¬ -cal loading — that is, giving individual workers responsibilities and controls previously +would be responsible for the entire product. Jobs might also be enriched through vertiďż˝ +cal loading ďż˝ that is, giving individual workers responsibilities and controls previously reserved for management, such as responsibility for deciding on work methods or for training new workers (Hackman, 1983, p. 249). Presumably, workers in enriched jobs not only find the quality of work-life improved, but also become more productive. Quality Circles and Related Ideas -The quality-circles concept has been widely used over the past two decades, and hun¬ -dreds of reports of documented savings and solutions to work-process problems — some -involving public-sector organizations — have appeared in the popular and business press. +The quality-circles concept has been widely used over the past two decades, and hunďż˝ +dreds of reports of documented savings and solutions to work-process problems ďż˝ some +involving public-sector organizations ďż˝ have appeared in the popular and business press. More important, while the term quality circles seems to be fading from use, some of the principles underlying quality circles have reemerged under the concept of self-managed teams and through the application of the techniques of Total Quality management. @@ -19008,10 +18185,10 @@ problems. Quality circles involve six to twelve employees, who are led by their supervisor (often called a team leader) and assisted by a trained facilitator, usually from outside the work unit. The circle chooses its own problems to work on and approaches them through a structured, problem-solving process. Resulting recommendations are -usually presented to the team leader’s immediate supervisor, who in turn may carry the +usually presented to the team leaderďż˝s immediate supervisor, who in turn may carry the recommendations further up the hierarchy. -Since quality circles offer frontline employees the opportunity to get involved in deci¬ +Since quality circles offer frontline employees the opportunity to get involved in deciďż˝ sions affecting their work, circles have proven popular among employees (as well as employers) in many organizations. In some places, employees have never been asked how they think work processes might be improved, yet they are the experts in providing patient @@ -19026,28 +18203,28 @@ operations and in group dynamics and problem solving. An open atmosphere concern circle activities helps managers to feel comfortable with the circle concept, a natural step toward acceptance and institutionalization of the entire program. -A key ingredient in the success of a quality-circle program is the support of top man¬ +A key ingredient in the success of a quality-circle program is the support of top manďż˝ agement. This factor needs careful attention at the beginning stages of a quality circle -program. Without active support from the top, quality-circle members may feel their rec¬ +program. Without active support from the top, quality-circle members may feel their recďż˝ ommendations will not be taken seriously, and managers elsewhere in the organization may see no incentive to start quality circles in their work areas. Although quality circles are a bottom-up approach to problem solving, the implementation process is very much -35° Chapter 9 The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations +35ďż˝ Chapter 9 The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations top-down; information about the concept must be presented to those at all levels of the organization. Although managerial support is necessary for long-term success, the real core of any -circle program is the participants themselves. Without a large proportion of highly moti¬ -vated and properly trained circle leaders and members, the circle program cannot suc¬ +circle program is the participants themselves. Without a large proportion of highly motiďż˝ +vated and properly trained circle leaders and members, the circle program cannot sucďż˝ ceed. Members of the organization must be introduced to the notion of quality circles, and team leaders, facilitators, and group members must be trained. Then the real work of the quality circles begins. Normally, circles meet regularly, perhaps once a week, for a specified time, usually an hour. The first task is choosing a problem to solve. Generally, -circles choose a problem by brainstorming—generating long lists of topics without eval¬ +circles choose a problem by brainstormingďż˝generating long lists of topics without evalďż˝ uation or comment. The group reviews the list and selects one problem to focus on. (This same process is used when the cycle is completed and a new topic is chosen.) @@ -19057,14 +18234,14 @@ both the causes of the problem and potential solutions. Each solution is examine respect to its effectiveness in dealing with the problem and feasibility of implementation. Some solutions may be considered ineffective, others too costly, and others inconsistent with agency policies. When a solution has been settled on, the circle members prepare and -make a formal presentation of the problem and their recommended solution to manage¬ +make a formal presentation of the problem and their recommended solution to manageďż˝ ment. In most cases, management finds the solution acceptable and works with the circle members to implement it. Although quality circles are usually employed to solve specific work-process problems, and are more frequently used in units where such problems are found, the basic quality- circle principles of widespread participation and group problem solving are applicable -elsewhere. For example, task forces (groups brought together to work on specific organi¬ +elsewhere. For example, task forces (groups brought together to work on specific organiďż˝ zational problems) may consist of members from different parts of the organization. They may address work-process problems or issues of organizational policies or broader public policies; however, the approach to problem solving may be much like that modeled by @@ -19091,7 +18268,7 @@ programs. Human Resources, Innovation and Performance 351 Performance bonuses are one-time monetary awards based on superior performance -on the job generally or in a particular task. Often used to reward professional or man¬ +on the job generally or in a particular task. Often used to reward professional or manďż˝ agerial employees, bonuses may be presented annually or upon completion of a specific task. There are, however, several difficulties with bonus systems in the public sector. Many people, including many legislators, seem to feel that performance evaluation is @@ -19101,19 +18278,19 @@ rewarding friends and favorites in the organization. Although these concerns can addressed in several ways, they have led, in many jurisdictions, to legislation prohibiting bonus systems. -Piecework bonuses are performance incentives that tie the worker’s productivity in +Piecework bonuses are performance incentives that tie the workerďż˝s productivity in a given task to monetary rewards. These systems may either tie the monetary reward -directly to the number of units produced or use some formula to determine which work¬ +directly to the number of units produced or use some formula to determine which workďż˝ ers are exceeding a standard level of performance. For example, keypunch operators in -many jurisdictions are paid according to number of entries. Similarly, painters and elec¬ +many jurisdictions are paid according to number of entries. Similarly, painters and elecďż˝ tricians in some areas are paid according to what degree they meet or exceed a standard -of performance set in advance. The effectiveness of piecework bonuses depends on arriv¬ +of performance set in advance. The effectiveness of piecework bonuses depends on arrivďż˝ ing at specific measures of performance that will be clear to all concerned. -Gainsharing plans provide a monetary award for a group of employees based on sav¬ +Gainsharing plans provide a monetary award for a group of employees based on savďż˝ ings the group generates. Based simply on the idea of rewarding those who produce more, this kind of plan is easy for both employees and citizens to understand. Washington, for -example, has operated such a program for nearly a decade; through the state’s Teamwork +example, has operated such a program for nearly a decade; through the stateďż˝s Teamwork Incentive Program, employees in groups that develop significant savings can receive up to 25 percent of the documented savings. State employees have received as much as $6,273 per employee (Government Productivity News, April 1989, p. 1). @@ -19151,46 +18328,46 @@ employees involved in quality circles or interdepartmental task forces is a good highlight work of exceptional quality. At little or no real cost, such programs provide a surprisingly good incentive for employees and emphasize the high-quality work that most employees of public organizations do. As one productivity leader pointed out, -“You always hear about the bad things that happen in government. An employee-of-the- -month program gives us an opportunity to talk about the good things that happen!” +ďż˝You always hear about the bad things that happen in government. An employee-of-the- +month program gives us an opportunity to talk about the good things that happen!ďż˝ All in all, incentive programs are effective mechanisms for encouraging employees to make more significant or more appropriate contributions to the organization. You must -be careful, however, to identify specific behaviors that will lead to improved productiv¬ +be careful, however, to identify specific behaviors that will lead to improved productivďż˝ ity, devise specific measures so you know when the objective has been met, and provide -an appropriate and meaningful incentive. As the success of employee recognition pro¬ +an appropriate and meaningful incentive. As the success of employee recognition proďż˝ grams testifies, incentive programs do not work merely because employees need more -money. Employees also respond because they take pride in their work and in their con¬ -tributions to the organization’s success. +money. Employees also respond because they take pride in their work and in their conďż˝ +tributions to the organizationďż˝s success. Innovation A more recent strategy for improving productivity in public and nonprofit organizations involves encouraging innovation by public servants (see Box 9.2). Unfortunately, while many managers and consultants search for ways to innovate, the concept of innovation -tends to be one of the least understood in management. Some view it simply as imple¬ -menting some new system or process within an organization, or as improving the busi¬ +tends to be one of the least understood in management. Some view it simply as impleďż˝ +menting some new system or process within an organization, or as improving the busiďż˝ ness of government. Others appreciate innovation as a way of adding public value, or serving more effectively in the public interest. Most will agree, however, that at its core -innovation involves challenging the “prevailing wisdom” in management theory and +innovation involves challenging the ďż˝prevailing wisdomďż˝ in management theory and practice (Light, 1998, p. xvi). H. George Frederickson (2000, p. 8) recently attempted to sort out some of the different -ways of thinking about innovation, contrasting between “managed innovation” and “sus¬ -taining innovation.” First, in managed innovation the primary driver of change tends to be +ways of thinking about innovation, contrasting between ďż˝managed innovationďż˝ and ďż˝susďż˝ +taining innovation.ďż˝ First, in managed innovation the primary driver of change tends to be the visionary, with the main objectives being productivity, efficiency and the improving -government’s bottom-line. This type of innovation becomes communicated through best- +governmentďż˝s bottom-line. This type of innovation becomes communicated through best- practices research for other organizations to diffuse into their administrative practices. The managing innovation approach begins with the core mission of the organization, often as articulated by the visionary leader. Staff roles involve setting objectives for -accomplishing the mission and implementing the innovative practices set out by manage¬ +accomplishing the mission and implementing the innovative practices set out by manageďż˝ ment. It is a linear process, at the end of which the organization is able to achieve a new level of productivity. But, as critics point out, it also results in a much shallower form of innovation, one that fails to take account of the underlying values of the organization or provide for managing through rapidly changing conditions. -Sustaining innovation, on the other hand, builds from Paul Light’s work by the same +Sustaining innovation, on the other hand, builds from Paul Lightďż˝s work by the same name (Light, 1998) and depends less on the visionary hero and more on leaders inside and outside of organization. Unlike its more linear counterpart, the sustaining innovation approach involves as much of a process of searching for questions as it does searching for @@ -19204,19 +18381,19 @@ BOX 9.2 Awarding Innovation in Public and Nonprofit Organizations In 1985, the Ford Foundation launched an award program in conjunction with -Harvard University’s Kennedy School of Government to celebrate innovations by +Harvard Universityďż˝s Kennedy School of Government to celebrate innovations by public-sector organizations. Since then the Innovations in American Government Program has recognized 280 programs with more than $17.2 million in Ford Foundation grants. The Ford Foundation also became the principal sponsor of the -Kennedy School’s Institute for Government Innovation, which provides support to +Kennedy Schoolďż˝s Institute for Government Innovation, which provides support to scholars and practitioners in the form of research forums, conferences, case studies and other resources. The Peter F. Drucker Foundation offers a similar award program for innovations by nonprofits. Each year the Foundation recognizes a nonprofit organization that -finds new ways of touching the lives of those it serves, based on Peter Drucker’s defin¬ -ition of innovation: Change that creates a new dimension of performance. To be eli¬ -gible, the nonprofit must show how the innovation (1) advances the organization’s +finds new ways of touching the lives of those it serves, based on Peter Druckerďż˝s definďż˝ +ition of innovation: Change that creates a new dimension of performance. To be eliďż˝ +gible, the nonprofit must show how the innovation (1) advances the organizationďż˝s mission, (2) helps the organization achieve clear, meaningful outcomes, (3) features a new dimension of performance, (4) makes a difference in the lives of clients, and (5) serves as a model that may be replicated by other nonprofits. The award includes @@ -19226,25 +18403,25 @@ SOURCE: The Innovations in American Government Home Page (http://ksgwww.harvard. home.html) and the Peter F. Drucker Foundation Innovation Award Information Page (http://www.pfdf.org/ award/about.html) (August, 2001). -answers. Frederickson wrote, “Under conditions of sustained innovation it is far better to +answers. Frederickson wrote, ďż˝Under conditions of sustained innovation it is far better to approximate an answer to the right question, which is often vague, than to search for the exact answer to the wrong question. Such answers can always be made more precise; they -are still answers to the wrong question” (Frederickson, 2000, p. 8). The underlying belief +are still answers to the wrong questionďż˝ (Frederickson, 2000, p. 8). The underlying belief is that each organization faces competing goals, based on each group of stakeholders, and often must work harder to identify the problems not just the solutions. According to Light (1998), sustaining innovation begins with removing barriers to -excellence and what he calls “debunking the myths” (such as innovation is limited to just a -few, perfect organizations) that tend to block natural forms of creativity in public and non¬ +excellence and what he calls ďż˝debunking the mythsďż˝ (such as innovation is limited to just a +few, perfect organizations) that tend to block natural forms of creativity in public and nonďż˝ profit agencies. Light challenges managers give up the quest for absolute efficiency and -search instead for “preferred states of being” — that is, “an ecosystem in which an organi¬ -zation’s innovativeness depends upon four factors that ignite and sustain new ideas: (1) the +search instead for ďż˝preferred states of beingďż˝ ďż˝ that is, ďż˝an ecosystem in which an organiďż˝ +zationďż˝s innovativeness depends upon four factors that ignite and sustain new ideas: (1) the external environment in which a given organization exists, (2) its internal structure, (3) its -leadership, and (4) its internal management systems” (Light, 1998, pp. 12-13). +leadership, and (4) its internal management systemsďż˝ (Light, 1998, pp. 12-13). -The sustaining innovation approach provides greater flexibility and places the opportu¬ +The sustaining innovation approach provides greater flexibility and places the opportuďż˝ nity for innovation into the hands of those at all levels. As a result, this approach allows -organizations to deal more effectively with ambiguity—both in goal-setting and in rela¬ +organizations to deal more effectively with ambiguityďż˝both in goal-setting and in relaďż˝ tions in the external environment. Given its open engagement with external stakeholders, @@ -19257,9 +18434,9 @@ maintain effective, meaningful relationships for the long term. Recent Examples of Performance Management Public and nonprofit organizations at all levels have experimented with formal efforts to -improve quality, productivity, and overall performance. Generally speaking, public produc¬ +improve quality, productivity, and overall performance. Generally speaking, public producďż˝ tivity is concerned with how organizations can achieve their objectives as efficiently and -effectively as possible—how they can improve their performance. Some emphasize techno¬ +effectively as possibleďż˝how they can improve their performance. Some emphasize technoďż˝ logical innovation, while others emphasize human resources management; some operate through centralized productivity improvement staffs, while others are more decentralized. Most have successfully demonstrated the value of managing for results. @@ -19277,16 +18454,16 @@ The Government Accounting Office (GAO) recently completed a comprehensive survey of twenty-three federal and state regulatory agencies to determine best practices for performance-based management and measurement. Agencies selected for participation had been identified either by the GAO or other sources as leaders in designing and -implementing performance management systems. The GAO study provided twelve rec¬ +implementing performance management systems. The GAO study provided twelve recďż˝ ommendations, based on best practices shared across the various sites: -1. Focus on building effective performance management strategies by making man¬ +1. Focus on building effective performance management strategies by making manďż˝ aging for results a top priority and dedicate resources to enhance core organizational competencies. 2. Ensure ownership of the performance management and measurement activities throughout the agency. -3. Redesign work processes, internal structures, and lines of responsibility to be consis¬ +3. Redesign work processes, internal structures, and lines of responsibility to be consisďż˝ tent with the new performance measurement systems. 4. Forge solid alliances, in this particular case with regulated agencies, as well as with @@ -19319,78 +18496,78 @@ interventions. in performance measurement systems. (Government Accounting Office, 1999) Although the study focused on regulatory agencies, the GAO anticipates that its findings -can be used by nonregulatory organizations at all levels to enhance productivity and per¬ +can be used by nonregulatory organizations at all levels to enhance productivity and perďż˝ formance (for discussion, see the CAP Corner, PA Times, December 1999, p. 10). Measuring Performance in the State of Arizona The state of Arizona recently transformed its productivity and accountability system to -concentrate on “what matters” in public service. Arizona initiated the transformation in -1993, when the state legislature passed a bill requiring state agencies to engage in strate¬ +concentrate on ďż˝what mattersďż˝ in public service. Arizona initiated the transformation in +1993, when the state legislature passed a bill requiring state agencies to engage in strateďż˝ gic planning and to tie their strategic goals and objectives to measurable performance targets (similar to those outlined in the GPRA). While the new system was designed to -provide a management tool for management and staff of executive agencies, the legisla¬ +provide a management tool for management and staff of executive agencies, the legislaďż˝ ture also will begin tracking productivity in the 2000/2001 fiscal cycle. -Although it may be too soon to assess the impact of Arizona’s system, some of the -early signs suggest a definite cost savings as a result of the state’s dedication to perfor¬ +Although it may be too soon to assess the impact of Arizonaďż˝s system, some of the +early signs suggest a definite cost savings as a result of the stateďż˝s dedication to perforďż˝ mance management. The general consensus among state officials is that the new system has contributed to slower growth in the amount of state government expenditures and a -corresponding decline in the level of taxation, but without a negative impact on govern¬ +corresponding decline in the level of taxation, but without a negative impact on governďż˝ ment productivity. Most importantly, the performance management system has enabled state agencies to become more effective in achieving desired public outcomes and in targeting more -effectively its service delivery to be in-line with the performance objectives. The Depart¬ +effectively its service delivery to be in-line with the performance objectives. The Departďż˝ ment of Economic Security, for example, in the past was able to report only on isolated cases of support to children and their families. Under the new performance measurement system, the department has been successful in identifying systemswide service targets and now can track its delivery to make sure it remains focused toward accomplishing -the agency’s strategic objectives. State officials thus have removed the guesswork from +the agencyďż˝s strategic objectives. State officials thus have removed the guesswork from decision making, relying instead on knowledge-driven management. -A key contributor to the success of Arizona’s performance management system has +A key contributor to the success of Arizonaďż˝s performance management system has been its integration throughout the state hierarchy. Department heads take a leading -role in designing the system’s framework, but the ownership and sustainability of the +role in designing the systemďż˝s framework, but the ownership and sustainability of the system has been with staff. Many state employees have come to recognize the usefulness -of the performance measures for improving internal operations. The state’s report on -the system stated, “This has helped institutionalize the use of performance measures +of the performance measures for improving internal operations. The stateďż˝s report on +the system stated, ďż˝This has helped institutionalize the use of performance measures Chapter 9 The New Public Management, Reinvention, and the Reform of Fublic and Nonprofit Organizations and contributed to the continued evolution of using measures of performance within -the executive branch ... [It should also] aid in their use by the legislative branch” -(Governmental Accounting Standards Board, 2000a, p. 2). As with the sustaining inno¬ +the executive branch ... [It should also] aid in their use by the legislative branchďż˝ +(Governmental Accounting Standards Board, 2000a, p. 2). As with the sustaining innoďż˝ vation approach discussed previously, the sense of shared ownership should enable the -state to maintain a flexible, effective management system well into the future. (For a dis¬ +state to maintain a flexible, effective management system well into the future. (For a disďż˝ cussion, see Governmental Accounting Standards Board, 2000a.) Benchmarking and Performance Improvement in the City of Portland -In the City of Portland, public officials have implemented several performance measure¬ +In the City of Portland, public officials have implemented several performance measureďż˝ ment tracking systems aimed at enhancing productivity and effectiveness of government -programs. Underlying Portland’s system is the use of benchmarks, which provide perfor¬ -mance standards and points of comparison for the city’s leadership and staff. The city +programs. Underlying Portlandďż˝s system is the use of benchmarks, which provide perforďż˝ +mance standards and points of comparison for the cityďż˝s leadership and staff. The city also has integrated productivity and outcome targets in its strategic planning and budget decision-making processes. -City officials at all levels have a key role to play in Portland’s performance manage¬ +City officials at all levels have a key role to play in Portlandďż˝s performance manageďż˝ ment system. Due to the decentralized nature of the city government, this means that department heads, middle managers and staff share responsibility for setting strategic objectives, tracking effectiveness, and reporting to key stakeholders on the performance -results. Moreover, the city uses its community outreach to bring citizens into the perfor¬ -mance management process. Portland relies on both formal mechanisms of public partic¬ +results. Moreover, the city uses its community outreach to bring citizens into the perforďż˝ +mance management process. Portland relies on both formal mechanisms of public particďż˝ ipation, with citizens serving on the Portland-Multnomah Progress Board, and informal approaches to citizen engagement. -Besides the benefits for productivity, Portland’s performance measurement system +Besides the benefits for productivity, Portlandďż˝s performance measurement system has given the city government exciting new forums for sharing progress and facilitating -organizational learning. The city’s report stated, “Communicating results is seen as a -driving force behind the intent and expectations of Portland’s performance measurement +organizational learning. The cityďż˝s report stated, ďż˝Communicating results is seen as a +driving force behind the intent and expectations of Portlandďż˝s performance measurement efforts, involving both communication within the government as well as communication -to stakeholders and the public” (Governmental Accounting Standards Board, 2000b, +to stakeholders and the publicďż˝ (Governmental Accounting Standards Board, 2000b, pp. 2-3). City officials use a variety of messaging strategies to inform their colleagues internally on performance issues and to connect with the public on citizen priorities. @@ -19407,8 +18584,8 @@ city government. If this was seen by staff as something imposed by department he elected officials, there may be a higher level of resistance. Under such conditions it would be questionable if the performance management approach would be sustainable in the future. But in Portland the city government as a whole appears to have embraced this new -system as a way of serving more effectively in the public interest, and as a result perfor¬ -mance management seems to be a key part of the city’s policy and administrative decision +system as a way of serving more effectively in the public interest, and as a result perforďż˝ +mance management seems to be a key part of the cityďż˝s policy and administrative decision making. (For discussion, see Governmental Accounting Standards Board, 2000b.) @@ -19420,10 +18597,10 @@ Implementation Issues in Quality and Productivity Whatever approach to improving quality, productivity, and performance you undertake, the design of your intervention will be important to its success. -Productivity in public organizations, as in others, can often be improved through tech¬ +Productivity in public organizations, as in others, can often be improved through techďż˝ nological innovations. Many areas of federal, state, and local governmental activity rest on a strong technical base. In areas such as the design and construction of waste-to- -energy plants, development of pollution control devices (including hazardous waste treat¬ +energy plants, development of pollution control devices (including hazardous waste treatďż˝ ment centers) or building of public housing, new technologies may help governments to be not only more effective in meeting their objectives, but also to be more cost efficient. @@ -19438,28 +18615,28 @@ and Quality Center (http://www.apqc.org/). The Benchmarking Exchange (http://www.benchnet.com/) also features information on benchmarking and performance measurement. -Think for a moment about the changes that are likely to occur in the country’s trans¬ +Think for a moment about the changes that are likely to occur in the countryďż˝s transďż˝ portation system over the next twenty years. In the not-too-distant future, high-speed intercity rail systems or vehicles that move on cushions of air may well displace planes, cars, and trains as the primary means of transportation between major urban areas. Designing the systems, regulating them, coordinating among various systems, providing -communications and control — all these and many more functions will fall at least in +communications and control ďż˝ all these and many more functions will fall at least in part to government, and all will benefit from advanced technology. -Other efforts — such as many associated with the reinventing government movement— +Other efforts ďż˝ such as many associated with the reinventing government movementďż˝ are more concerned with changing the culture and practices of the organizations, but these can vary in scope. Some programs simply require you to undertake new efforts to motivate your employees. Others are more programmatic; for example, you might -emphasize greater responsibility on the part of lower-level personnel through a job enrich¬ +emphasize greater responsibility on the part of lower-level personnel through a job enrichďż˝ ment strategy or you might develop a recognition program within the unit. You might also work with a broader program, such as undertaking a reinvention -effort throughout a local government or establishing a governmentwide employee sug¬ +effort throughout a local government or establishing a governmentwide employee sugďż˝ gestion award system. Steps to Productivity Improvement -Whatever the level or organization of the quality and productivity effort, there are cer¬ +Whatever the level or organization of the quality and productivity effort, there are cerďż˝ tain basic issues to consider (Holzer, Rosen, & Zalk, 1986, pp. 9-15). @@ -19500,9 +18677,9 @@ or the International City Management Association. From these sources, you may di new approaches to productivity improvement or you may find that approaches you are considering have either been successful or have failed elsewhere. 3. Define roles. -Define the roles of those who will be involved in planning and implementing the pro¬ +Define the roles of those who will be involved in planning and implementing the proďż˝ gram. Some programs are oriented to a particular department, while others cut across -several departments within a jurisdiction; in either case, some staffing for the productiv¬ +several departments within a jurisdiction; in either case, some staffing for the productivďż˝ ity effort will be necessary. Staffing at the department level will provide a specific focus to the productivity program and will allow you to build technical expertise (e.g., in fire or police work). A centralized productivity staff will enable you to give broad impetus to @@ -19510,7 +18687,7 @@ the program and to build general expertise in productivity techniques. Presumabl general knowledge can then be applied in various departments. 4. Set realistic goals and objectives. As noted, productivity programs in public organizations have been stimulated by public -demand for “doing more with less.” You may thus be tempted to set high expectations +demand for ďż˝doing more with less.ďż˝ You may thus be tempted to set high expectations for a new productivity improvement effort: resist the temptation. Setting realistic goals @@ -19520,7 +18697,7 @@ Implementation Issues in Quality and Productivity 9 and objectives and actually meeting them is more helpful in the long run than setting expectations too high and falling short. 5. Choose among alternative programs. -Different approaches range from changes in management style to technological inno¬ +Different approaches range from changes in management style to technological innoďż˝ vations to specific productivity efforts, such as quality circles or incentive programs. In implementing a productivity program, it is advisable to fit the solution to the problem rather than the other way around. Though this advice seems obvious, you may find @@ -19528,38 +18705,38 @@ yourself tempted to pursue an immediate opportunity rather than engage in more c planning. For example, a vendor might herald a new telecommunications system as the solution to all your problems. Even though you may not view communications issues as your highest priorities in terms of productivity improvement, you may be tempted -to adopt the new technology “just because it is there.” A more reasonable approach, of +to adopt the new technology ďż˝just because it is there.ďż˝ A more reasonable approach, of course, is to establish a prioritized list of problems, then seek to develop solutions that match your most important concerns. 6. Anticipate problems. -Many problems can arise in implementing a productivity improvement program, espe¬ +Many problems can arise in implementing a productivity improvement program, espeďż˝ cially one of high visibility. Many of the problems are based on misconceptions about what productivity improvement is all about and can be anticipated and dealt with early in the program. Employees might feel that a quality circles program will lead to elimination of jobs, or they may feel that safety standards will be lowered. In fact, neither outcome is likely. These are serious concerns that should be thoroughly discussed at the beginning of the program. To the extent possible, all participants and all persons likely to be affected -by the program should have a chance to learn about and comment on the proposed pro¬ +by the program should have a chance to learn about and comment on the proposed proďż˝ gram. Dealing with questions up front minimizes confusion and disruption later. 7. Implement the program. -After carefully analyzing the need for a productivity improvement program and decid¬ +After carefully analyzing the need for a productivity improvement program and decidďż˝ ing upon a course of action that will address the identified needs, you will face the difficult task of implementation. Implementation may, in fact, be the most difficult -phase. Expectations may be too high; needed legislation may be difficult to pass; orga¬ +phase. Expectations may be too high; needed legislation may be difficult to pass; orgaďż˝ nization turf issues may interfere; and there may not be enough money to invest in the program. You can avoid some of the difficulties by starting the program on a modest basis, then expanding to other areas. Limiting objectives at the outset can help keep expectations from rising too high and will make it easier to demonstrate the viability of the effort. -Beginning the program in an area where you might reasonably expect quick and identifi¬ +Beginning the program in an area where you might reasonably expect quick and identifiďż˝ able gains will enable you to claim early success and in turn make the program more likely to be adopted elsewhere. Similarly, keeping a low profile for the program in its early days will make it less threatening to labor and management. Whatever publicity is accorded to the program (and many political leaders will want high-profile efforts), you should monitor the program carefully in its early days to avoid misconceptions. -The most serious limitations, however, are the difficulties in institutionalizing the pro¬ +The most serious limitations, however, are the difficulties in institutionalizing the proďż˝ gram. Implementation is not merely a short-term concern; you should be concerned from the beginning about how durable the program is likely to be. Several factors work against institutionalization of productivity improvement programs. Programs may be dependent @@ -19569,21 +18746,21 @@ on a particular individual, such as a governor or mayor or a particular departme Chapter 9 The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations -and may be discontinued when that person leaves office. Many programs lack an organi¬ +and may be discontinued when that person leaves office. Many programs lack an organiďż˝ zational home and thus find it difficult to sustain support over a period of years (Bailey, 1987, pp. 19-20). 8. Evaluate the program. Most productivity improvement programs require an initial investment of money and time; you have to spend money to save money, and many people may be skeptical of the -program’s value. Skeptics are likely to be unconvinced by general statements of program +programďż˝s value. Skeptics are likely to be unconvinced by general statements of program advocates; they will want to see specific, objective data. Types of information you should collect from the beginning are documented cost savings, increased output that has been -achieved at a similar or reduced cost, or increased citizen satisfaction with the agency’s +achieved at a similar or reduced cost, or increased citizen satisfaction with the agencyďż˝s services. This information can be made public through periodic reports to legislators or other decision makers or through press conferences or news releases. An aspect of evaluation that needs special attention is the development of an appropriate -measurement system to ensure that the proper information is being acquired at an appro¬ +measurement system to ensure that the proper information is being acquired at an approďż˝ priate time. You must be sure that information is gathered on a timely basis and that it is accurate. The information must also be fully relevant to measuring the improvement effort. It is difficult to develop a measurement system, but it may be critical to sustaining @@ -19592,31 +18769,31 @@ your program over time. We have already discussed ways to measure objectives. For example, a social service agency might measure the number of clients served, a police department might measure response time, or a public works department might measure numbers of miles of streets -and highways paved. Matters are complicated, of course, by the fact that most organiza¬ +and highways paved. Matters are complicated, of course, by the fact that most organizaďż˝ tions seek several objectives simultaneously. The social services agency is not concerned only with screening clients, but may also make referrals to other agencies or distribute money to certain clients. Each of these multiple objectives, and each of the activities that contribute to the objectives, may require its own separate measure. Even more important, those who measure the effects of productivity improvement -programs need to be attentive to what properly reflects the quality of work per¬ -formed. Obtaining an increase in cost savings at the expense of courtesy or prompt¬ +programs need to be attentive to what properly reflects the quality of work perďż˝ +formed. Obtaining an increase in cost savings at the expense of courtesy or promptďż˝ ness is questionable at best; responding to requests for information or help when it is convenient to the agency may be less costly, but will probably not be acceptable in terms of quality. You may wish to consider either a separate measure of quality or -implementation of a quality control system. You might also be able to develop com¬ +implementation of a quality control system. You might also be able to develop comďż˝ posite measures that combine considerations for output and quality. For example, the streets department might measure repairs made within a certain number of working days, or the revenue department might measure the number of tax returns processed without error. -Three conditions appear to be required for productivity improvements to occur: “(a) the +Three conditions appear to be required for productivity improvements to occur: ďż˝(a) the performance of individuals or groups must be assessed in a valid, objective manner, emphasizing the public purposes of the services provided by those employees, (b) such assessment should be closely linked to some type of reward or penalty, whether monetary or nonmonetary, and (c) there should be both early meaningful involvement by employee organizations as well as adequate advance participation and training for those affected, -including supervisory as well as nonsupervisory employees” (Greiner et ah, 1981, p. 411). +including supervisory as well as nonsupervisory employeesďż˝ (Greiner et ah, 1981, p. 411). @@ -19632,20 +18809,20 @@ Technical innovations are often dramatic in their impact, sometimes saving thous even millions, of dollars. But technological innovations do not occur independently of the skills and attitudes of those who work in an organization. Innovations seem to flourish in a climate where human creativity is encouraged and usually require human -changes—what one group calls “orgware”—to be successfully implemented. +changesďż˝what one group calls ďż˝orgware��to be successfully implemented. Improved productivity appears to depend at least in part on a shift from the traditional authoritarian approach to management to a more open and participatory approach. This shift has been especially apparent in implementing productivity improvement programs at -all levels of government. In many cases, we find a shifting orientation toward manage¬ +all levels of government. In many cases, we find a shifting orientation toward manageďż˝ ment that places greater emphasis on the involvement of all employees. (The resulting orientation was perhaps best expressed by the head of a state productivity council, who -described his philosophy this way: “Those who do the work know the work best and -know best how to improve the work.”) The result is an approach to management that -seems not only more human in scale and perspective, but that many authorities are com¬ +described his philosophy this way: ďż˝Those who do the work know the work best and +know best how to improve the work.ďż˝) The result is an approach to management that +seems not only more human in scale and perspective, but that many authorities are comďż˝ ing to believe is far more productive as well. -A recent study by the Canadian government of “well-performing” governmental +A recent study by the Canadian government of ďż˝well-performingďż˝ governmental organizations in that country outlines some of the basics of this new approach. That study identified five factors leading to organizational success, which we may take as recommended patterns of action for managers to seek in trying to improve productivity: @@ -19653,7 +18830,7 @@ recommended patterns of action for managers to seek in trying to improve product Emphasis on people. People are challenged, encouraged, and developed. They are given power to act and to use their judgment. There is a belief that high performance is a product of people who care rather than systems that constrain. People do not -preoccupy themselves with the risk of failure, but are confident they can tackle virtu¬ +preoccupy themselves with the risk of failure, but are confident they can tackle virtuďż˝ ally any challenge. Participative leadership. Teadership is not authoritarian or coercive, but participative @@ -19664,7 +18841,7 @@ formal levels exist for administrative purposes, there are no boundaries that in collaboration in achieving goals. Innovative work styles. Staff reflect on their performance. They learn from the effects -of their actions. They seek to solve problems creatively. They maintain strong moni¬ +of their actions. They seek to solve problems creatively. They maintain strong moniďż˝ toring, feedback, and control systems as useful tools. They are self-reliant, rather than dependent on control from an outside authority. @@ -19678,17 +18855,17 @@ of values and purpose between the well-performing agency and their political and central agency masters. A mindset that seeks optimum performance. People hold values that drive them to -always seek improvement in their organization’s performance. When conditions +always seek improvement in their organizationďż˝s performance. When conditions change, they adjust their methods, not their values. Because of this orientation toward -performance and adaptability, the organization performs well even in a changing envi¬ +performance and adaptability, the organization performs well even in a changing enviďż˝ ronment. This mindset may be the most important feature of all (Government Productivity News, December 1989, p. 4). As a manager, one of the primary technical concerns you will face is improving your -organization’s productivity. Whereas you may be able to accomplish great gains through +organizationďż˝s productivity. Whereas you may be able to accomplish great gains through technological innovations, the most significant long-term gains will come from a proper emphasis on the human factors in organizational effectiveness. To be judged successful, -you will always have to balance your concern for the technical side of your agency’s +you will always have to balance your concern for the technical side of your agencyďż˝s work and your attention to the human side of the organization, a topic to which we will turn in the next several chapters. @@ -19700,19 +18877,19 @@ encourage. Employee recognition program: Effective way to acknowledge special contributions of certain employees or groups to the organization. -Gainsharing plan: Monetary award for a group of employees based on savings gen¬ +Gainsharing plan: Monetary award for a group of employees based on savings genďż˝ erated by the group. -Management by objectives: Participatory approach to establishing clear and measur¬ +Management by objectives: Participatory approach to establishing clear and measurďż˝ able objectives throughout the entire organization. -Performance appraisal: Specific evaluation with respect to an individual’s progress in +Performance appraisal: Specific evaluation with respect to an individualďż˝s progress in completing specified tasks. Performance bonus: One-time monetary award based on superior performance on the job or in a particular task. -Piecework bonus: Incentive that ties the worker’s productivity in a given task to the +Piecework bonus: Incentive that ties the workerďż˝s productivity in a given task to the monetary rewards he or she receives. Quality circle: Small group of people who do similar or connected work and meet @@ -19740,14 +18917,14 @@ usefulness of each approach. 5. Productivity improvement has become a major concern of public managers. What basic issues should one consider when undertaking a quality of productivity program? -6. Explain the basic ideas associated with President Clinton’s National Performance +6. Explain the basic ideas associated with President Clintonďż˝s National Performance Review. Cases and Exercises 1. Review the criteria in Box 9.1 for evaluating the quality of work-life. Working in -groups of five to seven, choose two or three jobs that members of the group have previ¬ +groups of five to seven, choose two or three jobs that members of the group have previďż˝ ously held and analyze the quality of work-life in those jobs. In each case, members of the group should interview the person who held the job, asking questions about each category in the chart. When everyone has a complete understanding of the nature @@ -19756,27 +18933,27 @@ work-life for someone holding that job. Following this activity, choose two or three jobs to which members of the group might reasonably aspire in ten to fifteen years. Have one individual imagine in detail -what the job would be like from day to day, then follow the same procedure to inter¬ +what the job would be like from day to day, then follow the same procedure to interďż˝ view the job holder and draw conclusions about the quality of work-life. In what ways do you expect that future jobs will be of higher quality than those in the past? Why should there be any differences? -Finally, choose one job from the “jobs already held” and one from those “to which -you aspire.” Then consider these jobs from the standpoint of the person to whom the +Finally, choose one job from the ďż˝jobs already heldďż˝ and one from those ďż˝to which +you aspire.ďż˝ Then consider these jobs from the standpoint of the person to whom the individual job holder would report. How could the manager improve or enrich the particular job? Specifically, could adjustments in authority or responsibility improve -the quality of work life for the job holder? How would those changes affect the indi¬ -vidual’s productivity? Report your conclusions to the class. +the quality of work life for the job holder? How would those changes affect the indiďż˝ +vidualďż˝s productivity? Report your conclusions to the class. 2. Divide the class into groups ranging from seven to ten members each. Have each -group select a reasonably small public agency—federal, state, local, or nonprofit. +group select a reasonably small public agencyďż˝federal, state, local, or nonprofit. 364 Chapter 9 The New Public Management, Reinvention, and the Reform of Public and Nonprofit Organizations -Based on interviews with several top managers and a sampling of employees through¬ -out the organization, analyze the organization’s existing system of incentives. Design a +Based on interviews with several top managers and a sampling of employees throughďż˝ +out the organization, analyze the organizationďż˝s existing system of incentives. Design a new incentive program you think would result in improved quality and productivity. (If you have difficulty locating or gaining access to a particular organization, simply develop a research design through which you might test an incentive system. Assume @@ -19786,7 +18963,7 @@ in the organization?) 3. Academic departments, like other organizations, can benefit from information and advice from employees and clients (faculty, staff, students, alumni, potential employers, -and so on). Consider the department of your major. How would you design a compre¬ +and so on). Consider the department of your major. How would you design a compreďż˝ hensive program of employee and client involvement that would help the department improve the quality of its offerings? (After designing a program, you might interview the department chair to find out what mechanisms are already in place.) @@ -19821,7 +18998,7 @@ Gore, Albert. Serving the American Public. Washington, DC: Government Printing Office, 1997. Holzer, Marc, ed. Public Productivity Handbook. New York: Marcel Dekker, 1992. -• Holzer, Marc, and Arie Halachmi. Strategic Issues in Public Sector Productivity. San +ďż˝ Holzer, Marc, and Arie Halachmi. Strategic Issues in Public Sector Productivity. San Francisco: Jossey-Bass, 1986. Lane, Jan-Erik. New Public Management. London: Routledge, 2000. @@ -19834,7 +19011,7 @@ International City Management Association, 1986. For Additional Reading j6j -Morley, Elaine. A Practitioner’s Guide to Public Sector Productivity Improvement. +Morley, Elaine. A Practitionerďż˝s Guide to Public Sector Productivity Improvement. New York: Van Nostrand Reinhold, 1986. National Performance Review. From Red Tape to Results: Creating a Government That @@ -19885,29 +19062,29 @@ going on in public and nonprofit management. But those perspectives are sterile the personal and interpersonal skills to put theory into practice. A manager must be able to size up a situation and take appropriate action, often within a matter of seconds. A division director to whom you report calls to tell you that the president is getting -ready to announce a new breakthrough in a disease treatment your unit has been work¬ +ready to announce a new breakthrough in a disease treatment your unit has been workďż˝ ing on unsuccessfully for years. Or you hear on the radio that asbestos has been found in a building your organization recently pronounced clean. Or your boss, the head of the state mental health department, calls to tell you he has just resigned in protest over -the legislature’s failure to support a new appropriation and you are in charge. In all these +the legislatureďż˝s failure to support a new appropriation and you are in charge. In all these cases, you will necessarily and appropriately analyze and understand the situation in terms of your own approach or theory. But you will also have to act. You may have to -talk with certain people; you may have to motivate others to act; you may have to judi¬ +talk with certain people; you may have to motivate others to act; you may have to judiďż˝ ciously exercise the power of your office. All these examples test your skills as a manager. If you can communicate well, and if you can make decisions and motivate others to follow your lead, you will quite likely be judged effective. If you lack these skills, you will be judged ineffective. -Managerial success is based largely on managers’ ability to exercise various interper¬ +Managerial success is based largely on managersďż˝ ability to exercise various interperďż˝ sonal skills. Interestingly, however, effectively exercising interpersonal skills depends on several -essential personal skills that are a part of one’s social and psychological makeup. +essential personal skills that are a part of oneďż˝s social and psychological makeup. Some of these personal skills reflect your approach to the world, others have to do with your capacity for creativity or effective decision making, still others have to do with how you deal with ambiguity or lack of clarity. For example, the manager suddenly promoted to the directorship of the mental health department will certainly -have important (and immediate) decisions to make, perhaps involving creative solu¬ +have important (and immediate) decisions to make, perhaps involving creative soluďż˝ tions to organizational problems left by the departing director. The new manager will also have to be able to operate, perhaps for months, in a highly ambiguous situation. @@ -19921,21 +19098,21 @@ and leadership. -The Manager’s Day 367 +The Managerďż˝s Day 367 -The Manager’s Day +The Managerďż˝s Day What, specifically, do public managers do? Most important, how would you spend your -time as a public manager? The answer depends on your job and level in the orga¬ -nization. Nevertheless, several studies give us some idea of a typical manager’s day. +time as a public manager? The answer depends on your job and level in the orgaďż˝ +nization. Nevertheless, several studies give us some idea of a typical managerďż˝s day. We will discuss five aspects of managerial work: (1) the elements of managerial work, -(2) distribution of managers’ time between work elements, (3) interactions with other +(2) distribution of managersďż˝ time between work elements, (3) interactions with other people, (4) the informal elements of managerial work, and (5) the themes of managerial work (Hales, 1986). Elements of Managerial Work -Hales’s review of what managers actually do at work closely parallels the classic descrip¬ +Halesďż˝s review of what managers actually do at work closely parallels the classic descripďż˝ tions of what managers should do, with some contemporary variations. Hales identifies nine elements as common, nearly universal, activities of managers: @@ -19944,20 +19121,20 @@ symbolizes the organization to the outside world. 2. Acting as liaison: Liaison or boundary spanning is performed with individuals outside of the organization as well as with other organizational units and with managers of units higher and lower in the hierarchy. -3. Monitoring: Managers monitor affairs both internal and external to the unit, includ¬ +3. Monitoring: Managers monitor affairs both internal and external to the unit, includďż˝ ing the tasks of filtering and disseminating information. -4. Allocating resources: Managers make decisions with respect to appropriate distribu¬ +4. Allocating resources: Managers make decisions with respect to appropriate distribuďż˝ tion and use of human, financial, and physical resources. 5. Handling disturbances: Managers are frequently called upon to deal with disruptions in the flow of work in the organization. 6. Negotiating: Reaching agreement with a variety of parties, both inside and outside the -organization, is an important part of the manager’s work. +organization, is an important part of the managerďż˝s work. 7. Innovating: Where there is the need to change, the manager often acts as a creative center or catalyst for change. 8. Planning: Managers must always be attentive to the future, especially as probable future conditions affect the work of the organization today. 9. Directing subordinates: The manager must spend considerable time developing a -direction for the organization and securing the support and activities of the many indi¬ +direction for the organization and securing the support and activities of the many indiďż˝ viduals required to move the organization in that direction. Like the classic descriptions noted earlier, these elements of managerial work identify @@ -19973,18 +19150,18 @@ j68 Chapter 10 Personal Skills in Public Management Distribution of Time among Work Elements -Studies of how managers spend their time often use terms such as tactical, frenetic, reac¬ +Studies of how managers spend their time often use terms such as tactical, frenetic, reacďż˝ tive, troubleshooting, and constant interruptions. They describe the frequency of short, face-to-face meetings that move constantly from topic to topic. These findings, however, do not necessarily mean that the image of the manager as one who plans, thinks, and formulates strategy is a myth. To the contrary, effective managers have general agendas that enable them to quickly gather large amounts of information and make the correct decisions to further those agendas. Furthermore, managers work within networks that -must be both developed and activated. These tasks require many interactions with peo¬ +must be both developed and activated. These tasks require many interactions with peoďż˝ ple in the networks, and the interactions must of necessity be sporadic and informal (Kotter, 1982, p. 166). -What appears to be an absence of planning may sometimes be illusory; for some man¬ +What appears to be an absence of planning may sometimes be illusory; for some manďż˝ agers, planning is something that happens constantly. The seemingly disjointed nature of managerial interactions with others does not so much indicate disorganization, but rather the wide range of problems that must be handled. General agendas allow managers to @@ -19995,14 +19172,14 @@ Managerial Interaction and Communication Descriptions of managerial time usage have identified the importance of interactions with other people, which typically involve some sort of communication. Hales found that -between two-thirds and four-fifths of a manager’s day is spent giving or receiving infor¬ +between two-thirds and four-fifths of a managerďż˝s day is spent giving or receiving inforďż˝ mation, and that most of this giving and receiving takes place in face-to-face interactions. -Communication is clearly a dominant activity in a manager’s day. +Communication is clearly a dominant activity in a managerďż˝s day. -Interestingly, and again despite appearances to the contrary, patterns of communica¬ +Interestingly, and again despite appearances to the contrary, patterns of communicaďż˝ tion are not random. A majority of managerial communication is with managers of the same rank (lateral communication), though how much is vertical (i.e., up and down the -hierarchy) varies widely with the manager’s position. +hierarchy) varies widely with the managerďż˝s position. Since much of their day is spent responding to requests for information, managers are often described as reactive. They spend more time responding to information requests @@ -20014,9 +19191,9 @@ Informal Aspects of Managerial Work Unfortunately, it is difficult to provide universal descriptions of the informal aspects of management. There is, for example, considerable debate over whether the informal -aspects of the manager’s role are good or bad—that is, whether they contribute to or -detract from the organization’s goals. As in many such debates, it is probable that the -informal work sometimes enhances and at other times detracts from the organization’s +aspects of the managerďż˝s role are good or badďż˝that is, whether they contribute to or +detract from the organizationďż˝s goals. As in many such debates, it is probable that the +informal work sometimes enhances and at other times detracts from the organizationďż˝s goal achievement. For example, informal activities are often political in nature and @@ -20024,7 +19201,7 @@ goal achievement. For example, informal activities are often political in nature Stress Management 369 involve negotiation; as such, these activities are extremely relevant. In any case, what is -formal and what is informal is often a specific manager’s perception as to what is actu¬ +formal and what is informal is often a specific managerďż˝s perception as to what is actuďż˝ ally part of his or her job; that which is really considered a part of the job is defined as formal, and that which is not is defined as informal. @@ -20035,26 +19212,26 @@ that managerial work is extremely diverse and variable in terms of the different managers perform in a typical day. A manager may work on literally dozens of distinct topics during the course of the day and bring to bear a wide range of skills in dealing with those topics. A second conclusion is that managerial jobs are loosely enough defined to -allow significant variation and choice by the specific manager in regard to both job con¬ +allow significant variation and choice by the specific manager in regard to both job conďż˝ tent and style of performance. Two jobs that appear identical on an organizational chart -are not necessarily composed of exactly the same tasks, nor will they necessarily be car¬ -ried out in the same way. A central part of the work of managers is “the management of -their work” (Hales, 1986, p. 101). +are not necessarily composed of exactly the same tasks, nor will they necessarily be carďż˝ +ried out in the same way. A central part of the work of managers is ďż˝the management of +their workďż˝ (Hales, 1986, p. 101). Another conclusion is that managerial work is pressured and conflicted. There are many demands on the manager, and these demands are often contradictory. Consequently, there may be competing claims on the same resources of time, energy, personnel, and equipment. Moreover, competing claims often occur simultaneously or within a short period, creating even more pressure and conflict. Fourth and finally, Hales (1986) reports that managerial -work tends to be action-oriented, with emphasis on action rather than on reflective con¬ +work tends to be action-oriented, with emphasis on action rather than on reflective conďż˝ templation. So many problems arise so quickly that managers often develop a preference for concrete action to address problems and opportunities. -We can conclude that the manager’s job is one of life’s more challenging in the world +We can conclude that the managerďż˝s job is one of lifeďż˝s more challenging in the world of work. It is diverse, and that diversity implies the need for diverse skills. The need for many skills is compounded by the pace of managerial work and its unending stream of -conflicting demands for action. (See Box 10.1 for a review of the diversity and complex¬ -ity of a local government manager’s job.) Fortunately, managers often have considerable +conflicting demands for action. (See Box 10.1 for a review of the diversity and complexďż˝ +ity of a local government managerďż˝s job.) Fortunately, managers often have considerable latitude in building their positions and in developing their working styles. Stress Management @@ -20064,10 +19241,10 @@ required to manage successfully. But effective use of interpersonal skills is pr a number of personal qualities and characteristics that form the basis for action. Although not all managerial positions in public organizations are stress-filled, pressure- -cooker jobs, there are certainly moments of tension, just as in management jobs else¬ +cooker jobs, there are certainly moments of tension, just as in management jobs elseďż˝ where. The pressure of deadlines, questions about who is responsible for a particular -problem, an angry flare-up at a staff meeting—these and other stressful situations arise in -the course of the manager’s job. +problem, an angry flare-up at a staff meetingďż˝these and other stressful situations arise in +the course of the managerďż˝s job. @@ -20077,29 +19254,29 @@ BOX 10.1 A Typical (?) Manager's Day -A typical local public manager’s daily agenda might look something like this: +A typical local public managerďż˝s daily agenda might look something like this: 8:00 A.M. Arrives at work to polish off leftover paperwork/dictation from yesterday. -9:15 A.M. Meets with mayor to review next week’s council agenda prior to its +9:15 A.M. Meets with mayor to review next weekďż˝s council agenda prior to its publication. 10:00 A.M. Local business group offers ideas on newly proposed industrial park on east side. -10:45 A.M. City engineer and city treasurer join group to brief them on construc¬ +10:45 A.M. City engineer and city treasurer join group to brief them on construcďż˝ tion/financial details of site development. 11:30 A.M. Police chief and personnel officer review a pending grievance against -the department by a member of the city employees’ union. -12:15 P.M. Leaves ten minutes late for luncheon speech at League of Women Voters’ +the department by a member of the city employeesďż˝ union. +12:15 P.M. Leaves ten minutes late for luncheon speech at League of Women Votersďż˝ monthly meeting to urge their help with the water bond campaign. 1:30 P.M. Back again for more discussion with the police chief on the same topic discussed in the morning. -2:15 P.M. Rides with public works director to inspect north side residents’ com¬ +2:15 P.M. Rides with public works director to inspect north side residentsďż˝ comďż˝ plaints of smells from nearby city dump; mentally drafts responses to their council members and neighborhood group on return to office. @@ -20107,12 +19284,12 @@ their council members and neighborhood group on return to office. 3:15 P.M. Returns stacked-up phone calls at office. 3:45 P.M. Talks with local newspaper reporter about the importance to the city -of next month’s special water bond vote. +of next monthďż˝s special water bond vote. 4:10 P.M. Free time that was scheduled to review several pending budget items is interrupted by visit from two council members. 5:20 P.M. Goes home for dinner. -7:10 P.M. Leaves to attend meeting of south side citizen association, a pre¬ +7:10 P.M. Leaves to attend meeting of south side citizen association, a preďż˝ dominantly poor black group that the manager wants to involve more closely in community public housing planning. @@ -20131,7 +19308,7 @@ and nonprofit organizations, stress is especially likely in situations of role c ambiguity. Role conflict occurs when there are two different and incompatible sets of demands on the individual; for example, if one is asked to complete two different projects simultaneously. Role ambiguity occurs when one does not clearly understand the rights -and responsibilities of one’s job. These two conditions seem to be especially prominent in +and responsibilities of oneďż˝s job. These two conditions seem to be especially prominent in public organizations. @@ -20157,7 +19334,7 @@ Policy changes unrelated to problem priority Policy changes too frequent to be evaluated Rigid role-typing for workers A belief that playfulness is unprofessional -Pervasive “isms” (ageism, sexism, nepotism, etc.) +Pervasive ďż˝ismsďż˝ (ageism, sexism, nepotism, etc.) Emphasis on past success Constant shifting of ground rules for policy Minimal emphasis on positive feedback @@ -20166,26 +19343,26 @@ High instance of work overload High number of dead-end jobs Poor communication and feedback -SOURCE: Excerpted from Linda Hopper, “Unstressing Work.” Reprinted with permission from the +SOURCE: Excerpted from Linda Hopper, ďż˝Unstressing Work.ďż˝ Reprinted with permission from the November 1988 issue of Public Management (PM) magazine published by the International City/County Management Association, Washington, D.C. -.,.'iW|jM"l.[Mj ‘ ' jHIW +.,.'iW|jM"l.[Mj ďż˝ ' jHIW Stress of any type, or continued stress over time, can be quite damaging to both the -individual (mental or physical ill health can result) and the organization (managers oper¬ +individual (mental or physical ill health can result) and the organization (managers operďż˝ ating under excessive stress are typically less competent in interpersonal relations and less productive generally). To prevent these problems and to have a happier, more satisfying work experience, public managers are finding it increasingly helpful to understand the nature of job-related stress and develop programs for reducing its negative consequences. -Hans Selye, the father of stress research, defines stress as the “nonspecific response of the -body to any demand made upon it” (Selye, 1974, p. 27). Selye points out that stress can +Hans Selye, the father of stress research, defines stress as the ďż˝nonspecific response of the +body to any demand made upon itďż˝ (Selye, 1974, p. 27). Selye points out that stress can be good or bad, depending on the situation and the individual. Stress can produce positive responses, such as joy and excitement, as well as harmful effects such as depression or ill -health. Our concern is with excessive or continued stress leading to psychological or phys¬ +health. Our concern is with excessive or continued stress leading to psychological or physďż˝ iological impairment. Note, however, that people respond differently to sources of stress -(or stressors)—a situation that one person may react to calmly may be a crisis for another. +(or stressors)ďż˝a situation that one person may react to calmly may be a crisis for another. @@ -20194,17 +19371,17 @@ iological impairment. Note, however, that people respond differently to sources Selye suggests that individuals respond to stress through a set of defense reactions that occur as a general syndrome. The first response phase is alarm, marked by increases in anxiety, fear, or depression (depending on the nature of the stressor). Muscles tense and -heart rate and blood pressure increase. There is usually also a marked increase in psycho¬ +heart rate and blood pressure increase. There is usually also a marked increase in psychoďż˝ logical defensiveness. If the stressor is only momentary, the body soon returns to normal. But if the stressor continues, the individual may move to the next stage, resistance, -wherein one engages in a variety of defense mechanisms to counter the stressor. Psycho¬ +wherein one engages in a variety of defense mechanisms to counter the stressor. Psychoďż˝ logically, these may range from attacking the stressor itself to attacking oneself or others, denying the stressor, or withdrawing either actually or symbolically from the situation (Whetten and Cameron, 1984, pp. 92-93). These mechanisms may reduce the level of -stress, but where the stressor overwhelms the individual’s defenses, a pathological state -which Selye terms exhaustion may result. Exhaustion can lead to physical or mental diffi¬ +stress, but where the stressor overwhelms the individualďż˝s defenses, a pathological state +which Selye terms exhaustion may result. Exhaustion can lead to physical or mental diffiďż˝ culties, such as depression, alcoholism, and heart problems, or to interpersonal problems -such as trouble with one’s superiors, subordinates or family. +such as trouble with oneďż˝s superiors, subordinates or family. Fortunately, there are signals to help you recognize patterns of behavior that lead to excessive stress and specific techniques to reduce stress levels. @@ -20215,15 +19392,15 @@ Type A/Type B Behaviors During the past twenty-five years, there has been growing interest in the relationship between various patterns of human behavior and the health problems that may result. -A substantial part of medical and psychological research on this issue has focused on car¬ +A substantial part of medical and psychological research on this issue has focused on carďż˝ diovascular disease, the leading cause of death in the United States. Coronary heart disease (CHD), a form of cardiovascular disease characterized by an inadequate supply of oxygen to the heart, has been shown to be related to certain patterns of behavior often exhibited -by managers in public and private organizations. Researchers have labeled these behav¬ +by managers in public and private organizations. Researchers have labeled these behavďż˝ iors Type A. In the 1950s, cardiologists Meyer Friedman and Rav Rosenman became aware that -many of their patients’ illnesses could not be explained by the traditional factors related to +many of their patientsďż˝ illnesses could not be explained by the traditional factors related to CHD: heredity, high blood pressure, and high levels of cholesterol. Other factors seemed to be playing a major role in contributing to CHD. They began to describe this set of factors as the Type A behavior pattern, which included (1) an intense, sustained desire to achieve; @@ -20249,15 +19426,15 @@ to reduce the possibility of impairment (either illness or reduced effectiveness shows that even those who are less vulnerable can improve the quality of their lives and the effectiveness of their work through sustained programs designed to reduce stress. Some efforts involve merely recognizing and eliminating undesirable characteristics, such -as Type A behaviors; other efforts involve more specific efforts to alter one’s lifestyle. For -example, greater self-awareness — understanding oneself and how one reacts to different -situations — allows one to anticipate and moderate reactions. One study showed that +as Type A behaviors; other efforts involve more specific efforts to alter oneďż˝s lifestyle. For +example, greater self-awareness ďż˝ understanding oneself and how one reacts to different +situations ďż˝ allows one to anticipate and moderate reactions. One study showed that receptive managers, those concerned with detail, are most affected by time pressures or information overload, whereas preceptive managers, those who concern themselves with the big picture or the whole, are most stressed by role conflict or role ambiguity. Similarly, -systematic managers, who prefer logical solutions, are most affected by problems requir¬ +systematic managers, who prefer logical solutions, are most affected by problems requirďż˝ ing creativity, whereas intuitive managers are most stressed by problems requiring logic -and objectivity (Whetten and Cameron, 1984, p. 102). If you can anticipate what prob¬ +and objectivity (Whetten and Cameron, 1984, p. 102). If you can anticipate what probďż˝ lems will cause you the most difficulty, you can marshal your psychic resources to deal with them, enlist the help of someone better attuned to the particular type of problem, or simply avoid the issue. @@ -20265,9 +19442,9 @@ simply avoid the issue. Understanding the context of your work and how your work life relates to the rest of your life is also helpful in reducing the negative effects of stress. Having a sense of the meaning of your work, as opposed to just doing a job, provides a helpful way to assess -what is really important and what is merely irritating. Similarly, exploring the relation¬ +what is really important and what is merely irritating. Similarly, exploring the relationďż˝ ship between your work life and family life will provide a clearer grounding for work -activities. Life-work planning activities, offered either in groups or in one-on-one rela¬ +activities. Life-work planning activities, offered either in groups or in one-on-one relaďż˝ tionships with career counselors, give you an opportunity to step back from your work and develop an improved picture of where your career and your life may generally lead. Finally, developing a support system, a network of people with whom you can talk @@ -20277,12 +19454,12 @@ Relaxation Techniques Specific relaxation techniques can help moderate either immediate or long-term stress. Deep-breathing exercises, visualizing and rehearsing upcoming situations, or diverting -your attention to more pleasant times are primarily techniques to deal with fairly imme¬ +your attention to more pleasant times are primarily techniques to deal with fairly immeďż˝ diate stressors. More long-term stress reduction can be accomplished through techniques such as meditation. Psychologist Herbert Benson suggests that, just as the fight-flight syndrome is associated -with overactivity of the nervous system, another response—the relaxation response— +with overactivity of the nervous system, another responseďż˝the relaxation responseďż˝ brings about a quieting of the nervous system. The relaxation response can be brought about through traditional techniques of religious meditation or more secular means, but the essentials are much the same. Four essential elements elicit the relaxation response: @@ -20298,16 +19475,16 @@ over and over 374 Chapter 10 Personal Skills in Public Management Practicing these four elements for ten to twenty minutes once or twice daily should -markedly enhance one’s well-being (Benson, 1975, p. 19). Regular use of any relax¬ -ation technique will help reduce tension and improve one’s ability to handle stressful +markedly enhance oneďż˝s well-being (Benson, 1975, p. 19). Regular use of any relaxďż˝ +ation technique will help reduce tension and improve oneďż˝s ability to handle stressful circumstances. Exercise The benefits of exercise to physical health are well known; researchers have found that individuals who exercise regularly are less tense and more self-confident as -well. Cardiovascular conditioning, which strengthens the heart and lungs, is espe¬ -cially important in reducing stress and increasing one’s sense of well-being (Cooper, +well. Cardiovascular conditioning, which strengthens the heart and lungs, is espeďż˝ +cially important in reducing stress and increasing oneďż˝s sense of well-being (Cooper, 1978, p. 77). Stress and the Organization @@ -20332,9 +19509,9 @@ replacement personnel are not likely to be as effective as full-time permanent e thus limiting service delivery. Many organizations have developed employee assistance programs to help employees -through difficult times. The programs may deal directly with mental or physical prob¬ +through difficult times. The programs may deal directly with mental or physical probďż˝ lems through drug and alcohol counseling, smoking cessation sessions, hypertension -control, and so on, or they may use a preventive approach, seeking to promote a health¬ +control, and so on, or they may use a preventive approach, seeking to promote a healthďż˝ ier workforce through exercise and fitness programs, health screening, or nutrition and weight control. Many smaller organizations are not able to afford employee assistance efforts on their own, but there are abundant resources in most communities to provide @@ -20349,38 +19526,38 @@ Time Management 3 75 Time Management Your ability to use time effectively will be one determinant of your success as a manager. -It will be difficult to manage others’ affairs if you cannot manage your own, especially +It will be difficult to manage othersďż˝ affairs if you cannot manage your own, especially because your activities will directly affect the people you will manage. It is not surprising that strategies and techniques for more effective time management have evolved and that time management training programs are popular today. (The techniques taught in such programs are as helpful to students facing the many demands of college life as they are to managers in public or private organizations.) -Time management begins with establishing goals. Goals are the heart of time manage¬ +Time management begins with establishing goals. Goals are the heart of time manageďż˝ ment; everything else is just a tactic or a technique. Most approaches to time management tell you to set your own goals (though in some organizations, supervisors are involved in setting goals). Although your own goals may or may not equate with the goals of the organization, they will probably overlap at least to some extent. Remember also that you do not necessarily set a goal for a lifetime. Goals change. -They are modified or abandoned, and this is normal, even desirable. One should con¬ +They are modified or abandoned, and this is normal, even desirable. One should conďż˝ sciously set goals, but reevaluate them periodically. New goals can replace old goals or goals that have been accomplished. Most people have more than one goal, which creates -a potential problem if they are not managed properly. Not all goals are equally impor¬ +a potential problem if they are not managed properly. Not all goals are equally imporďż˝ tant; we constantly have to choose which goals to give priority. Many choices favor one -goal at the expense of others, so if one’s goals are not ranked, at least roughly, it will be +goal at the expense of others, so if oneďż˝s goals are not ranked, at least roughly, it will be difficult to use them to make choices. Once you have established goals and your priorities among them, you can genuinely begin to manage your time better, which means you will be managing your work better. -You can even answer the constant question, “What am I going to do today?” Part of -your day is primarily under your control, but part of it is not. Effective time manage¬ +You can even answer the constant question, ďż˝What am I going to do today?ďż˝ Part of +your day is primarily under your control, but part of it is not. Effective time manageďż˝ ment can help you manage both parts. -You can manage the part of your day that is primarily under your control by using a “to -do” list, one of the older time management technologies. Even as a student, you may cur¬ +You can manage the part of your day that is primarily under your control by using a ďż˝to +doďż˝ list, one of the older time management technologies. Even as a student, you may curďż˝ rently be using some version of it. One of the best examples of an earlier manifestation of a -“to do” list involves Charles Schwab, the president of Bethlehem Steel early in the twentieth +ďż˝to doďż˝ list involves Charles Schwab, the president of Bethlehem Steel early in the twentieth century (LeBoeuf, 1979, pp. 52-54). Schwab evaluated his work performance as president of the company and decided he was not doing as good a job as he should be. He hired Ivy Lee as a consultant to advise him on how to do a better job, and the two struck a rather @@ -20388,9 +19565,9 @@ unique agreement on how they would proceed. Lee was to observe Schwab at work an recommend ways Schwab could improve. Schwab would do whatever Lee told him, and he would pay Lee whatever he thought the recommendations were worth after trying them. -Lee’s major recommendation was for Schwab to begin each workday by writing a list of +Leeďż˝s major recommendation was for Schwab to begin each workday by writing a list of everything he could think of that he might do that day. Schwab was then to examine the -list and identify the most important thing he might do and begin work on that item imme¬ +list and identify the most important thing he might do and begin work on that item immeďż˝ diately. If he completed the task during the day, he was to pick the second most important task to work on, and so forth. The next day, Schwab was to write out a completely new list, pick out the most important task on it, go to work on it, and proceed as he had on the @@ -20401,26 +19578,26 @@ list, pick out the most important task on it, go to work on it, and proceed as h preceding day. Schwab tried this recommendation for a few weeks, and he must have thought it was valuable, because he sent Lee a check for $20,000 (and that $20,000 was in -1910 dollars!). Lee’s advice was basically what we know today as the “to do” list. +1910 dollars!). Leeďż˝s advice was basically what we know today as the ďż˝to doďż˝ list. -The “to do” list is simply a list of the things you intend to do during the day, usually -ranked in some order of importance. Since Schwab and Lee’s time, a number of systems +The ďż˝to doďż˝ list is simply a list of the things you intend to do during the day, usually +ranked in some order of importance. Since Schwab and Leeďż˝s time, a number of systems have been developed to rank activities. One popular system is the ABC system (Lakein, 1973). Each activity is placed into one of three categories on the basis of how important -it is (this is where your overall goals come into play). “A” activities are essential to com¬ -plete; “B” activities, less so; and “C” activities are those that can wait. Another popular +it is (this is where your overall goals come into play). ďż˝Aďż˝ activities are essential to comďż˝ +plete; ďż˝Bďż˝ activities, less so; and ďż˝Cďż˝ activities are those that can wait. Another popular system is a five-category scale in which participants assign scores to activities as follows: 1 = important and urgent, 2 = important but not urgent, 3 = urgent but not important, 4 = busywork, and 5 = wasted time. -Whatever system you use, the important thing is to prioritize your activities to iden¬ +Whatever system you use, the important thing is to prioritize your activities to idenďż˝ tify which are most important. You should then plan to devote more time and energy to the important activities. Prioritized goals can serve as criteria for placing a particular activity in one category or another. Without prioritized goals, you will have to create -a new criteria system for each “to do” list you write. +a new criteria system for each ďż˝to doďż˝ list you write. -We have described the “to do” list as a daily time management system. It is actually -very flexible, and some people create weekly or monthly “to do” lists in addition to or in +We have described the ďż˝to doďż˝ list as a daily time management system. It is actually +very flexible, and some people create weekly or monthly ďż˝to doďż˝ lists in addition to or in place of a daily list. Charles Schwab wrote his list at the beginning of each day, but many people write theirs at the end of one day for the next, and some people write a tentative one at the end of the day and revise it when they get to work the next morning. Regardless @@ -20436,12 +19613,12 @@ this way manage some important internal resources. Creativity and Problem Solving -One of the most important personal skills for managers is the capacity for creative prob¬ -lem solving. There are many approaches to problem solving; indeed, if a random sam¬ +One of the most important personal skills for managers is the capacity for creative probďż˝ +lem solving. There are many approaches to problem solving; indeed, if a random samďż˝ ple of people is given an identical problem or situation, individuals in the sample will approach the problem differently and often arrive at very different decisions about what to do. A psychological model developed by Carl Jung provides a compelling explanation -for this phenomenon and for why the differences will be systematic. Jung’s model of psy¬ +for this phenomenon and for why the differences will be systematic. Jungďż˝s model of psyďż˝ chological types is a way to classify people according to differences in their psychological makeup. The model describes various psychic functions based on how we take in and process information. @@ -20451,12 +19628,12 @@ process information. Creativity and Problem Solving 3 77 Jung identified two fundamental ways in which people acquire information or perceive -things and labeled the two modes intuition and sensation. Perception by sensing is infor¬ +things and labeled the two modes intuition and sensation. Perception by sensing is inforďż˝ mation acquired directly by means of the senses (seeing, hearing, touching, and so on); sensing is a conscious form of information acquisition. Information acquisition through -intuition is mainly an unconscious process, in which ideas are added indirectly to per¬ +intuition is mainly an unconscious process, in which ideas are added indirectly to perďż˝ ceptions made through the senses and associations are made between elements perceived -by the senses. A genuine hunch or insight (not a guess) is an example of an intuitive per¬ +by the senses. A genuine hunch or insight (not a guess) is an example of an intuitive perďż˝ ception. Emphasis on one mode of perception or the other may lead the individual to different ways of approaching the world; some approaches may help in some situations, and other approaches may help in other situations. The sensing individual tends to see @@ -20469,21 +19646,21 @@ Networking An exploration into the works of Jungian psychology can begin at the C. G. Jung Page (http://www.cgjungpage.org). This site provides information on the Swiss -psychologist’s work and has links to other resources, including research institutes. +psychologistďż˝s work and has links to other resources, including research institutes. Next, a lexicon (http://www.cgjungpage.org/jplexicon.html) may help clarify some of the concepts in the research. Finally, the search may take you to the abstracts page (http://www.cgjungpage.org/abcwpage.html), where you can access samples -of Jung’s work. +of Jungďż˝s work. After information is acquired, it must be processed; decisions must be made about -what to do. Jung’s model identifies two major modes of information processing and +what to do. Jungďż˝s model identifies two major modes of information processing and evaluation. Making choices based on thinking is the rational and logical way of dealing with information; one attempts to develop logical, objective conclusions. Feeling, on the other hand, emphasizes making a value judgment, deciding according to what is right or wrong, or based on a preference about what is better or worse. The evaluation is not -necessarily illogical, but its basis is always a human value and thus ultimately subjec¬ +necessarily illogical, but its basis is always a human value and thus ultimately subjecďż˝ tive. There are advantages in each approach. An individual who relies on thinking will -be careful and objective, though he or she may appear cold and uncaring. The per¬ +be careful and objective, though he or she may appear cold and uncaring. The perďż˝ son who relies on feeling will appear friendly and engaging, but may not be as exact or objective as some might want. @@ -20491,9 +19668,9 @@ Jung argued that all people employ all four psychic functions from time to time, the years, each person comes to rely on some functions more than others. Some people tend to emphasize sensing, others emphasize intuition; some people emphasize thinking, others emphasize feeling. (Although we are discussing categories, when the dimensions are actually -measured, people seem to differ more in degree than categorically.) Based on the combi¬ -nation of preferences, we can arrive at four different psychological “types,” illustrated in -Figure 10.1. Certain personal characteristics or predispositions have been found to be asso¬ +measured, people seem to differ more in degree than categorically.) Based on the combiďż˝ +nation of preferences, we can arrive at four different psychological ďż˝types,ďż˝ illustrated in +Figure 10.1. Certain personal characteristics or predispositions have been found to be assoďż˝ ciated with each of the four types of information acquisition/evaluation. @@ -20505,20 +19682,20 @@ FIGURE 10.1 Jungian Psychological Types The upper left-hand cell in our illustration is the sensing/thinking combination, which -combines the realistic view of the sensing function with the logical and objective capaci¬ +combines the realistic view of the sensing function with the logical and objective capaciďż˝ ties of the thinking function. The sensing/thinking person is likely to be good at handling -data and solving problems logically. People like this tend to gravitate toward occupa¬ +data and solving problems logically. People like this tend to gravitate toward occupaďż˝ tions such as accounting, computer programming, and engineering. -In many ways, the lower right-hand corner is the opposite of the sensing/thinking combi¬ +In many ways, the lower right-hand corner is the opposite of the sensing/thinking combiďż˝ nation, as it combines intuition and feeling. The intuition/feeling combination draws on the creativity of the intuitive function and the strong emotional sense of the feeling function. The intuitive/feeling person is likely to be concerned with the future and with creativity, but, at the same time, be sensitive to and caring about the needs of individuals. Characteristic occupations here are art, advertising, public relations, and personnel management. -The lower left-hand cell combines intuition and thinking. The intuitive/thinking combi¬ -nation brings together the creativity of the intuitive function with the logical, problem¬ +The lower left-hand cell combines intuition and thinking. The intuitive/thinking combiďż˝ +nation brings together the creativity of the intuitive function with the logical, problemďż˝ solving ability of the thinking function. The intuitive/thinking person is likely to be creative with respect to problem solving but is also likely to work out the details of a particular solution logically and objectively. Many scientists and architects share these preferences, @@ -20526,8 +19703,8 @@ and, indeed, many middle and upper managers are found here. Top managers must be careful and objective, but are also relied upon to plan the work of the organization, a task that requires the future orientation that comes with intuition. -The upper right-hand cell combines sensing with feeling. The sensing/feeling combina¬ -tion brings together the preference of the sensing function for immediate data and the feel¬ +The upper right-hand cell combines sensing with feeling. The sensing/feeling combinaďż˝ +tion brings together the preference of the sensing function for immediate data and the feelďż˝ ing preference for values and emotions. A sensing/feeling person sees the world in terms of immediate sense data, but is also concerned about the human implications of action based on that data. Teaching, counseling, and sales are associated with this combination, as are, @@ -20538,7 +19715,7 @@ again, significant numbers of managers. Models of Individual Decision Making 379 The point is not that one or the other of these combinations is better than the other, but -that they are different. Consequently, we would expect an individual’s approach to solving +that they are different. Consequently, we would expect an individualďż˝s approach to solving problems to differ according to how the individual acquires and processes information. Presenting so-called identical situations to a random sample would not seem at all identical to the people in the sample. Because the subjects would tend to use different modes of @@ -20548,18 +19725,18 @@ sees things makes all the difference in the world when it comes to solving probl The implications of these differences for management are profound. We have already emphasized the diversity of situations in which managers find themselves. We can now -say that different situations may require the use of different psychic functions. As an illus¬ +say that different situations may require the use of different psychic functions. As an illusďż˝ tration, imagine two individuals who are about to buy a house looking in the window of -that house. One, emphasizing the sensing function, might say, “This house is a wreck— -the carpet is torn up; the ceiling is falling down; the walls are dirty.” On the other hand, -an intuitive person looking in the same window at the same time might say, “We could do +that house. One, emphasizing the sensing function, might say, ďż˝This house is a wreckďż˝ +the carpet is torn up; the ceiling is falling down; the walls are dirty.ďż˝ On the other hand, +an intuitive person looking in the same window at the same time might say, ďż˝We could do great things with this room; if we fixed the carpet and the ceiling and if we painted the -walls, this could be a real showcase.” The two people see things quite differently. +walls, this could be a real showcase.ďż˝ The two people see things quite differently. -Translating these differences in viewpoint into daily activity, you would surely acknowl¬ -edge that the activity of balancing one’s checkbook is not one where you want a great deal +Translating these differences in viewpoint into daily activity, you would surely acknowlďż˝ +edge that the activity of balancing oneďż˝s checkbook is not one where you want a great deal of creativity; instead you want to be careful about the immediate data and work with -those data in the most logical and objective way possible. On the other hand, there are sit¬ +those data in the most logical and objective way possible. On the other hand, there are sitďż˝ uations where you will need especially creative solutions to problems. In those situations, the intuitive capacity is very helpful. (Remember that we all have all the functions at our disposal, but we may have to work a little harder at those we do not ordinarily rely upon.) @@ -20568,13 +19745,13 @@ Similarly, different management activities draw on different psychic functions. example, monitoring work and performance is likely to be facilitated by carefully observing performance data. On the other hand, the planning function is likely to be aided by the creative potential of the initiative function. Depending on the situation, -you may be required to emphasize one psychic function or another. If your normal pref¬ +you may be required to emphasize one psychic function or another. If your normal prefďż˝ erence is to emphasize the sensing function, you may wish to call more consciously on your intuitive capacities where long-term planning is required. You may sometimes want to bring together different people who typically rely on different functions to help solve various problems. You may, for example, want to bring in people you recognize as having strong sensing and thinking capacities to help solve accounting problems. -Or, you may wish to bring in individuals noted for strong intuitive and feeling capabili¬ +Or, you may wish to bring in individuals noted for strong intuitive and feeling capabiliďż˝ ties to help solve human resource planning issues. Models of Individual Decision Making @@ -20588,14 +19765,14 @@ direct, organize, or perform any of the miscellaneous management functions witho Chapter 10 Personal Skills in Public Management making decisions. All management involves either explicit or implicit decisions. We will -examine decision making at the individual level and explore several models of how deci¬ +examine decision making at the individual level and explore several models of how deciďż˝ sions should be made and how decisions are actually made. A great deal of research has been conducted concerning rational processes for decision making, some of which we discussed in terms of rational policy analysis. In its purest form, the rational model of decision making suggests the following steps: -1. Find an occasion for decision making (decide to decide) and then formulate the prob¬ +1. Find an occasion for decision making (decide to decide) and then formulate the probďż˝ lem in the best way possible. 2. Develop as many alternative solutions as possible. 3. Choose the alternative that maximizes the possibility that we will attain our goals or @@ -20603,14 +19780,14 @@ standards. In other words, analyze the problem, generate alternative solutions, and choose from among the solutions. For our purposes, the most important lesson of the rational decision -model lies at the beginning—becoming aware that a problem exists and correctly defin¬ +model lies at the beginningďż˝becoming aware that a problem exists and correctly definďż˝ ing the problem. If you are not aware of a problem, you will not go through the rest of the process to solve it. Your chances of solving the problem are low. (The probabilities are not zero, however, since problems are sometimes solved by accident.) Even if you are aware that a problem exists, your chances of solving it do not increase much if you do not identify it correctly. -Definition of the situation is one’s perception of reality. Human beings need to make +Definition of the situation is oneďż˝s perception of reality. Human beings need to make sense of things. We do not tolerate chaos well, and thus are continually defining and redefining situations we find ourselves in. Aside from our need to make sense of things, defining the situation is important because it is the basis upon which we act and make @@ -20623,9 +19800,9 @@ battle. An example from the Cold War days of the early 1960s illustrates this po During this period, the United States and its allies had installed long-range radar systems to monitor the Soviet Union and to give warning of any Soviet attack by either missile or bomber. Soon after the radar systems were installed, the commander of an installation in -England was made aware of a set of images on the station’s screens that looked as if the +England was made aware of a set of images on the stationďż˝s screens that looked as if the Soviet Union were launching a massive missile assault against the United States. It was -the commander’s job to evaluate the information, report it to Washington, and include a +the commanderďż˝s job to evaluate the information, report it to Washington, and include a recommendation and evaluation of the accuracy of the information. Since missiles travel pretty fast, the commander did not have a great deal of time to @@ -20642,10 +19819,10 @@ including in it his relatively low confidence in the information on his screens. Models of Individual Decision Making $8i that he believed there was a malfunction somewhere in the system and recommended -that the radar images not be interpreted as an attack on the United States. He was cor¬ +that the radar images not be interpreted as an attack on the United States. He was corďż˝ rect; there was no major attack by the Soviet Union. But what was actually happening? -It turned out that the radars were so powerful that some of the radiation they broad¬ +It turned out that the radars were so powerful that some of the radiation they broadďż˝ cast traveled far out into space. The system operated smoothly for about a week, but then the moon orbited into position to be hit by some of the radiation, which was reflected back to the radar antennas, in turn creating images on the screens that looked much like @@ -20655,31 +19832,31 @@ had not been programmed to disregard the radiation coming back from the moon. The commander was presented with a problem: the decision of interpreting the images and making his report. He had two interpretations. One was that the Soviet Union had started World War III, the other, that he had a malfunctioning system. One definition of -the situation might have actually started World War III; the other avoided that catastro¬ -phe. You can easily see why correct definition of the problem is so critical in a problem¬ +the situation might have actually started World War III; the other avoided that catastroďż˝ +phe. You can easily see why correct definition of the problem is so critical in a problemďż˝ solving situation. The rational decision model is often presented as the way people actually go about making decisions (or at least the way they should), and this is probably true to a certain extent. It is also clear that, in many cases, solutions to problems are arrived at in a far -different way. The basis of the rational problem-solving process is the economic assump¬ -tion that people attempt to maximize their outcomes when they make choices (i.e., deci¬ +different way. The basis of the rational problem-solving process is the economic assumpďż˝ +tion that people attempt to maximize their outcomes when they make choices (i.e., deciďż˝ sions). Theoretically, people select a criterion, such as income or profit, then evaluate -all decision alternatives in terms of that criterion, and select the alternative that will pro¬ +all decision alternatives in terms of that criterion, and select the alternative that will proďż˝ duce the best results. As we discussed in Chapter 8, Herbert Simon, in his studies of organizational decision -making, found that the rational model rarely describes human problem-solving or decision¬ +making, found that the rational model rarely describes human problem-solving or decisionďż˝ making behavior in real life. He argued that maximizing outcomes is simply not possible in most situations and identified several reasons that it is usually impossible (Simon, 1957, -p. xxvi). All the reasons Simon offers add up to constraints on human beings’ abilities +p. xxvi). All the reasons Simon offers add up to constraints on human beingsďż˝ abilities to acquire and process information. There are time limits for making most decisions, and there are only so many resources available to gather information. Moreover, because we care more about some problems than others, our motivation to solve problems varies. We are willing to spend more mental and physical energy on some problems than on others. -Even if we had access to unlimited information about any problem, there are cogni¬ -tive limits to how much information we can process at any given time. Furthermore, par¬ +Even if we had access to unlimited information about any problem, there are cogniďż˝ +tive limits to how much information we can process at any given time. Furthermore, parďż˝ ticularly in managerial situations, we seldom have the luxury of being able to deal with just one problem at a time. Other problems compete for our attention, time, and energy, which further taxes our cognitive limits. @@ -20691,12 +19868,12 @@ within the bounds of these constraints. This results in a satisficing criterion alternatives, rather than in a maximizing one. A satisficing decision is one that is just good enough in terms of some criterion. -Bounded rationality leads to satisficing decisions, and the process, in its pure form, oper¬ +Bounded rationality leads to satisficing decisions, and the process, in its pure form, operďż˝ ates as follows: When an individual faces a choice situation in which a decision must be -3 <§2 Chapter 10 Personal Skills in Public Management +3 <ďż˝2 Chapter 10 Personal Skills in Public Management made, rather than attempting to gather all possible -information, generate all possible alternatives, and choose the alternative likely to produce the best results, the decision @@ -20707,10 +19884,10 @@ stops at this point, and the choice becomes the decision. No attempt will be mad examine other, potentially better, options. That human beings vary in attempts to maximize suggests something of a continuum -between satisficing and maximizing. But Simon’s work suggests that most decisions, -most of the time, fall much closer to the satisficing end of the continuum than the maxi¬ +between satisficing and maximizing. But Simonďż˝s work suggests that most decisions, +most of the time, fall much closer to the satisficing end of the continuum than the maxiďż˝ mizing end, even where we are making important (and potentially costly) decisions. -Marketing research shows, for example, that people tend to seek out most of the infor¬ +Marketing research shows, for example, that people tend to seek out most of the inforďż˝ mation they acquire about new cars after they purchase a new car rather than before. Thus, the rational decision-making process can be considered a prescriptive model that @@ -20718,12 +19895,12 @@ tells us what we should do to make better decisions, but it does not give us an picture of how human beings actually make decisions. Because we tend to satisfice rather than maximize, a modified and more limited version of this process, the satisficing model, provides the more accurate description. Hence, we can call it a descriptive model, which -attempts to describe how things actually happen without regard to how they should hap¬ +attempts to describe how things actually happen without regard to how they should hapďż˝ pen. Given the nature of managerial work, satisficing may be the only way a manager can deal with the constant stream of problems and choice situations that arise daily. Interestingly, one alternative model of decision making in the public sector claims to be -both prescriptive and descriptive. Charles Lindblom’s incremental model of decision mak¬ +both prescriptive and descriptive. Charles Lindblomďż˝s incremental model of decision makďż˝ ing assumes that most governmental decisions (and others) usually begin by analyzing the existing situation and then move marginally or incrementally away from that position. In making a case for new programs, for example, managers often talk about how a new @@ -20740,8 +19917,8 @@ one has available to influence others, is essential in modern organizations of a However, power is a far narrower term than leadership. We will consider power as one aspect of the larger question of how one might develop greater skills in public leadership. -Many commentators have argued that improved leadership is essential for us to suc¬ -cessfully meet the challenges of the coming century. Public opinion data reveal wide¬ +Many commentators have argued that improved leadership is essential for us to sucďż˝ +cessfully meet the challenges of the coming century. Public opinion data reveal wideďż˝ spread loss of faith in the leadership of business, government, labor, and other private and public institutions. But many argue that the problem relates not merely to formal @@ -20750,11 +19927,11 @@ and public institutions. But many argue that the problem relates not merely to f Power and Leadership 3 83 positions of power; rather the failure of leadership is pervasive throughout society. John -Gardner, the former cabinet secretary and founder of Common Cause, stated, “In this +Gardner, the former cabinet secretary and founder of Common Cause, stated, ďż˝In this country leadership is dispersed among all the segments of society and down through all -levels, and the system simply won’t work as it should unless large numbers of people +levels, and the system simply wonďż˝t work as it should unless large numbers of people throughout society are prepared to take leaderlike action to make things work at their -level” (Gardner, 1987). +levelďż˝ (Gardner, 1987). Networking @@ -20776,10 +19953,10 @@ sudden and dramatic shifts; (2) highly interdependent, requiring cooperation acr many sectors; and (3) greatly in need of creative and integrative solutions to problems. Under such circumstances, ambiguity is increasingly a hallmark of decision making, and the involvement (rather than the control) of many individuals in group decisions will be -necessary. “Leadership . . . will become an increasingly intricate process of multilateral +necessary. ďż˝Leadership . . . will become an increasingly intricate process of multilateral brokerage, including constituencies both within and without the organization. More and more decisions will be public decisions; that is, the people they affect will insist on being -heard” (Bennis, 1983, p. 16). Leadership for the future cannot be equated merely with +heardďż˝ (Bennis, 1983, p. 16). Leadership for the future cannot be equated merely with the exercise of control by those in formal positions of power. What do we know about leadership, especially shared or public leadership? What do @@ -20788,14 +19965,14 @@ charge such as student organizations, churches, political groups, and so on? Oft of their work is done through committees or other even less formal groups. And those committees seem to waste a lot of time and energy, partly because of lack of leadership. Even though one person may be designated the leader, rarely does he or she exercise much -control. Usually, things drift for a while—maybe a long while — until someone finally +control. Usually, things drift for a whileďż˝maybe a long while ďż˝ until someone finally puts forth a suggestion that people pick up on and begin to get excited about. At that point, we can say that someone has exercised leadership. -Somewhat more formally, then, we can define leadership as “the character of the rela¬ +Somewhat more formally, then, we can define leadership as ďż˝the character of the relaďż˝ tionship between the individual and a group or organization that stimulates or releases some latent energy within the group so that those involved more clearly understand their -own needs, desires, interests, and potentialities and begin to work toward their fulfillment” +own needs, desires, interests, and potentialities and begin to work toward their fulfillmentďż˝ @@ -20803,29 +19980,29 @@ Chapter 10 Personal Skills in Public Management (Denhardt and Prelgovisk, 1992, pp. 33-44). Where leadership'is present, something occurs in the dynamics of the group or organization that leads to change. What is central -to leadership is the capacity of the leader—whether or not called a leader—to energize the +to leadership is the capacity of the leaderďż˝whether or not called a leaderďż˝to energize the group. Leadership involves helping the group become aware of a new direction in which to -move. The leader merely taps and reshapes the consciousness of the group. Acts of lead¬ +move. The leader merely taps and reshapes the consciousness of the group. Acts of leadďż˝ ership express a new direction, but one that is determined by the emerging interests of all members of a group. We can say that one exercises public leadership who (1) helps the group or organization understand its needs and potential; (2) integrates and articulates -the group’s vision; and (3) acts as a trigger or stimulus for group action. +the groupďż˝s vision; and (3) acts as a trigger or stimulus for group action. The essence of leadership, therefore, is its energizing effect. But often the people we formally refer to as leaders do not really lead; at best, they manage things successfully by keeping the group running more or less smoothly. Although power may be an important resource to the leader, one need not exercise -power to bring about change (see Box 10.3). Efforts to control a group are often ulti¬ +power to bring about change (see Box 10.3). Efforts to control a group are often ultiďż˝ mately destructive of leadership. On the other hand, when the direction of the group or organization is selected through a developmental process that gives priority to group -members’ needs and desires, leadership is much more likely to be enduring. Leadership +membersďż˝ needs and desires, leadership is much more likely to be enduring. Leadership for the future will require much more than a formal position. -What skills will you need to be successful as a leader? They begin with those we ordi¬ -narily associate with effective management—the ability to use power and influence +What skills will you need to be successful as a leader? They begin with those we ordiďż˝ +narily associate with effective managementďż˝the ability to use power and influence effectively, the ability to communicate with and motivate others, and the ability to work in and among diverse groups of people. (We will discuss most of these skills in the next chapter.) But leadership builds on these skills in some interesting ways. @@ -20837,18 +20014,18 @@ involves change, and change is often difficult for both group and leader. Develo personal strength to face change is important. Leadership has often been viewed in terms of the exercise of power by one person or -group over another—getting people to do what one wants them to do by manipulating +group over anotherďż˝getting people to do what one wants them to do by manipulating power and influence. Leadership in the future will be more and more independent of -power, and the most critical leadership skills will be the personal (rather than interper¬ +power, and the most critical leadership skills will be the personal (rather than interperďż˝ sonal) skills associated with correctly empathizing with and reading a group, acting with a sense of direction in the presence of ambiguity, and having the courage to take risks when change is warranted. Helgesen (1996) calls this new approach grassroots leadership. She argues that -today’s organizations differ dramatically from those created in past generations. Power -becomes shared throughout the group and, in turn, leaders “are to be found not only -among those at the top, the ‘lead horses,’ but also among those who constitute what in -the industrial era we called the rank and file” (Helgesen, 1996, p. 21). Accordingly, each +todayďż˝s organizations differ dramatically from those created in past generations. Power +becomes shared throughout the group and, in turn, leaders ďż˝are to be found not only +among those at the top, the ďż˝lead horses,ďż˝ but also among those who constitute what in +the industrial era we called the rank and fileďż˝ (Helgesen, 1996, p. 21). Accordingly, each individual plays a key role in shaping the organization; each helps the group deal with issues of organizational change. @@ -20865,40 +20042,40 @@ Bases of Social Power Power is really much more complex than we often think. For example, the power we exercise is based on a number of different factors that operate in social situations. -A classic research article describes the following “bases of social power.” +A classic research article describes the following ďż˝bases of social power.ďż˝ 1. Reward power: the ability to meet the needs of another, or control the other by rewarding the desired behavior. Pay, promotions, or bonuses may be ways that organizations exert reward power over employees. -2. Punishment power: coercive power, or the ability to deliver a painful or punish¬ +2. Punishment power: coercive power, or the ability to deliver a painful or punishďż˝ ing outcome to others, and hence control them by their desire to escape the -punishment. Firing, ridiculing, or disciplining an individual are common tech¬ +punishment. Firing, ridiculing, or disciplining an individual are common techďż˝ niques of punishment. -3. Expert power: power based on the ability to understand, use, and deliver infor¬ +3. Expert power: power based on the ability to understand, use, and deliver inforďż˝ mation that others need. Engineers or scientists may exert great influence in an -organization based on their knowledge of scientific techniques for manufactur¬ +organization based on their knowledge of scientific techniques for manufacturďż˝ ing a product, etc. -4. Legitimate power: control or influence exerted by virtue of one’s holding a par¬ +4. Legitimate power: control or influence exerted by virtue of oneďż˝s holding a parďż˝ ticular position in the organizational structure. The power is vested in the rights and responsibilities of the position, not the person. Thus, a company president or chairman of the board has power by virtue of the rights and responsibility given to whoever holds the office. Compliance with legitimate -power occurs because other individuals in the organization respect the organi¬ +power occurs because other individuals in the organization respect the organiďż˝ zational structure and the rights and responsibility that accompany particular positions. -5. Referent power: liking, charisma, or the desire to comply with someone’s wishes +5. Referent power: liking, charisma, or the desire to comply with someoneďż˝s wishes because you are attracted to him or her are examples of referent power. Control -based on referent power depends upon the power-holder’s ability to have others +based on referent power depends upon the power-holderďż˝s ability to have others like and be attracted to him or her, and to follow his or her leadership because of this attraction. -SOURCE: Adapted from John R. R French, Jr., and Bertram Raven, “The Bases of Social Power,” +SOURCE: Adapted from John R. R French, Jr., and Bertram Raven, ďż˝The Bases of Social Power,ďż˝ in Dorwin Cartwright and Alvin F. Zander, eds., Group Dynamics, 2nd ed., FlarperCollins Publishers, -1962. Copyright © 1962 by Dorwin Cartwright and Alvin F. Zander. Reprinted by permission. +1962. Copyright ďż˝ 1962 by Dorwin Cartwright and Alvin F. Zander. Reprinted by permission. the fact that most individuals within an organization, though not serving in traditional positions of power, represent the principal link between the group and its environment. @@ -20915,27 +20092,27 @@ with those closest to the situation serving as the leaders of change. Summary and Action Implications -Public management is a complex and diverse career. One moment you may be develop¬ +Public management is a complex and diverse career. One moment you may be developďż˝ ing a budget for your agency; the next moment you may be leading a meeting on sick leave policy; and the next, you may be counseling an employee who is feeling burned out. The diversity of the work and its occasional intensity mean that you not only need -to understand the ethical and political context of your work, but also to develop the per¬ +to understand the ethical and political context of your work, but also to develop the perďż˝ sonal and interpersonal skills to bring about action. Each of these skills is deeply rooted in your own identity and character. Because they are so personal, these skills underlie nearly everything you do. Thus, understanding -yourself is an essential prerequisite to acting effectively and responsibly in public organi¬ -zations. The more you are able to learn about yourself—that is, know your strengths -and weaknesses, your desires and frustrations—the more effective you will be in your -work with others. If you are able to reflect on your experiences and share them with oth¬ -ers, and to learn from others’ experiences as well, you will be a much more effective +yourself is an essential prerequisite to acting effectively and responsibly in public organiďż˝ +zations. The more you are able to learn about yourselfďż˝that is, know your strengths +and weaknesses, your desires and frustrationsďż˝the more effective you will be in your +work with others. If you are able to reflect on your experiences and share them with othďż˝ +ers, and to learn from othersďż˝ experiences as well, you will be a much more effective learner and a much more effective manager. Nowhere is this admonition more appropriate than in the area of leadership. To lead others, you must first know yourself. Leadership involves more than power or control. Whereas power may be a resource, leadership capabilities are more likely to arise from the ability to understand the emerging desires of a group, to articulate the vision or direction -the group wishes to follow, and to stimulate the group to action. Leadership unquestion¬ +the group wishes to follow, and to stimulate the group to action. Leadership unquestionďż˝ ably requires social or interpersonal skills, but it is based in empathetic understanding, the ability to express the aspirations of the group, and the confidence to undertake the risks associated with change. Nowhere is this more true than in the realm of public leadership. @@ -20947,7 +20124,7 @@ understood. Role conflict: Occurs when one faces two different and incompatible sets of demands. -Satisficing decision: One that is just good enough’’ in terms of some criterion. +Satisficing decision: One that is just good enough�� in terms of some criterion. Support system: Network of people with whom one can talk about problems. @@ -20978,15 +20155,15 @@ organizations. After you have a sense of your own level of skill development, tr identify the activities (classes, workshops, readings, and so on) that would help you improve your skills in areas that need some work. -The “How” of Management Effectiveness Characteristics +The ďż˝Howďż˝ of Management Effectiveness Characteristics -Broad perspectives: Broad, long-term view; balancing short- and long-term consid¬ +Broad perspectives: Broad, long-term view; balancing short- and long-term considďż˝ erations. Strategic view: Collecting, assessing, analyzing information; diagnosis; anticipation; judgment. -Environmental sensitivity: Tuned into agency and its environment; awareness of impor¬ +Environmental sensitivity: Tuned into agency and its environment; awareness of imporďż˝ tance of nontechnical factors. Leadership: Individual; group; willingness to lead, manage, and accept responsibility. @@ -20994,24 +20171,24 @@ Leadership: Individual; group; willingness to lead, manage, and accept responsib Flexibility: Openness to new information; behavioral flexibility; tolerance for stress, ambiguity, change; innovativeness. -Action orientation: Independence, proactivity; calculated risk taking; problem solv¬ +Action orientation: Independence, proactivity; calculated risk taking; problem solvďż˝ ing; decisiveness. Results focus: Concern with goal achievement; follow-through, tenacity. Communication: Speaking; writing; listening. -Interpersonal sensitivity: Self-knowledge and awareness of impact on others; sensitiv¬ +Interpersonal sensitivity: Self-knowledge and awareness of impact on others; sensitivďż˝ ity to needs, strengths, and weaknesses of others; negotiation; conflict resolution; persuasion. Technical competence: Specialized expertise (e.g., engineering, physical science, law, accounting, social science). -2. The following classic exercise in group problem solving will illustrate several impor¬ +2. The following classic exercise in group problem solving will illustrate several imporďż˝ tant aspects of the decision-making process. -Your spaceship has just crash-landed on the moon. You were scheduled to ren¬ +Your spaceship has just crash-landed on the moon. You were scheduled to renďż˝ dezvous with the mothership 200 miles away on the lighted surface of the moon, but @@ -21022,11 +20199,11 @@ the rough landing has ruined your ship and destroyed all the'equipment on board, except for the fifteen items listed below. You and four to seven other people should take this test individually, without -knowing one another’s answers, then take the test as a group. Share your individual -solutions and reach a consensus — one ranking for each item that best satisfies all group +knowing one anotherďż˝s answers, then take the test as a group. Share your individual +solutions and reach a consensus ďż˝ one ranking for each item that best satisfies all group members. -Your crew’s survival depends on reaching the mothership, so you must choose the +Your crewďż˝s survival depends on reaching the mothership, so you must choose the most critical items available for the 200-mile trip. Your task is to rank the fifteen items in terms of their importance for survival. Place a 1 by the most important item, a 2 by the second most important, and so on through fifteen, the least important. @@ -21047,7 +20224,7 @@ one case of dehydrated evaporated milk two 100-pound tanks of oxygen -stellar map (of the moon’s constellation) +stellar map (of the moonďż˝s constellation) self-inflating life raft @@ -21064,8 +20241,8 @@ solar-powered FM receiver-transmitter NASA experts have determined the best solution to this task. Their answers appear in Appendix A. -SOURCE: Jay Hall, “Decisions, Decisions, Decisions,” Psychology Today 5 (November 1971): 51-88. -Reprinted with permission from Psychology Today Magazine. Copyright ©1971 by Sussex Publishers, Inc. +SOURCE: Jay Hall, ďż˝Decisions, Decisions, Decisions,ďż˝ Psychology Today 5 (November 1971): 51-88. +Reprinted with permission from Psychology Today Magazine. Copyright ďż˝1971 by Sussex Publishers, Inc. 3. Stress profile: Place your answer to each of the following questions in the space provided before each number. Answer with: (a) almost always true; (b) often true; (c) seldom true; @@ -21085,7 +20262,7 @@ may still need to be worked out. For Additional Reading 389 -8. When I make a mistake, it is usually because I have rushed into something with¬ +8. When I make a mistake, it is usually because I have rushed into something withďż˝ out giving it enough thought and planning. 9. Whenever possible I will try to do two things at once, like eating while working @@ -21099,9 +20276,9 @@ competitiveness and stress-related illness. A total score of 26 or above indicat tend toward this type. SOURCE: Self-Assessment Exercise from Controlling Stress and Tension by Daniel Girdano and George -Everly. Copyright © 1979 by Prentice-Hall, Inc. Reprinted by permission of Pearson Education, Inc. +Everly. Copyright ďż˝ 1979 by Prentice-Hall, Inc. Reprinted by permission of Pearson Education, Inc. -4. Although power should not be equated with leadership, it can certainly be an impor¬ +4. Although power should not be equated with leadership, it can certainly be an imporďż˝ tant resource to public managers. To illustrate some of these types of power, think back over the past week or two as you attended class and worked in various groups and organizations, and answer the following questions: @@ -21109,7 +20286,7 @@ a. Who were the two or three people during this period who exercised the greates power over you? b. Who were the people during this period over whom you exercised the most power? -Now return to the “Bases of Social Power” in Box 10.43. What was the basis for the +Now return to the ďż˝Bases of Social Powerďż˝ in Box 10.43. What was the basis for the power that others exercised over you? What was the basis for the power that you exercised over others? How might you most effectively build up your power base in groups and @@ -21142,7 +20319,7 @@ Public Managers. San Francisco: Jossey-Bass, 1992. -39° Chapter 10 Personal Skills in Public Management +39ďż˝ Chapter 10 Personal Skills in Public Management Holzer, Marc, ed. Public Service: Callings, Commitments and Contributions. Boulder, CO: Westview Press, 1999. @@ -21155,13 +20332,13 @@ New York: HarperCollins, 1991. APPENDIX A -“Lost on the Moon " Exercise: Answers from NASA Experts +ďż˝Lost on the Moon " Exercise: Answers from NASA Experts 1. Two 100-pound tanks of oxygen: most pressing survival need 2. Five gallons of water: replacement for tremendous liquid loss on the sunlit side of the moon -3. Stellar map of the moon’s constellation: primary means of navigation +3. Stellar map of the moonďż˝s constellation: primary means of navigation 4. Food concentrate: efficient means of supplying energy requirements 5. Solar-powered FM receiver-transmitter: for communication with mothership; but @@ -21170,7 +20347,7 @@ FM requires line-of-sight transmission and short ranges 7. First-aid kit containing injection needles: needles for vitamins; medicines, etc.; will fit special aperture in NASA spacesuits -8. Parachute silk: protection from sun’s rays +8. Parachute silk: protection from sunďż˝s rays 9. Self-inflating life raft: carbon monoxide bottle in military raft may be used for propulsion @@ -21190,7 +20367,7 @@ Group Dynamics The ability to work effectively with other people is absolutely central for the public manager. To persuade people on issues, to encourage and motivate your employees, to -represent your organization well before external groups — these and many other inter¬ +represent your organization well before external groups ďż˝ these and many other interďż˝ personal skills contribute to your success as a public manager. Whereas it was once thought that managers were born, not made, we now know that the skills managers need can be learned and improved. By carefully considering and constantly practicing @@ -21198,7 +20375,7 @@ good management skills, you can become more effective. Communications -As we saw in Chapter 10, most of a manager’s typical day is spent in some form of +As we saw in Chapter 10, most of a managerďż˝s typical day is spent in some form of communication activity; some days are devoted almost exclusively to communications. The ability to communicate well is necessary for any adult to function successfully in American society. Indeed, research has shown that, on the average, adult Americans @@ -21215,9 +20392,9 @@ Listening We do more listening than we do any other form of communication. Recent research focusing exclusively on managers reveals that managers spend a greater than average -portion of their time listening—about 63 percent of the day. Recall that the studies +portion of their time listeningďż˝about 63 percent of the day. Recall that the studies of managerial activities we discussed in the last chapter indicate that a majority of a -manager’s communication interactions are initiated by others. Because most are in the +managerďż˝s communication interactions are initiated by others. Because most are in the form of face-to-face interactions, this finding implies a lot of listening. 391 @@ -21240,7 +20417,7 @@ Principles of Effective Listening But doing a lot of listening does not mean that managers listen well. Listening is not the same as hearing, and, although hearing cannot be altered without medical or -technical intervention, one can substantially improve the quality of one’s listening with +technical intervention, one can substantially improve the quality of oneďż˝s listening with proper motivation and training. Let us first review some basics of effective listening (see Box 11.1). @@ -21253,24 +20430,24 @@ no exception. One must be motivated to listen well; it does not just happen. Wit motivation, you will not use the other six principles, or you will not use them as well as you could. -But, you ask, what if I don’t have a reason to listen? Then find one. Actively search -for a reason to listen to what is being said. Ask yourself, “How can this information -help me do my job better?” Or, “How can I use this information in some way, on the job -or elsewhere?” Finding a reason to listen will provide the motivation to use all the other +But, you ask, what if I donďż˝t have a reason to listen? Then find one. Actively search +for a reason to listen to what is being said. Ask yourself, ďż˝How can this information +help me do my job better?ďż˝ Or, ďż˝How can I use this information in some way, on the job +or elsewhere?ďż˝ Finding a reason to listen will provide the motivation to use all the other principles and techniques. Suspend Judgment Initially -The key word in this phrase is “initially.” You will need to evaluate the material you -listen to, but you should wait until you hear the entire message before you begin the eval¬ +The key word in this phrase is ďż˝initially.ďż˝ You will need to evaluate the material you +listen to, but you should wait until you hear the entire message before you begin the evalďż˝ uation. This can be difficult. In an election year, for example, if we know a particular -candidate’s party, we are likely to evaluate what the candidate is going to say before he or +candidateďż˝s party, we are likely to evaluate what the candidate is going to say before he or she even begins speaking. It is not coincidental that television and radio advertising for -many candidates does not prominently identify the candidate’s party. The advertisers +many candidates does not prominently identify the candidateďż˝s party. The advertisers want to increase the chances of having the message heard rather than losing half the audience immediately by identifying the speaker as a Democrat or Republican. To make a judgment before listening carefully to what someone is saying is the opposite of the -“suspension” principle. +ďż˝suspensionďż˝ principle. @@ -21290,10 +20467,10 @@ In this case, trying harder means that you should increase your concentration. I are in a face-to-face situation with a speaker, make sure you maintain constant eye contact. You can also lean a little bit in the direction of the speaker. By increasing your level of concentration, you can resist distractions you would have thought impossible to -overcome. And that is the problem with distractions—they become an excuse for not -even trying to listen, because “It is impossible to hear what she is saying.” +overcome. And that is the problem with distractionsďż˝they become an excuse for not +even trying to listen, because ďż˝It is impossible to hear what she is saying.ďż˝ -A common classroom demonstration in listening skills illustrates the distraction princi¬ +A common classroom demonstration in listening skills illustrates the distraction princiďż˝ ple (as well as others). Two volunteers read a short paragraph to the class. The volunteers are positioned in front of the class, about fifteen feet away from each other. Each has a sheet of paper containing a short paragraph (which takes no more than thirty to forty @@ -21302,11 +20479,11 @@ two volunteers, but not to both. The students are instructed not to take notes w paragraphs are being read, but, at the end of the reading, to write down something about each of the major points their speaker has read. -The trick is that each volunteer has a different paragraph and they read the para¬ +The trick is that each volunteer has a different paragraph and they read the paraďż˝ graphs simultaneously! After the first round of the exercise, checking usually reveals that only a small number and sometimes none of the students in the class are able to write down something about every major point their speaker read. The instructor then reviews -the eye-contact and learning points, picks two new volunteers, gives them two new para¬ +the eye-contact and learning points, picks two new volunteers, gives them two new paraďż˝ graphs, and repeats the exercise. The second time around it is not unusual to find that 20 percent to 25 percent of the class has written down something about each major point. @@ -21317,7 +20494,7 @@ that our ability to resist distractions is much higher than we realize, and that overcome a great deal to improve the quality of our listening. Some distractions are less obvious, and are perceived only semiconsciously. One such -distraction for many Americans is English spoken with a foreign accent or with a differ¬ +distraction for many Americans is English spoken with a foreign accent or with a differďż˝ ent regional accent. Professor Allen Bluedorn recalls learning this lesson while he was in the U.S. Army, taking part in a listening course. The course made the same point about distractions that we have made, and he wondered if he had been allowing the fact that @@ -21334,7 +20511,7 @@ Chapter 11 Interpersonal Skills and Group Dynamics concentrating harder, he was able to understand completely what the person said. He concluded that he had indeed been succumbing to the distraction of the accent, and -it had become an excuse not to listen well. This lesson is important in today’s increas¬ +it had become an excuse not to listen well. This lesson is important in todayďż˝s increasďż˝ ingly multicultural organizations, where English is often spoken with a wide variety of accents. But the larger and more important lesson is that even substantial distractions can be overcome. @@ -21343,7 +20520,7 @@ Wait before Responding The response principle suggests that one relax and wait for natural opportunities to speak, instead of jumping into the conversation immediately. When we are burning to contribute -to a discussion or conversation, we become too excited about getting into the conver¬ +to a discussion or conversation, we become too excited about getting into the converďż˝ sation; we concentrate on whatever it is we want to say and stop concentrating on and listening to what the speaker is saying. The response principle suggests that one wait for a natural opportunity to contribute; try to flow with the conversation as an event rather @@ -21351,29 +20528,29 @@ than disrupting it by speaking at the wrong time. Rephrase What You Listen to in Your Own Words -The rephrasing principle suggests an incredibly simple, yet powerful, way to check one’s +The rephrasing principle suggests an incredibly simple, yet powerful, way to check oneďż˝s understanding. The idea is merely to take something you hear (an idea, instructions, and so on) and put it into your own words. You then repeat it to the person who gave you the information and ask if that is what was meant. As easy as it seems, this is an excellent way to check understanding and avoid mistakes. When you give instructions, you can ask -the person who is receiving them to do the same thing. You can say, for example, “I am -not sure I explained that very well. Please tell me what you got out of that.” +the person who is receiving them to do the same thing. You can say, for example, ďż˝I am +not sure I explained that very well. Please tell me what you got out of that.ďż˝ Seek the Important Themes -The thematic principle indicates that the main ideas are more important than facts — so +The thematic principle indicates that the main ideas are more important than facts ďż˝ so important that they are the general keys to understanding and retaining what is said. Understanding the main ideas provides a framework for organizing the facts, which makes the facts themselves easier to remember. The man usually credited with starting the listening movement over thirty years ago, -Ralph Nichols, demonstrated this point in his research. He discovered that A and B stu¬ +Ralph Nichols, demonstrated this point in his research. He discovered that A and B stuďż˝ dents reported different listening habits than C and D students. In surveys of hundreds of students, he discovered that the A and B students gave a much different response to -the question, “What do you listen for first when you attend a lecture?” than did the C -and D students. The A and B students predominantly gave a response such as “I listen for -the main ideas first,” whereas C and D students said, “I listen for the facts.” (This finding -probably does not entirely explain the differences in these students’ GPAs, but it is +the question, ďż˝What do you listen for first when you attend a lecture?ďż˝ than did the C +and D students. The A and B students predominantly gave a response such as ďż˝I listen for +the main ideas first,ďż˝ whereas C and D students said, ďż˝I listen for the facts.ďż˝ (This finding +probably does not entirely explain the differences in these studentsďż˝ GPAs, but it is undoubtedly part of it.) Use the Thinking-Speaking Differential to Reflect and Find Meaning @@ -21387,27 +20564,27 @@ Communications 395 minute, but in terms of language, they think at a rate of about 500 words per minute. Thus, we normally think more than three times faster than we speak. This differential -creates an opportunity to listen more effectively, but the opportunity can also be a temp¬ +creates an opportunity to listen more effectively, but the opportunity can also be a tempďż˝ tation to do things that interfere with our listening. The extra time can also be used for -things that distract from the listening process—concentration lapses, daydreaming, think¬ +things that distract from the listening processďż˝concentration lapses, daydreaming, thinkďż˝ ing about something other than what the speaker is saying, and so forth. All these things -interfere with good listening, so the extra time is a two-edged sword — both opportunity +interfere with good listening, so the extra time is a two-edged sword ďż˝ both opportunity and temptation. Listening is both the most widely used and the most widely misused communication -skill. It is also the skill least often taught in the American education system, from kinder¬ +skill. It is also the skill least often taught in the American education system, from kinderďż˝ garten through graduate school (Steil, Barker, & Watson, 1983). Speaking -Most of the speaking managers do is informal, one-on-one or small group communica¬ +Most of the speaking managers do is informal, one-on-one or small group communicaďż˝ tions in their offices, on the phone, and in meetings. To show how we can improve our speaking, we will focus on giving instructions because a significant amount of manager- initiated communication consists of giving instructions to others. The managerial activity of delegation in fact, would be virtually impossible without instruction giving. The key to giving instructions successfully is the ability to put yourself in the position of the person who will receive the instructions. Ideally, you want to give exactly the right -amount of information — neither too much nor too little; however, if one must depart +amount of information ďż˝ neither too much nor too little; however, if one must depart from the ideal, it is usually better to give too much rather than too little. Two questions help you put yourself in the position of the individual who will receive @@ -21417,10 +20594,10 @@ the instructions: 2. What does the person want to know to carry out the instructions? The ability to decide what information is really needed is, incidentally, a justification -for promotion from within—making managers out of the people who have done the +for promotion from withinďż˝making managers out of the people who have done the jobs they will be managing. People who have done the job should be able to determine more accurately what their subordinates need to know when they receive instructions. -Unfortunately, not everyone who is promoted to the management level takes full advan¬ +Unfortunately, not everyone who is promoted to the management level takes full advanďż˝ tage of this knowledge. To demonstrate how difficult it is to identify what information to transmit, let us @@ -21442,7 +20619,7 @@ even if the second diagram is more complex. Why? The answer seems to be that the instruction giver in the second round has been in the position of the instruction receiver during the first round and, thus, has a better idea of what information is really needed. Furthermore, the instruction givers during the second round know the scoring rules and -can focus on what elements of the diagrams will be scored when the copies are evalu¬ +can focus on what elements of the diagrams will be scored when the copies are evaluďż˝ ated. Most important, however, the instruction giver who understands what information someone needs is better able to provide that information. @@ -21452,10 +20629,10 @@ Writing is a less common form of managerial communication than speaking and list but it is important nevertheless. Most managerial writing is brief, often one or two pages. The memo is the most common type of written communication for many managers. Sussman and Deep (1984) offer six rules for effective managerial writing that they call the -“Six Cs”: +ďż˝Six Csďż˝: -Clarity: To be clear, one must put oneself in the reader’s position — much as the -instruction giver must put himself or herself in the receiver’s position. Write in the +Clarity: To be clear, one must put oneself in the readerďż˝s position ďż˝ much as the +instruction giver must put himself or herself in the receiverďż˝s position. Write in the active voice (i.e., Dave painted the house) rather than the passive (i.e., The house was painted by Dave); avoid jargon; and try to use the simple format of introduction, body, and conclusion. @@ -21468,10 +20645,10 @@ Conciseness: This is the rule of brevity; be short and to the point. Sometimes y want to repeat something for emphasis, but the general rule is the shorter the better. Think of it this way: which are you more likely to read, a fifty-word memo or a ten- page report? You are likely to read the fifty-word memo on the spot; the ten-page -report goes into the pile you will “get to when I can.” +report goes into the pile you will ďż˝get to when I can.ďż˝ Confidence: Always write with confidence. Confidence is really a matter of judgment -on the writer’s part, based on one’s knowledge of one’s readers. Judgment is especially +on the writerďż˝s part, based on oneďż˝s knowledge of oneďż˝s readers. Judgment is especially important in avoiding two extremes: overbearing (too confident) and wishy-washy (not confident enough). @@ -21482,8 +20659,8 @@ conspicuous. Conversational tone: To achieve a conversational tone, try to write in about the same way you talk, and try to imagine one specific person to whom you are writing. Thinking of a specific individual rather than an abstract category makes it much -easier to write. It is much easier to write to John Jones than to “all economics pro¬ -fessors.” Occasionally, conversational writing calls for violating some formal rules +easier to write. It is much easier to write to John Jones than to ďż˝all economics proďż˝ +fessors.ďż˝ Occasionally, conversational writing calls for violating some formal rules @@ -21494,7 +20671,7 @@ BOX 11.2 Secret Weapons for Organizational Communication Here are several methods for dealing with difficult situations in the work setting. -(1) Remember that people do things for their own reasons, not yours. Someone’s anger +(1) Remember that people do things for their own reasons, not yours. Someoneďż˝s anger may mean he or she actually sees the situation from a completely different perspective, so try to understand that view. (2) When under attack, use a calm, even tone of voice and low-key body language. The content of what you say can be the same, just modify @@ -21503,30 +20680,30 @@ tone of voice 38 percent, and body language 55 percent. (3) Use conversational f to anticipate a really sticky situation by saying exactly what you want to say. Then tone it down to what you know you should say. (4) Remember to rehearse so that you are prepared to cope with the situation when it arises. Practice receiving and returning -“verbal hardballs.” (5) If necessary, use emotional jujitsu. The principle of jujitsu is to -flow with your opponent’s strength, to turn his own force against him by redirecting +ďż˝verbal hardballs.ďż˝ (5) If necessary, use emotional jujitsu. The principle of jujitsu is to +flow with your opponentďż˝s strength, to turn his own force against him by redirecting it rather than resisting it. Rather than defending yourself, agree. Your critic will be instantly disarmed, and then you can begin to deal with the causes of the emotion rather than the emotion itself. -SOURCE: Excerpted from “Personal Productivity: Organizational Communication,” Government +SOURCE: Excerpted from ďż˝Personal Productivity: Organizational Communication,ďż˝ Government Productivity News 3 (September 1989): 4. -—b—wiirnwt1' ^h— +ďż˝bďż˝wiirnwt1' ^hďż˝ -of grammar, but this breach often makes things smoother, and thus more understand¬ +of grammar, but this breach often makes things smoother, and thus more understandďż˝ able and easier to follow. Communications will affect nearly every aspect of your work as a public manager. Your ability to persuade others of your position, your clarity in sharing ideas, and your -ability to deal effectively with difficult people will shape your image as an adminis¬ +ability to deal effectively with difficult people will shape your image as an adminisďż˝ trator (see Box 11.2). Fortunately, you can improve your ability to listen, to speak, and to write. So, practicing your communication skills whenever possible will pay dividends whatever your career. Delegation and Motivation -Management can be defined as “the process of getting things done through others.” To +Management can be defined as ďż˝the process of getting things done through others.ďż˝ To get things done through others, it is necessary to communicate with others and, often, to motivate them as well. Much of the time, those others are the people you supervise. After all, if you can do all the work yourself, you should just go ahead and do it. As a @@ -21540,11 +20717,11 @@ CHAPTER 11 Interpersonal Skills and Group Dynamics After a long and distinguished career as a research scientist, Fraser Parks became manager of a well-known research and development laboratory. Soon after his appointment, a major new project was assigned to the lab. The task was clear in -Fraser’s mind: as a good scientist he knew how to do the work and how to ensure a +Fraserďż˝s mind: as a good scientist he knew how to do the work and how to ensure a high-quality, technically flawless piece of equipment. With a couple of years alone in the lab, he knew he could do the whole project by himself and do it well. The problem was that the equipment was needed in less than three months. Fraser -knew that most of the work would have to be delegated to newly hired and reas¬ +knew that most of the work would have to be delegated to newly hired and reasďż˝ signed staff, but he knew these people would never be able to do the high-quality job that he alone would have done. After two and a half months of trying to get the job done right, Fraser collapsed in his office one night and was immediately @@ -21556,7 +20733,7 @@ delegation can be nearly fatal. To delegate well, you need to try to delegate an amount of authority and responsibility for a job. Authority is the legitimate power to do the job, and responsibility is the accountability the individual has to you for getting the job done. The idea that an individual should have equal amounts of both is the -parity principle. Managers often complain that they will be held responsible for some¬ +parity principle. Managers often complain that they will be held responsible for someďż˝ thing, but have not been given enough authority to get the job done. Less frequent, but equally troublesome, is an individual who has authority but is not held responsible for its use. @@ -21566,25 +20743,25 @@ you should delegate tasks to the appropriate level. Holding everything else equa appropriate level is the lowest level in the hierarchy where the task can be accomplished competently. You should also provide support for the delegated tasks. This support can take many forms, including delegation of authority in a public statement (such as saying -at a meeting, “Betty is in charge of inspections in the northern district now”). +at a meeting, ďż˝Betty is in charge of inspections in the northern district nowďż˝). It is often helpful to involve subordinates in the process of delegation, encouraging them to make suggestions about the kind of work they can or should be doing. Delegation -should be a two-way process. On the other hand, do not fall victim to the upward delega¬ +should be a two-way process. On the other hand, do not fall victim to the upward delegaďż˝ tion phenomenon. Upward delegation occurs when subordinates bring problems to their -managers that the subordinates should be solving themselves. This is the opposite of effec¬ +managers that the subordinates should be solving themselves. This is the opposite of effecďż˝ tive delegation. You should refuse to accept these problems. An effective technique is to -insist that any subordinate who wants advice about a problem (the way the upward dele¬ +insist that any subordinate who wants advice about a problem (the way the upward deleďż˝ gation attempt is often presented) should first think of at least one potential solution before coming to you to discuss the problem. To allow for creativity and motivation in the delegation process, it is best to hold subordinates accountable for results and leave -the “how” up to them. This principle assumes, of course, that the “how” will be within -the constraints of legal and ethical behavior as well as the constraints of public or organi¬ +the ďż˝howďż˝ up to them. This principle assumes, of course, that the ďż˝howďż˝ will be within +the constraints of legal and ethical behavior as well as the constraints of public or organiďż˝ zational policies. Finally, tasks should be delegated consistently when the work load is light as well as heavy and when the jobs are fun as well as nasty. -Besides getting things done through others, delegation helps to develop employ¬ -ees, thereby making them more valuable to you and to the organization. Some man¬ +Besides getting things done through others, delegation helps to develop employďż˝ +ees, thereby making them more valuable to you and to the organization. Some manďż˝ agers are threatened by the idea that they may be developing possible replacements @@ -21593,7 +20770,7 @@ Delegation and Motivation 399 (i.e., competitors). But there is another way to look at this situation. Unless you are at the very top of the organization, you probably want to be promoted. But you cannot -be promoted if you cannot be replaced. Developing your subordinates through delega¬ +be promoted if you cannot be replaced. Developing your subordinates through delegaďż˝ tion is a way of providing, to your advantage, your own potential replacements! Motivation @@ -21601,32 +20778,32 @@ Motivation Whether members of an organization perform well depends partly on ability and partly on motivation. A person must have or be able to call upon the right mix of skills and abilities to do a job and must be motivated to do the job well. When you can help -develop your employees’ skills through instruction, training programs, and so forth, you +develop your employeesďż˝ skills through instruction, training programs, and so forth, you are likely to have a significantly greater impact on their motivation. Pay and Job Satisfaction When one thinks of motivation in a managerial context, pay is a subject that naturally -comes to mind. Frederick Taylor based the entire incentive system of his scientific man¬ +comes to mind. Frederick Taylor based the entire incentive system of his scientific manďż˝ agement program on economic factors. Contemporary thinking about motivation is -more sophisticated than Taylor’s, however, as pay is seen to interact with other motiva¬ +more sophisticated than Taylorďż˝s, however, as pay is seen to interact with other motivaďż˝ tors in complex ways. Even as early as the 1950s, Frederick Herzberg developed a model of motivation known as the two-factor theory. Herzberg (1959) argued that two sets of variables were -relevant to the question of motivation. One set, hygiene factors, related to job dissatis¬ +relevant to the question of motivation. One set, hygiene factors, related to job dissatisďż˝ faction; the other set, motivators, related to job satisfaction. Hygiene factors included variables such as pay and working conditions; motivators were factors such as chances for achievement, recognition, and advancement. Herzberg -argued that improvements in hygiene factors such as pay would not increase job satisfac¬ -tion; instead, any improvements would simply reduce dissatisfaction. If an individual’s +argued that improvements in hygiene factors such as pay would not increase job satisfacďż˝ +tion; instead, any improvements would simply reduce dissatisfaction. If an individualďż˝s pay got worse or did not increase fast enough, dissatisfaction would increase. Conversely, motivators such as achievement or advancement would not affect dissatisfaction, but would increase or decrease job satisfaction. The lesson for managers was that motivating employees is a far more complex task than simply changing salary levels. -Other approaches to motivation were based on psychologist Abraham Maslow’s +Other approaches to motivation were based on psychologist Abraham Maslowďż˝s theory of human development; that is, the assumption that everyone has a need to grow and develop and to establish a sense of meaning in their lives. Maslow (1954) suggested a hierarchy of needs that all human beings must fulfill. At the first level, we must meet our @@ -21645,7 +20822,7 @@ these studies began as a research project to investigate the effects of physical 400 CHAPTER 11 Interpersonal Skills and Group Dynamics -conditions such as lighting on workers’ productivity. Given some unexpected findings +conditions such as lighting on workersďż˝ productivity. Given some unexpected findings early in the studies, the investigators changed the focus of the research to investigate the impacts of social and supervisory variables on performance. @@ -21656,31 +20833,31 @@ argue was never present in the original research reports and is thus a misinterp for the discovery that a happy worker is a productive worker. Other studies of the job satisfaction-performance relationship produced mixed results. Some theorists argued that the job-satisfaction-leads-to-better-performance thesis was wrong in terms of the causal -ordering—that it was actually the other way around, with higher levels of performance +orderingďż˝that it was actually the other way around, with higher levels of performance causing higher levels of job satisfaction. Although there is still not complete agreement on this issue, support is accumulating -for a third interpretation of the job satisfaction-performance relationship—that there will +for a third interpretation of the job satisfaction-performance relationshipďż˝that there will only be a relationship between job satisfaction and performance if the rewards one -receives are based on one’s performance. If rewards are based on performance, there +receives are based on oneďż˝s performance. If rewards are based on performance, there should be a positive correlation between job satisfaction and performance (the higher the performance, the higher the job satisfaction) because higher performance will lead to higher rewards, which will produce higher job satisfaction. If this is true, one part of the -manager’s job will be to make sure that performance is directly linked to rewards—pay +managerďż˝s job will be to make sure that performance is directly linked to rewardsďż˝pay as well as others. One method to achieve this linkage is reinforcement theory. Reinforcement Theory Reinforcement theory and related approaches have been given various labels, including -behaviorism, operant conditioning, stimulus-response psychology, and Skinnerian psy¬ +behaviorism, operant conditioning, stimulus-response psychology, and Skinnerian psyďż˝ chology. The labels all refer to more or less the same thing, an approach to explaining -behavior based on Thorndike’s law of effect: “Of several responses made to the same -situation, those which are accompanied or closely followed by satisfaction (reinforce¬ +behavior based on Thorndikeďż˝s law of effect: ďż˝Of several responses made to the same +situation, those which are accompanied or closely followed by satisfaction (reinforceďż˝ ment) . . . will be more likely to occur; those which are accompanied or closely followed -by discomfort (punishment) . . . will be less likely to occur” (Daft & Steers, 1986, p. 51). +by discomfort (punishment) . . . will be less likely to occurďż˝ (Daft & Steers, 1986, p. 51). The law of effect has been studied for over a century, as it relates to learning in both -animals and human beings. Results of this research have produced a number of general¬ +animals and human beings. Results of this research have produced a number of generalďż˝ izations about the specifics of reinforcement. There are four basic scenarios or results that may follow a specific behavior. If a reward follows the behavior, the individual is more likely to repeat the behavior; this is called positive reinforcement. Reinforcement @@ -21691,7 +20868,7 @@ On the other hand, if an unpleasant event or punishment follows the behavior, th individual is less likely to repeat it. Note that negative reinforcement is not the same as punishment, even though the terms have become synonymous in ordinary usage. From the standpoint of the recipient, punishment would be considered a bad outcome, -whereas negative reinforcement would be considered a good outcome. The final possi¬ +whereas negative reinforcement would be considered a good outcome. The final possiďż˝ bility is that nothing will happen following a behavior, or at least no reinforcement will occur in connection with it. When this is the case, the individual is less likely to repeat @@ -21706,46 +20883,46 @@ Regardless of which of the four possibilities one is considering, a common theme one of the key principles of the reinforcement approach, is that whatever response is given to the behavior, the response should follow the behavior as soon as possible. If there is too long a delay following the behavior, the response (reward, removal of an -unpleasant situation, and so on) may be misinterpreted and associated with other behav¬ +unpleasant situation, and so on) may be misinterpreted and associated with other behavďż˝ iors that have occurred in the interval. -Other important considerations of the reinforcement approach are the patterns, fre¬ +Other important considerations of the reinforcement approach are the patterns, freďż˝ quency, and basis for providing the response. In terms of frequency, responses can be given every time the behavior occurs (continuous reinforcement schedule) or for only a certain proportion of occurrences (partial reinforcement schedule). The basis for making the responses can be either the number of times an event occurs (ratio schedules) or the passage of time (interval schedules). The pattern of responses can be either consistent (fixed schedules) or random (variable schedules). Research indicates that fixed schedules -lead to faster learning, but to quicker unlearning or forgetting when the schedule is aban¬ +lead to faster learning, but to quicker unlearning or forgetting when the schedule is abanďż˝ doned. Conversely, variable schedules lead to slower learning, but once the behavior is learned, the unlearning or forgetting is much slower when the schedule is abandoned. -This description of reinforcement approaches probably conjures up images of labora¬ +This description of reinforcement approaches probably conjures up images of laboraďż˝ tory animals running through a maze to earn food pellets or to avoid electric shocks, and these are indeed how reinforcement has been studied in the laboratory. An obvious and natural parallel applying reinforcement theory in a managerial context is to link -pay in some way to an individual’s performance. This can be done, but pay (wages or +pay in some way to an individualďż˝s performance. This can be done, but pay (wages or salaries) tends to be set only once a year, and, since organizational policies often dictate -pay levels, many managers have only a partial impact on establishing their subordi¬ -nates’ pay levels. This limits the extent to which the manager can use pay as a motiva¬ +pay levels, many managers have only a partial impact on establishing their subordiďż˝ +natesďż˝ pay levels. This limits the extent to which the manager can use pay as a motivaďż˝ tional tool. A recent article in PA Times identified several assumptions underlying pay-for-perfor- mance forms of motivation: -1. An individual’s performance could be accurately or reasonably measured according to +1. An individualďż˝s performance could be accurately or reasonably measured according to some criteria. -2. This system could affect an employee’s decision to leave or remain with his or her -organization and influence an employee’s willingness to work harder for his or her orga¬ +2. This system could affect an employeeďż˝s decision to leave or remain with his or her +organization and influence an employeeďż˝s willingness to work harder for his or her orgaďż˝ nization than those who are not under the system. 3. An employee will place high value on monetary rewards in the workplace. (Lee, 2001, p. 3) Beginning with the first assumption, though, we can see the challenges faced by public -and nonprofit managers in employing such a system in practice. As the author found, “It +and nonprofit managers in employing such a system in practice. As the author found, ďż˝It [a performance-based system] may work in private companies, since they have a clear goal (maximization of profit) that can be measured in quantitative ways. However, this -does not seem to be working in most public agencies” (Lee, 2001, p. 3). Unclear goals, +does not seem to be working in most public agenciesďż˝ (Lee, 2001, p. 3). Unclear goals, combined with the need to balance between competing interest groups, tends to make establishing such clear-cut objectives impossible in the delivery of public services. @@ -21753,12 +20930,12 @@ establishing such clear-cut objectives impossible in the delivery of public serv 402 Chapter 11 Interpersonal Skills and Group Dynamics -Moreover, the author found in his study of public employees In New Jersey that peo¬ +Moreover, the author found in his study of public employees In New Jersey that peoďż˝ ple working in public and nonprofit organizations seek more than financial incentives: -“[I]f a public-sector employee is committed to his or her supervisor, he or she is more +ďż˝[I]f a public-sector employee is committed to his or her supervisor, he or she is more likely to remain with the agency and make an extra effort on behalf of the organization. -In other words, a major motivating factor is not monetary reward, but an affective per¬ -sonal relationship among employees” (Lee, 2001, p. 3). Pay-for-performance may boost +In other words, a major motivating factor is not monetary reward, but an affective perďż˝ +sonal relationship among employeesďż˝ (Lee, 2001, p. 3). Pay-for-performance may boost some forms of productivity, but it should not be viewed as a building block for a truly high-impact organization. @@ -21773,9 +20950,9 @@ indicates at least eight necessary characteristics for a goal to have maximum mo impact. 1. It is best to write down a goal rather than to just keep it in mind. In a technical sense, -one does not “do” a goal — one achieves a goal; therefore, the proper way to write a goal -statement is with the word to followed by an action verb for example, “To finish this -chapter by 5 o’clock today.” Something about writing down a goal creates greater com¬ +one does not ďż˝doďż˝ a goal ďż˝ one achieves a goal; therefore, the proper way to write a goal +statement is with the word to followed by an action verb for example, ďż˝To finish this +chapter by 5 oďż˝clock today.ďż˝ Something about writing down a goal creates greater comďż˝ mitment on the part of the writer. It is harder to ignore, and seeing it on your desk or in your notebook constantly makes the goal harder to forget. Writing down a goal can also facilitate planning, as you consciously identify the actions you must take to achieve @@ -21784,21 +20961,21 @@ the goal. goal should be as specific as possible. A field experiment on goal setting at the Weyerhauser Lumber Company several years -ago tested the relative impacts of general and specific goals. The objects of the experi¬ +ago tested the relative impacts of general and specific goals. The objects of the experiďż˝ ment were truck drivers who hauled logs from one location to another in Oklahoma for processing. -The federal government established safety standards for how much weight the truck¬ +The federal government established safety standards for how much weight the truckďż˝ ers could carry, and this amount was taken to be the maximum capacity of the trucks, -100 percent. The researchers and managers at Weyerhauser noted that the truckers nor¬ +100 percent. The researchers and managers at Weyerhauser noted that the truckers norďż˝ mally only hauled about 62 percent of capacity. The first part of the experiment consisted of management informing the truckers that they wanted more weight to be carried on each load and that the truckers were to do their best to achieve this goal. -The truckers’ performance was tracked for the next three months and there was little +The truckersďż˝ performance was tracked for the next three months and there was little or no improvement (1 or 2 percent at most). The truckers were then informed that -a goal had been set for them; the goal was to haul 94 percent of capacity on each load— -a much more specific goal than “Do your best.” After three months, the truckers were +a goal had been set for them; the goal was to haul 94 percent of capacity on each loadďż˝ +a much more specific goal than ďż˝Do your best.ďż˝ After three months, the truckers were averaging over 90 percent of capacity per load, very close to the 94 percent goal the managers had set for them. @@ -21816,11 +20993,11 @@ a difference. Networking Information on organization development and management is available online -through the OD Network (http://www.odnetwork.org). Also, check out ASPA’s +through the OD Network (http://www.odnetwork.org). Also, check out ASPAďż˝s Community Learning and Governance Network (http://www.aspanet.org/solutions/ clgn.html). For specific information on conflict resolution, visit the Conflict Resolution Center (http://www.ConflictRes.Org/), the National Association for -Community Mediation (http://www.igc.org/nafcm/), or Illinois’ Center for Analysis +Community Mediation (http://www.igc.org/nafcm/), or Illinoisďż˝ Center for Analysis of Alternative Dispute Resolutions Systems (http://www.caadrs.org), which offers insight into specific examples of ADR at the state level. @@ -21829,7 +21006,7 @@ study at Weyerhauser, the truckers weighed in at the delivery location for the l provided a precise way to measure the amount of weight they were hauling and, in turn, how close they were to the goal. (Incidentally, the weigh-in procedure was not added by the experiment; the truckers had been following it for many years as part of their job.) -4. A date or time by which the goal is to be accomplished should be specified. The pres¬ +4. A date or time by which the goal is to be accomplished should be specified. The presďż˝ ence or absence of a deadline is a critical attribute of any goal-setting exercise. Deadlines stimulate action, and the closer the deadline, the more motivation to act. The absence of a deadline makes the urgency of the goal indefinite and hence less motivating. @@ -21846,7 +21023,7 @@ because there is no reason to try if they cannot, by definition, be attained. (P may occur, however, if the goal is too attainable.) 6. Although a goal should be attainable, it should also be challenging. There is little or no satisfaction in achieving a goal that presents too little challenge. The best goal in -terms of motivation is one that is perceived as attainable yet challenging — as one that +terms of motivation is one that is perceived as attainable yet challenging ďż˝ as one that can be achieved, but only with significant effort. Psychologist David McClelland demonstrated this phenomenon many years ago. @@ -21857,7 +21034,7 @@ a position located right next to the box. After they had thrown from various dis 404 Chapter 11 Interpersonal Skills and Group Dynamics -they were asked from which position they preferred‘to throw. Very few picked the loca¬ +they were asked from which position they preferredďż˝to throw. Very few picked the locaďż˝ tion next to the box; most picked a position farther away, a decision consistent with the properties of attainability and challenge. In effect, the children were setting their own goals, and the goals they set were challenging but attainable. @@ -21867,7 +21044,7 @@ them to achieve them? As in so many areas, clarity is highly important. 8. It was originally thought that if the people did not take part in setting goals, they would reject them. Subsequent research, such as the Weyerhauser study in which the truck drivers did not take part in establishing the goals, has shown that people are quite -willing to accept goals that others set for them. This does not mean, however, that involv¬ +willing to accept goals that others set for them. This does not mean, however, that involvďż˝ ing people in establishing goals is a waste of time. Among other things, if the people who will actually be trying to accomplish the goals take part in formulating them, there is a greater chance that they will more completely and accurately understand the goals. @@ -21884,11 +21061,11 @@ supports the notion of including subordinates in the goal-setting process. Conflict, Bargaining, and Negotiation Differences and conflicts inevitably arise in public and nonprofit organizations. But as -Richard Box explains, finding a way to equitably resolve differences is a key interper¬ -sonal skill, opening the door to more citizen-oriented governance. “For elected leaders +Richard Box explains, finding a way to equitably resolve differences is a key interperďż˝ +sonal skill, opening the door to more citizen-oriented governance. ďż˝For elected leaders and public service practitioners, this means a flexible attitude toward change, shedding of protective feelings about personal turf, and a willingness to engage in open dialogue -on issues facing the community” (Box, 1998, p. 12). +on issues facing the communityďż˝ (Box, 1998, p. 12). Roger Fischer and William Ury of the Harvard Negotiation Project have suggested that negotiation is a natural process that occurs where two parties share certain interests @@ -21915,23 +21092,23 @@ Guidelines for Successful Negotiations 3. Generate a variety of possibilities before deciding what to do. 4. Insist that the result will be based on some objective standard. -SOURCE: From Getting to Yes, lie by Roger Fischer and William Ury and Bruce Patton. Copyright © +SOURCE: From Getting to Yes, lie by Roger Fischer and William Ury and Bruce Patton. Copyright ďż˝ 1981, 1991 by Roger Fischer and William Ury. Reprinted with permission of Floughton Mifflin Company. All rights reserved. -Fischer and Ury suggest an alternative method called “principled negotiation.” Principled +Fischer and Ury suggest an alternative method called ďż˝principled negotiation.ďż˝ Principled negotiation is based around four elements of negotiation: people, interests, options, and the criteria for solution. Four guidelines emerge from these elements (see Box 11.3). According to Fischer and Ury, following these guidelines leads to negotiated settlements -that are more equitable and more likely to lead to continued effective working relation¬ +that are more equitable and more likely to lead to continued effective working relationďż˝ ships than are more traditional modes of bargaining. Remember that negotiations occur in all kinds of situations, from deciding which movie to see to resolving matters of war and -peace; however, the same general guidelines may be employed in all negotiations to gener¬ +peace; however, the same general guidelines may be employed in all negotiations to generďż˝ ate more effective and responsible solutions. More recently, managers of public and nonprofit organizations have adopted systems -for Alternative Dispute Resolution (ADR). ADR can be thought of as any conflict man¬ +for Alternative Dispute Resolution (ADR). ADR can be thought of as any conflict manďż˝ agement strategy outside of formal adjudication. Approaches range from preventative measures, which include consensus building and setting clear parameters on interpersonal (and interorganizational) relationships, to more formal approaches, such as court-based @@ -21947,8 +21124,8 @@ dynamics have established fairly predictable patterns of interactions. Advantages of Group Decision Making -An old cliche has it that two heads are better than one — probably because two heads hold -more information than one. Put any two people together, and each one will know some¬ +An old cliche has it that two heads are better than one ďż˝ probably because two heads hold +more information than one. Put any two people together, and each one will know someďż˝ thing the other does not. Create a group of five or six, and there is even more information available. We have already seen that generating alternatives is one of the fundamental steps @@ -21966,26 +21143,26 @@ sum of the parts. Synergy can occur in a group, but it is a precious commodity t not easy to create. Consider the following case: Three people get together to solve a problem. Bob proposes a solution, then Allen -proposes a different solution. Betty has been listening to the proposals, which stim¬ +proposes a different solution. Betty has been listening to the proposals, which stimďż˝ ulates an idea to solve the problem in a completely new way. The idea represents something new that was not present before in the group. If it were possible to quantify the information in the group at the beginning of the discussion, the total -information would equal the sum of the information held by the individual mem¬ -bers. With Betty’s new idea, an idea stimulated by the group discussion, the sum is +information would equal the sum of the information held by the individual memďż˝ +bers. With Bettyďż˝s new idea, an idea stimulated by the group discussion, the sum is now greater than the sum of the individual parts. How much and how often synergy occurs in a group is often a function of the nature -of the group’s communications. In small groups (ten or fewer), a number of characteristic +of the groupďż˝s communications. In small groups (ten or fewer), a number of characteristic communication patterns or networks tend to develop, some of which promote synergy more than others. A fundamental way communication networks differ from one another -is in terms of how centralized the networks tend to be. The more centralized a communi¬ +is in terms of how centralized the networks tend to be. The more centralized a communiďż˝ cation network, the more one or a few people are at or near its center. In such a group, the people near the center of the network are involved in receiving and transmitting all or most of the messages that are communicated within the network. The less centralized or more decentralized a network is, the more everyone can communicate with everyone else without having to transmit the message through intermediaries. -As shown in Figure 11.1, the wheel is the most centralized of the networks, the all¬ +As shown in Figure 11.1, the wheel is the most centralized of the networks, the allďż˝ channel is the least centralized, and the circle and the chain fall between the two extremes. Research has shown that decisions are made more quickly in centralized networks when a simple problem is being handled, and that groups with centralized networks also tend to @@ -22003,7 +21180,7 @@ Communication Networks Group Dynamics 407 -Decentralized networks, however, are both faster and more accurate in reaching deci¬ +Decentralized networks, however, are both faster and more accurate in reaching deciďż˝ sions about complex problems, and they will also produce more accurate solutions. Complex problems, by their nature, involve more information, and the decentralized networks make it easier to tap and process the information held by each member. @@ -22013,27 +21190,27 @@ others promotes synergy. Thus, decentralized communication networks tend to prom synergy more than do centralized networks. There is also evidence that centralized, one-way communication also tends to promote -information loss. A well-known study followed messages sent from the boards of direc¬ +information loss. A well-known study followed messages sent from the boards of direcďż˝ tors in one hundred companies to see what happened to them as they worked their way down the hierarchy in each company. The messages passed from the board of directors, to vice presidents, to division managers, to plant managers, to supervisors, and finally to the operating managers. By the time the messages reached the operating managers, only 20 percent of the original content was left! -We want to do more than just make a good decision. The final step in the decision¬ +We want to do more than just make a good decision. The final step in the decisionďż˝ making process is always implementation. If the people who make the decision are the ones who will be implementing it, the commitment to the decision should help with its implementation. Research also reveals that satisfaction with the group and its processes increases as the networks become more decentralized. Satisfaction is not exactly the -same thing as commitment, but the two are closely related. In most cases, then, as partic¬ +same thing as commitment, but the two are closely related. In most cases, then, as particďż˝ ipation in making the decision increases, so should commitment to the final decision. An interesting property of group decision making, the risky shift, can be either an advantage or a disadvantage. The risky shift refers to how daring the decisions would be if made as a group compared to the average risk of the same decision if each member made it alone. It was originally thought that groups would always make riskier decisions -than would individual members. As more research was conducted, however, it was dis¬ -covered that sometimes the shift will be in the opposite direction—that groups some¬ +than would individual members. As more research was conducted, however, it was disďż˝ +covered that sometimes the shift will be in the opposite directionďż˝that groups someďż˝ times make decisions that are less risky than those made by members working alone. Sometimes a daring decision produces better results, but sometimes it makes things @@ -22047,11 +21224,11 @@ Disadvantages of Group Decision Making In addition to the several advantages that are possible with group decision making, there are potential problems too. One of the obvious constraints on human beings that results -in our “bounded rationality” is the constraint of time. Time not only limits the efforts of -individual decision makers to acquire and process information, but it also limits the possi¬ +in our ďż˝bounded rationalityďż˝ is the constraint of time. Time not only limits the efforts of +individual decision makers to acquire and process information, but it also limits the possiďż˝ bilities for groups to make decisions. Normally, it takes a group much longer to make a decision than it takes an individual to make a decision about the same problem. Time thus -becomes an important constraint on a manager’s ability to use group decision making. +becomes an important constraint on a managerďż˝s ability to use group decision making. @@ -22061,32 +21238,32 @@ Another constraint may be cost. Even if group decision making and individual dec making were equally fast, the group is still more expensive. Compare a single decision maker, whose pay amounts to $100 per hour, taking one hour to reach a decision to a committee of five managers, each of whose salaries amount to $100 per hour. The cost -to the organization for the single decision maker is $100, whereas the cost of the commit¬ +to the organization for the single decision maker is $100, whereas the cost of the commitďż˝ tee is $500. -Another property of groups, which is the opposite of synergy, is groupthink. If syn¬ +Another property of groups, which is the opposite of synergy, is groupthink. If synďż˝ ergy is the notion that the whole is greater than the sum of the parts, groupthink makes the whole (the group) less than the sum of the parts. Groupthink was first defined and -analyzed by Irving Janis as “a mode of thinking that people engage in when they are -deeply involved in a cohesive in-group, when the members’ strivings for unanimity over¬ -ride their motivation to realistically appraise alternative courses of action” (Janis, 1983). +analyzed by Irving Janis as ďż˝a mode of thinking that people engage in when they are +deeply involved in a cohesive in-group, when the membersďż˝ strivings for unanimity overďż˝ +ride their motivation to realistically appraise alternative courses of actionďż˝ (Janis, 1983). Because the group is so cohesive, greater emphasis is given to conformity than to making good decisions. -Janis identified characteristics of groups victimized by groupthink and cautioned man¬ +Janis identified characteristics of groups victimized by groupthink and cautioned manďż˝ agers to interpret the presence of these characteristics in a group carefully. For example, -groups experiencing groupthink have an illusion of morality, a belief that the group’s +groups experiencing groupthink have an illusion of morality, a belief that the groupďż˝s position, whatever it may be, is inherently ethical and moral in comparison to positions held by other individuals and groups. Such groups also engage in negative stereotyping -of other people and groups, often viewing outsiders as the enemy and as being too dif¬ +of other people and groups, often viewing outsiders as the enemy and as being too difďż˝ ferent to negotiate with. Groupthink tends to produce an illusion of invulnerability, which makes decisions seem less risky than they really are. Rationalization is commonly employed as a way to discredit information critical of the group or its decisions, and -there is frequent self-censorship of dissenting views, which minimizes the amount of crit¬ -ical or contrary information to which the group is exposed. A strong conformity pres¬ +there is frequent self-censorship of dissenting views, which minimizes the amount of critďż˝ +ical or contrary information to which the group is exposed. A strong conformity presďż˝ sure permeates the group and puts further pressure on group members to agree with the dominant position. Finally, an illusion of unanimity results in the belief that everyone in -the group believes in the group’s decision and judgment. Groups that are victimized by +the group believes in the groupďż˝s decision and judgment. Groups that are victimized by groupthink are limited in their constructive abilities. Interpersonal Dynamics in Groups @@ -22095,15 +21272,15 @@ Interpersonal relationships affect the work of groups or teams. To illustrate th that can arise, imagine that two people who despise each other are assigned to the same committee. These two individuals will not work as well together as two people who are neutral toward each other or who like or respect each other. Even if the conflict is not -manifested, personal animosity may contribute to building a hidden agenda, where pri¬ +manifested, personal animosity may contribute to building a hidden agenda, where priďż˝ vately held goals and priorities motivate actions more directly than the overt and publicly stated reasons. The operation of hidden agendas disrupts the group and diminishes its effectiveness. -But the interpersonal dynamics of groups in action are much more subtle and com¬ +But the interpersonal dynamics of groups in action are much more subtle and comďż˝ plex than these examples suggest (Gardner, 1974, pp. 8-11). For example, groups often -follow a fairly predictable pattern of development. Typically, at the outset of the group’s -work, its members are highly dependent on the leader of the group. They ask for direc¬ +follow a fairly predictable pattern of development. Typically, at the outset of the groupďż˝s +work, its members are highly dependent on the leader of the group. They ask for direcďż˝ tion and become quite frustrated if specific direction is not given. If the leader allows @@ -22111,14 +21288,14 @@ tion and become quite frustrated if specific direction is not given. If the lead Group Dynamics 409 the group to become overly dependent, however, its effectiveness will suffer in the long -term. The leader can resist dependency by referring questions back to the group’s mem¬ +term. The leader can resist dependency by referring questions back to the groupďż˝s memďż˝ bers for input. Often, however, a period of counterdependence will follow, in which members may -show hostility toward the leader. Still wanting some direction, the group’s members are +show hostility toward the leader. Still wanting some direction, the groupďż˝s members are now also experiencing a need for independence, just as an adolescent may simultaneously love and hate his or her parents. Counterdependency seems especially likely to occur in -authoritarian work environments, where members’ actions are too closely regulated. +authoritarian work environments, where membersďż˝ actions are too closely regulated. On the other hand, in a group where members feel they can openly express themselves and their ideas without fear of retaliation, feelings of interdependence may develop. At @@ -22127,21 +21304,21 @@ greater trust and respect for one another. The group will probably be most effec it reaches this stage. As the group moves through these stages of development, certain patterns of behavior -are likely to occur. Early in the group’s development, some members may seek flight, +are likely to occur. Early in the groupďż˝s development, some members may seek flight, through actual withdrawal from the work of the group or through silence, irrelevant comments, or self-serving remarks. Most flight behavior is an implicit attempt to say -that nothing significant will happen unless the leader gives in to the group’s desire for +that nothing significant will happen unless the leader gives in to the groupďż˝s desire for explicit direction. In the counterdependent stage, members may engage in fight behavior -or in pairing. Fighting the group’s leader in some symbolic fashion is, of course, a fairly +or in pairing. Fighting the groupďż˝s leader in some symbolic fashion is, of course, a fairly straightforward act of rebellion; pairing or breaking off into small groups or alliances is somewhat more subtle, yet expresses the same emotion. Finally, as the group reaches the -stage of interdependence, the actual work of the group can be accomplished in reason¬ +stage of interdependence, the actual work of the group can be accomplished in reasonďż˝ able and satisfying ways. At this stage, a variety of leadership functions must occur for the group to maintain its effectiveness (see Box 11.4). These functions can all be performed by a single person, -typically the group’s formal leader, but they can also be performed by a variety of differ¬ -ent people active at different times in the group’s development. In either case, if you wish +typically the groupďż˝s formal leader, but they can also be performed by a variety of differďż˝ +ent people active at different times in the groupďż˝s development. In either case, if you wish to help the group meet its objectives, you should be attentive both to the stages of group development and to the extent to which the various leadership functions are being fulfilled. @@ -22152,11 +21329,11 @@ An open group is one that experiences a great deal of turnover among its members whereas a closed group has a stable membership (Ziller, 1965). Because of their stability, closed groups tend to become very cohesive, but this feature often makes it difficult for a newcomer to become integrated with the group. Whereas lack of acceptance of a -newcomer is a group property, it may be perceived as the result of unsatisfactory inter¬ +newcomer is a group property, it may be perceived as the result of unsatisfactory interďż˝ personal relationships between the newcomer and individual group members. American organizations are becoming more multicultural in composition at both the -managerial and nonmanagerial levels. As more and more women and members of minor¬ +managerial and nonmanagerial levels. As more and more women and members of minorďż˝ ity groups come to be included in what were previously relatively homogeneous groups, other types of problems, often interpersonal, will tend to occur, and the people involved @@ -22202,14 +21379,14 @@ National Textbook Company, 1976), 220-221. Reprinted by permission of the McGraw will often not consciously know the reasons for them. Rosabeth Kanter (1977) explains what happens when a previously homogeneous group is joined by a newcomer who -differs in some socially salient way from the group members as the “theory of relative -numbers.” The insights it provides can be useful to managers working in multicultural +differs in some socially salient way from the group members as the ďż˝theory of relative +numbers.ďż˝ The insights it provides can be useful to managers working in multicultural environments. -The theory of relative numbers is proposed as a universal explanation for the phe¬ +The theory of relative numbers is proposed as a universal explanation for the pheďż˝ nomena that occur when a homogeneous group is joined by someone who differs from -the existing group members. Groups defined by occupation, age, religion, political pref¬ -erence, marital status, and many other characteristics all fit the theory and its explana¬ +the existing group members. Groups defined by occupation, age, religion, political prefďż˝ +erence, marital status, and many other characteristics all fit the theory and its explanaďż˝ tion. The theory then presumably applies to many situations other than groups defined by race or gender, although these are the characteristics with which we are concerned. The theory begins by asking what happens when an all-white group is joined by a black @@ -22219,14 +21396,14 @@ member, or when an all-male group is joined by a female member. Group Dynamics 411 -When a group is homogeneous in terms of a characteristic such as race or sex, mem¬ -bers may differ in terms of individual personalities, but they will not stand out, by defini¬ +When a group is homogeneous in terms of a characteristic such as race or sex, memďż˝ +bers may differ in terms of individual personalities, but they will not stand out, by definiďż˝ tion, because of race or gender differences. Kanter illustrates such a group with the letter -“X” and calls all of the group members Xs (members of a single race). +ďż˝Xďż˝ and calls all of the group members Xs (members of a single race). XXXXXXXXXX (1) -Kanter represents a member of a different race with the letter “O”; when an individ¬ +Kanter represents a member of a different race with the letter ďż˝Oďż˝; when an individďż˝ ual of this race joins the group, the group is diagrammed as follows: XXXXXOXXXX (2) @@ -22234,9 +21411,9 @@ XXXXXOXXXX (2) This new group, new in terms of composition, will experience different dynamics now that O is present. Diagram (2) illustrates what happens in this situation. Which letter sticks out in row (2)? It is the O, who experiences extra visibility as a result of the racial -difference. The extra visibility itself, to say nothing of prejudicial attitudes that may pre¬ +difference. The extra visibility itself, to say nothing of prejudicial attitudes that may preďż˝ vail in the group, will create problems for O. Because always standing out is inherently -stressful, O faces more personal stress. Moreover, O will also have problems with infor¬ +stressful, O faces more personal stress. Moreover, O will also have problems with inforďż˝ mal aspects of the organization because Xs tend to become involved with other Xs rather than Os. This makes it harder for Os to become part of the informal networks that exist in organizations. It also means that Os tend to be unsponsored or unmentored, @@ -22246,10 +21423,10 @@ One of the more intriguing things that happens to O is a form of stereotyping. A we have mentioned, human beings do not tolerate chaos well and create order by defining and redefining situations to explain what is happening. This is especially true in trying to understand human behavior, as we all tend to develop explanations -for why other people behave as they do. Explanations for O’s behavior will tend to -take the form “O is behaving that way because that is the way all Os behave.” -Explanations for O’s behavior will often be based on O’s status as an O. These attribu¬ -tions are often detrimental to O’s standing because, among other things, they tend to +for why other people behave as they do. Explanations for Oďż˝s behavior will tend to +take the form ďż˝O is behaving that way because that is the way all Os behave.ďż˝ +Explanations for Oďż˝s behavior will often be based on Oďż˝s status as an O. These attribuďż˝ +tions are often detrimental to Oďż˝s standing because, among other things, they tend to depersonalize O. In terms of solutions or remedies, adding more Os to the group may be helpful. @@ -22273,13 +21450,13 @@ important as more diverse types of people become part of organizations. 4i2 Chapter 11 Interpersonal Skills and Group Dynamics Managing Groups in Action -__ ... - —-- +__ ... - ďż˝-- -After examining the pros and cons of group decision making, the manager’s strategy +After examining the pros and cons of group decision making, the managerďż˝s strategy should be obvious. If a group is to make a decision, it should be managed so as to enhance the advantages of the group technique and minimize the disadvantages. How, exactly, does one manage the group to accomplish this? Because most group decision -making takes place in meetings, one answer would seem to be in good meeting manage¬ +making takes place in meetings, one answer would seem to be in good meeting manageďż˝ ment (see Box 11.5). The meeting has nearly the worst reputation of any managerial tool, and much of this @@ -22288,7 +21465,7 @@ technique, however, but on the way meetings are usually managed (or mismanaged). first point in improving the effectiveness of meetings is that they are activities that require active management: a successful meeting does not just happen, it requires a lot of work. -Not surprisingly, the fundamentals of managing a meeting are similar to the funda¬ +Not surprisingly, the fundamentals of managing a meeting are similar to the fundaďż˝ mentals of management generally. For example, a meeting must be planned. When will we have it? Where? What do we intend to accomplish? These questions should be answered well before the meeting begins. @@ -22335,13 +21512,13 @@ there people who might have hidden agendas, or who might not work well together? How well did the people you are considering work together last time? How productive were they? -An effective meeting manager must organize the meeting, which also involves a sub¬ +An effective meeting manager must organize the meeting, which also involves a subďż˝ stantial amount of planning. What roles will you create at the meeting? Will you have anyone serve as parliamentarian? In what order will topics and problems be discussed? Will you divide the group into subcommittees to work on special projects? If so, should they work on them before, during, or after the meeting? -Directing the meeting—providing the actual leadership of the ongoing meeting—is +Directing the meetingďż˝providing the actual leadership of the ongoing meetingďż˝is itself complex. Some necessary skills are obvious, such as starting the meeting on time; others are subtle, such as the ability to inhibit a too-vociferous participant. If you have planned well, you will have a good general idea of what the meeting is intended to @@ -22349,8 +21526,8 @@ accomplish and will try to move the meeting in that direction. As meetings often produce decisions, the manager must also see that the decisions are implemented. This is often achieved through a form of delegation at the meeting, when -assignments for future action are made. Indeed, it is often a good idea to review assign¬ -ments as part of the meeting’s conclusion. Finally, conducting a critique of the meeting +assignments for future action are made. Indeed, it is often a good idea to review assignďż˝ +ments as part of the meetingďż˝s conclusion. Finally, conducting a critique of the meeting after it is over, perhaps introspectively, may prove helpful in moving the manager closer to the goal of better meeting management. @@ -22366,20 +21543,20 @@ Once the assignment is announced, group members begin to generate ideas. The ide are described orally, and someone records each idea on a blackboard or flipchart for everyone to see. No evaluations of ideas are permitted during brainstorming, and the session continues until everyone is out of ideas or the leader feels the session has lasted -long enough. The purpose is to bring out the information held by different group mem¬ +long enough. The purpose is to bring out the information held by different group memďż˝ bers and to encourage synergy by stimulating new ideas. -While brainstorming helps enrich the alternative-generation portion of the decision¬ +While brainstorming helps enrich the alternative-generation portion of the decisionďż˝ making process, the nominal group technique generates both alternatives and solutions. A major purpose of the design is to avoid groupthink. A nominal group is a face-to-face -meeting that allows only very limited interaction among participants. A problem is pre¬ +meeting that allows only very limited interaction among participants. A problem is preďż˝ sented, but unlike brainstorming, the group is expected to make a decision about how to solve the problem. After the problem has been presented, each member, working alone, -writes down as many solutions to the problem as he or she can formulate. When every¬ +writes down as many solutions to the problem as he or she can formulate. When everyďż˝ one is finished writing, the leader calls for the solutions. Each person in the room presents one solution until all the possible solutions have been heard. -The solutions are recorded publicly as they are presented, again usually on a black¬ +The solutions are recorded publicly as they are presented, again usually on a blackďż˝ board or a flipchart. Other members may ask questions for clarification if they do not @@ -22389,10 +21566,10 @@ board or a flipchart. Other members may ask questions for clarification if they understand a solution, but only clarifying questions are allowed. Members may not debate the merits of particular solutions. After every solution has been presented and all questions answered, the group makes a decision by means of a written poll, taken as -a secret ballot. Each member ranks the different solutions from best to worst. The rank¬ +a secret ballot. Each member ranks the different solutions from best to worst. The rankďż˝ ings are submitted to the meeting leader without any identifying material on the ballot. The leader or someone assisting the leader tabulates the ballots, and the solution that -receives the highest average preference becomes the group’s decision. +receives the highest average preference becomes the groupďż˝s decision. In many ways, quality circles are the most comprehensive specialized technique for group decision making in that they are explicitly concerned with every step in the decision-making @@ -22405,8 +21582,8 @@ decision maker? Participation in Group Decision Making -The Vroom-Yetton model of participation in decision making focuses on the manager’s -decision concerning the extent to which subordinates should participate in making a spe¬ +The Vroom-Yetton model of participation in decision making focuses on the managerďż˝s +decision concerning the extent to which subordinates should participate in making a speďż˝ cific decision (Vroom & Yetton, 1973; Vroom & Jago, 1988). The most impressive study supporting the model was an investigation of two hundred actual managerial decisions. Managers made these decisions as part of their jobs without the aid of the model; the @@ -22415,17 +21592,17 @@ of involvement in decision making. Vroom and his associates identified the two hundred decisions and gathered data about how much subordinate participation was involved in making each decision. The -researchers were also able to gather information about the consequences of each deci¬ +researchers were also able to gather information about the consequences of each deciďż˝ sion specifically, whether each decision produced successful results. When decisions were made using a level of subordinate participation consistent with levels that would have been recommended by the Vroom-Yetton model (remember, none of the managers knew anything about the model at the time they made the decisions), 68 percent of the results or outcomes were judged to have been successful. When the amount of participation -by subordinates was not at a level consistent with the model’s recommendations, only +by subordinates was not at a level consistent with the modelďż˝s recommendations, only 22 percent of the outcomes were judged to have been successful. This is a remarkable difference. In both relative and absolute terms, the managers -who involved subordinates to a degree consistent with the model’s recommendations had +who involved subordinates to a degree consistent with the modelďż˝s recommendations had extremely good results. In relative terms, the outcomes were more than three times better than the decisions whose level of subordinate participation was inconsistent with the model. In absolute terms, 68 percent success is excellent, because factors other than how @@ -22433,7 +21610,7 @@ a decision is made determine whether it produces good results. We would not expe decision-making method to produce successful outcomes 100 percent of the time, so the results in the study were quite impressive. -The Vroom-Yetton model involves the choice of various levels of involvement in deci¬ +The Vroom-Yetton model involves the choice of various levels of involvement in deciďż˝ sion making; the choice is not merely between a single individual and an entire group. @@ -22460,27 +21637,27 @@ or in generating or evaluating alternative solutions. Cl You share the problem with the relevant subordinates individually, getting their ideas and suggestions without bringing them together as a group. Then you make the decision. This decision may or may not -reflect your subordinates’ influence. +reflect your subordinatesďż˝ influence. CII You share the problem with your subordinates in a group meeting. In this meeting you obtain their ideas and suggestions. Then you -make the decision, which may or may not reflect your subordinates’ +make the decision, which may or may not reflect your subordinatesďż˝ influence. GII You share the problem with your subordinates as a group. Together -you generate and evaluate alternatives and attempt to reach agree¬ +you generate and evaluate alternatives and attempt to reach agreeďż˝ ment (consensus) on a solution. Your role is much like that of chairperson, coordinating the discussion, keeping it focused on the problem, and making sure that the critical issues are discussed. You can provide the group with information or ideas that you have, but -you do not try to “press” them to adopt “your” solutions and you +you do not try to ďż˝pressďż˝ them to adopt ďż˝yourďż˝ solutions and you are willing to accept and implement any solution that has the support of the entire group. SOURCE: Reprinted from Leadership and Decision-Making, by Victor H. Vroom and Philip W. Yetton, -by permission of the University of Pittsburgh Press. © 1973 by University of Pittsburgh Press. +by permission of the University of Pittsburgh Press. ďż˝ 1973 by University of Pittsburgh Press. -These are two alternatives that frame a continuum with several other levels of partici¬ +These are two alternatives that frame a continuum with several other levels of particiďż˝ pation in-between. As Vroom and Yetton conceptualized them, there are five levels of participation along this continuum (see Box 11.6). The Vroom-Yetton model indicates which level of participation is appropriate in a particular situation. (Note that for some @@ -22490,7 +21667,7 @@ will generate successful results.) To use the model, you must understand (1) how to identify the different situations, and (2) how to match different situations with the appropriate levels of participation. -Both issues are resolved by the use of two tools in combination: (1) the set of alterna¬ +Both issues are resolved by the use of two tools in combination: (1) the set of alternaďż˝ tive courses of action listed in Box 11.6 and (2) the decision tree shown in Figure 11.2. @@ -22507,7 +21684,7 @@ accepted by your subordinates? F. Do subordinates share the organizational goals to be attained in solving this problem? G. Is there likely to be conflict among subordinates over preferred solutions? -® ® © ® © © © +ďż˝ ďż˝ ďż˝ ďż˝ ďż˝ ďż˝ ďż˝ FIGURE 11.2 mmmmm @@ -22515,12 +21692,12 @@ mmmmm Decision Tree Governing Group Problems SOURCE: Reprinted from Leadership and Decision-Making, by Victor H. Vroom and Philip W. Yetton, by -permission of the University of Pittsburgh Press. © 1973 by University of Pittsburgh Press. +permission of the University of Pittsburgh Press. ďż˝ 1973 by University of Pittsburgh Press. The decision tree initially appears complex but is simple to use. One begins under -point A by answering question A (all questions must be answered either “yes” or “no”; -“maybe” or “sometimes” is not allowed). Depending on the answer, you proceed to -either question D (for a “no” response to A) or to question B (for a “yes” response to +point A by answering question A (all questions must be answered either ďż˝yesďż˝ or ďż˝noďż˝; +ďż˝maybeďż˝ or ďż˝sometimesďż˝ is not allowed). Depending on the answer, you proceed to +either question D (for a ďż˝noďż˝ response to A) or to question B (for a ďż˝yesďż˝ response to A). One continues answering the questions as indicated by the decision tree until you reach an end point. @@ -22548,20 +21725,20 @@ Organization Change and Development The capacity to bring about needed changes effectively and responsibly may be the key determinant of success or failure as a public manager. Change is ubiquitous in public -organizations; some changes are small and little noticed, others are major and widely pub¬ -licized. New programs and procedures must be developed, new organizational arrange¬ +organizations; some changes are small and little noticed, others are major and widely pubďż˝ +licized. New programs and procedures must be developed, new organizational arrangeďż˝ ments are required, and new attitudes and behaviors must be encouraged. Especially as the pace and complexity of modern life impinges on those in public organizations, a high degree of flexibility, creativity, and adaptability on the part of the organization and its members is increasingly required. -But change does not come easily in modern organizations, so it is important to under¬ +But change does not come easily in modern organizations, so it is important to underďż˝ stand the nature of the change process and the reasons that people sometimes accept and support changes and sometimes resist. Some people are simply more open to change than others. The intuitive person, for example, is attracted by the future and is eager to embrace new ideas and concepts; the sensing person, on the other hand, lives more in the here and now and may need more convincing that a proposed change is a good idea. But -regardless of personal differences, there are things managers can do to increase the like¬ +regardless of personal differences, there are things managers can do to increase the likeďż˝ lihood that organization members will agree to a particular change (see Box 11.7). If people trust the person who is proposing the change, either based on his or her skill and expertise or his or her record in past change efforts, then they will be more likely to @@ -22578,9 +21755,9 @@ Jane Sanford knew the work of the health services agency better than anyone else she also knew the importance of employee involvement in organizational changes. As she listened to proposals from her staff for ways to implement a new immunization program, however, she knew that the plan she had formulated earlier in her office -was far superior. Just as consensus seemed to be building around one particular sug¬ +was far superior. Just as consensus seemed to be building around one particular sugďż˝ gestion, Jane jumped in and announced her plan, asking for quick implementation. -To Jane’s surprise, the members of her staff were furious. +To Janeďż˝s surprise, the members of her staff were furious. As Jane Sanford discovered, if a change is ordered abruptly and dictatorially with little advance notice or preparation, the chances of its ready adoption are severely @@ -22605,27 +21782,27 @@ competence. To locate decision making and problem-solving responsibilities as close as possible to the information sources. To make competition, where it exists, contribute to meeting work goals -(organization units compete to produce a good or service more efficiently and ef¬ +(organization units compete to produce a good or service more efficiently and efďż˝ fectively) as opposed to win/lose competition. To maximize collaboration between individuals and units whose work is interdependent. -To develop a reward system that recognizes both achievement of the organization’s +To develop a reward system that recognizes both achievement of the organizationďż˝s mission (profits or service) and human development (growth of people). To increase the sense of ownership of organization objectives throughout the work force. To help managers manage according to relevant objectives rather than according to -“past practices” or to objectives that do not make sense for one’s area of +ďż˝past practicesďż˝ or to objectives that do not make sense for oneďż˝s area of responsibility. To increase self-control and self-direction for people within the organization. To create conditions where conflict is brought out and managed. -To increase awareness of group “process” and its consequences for performance +To increase awareness of group ďż˝processďż˝ and its consequences for performance that is, to help people become aware of what is happening between and to group members while the group is working on the task (e.g., communication, influence, feelings, leadership styles and struggles, relationships between groups, how conflict is managed, and so on). success are lessened. These outcomes are especially likely when the organization is -already marked by poor working relationships; the proposed change may become a tar¬ +already marked by poor working relationships; the proposed change may become a tarďż˝ get for other real or imagined frustrations and will not be considered on its merits at all. Diagnosing the Need for Change @@ -22643,7 +21820,7 @@ that could possibly lead to a major change activity. These are standard topics t Networking -Resources on organizational learning and change are available from MIT’s +Resources on organizational learning and change are available from MITďż˝s Society for Organizational Learning (http://www.sol-ne.org/) or the Stanford Learning Organization (http://www.stanford.edu/group/SLOW/). Additional information can be found at the Academy of Management Online @@ -22652,14 +21829,14 @@ information can be found at the Academy of Management Online 1. Context: What is the purpose and history of the organization? What have been major strengths and weaknesses over the years? What are the political and economic constraints on operations? -2. Outputs: At the organizational level, what are the levels of citizen satisfaction, effi¬ +2. Outputs: At the organizational level, what are the levels of citizen satisfaction, effiďż˝ ciency, and productivity? At the group and individual levels, what is the satisfaction level of the employees and their commitment to the organization? 3. Organizational culture: What are the dominant beliefs, attitudes, and values in the organization? Are there different values in different parts of the organization? Are some sets of values in conflict with others? 4. Task requirements: What are the principal tasks that members of the organization -must perform? Do employees clearly understand organization goals? How highly devel¬ +must perform? Do employees clearly understand organization goals? How highly develďż˝ oped (or overdeveloped) are organizational rules and procedures? 5. Formal organization: How is the work organized? What is the organization structure? How many levels of management are there? How is work planned and coordinated? @@ -22667,7 +21844,7 @@ What are the formal modes of communication through the organization? 6. People: How many employees does the organization have and where do they work? What is the mix of skills and abilities among employees? How many managers are there, and how do they relate to other employees? -7. Physical setting and technology: What is the condition of the organization’s buildings +7. Physical setting and technology: What is the condition of the organizationďż˝s buildings and equipment? How does the physical environment affect the work being done? What is the level of technology, and how effectively is it employed? (Lippitt, Langseth, & Mossop, 1985, pp. 6-13). @@ -22691,22 +21868,22 @@ and changing environment. The problem then becomes one of unfreezing past patter of behavior, replacing them with more open and trusting relationships, and freezing these in place. Because these behavior patterns are largely based on the implicit images or theories of organization that guide our eventual behaviors, it is important not -only that behaviors change, but that real learning—that is, adjustment of one’s theo¬ -ries— occur. +only that behaviors change, but that real learningďż˝that is, adjustment of oneďż˝s theoďż˝ +riesďż˝ occur. Most students of organizational development find that efforts to change established patterns of behavior are easier with the help of an outside educator or interventionist, -an external consultant brought in to work with members to reveal dysfunctional behav¬ +an external consultant brought in to work with members to reveal dysfunctional behavďż˝ iors and to try to develop more effective working relationships. It is important to have changes develop internally rather than be imposed from outside. Chris Argyris suggests -that the interventionist’s role involves three efforts: “(1) to help generate valid and use¬ +that the interventionistďż˝s role involves three efforts: ďż˝(1) to help generate valid and useďż˝ ful information; (2) to create conditions in which clients can make informed and free -choices; and (3) to help clients develop an internal commitment to their choice” (Argyris, +choices; and (3) to help clients develop an internal commitment to their choiceďż˝ (Argyris, 1970, pp. 12-13; also, Argyris, 1993). A variety of techniques are available to the interventionist, including the following: -Team building: Much of an organization’s work is done in groups; a program of team +Team building: Much of an organizationďż˝s work is done in groups; a program of team development may help improve group effectiveness. Usually, one begins with a careful review of how team members communicate and work together. Following a diagnosis of interpersonal group problems, the facilitator leads the group in designing an action @@ -22715,15 +21892,15 @@ without an outside facilitator. Intergroup problem solving: Occasionally conflict or competition arises among groups; for example, two divisions of a small organization may fight over resources -and prestige, overlapping responsibilities, or confusion about allocation of responsi¬ +and prestige, overlapping responsibilities, or confusion about allocation of responsiďż˝ bilities. An interventionist might bring the groups (or representatives) together to identify problem areas and begin to devise ways to deal with the problems. As you -might expect, confrontations are often difficult—sometimes even tumultuous—but +might expect, confrontations are often difficultďż˝sometimes even tumultuousďż˝but a trained group facilitator can help keep the group focused on resolving the real issues that divide them. Goal setting and planning: In goal-setting efforts, superior-subordinate pairs or -groups throughout the organization are asked to systematically assess their capa¬ +groups throughout the organization are asked to systematically assess their capaďż˝ bilities and set specific targets for future performance. After a specific period, the individuals or groups meet again to evaluate their work and establish goals for the next period. (As we have seen, one broad approach to organizationwide efforts @@ -22761,18 +21938,18 @@ The key to improving your skills in public management, as in other areas, is pra repetition, accompanied by self-reflection and self-critique. If you want to be a better communicator, for example, you should seek opportunities -to practice communicating with others. Find opportunities to make presentations; prac¬ +to practice communicating with others. Find opportunities to make presentations; pracďż˝ tice listening with special concentration and sensitivity; try to develop your writing skills. -As you practice, be conscious of your own and others’ reactions. Reflect upon your +As you practice, be conscious of your own and othersďż˝ reactions. Reflect upon your successes and failures and try to learn from both. Over time, you will improve your skills and find yourself far more effective. Throughout this book, we have described public management as involving cognitive, conceptual, technical, and human skills. In the moment of action, however, the areas cannot be separated. Indeed, your capacity to bring together knowledge, technique, and -interactive skills at the moment of action will determine success or failure in most situa¬ +interactive skills at the moment of action will determine success or failure in most situaďż˝ tions. Public management can be studied in the abstract, but it must be lived in the real -world — a world of stress, complexity, and uncertainty. In few other fields do so many +world ďż˝ a world of stress, complexity, and uncertainty. In few other fields do so many aspects of the human personality have to come together. But it is this very difficulty that makes public service so challenging and rewarding. @@ -22809,17 +21986,17 @@ Study Questions 1. What are the seven basics of effective listening? 2. Why is speaking an important interpersonal skill? -3. Discuss the “Six Cs” for effective written communication. -4. Management can be defined as “the process of getting things done through +3. Discuss the ďż˝Six Csďż˝ for effective written communication. +4. Management can be defined as ďż˝the process of getting things done through -others.” Discuss how delegation and motivation enable the work of management +others.ďż˝ Discuss how delegation and motivation enable the work of management to occur. 5. Explain reinforcement theory and its four basic scenarios or results. 6. Goal setting is another motivation technique. Discuss what characteristics a goal should have for maximum motivational impact. -7. What are the elements of “principled negotiation”? +7. What are the elements of ďż˝principled negotiationďż˝? 8. Discuss advantages and disadvantages associated with group decision making. 9. Explain the fundamentals of managing group dynamics. @@ -22847,7 +22024,7 @@ can pay it back in three months. b. The two classmates you are talking with have been working with you on a class project. Actually, the problem is that they have not been working! You have to do -something to get them busy, or your grade will suffer. You need at least a “B” in +something to get them busy, or your grade will suffer. You need at least a ďż˝Bďż˝ in the course to graduate. c. You have been working in behalf of the homeless in your community for the past @@ -22879,7 +22056,7 @@ lead a discussion of the group dynamics they observed in the work of the task gr For observers only: During the discussion, you should silently watch the discussion and take notes about the operation of the group. Try to identify patterns of group development such as those presented in the chapter. Pay special attention to shifting -patterns of leadership and communications. If this same group were to perform a sim¬ +patterns of leadership and communications. If this same group were to perform a simďż˝ ilar task, what would you suggest to improve its effectiveness? 4. Divide the class into groups of three. Have one person in each group play the role of @@ -22887,7 +22064,7 @@ Chris, the supervisor, and another play the role of Lynn, the employee. (Each pe should read only his or her own role description and not that of the other person.) The third person in each group should observe the discussion between Chris and Lynn, then comment on the motivation strategies employed. The scene begins as Lynn -walks into Chris’s office and says, “Someone said you wanted to see me.” +walks into Chrisďż˝s office and says, ďż˝Someone said you wanted to see me.ďż˝ Chris: You are twenty-eight years old and recently received your MPA from a fairly prestigious school in the East. You have worked for the federal government @@ -22901,9 +22078,9 @@ specialist. Throughout this period, from what you understand, Lynn has done an 424 Chapter 11 Interpersonal Skills and Group Dynamics excellent job. In the few months you have been with the agency, however, you -have noticed a decided drop in both the amount and quality of Lynn’s work. With a +have noticed a decided drop in both the amount and quality of Lynnďż˝s work. With a heavy workload anticipated over the next several months, you decide that you have -to do something to improve Lynn’s performance. You have asked that Lynn come in +to do something to improve Lynnďż˝s performance. You have asked that Lynn come in to visit. Lynn: You have worked for twenty-three years as a design specialist for a small @@ -22921,10 +22098,10 @@ up to par. 5. Consider the following case. You have recently been appointed head of a new agency established to monitor pollution emissions from coal-based power plants throughout -the Midwest. The data you collect will have a direct impact on an anticipated presi¬ +the Midwest. The data you collect will have a direct impact on an anticipated presiďż˝ dential decision concerning acid rain in the U.S. Northeast and Canada. You must try to develop the most comprehensive and precise measures possible, then monitor as -many plants as you reasonably can during the relatively short period prior to the pres¬ +many plants as you reasonably can during the relatively short period prior to the presďż˝ idential decision. Your staff, most of whom have been in the pollution control field much longer @@ -22933,7 +22110,7 @@ that a new piece of equipment, an Emission Systems Monitoring Instrument (ESMI), is the only device that is capable of precise measurements of the particular pollutants with which you are concerned. The problem is that the ESMI is both extremely costly and would require nearly half the time you have available just to be delivered. -You are skeptical about whether the ESMI is worth the cost, but even more con¬ +You are skeptical about whether the ESMI is worth the cost, but even more conďż˝ cerned that its limited availability will mean that you will fail to meet your deadline. You also think though you are not sure that the rough estimates generated by the existing equipment will be sufficient for the purposes of your report to the president. @@ -22990,34 +22167,34 @@ The Future of the Public Service For those considering work in the public service, whether for a relatively short period or for an entire career, several considerations may shape your thinking. As we have noted, -the rewards of public service are not likely to be primarily financial. Salaries in most pub¬ +the rewards of public service are not likely to be primarily financial. Salaries in most pubďż˝ lic organizations lag somewhat behind comparable salaries in business or industry. At the same time, however, those in public organizations are likely to be given a broader range of responsibilities earlier in their careers than their counterparts in business or industry. Moreover, the challenges and complexities of public service provide a special excitement -that comes from being a part of unfolding major events — local, state, national, or even +that comes from being a part of unfolding major events ďż˝ local, state, national, or even international. -If you want to be a part of what’s happening in a changing society,, then the public +If you want to be a part of whatďż˝s happening in a changing society,, then the public service is the place for you. Think about the incredible variety of work in the public -sector. Public managers are key actors in foreign affairs, the human services, environ¬ +sector. Public managers are key actors in foreign affairs, the human services, environďż˝ mental policy, educational reform, the space program, and an endless variety of other -important areas. Indeed, it is fair to say that every major local, state, national, or inter¬ +important areas. Indeed, it is fair to say that every major local, state, national, or interďż˝ national issue now being discussed will provide challenges and opportunities for public -managers in the future. If you are interested in meaningful work — work that makes -a difference in people’s lives—then you should find involvement in the public service +managers in the future. If you are interested in meaningful work ďż˝ work that makes +a difference in peopleďż˝s livesďż˝then you should find involvement in the public service quite appealing. The New Public Service -Throughout most of our country’s history, public service has been recognized as an +Throughout most of our countryďż˝s history, public service has been recognized as an important undertaking that contributes to the betterment of society, supported by citizens and politicians alike. Unfortunately, for the past 25 years or so, support has wavered. From the late 1960s through the middle 1980s, the public service seemed to be under fairly constant attack. Through the candidacies of both Jimmy Carter and Ronald Reagan, national politicians of both parties organized their campaigns at least in part -around attacks on Washington and the bureaucracy. Public administrators were crit¬ -icized as both unresponsive and overly responsive — unresponsive to the common citizen +around attacks on Washington and the bureaucracy. Public administrators were critďż˝ +icized as both unresponsive and overly responsive ďż˝ unresponsive to the common citizen and overly responsive to special interests. Public organizations were accused of being highly ineffective and inefficient, failing to achieve their objectives and wasting enormous sums of public funds. @@ -23030,10 +22207,10 @@ Fortunately, the environment of the public service has changed considerably over past several years, leading us to be somewhat more optimistic about its future image. Bush and Clinton were more supportive of the federal public service, and thus far George W. Bush appears to be continuing this trend. In addition, part of the more -positive perspective on government was brought about as the result of policy and pro¬ -gram shifts in response to questions about government activism; part reflects a grow¬ +positive perspective on government was brought about as the result of policy and proďż˝ +gram shifts in response to questions about government activism; part reflects a growďż˝ ing acceptance of the initiatives that gave rise to dissent; and part is the reemergence -of a positive view of government. In addition, the emergence of state and local govern¬ +of a positive view of government. In addition, the emergence of state and local governďż˝ ments as both significant and professional in their dealings with the public has had a positive effect. @@ -23050,8 +22227,8 @@ control. Finally, the political climate has been changing, even to the point that we might suggest the reemergence of a positive view of government. Such a view has been most -evident at the state and local levels. In several important areas — notably education, -economic development, and environmental concerns — the states were taking positive +evident at the state and local levels. In several important areas ďż˝ notably education, +economic development, and environmental concerns ďż˝ the states were taking positive actions. And, at the same time, public confidence in state and local governments was growing. @@ -23065,14 +22242,14 @@ activist era, as well as one in which the men and women who constitute the publi service will be treated with greater dignity and respect. These efforts in support of the public service return our country to a long-standing -tradition. At other periods — and even today in other countries—the public service has -been considered a proud and honorable profession. John F. Kennedy’s inaugural state¬ -ment continues to have relevance today. Recall that Kennedy said, “Ask not what your -country can do for you, ask what you can do for your country.” In another speech, -Kennedy amplified the point: “Let the public service be a proud and lively career. And let +tradition. At other periods ďż˝ and even today in other countriesďż˝the public service has +been considered a proud and honorable profession. John F. Kennedyďż˝s inaugural stateďż˝ +ment continues to have relevance today. Recall that Kennedy said, ďż˝Ask not what your +country can do for you, ask what you can do for your country.ďż˝ In another speech, +Kennedy amplified the point: ďż˝Let the public service be a proud and lively career. And let every man and woman who works in any area of our national government, in any branch at any level, be able to say with pride and honor in future years: I served the -United States Government in that hour of our nation’s need.” Those who work in the +United States Government in that hour of our nationďż˝s need.ďż˝ Those who work in the field of public administration at all levels of government carry forward that long and proud tradition. @@ -23082,30 +22259,30 @@ proud tradition. Efforts to Support the Public Service -Despite recent attacks on the public service, more and more people are coming to recog¬ +Despite recent attacks on the public service, more and more people are coming to recogďż˝ nize its tradition of excellence. Recognition of the importance of public service has been fostered by several groups and organizations, among them the American Society for Public Administration (ASPA). Always an advocate of public service, a decade ago, ASPA -developed a “National Campaign for the Public Service,” to promote the dignity and -worth of the public service. Activities of ASPA’s National Campaign for the Public Service +developed a ďż˝National Campaign for the Public Service,ďż˝ to promote the dignity and +worth of the public service. Activities of ASPAďż˝s National Campaign for the Public Service have included joining with other groups, such as the Public Employees Roundtable, in publicizing the benefits and contributions of public servants, developing award programs -and other forms of recognition for outstanding public officials, and developing curricu¬ +and other forms of recognition for outstanding public officials, and developing curricuďż˝ lum projects at elementary and secondary school levels to introduce young people to the public service and the benefits of public-service careers. One particularly prestigious body that actively supported the public service was the National Commission on the Public Service, chaired by former Federal Reserve Board Chairman Paul A. Volcker. The commission was formed in 1987 following a symposium -in Washington, D.C., that was titled “A National Public Service for the Year 2000.” Those +in Washington, D.C., that was titled ďż˝A National Public Service for the Year 2000.ďż˝ Those at the symposium concluded that a private, nonprofit organization should be assembled to prepare action recommendations to the president and Congress on what many saw as -a “quiet crisis in government.” The group felt that “too many of the best of the nation’s +a ďż˝quiet crisis in government.ďż˝ The group felt that ďż˝too many of the best of the nationďż˝s senior executives are ready to leave government, and not enough of its most talented -young people are willing to join.” Moreover, conferees felt that “this erosion in the attrac¬ -tiveness of the public service at all levels—most specifically in the federal civil service— +young people are willing to join.ďż˝ Moreover, conferees felt that ďż˝this erosion in the attracďż˝ +tiveness of the public service at all levelsďż˝most specifically in the federal civil serviceďż˝ undermines the ability of government to respond effectively to the needs and aspirations of -the American people, and ultimately damages the democratic process itself” (National +the American people, and ultimately damages the democratic process itselfďż˝ (National Commission on the Public Service, 1989). Following a period of study and deliberation, the commission made the following general recommendations (see also Box 12.1): @@ -23116,7 +22293,7 @@ Second, educational institutions and the agencies of government must work to enl the base of talent available for, and committed to, public service. Third, the American people should demand first-class performance and the highest -ethical standards, and, by the same token, must be willing to provide what is neces¬ +ethical standards, and, by the same token, must be willing to provide what is necesďż˝ sary to attract and retain needed talent. Specifically, the commission called upon the president and the Congress to: @@ -23136,7 +22313,7 @@ Main Conclusions of the Volcker Commission The central message of this report of the Commission on the Public Service is both simple and profound, both urgent and timeless. In essence, we call for a renewed sense -of commitment by all Americans to the highest traditions of the public service—to +of commitment by all Americans to the highest traditions of the public serviceďż˝to a public service responsive to the political will of the people and also protective of our constitutional values; to a public service able to cope with complexity and conflict and also able to maintain the highest ethical standards; to a public service attractive to @@ -23146,17 +22323,17 @@ respect of all our citizens. A great nation must demand no less. The multiple challenges thrust upon the Government of the United States as we approach the twenty-first century can only reinforce the point. Yet, there is evidence on all sides of an erosion of performance -and morale across government in America. Too many of our most talented pub¬ -lic servants — those with the skills and dedication that are the hallmarks of an -effective career service — are ready to leave. Too few of our brightest young peo¬ -ple— those with the imagination and energy that are essential for the future — are +and morale across government in America. Too many of our most talented pubďż˝ +lic servants ďż˝ those with the skills and dedication that are the hallmarks of an +effective career service ďż˝ are ready to leave. Too few of our brightest young peoďż˝ +pleďż˝ those with the imagination and energy that are essential for the future ďż˝ are willing to join. Meanwhile, the need for a strong public service is growing, not lessening. Americans have always expected their national government to guarantee their basic freedoms and provide for the common defense. We continue to expect our government to keep the peace with other nations, resolve differences among our people, pay the bills for needed -services, and honor the people’s trust by providing the highest levels of integrity and +services, and honor the peopleďż˝s trust by providing the highest levels of integrity and performance. At the same time, Americans now live in a stronger, more populous nation, a nation @@ -23165,15 +22342,15 @@ and awesome risks. Our economy is infinitely more open to international competit our currency floats in a worldwide market, and we live with complex technologies beyond the understanding of any single human mind. Our diplomacy is much more complicated, and the wise use of our unparalleled military power more difficult. And -for all our scientific achievements, we are assaulted daily by new social, environmen¬ +for all our scientific achievements, we are assaulted daily by new social, environmenďż˝ tal, and health issues almost incomprehensible in scope and impact issues like drugs, AIDS, and global warming. -Faced with these challenges, the simple idea that Americans must draw upon tal¬ +Faced with these challenges, the simple idea that Americans must draw upon talďż˝ ented and dedicated individuals to serve us in government is uncontestable. America must have a public service that can both value the lessons of experience and appreciate the requirements for change; a public service that both responds to political leadership -and respects the law; a public service with the professional skills and the ethical sensi¬ +and respects the law; a public service with the professional skills and the ethical sensiďż˝ tivity America deserves. SOURCE: Excerpted from The National Commission on the Public Service, Leadership for America: @@ -23181,11 +22358,11 @@ Rebuilding the Public Service (Washington, DC, 1989), 1-2. -43° Chapter 12 The Future of the Public Service +43ďż˝ Chapter 12 The Future of the Public Service Make more room at senior levels of departments and agencies for career executives. -Provide a framework within which those federal departments and agencies can exer¬ +Provide a framework within which those federal departments and agencies can exerďż˝ cise greater flexibility in managing programs and personnel. Encourage a stronger partnership between presidential appointees and career executives. @@ -23196,7 +22373,7 @@ government and public service. Develop new channels for spreading the word about government jobs and the rewards of public service. -Enhance the efforts to recruit top college graduates and those with specific profes¬ +Enhance the efforts to recruit top college graduates and those with specific profesďż˝ sional skills for government jobs. Simplify the hiring process. @@ -23205,7 +22382,7 @@ Increase the representation of minorities in public service. Build a pay system that is both fair and competitive. -Rebuild the government’s chief personnel agency to give it the strength and mandate +Rebuild the governmentďż˝s chief personnel agency to give it the strength and mandate it needs. Set higher goals for government performance and productivity. @@ -23219,7 +22396,7 @@ National Commission on the State and Local Public Service examined other levels government and came to similar conclusions. The commission, chaired by former Mississippi Governor William F. Winter, pointed out that the 15 million people who work at the state and local level do much of the real work of domestic governance. -Members of the commission agreed that some important institutional changes were nec¬ +Members of the commission agreed that some important institutional changes were necďż˝ essary in order for these people to meet the challenges of the future. Their proposals call for movement away from the old rule-bound bureaucratic governments of the past to a new, more responsive system. Among the recommendations of the commission were @@ -23231,7 +22408,7 @@ cabinet-level officials. Temper the fragmentation of government by consolidating or eliminating as many overlapping or underperforming units as possible though a base-closure approach. -Use the executive budget approach and give state and local executives more opportu¬ +Use the executive budget approach and give state and local executives more opportuďż˝ nity to have their program considered as a whole in the legislative process. @@ -23242,10 +22419,10 @@ Flatten the bureaucracy by reducing the number of management layers between the top and bottom of agencies and thinning the ranks of the managers who remain. Deregulate government by (1) reforming the civil service, including reducing use -of veterans’ preference and seniority; (2) streamlining the procurement process; and +of veteransďż˝ preference and seniority; (2) streamlining the procurement process; and (3) making the budgeting process more flexible. -Create a learning government by (1) restoring employee training and education bud¬ +Create a learning government by (1) restoring employee training and education budďż˝ gets; (2) creating a new skills package for all employees; (3) basing pay increases on skills, not time in position; (4) insisting on a new kind of problem-solving manager, not merely a paper passer; and (5) encouraging a new style of labor-management @@ -23265,20 +22442,20 @@ leading, following, or getting out of the way (Thompson, 1993). With the efforts of groups such as ASPA, the Volcker Commission, and the Winter Commission, and with renewed support of political leaders at the national, state, and -local levels, we can expect the reemergence of a greater sense of respect and apprecia¬ +local levels, we can expect the reemergence of a greater sense of respect and appreciaďż˝ tion for the work of those engaged in public service at all levels. The work of the public service, the work of building a better world, requires the best possible talent and -deserves both commitment and support. As the Volcker Commission puts it, “A great -nation must demand no less” (National Commission on the Public Service, 1989, p. 1). +deserves both commitment and support. As the Volcker Commission puts it, ďż˝A great +nation must demand no lessďż˝ (National Commission on the Public Service, 1989, p. 1). Trends in the Public Service -The challenges that will face those in the public service over the coming years are sub¬ +The challenges that will face those in the public service over the coming years are subďż˝ stantial, for they not only require resolving important public-policy problems, but -they also require resolving them in a way that restores and maintains public confi¬ +they also require resolving them in a way that restores and maintains public confiďż˝ dence. The efforts to restore meaning and integrity to the public service are much -needed in our society, and in societies around the world, but they should be accompa¬ -nied by a clear understanding of several important trends in our field that are reshap¬ +needed in our society, and in societies around the world, but they should be accompaďż˝ +nied by a clear understanding of several important trends in our field that are reshapďż˝ ing the values and commitments of public service itself. What are the major trends worldwide that those entering the public service in the next decades are likely to experience? (See Box 12.2) @@ -23287,26 +22464,26 @@ experience? (See Box 12.2) 432 Chapter 12 The Future of the Public Service -BOX 12.2 ^——— +BOX 12.2 ^��� Challenges for the Future -The OECD’s Public Management and Governance Service (or PUMA) recently released -its prediction of “the government of the future,” citing the following questions facing +The OECDďż˝s Public Management and Governance Service (or PUMA) recently released +its prediction of ďż˝the government of the future,ďż˝ citing the following questions facing public officials in the twenty-first century: How can governments best prepare themselves for reform challenges? How can the public sector develop a culture responsive to change? What types of leaders are needed? How can governments better communicate with citizens? -How can governments avoid “reform fatigue”? +How can governments avoid ďż˝reform fatigueďż˝? While the OECD recognized the need for reform in some cases, it also cautioned reformers to take stock of the scope of change and make sure the reform agendas remained in-line with citizen-oriented outcomes. Moreover, the OECD challenged -reformers to make this a shared process. “Public management reform has important +reformers to make this a shared process. ďż˝Public management reform has important stakes for all members of society, but too often people are forced into opposite sides in discussions on reform: by dividing people into winners and losers, the stage is set -for conflict rather than success” (OECD, 2001, p. 1). The key challenge will be to use +for conflict rather than successďż˝ (OECD, 2001, p. 1). The key challenge will be to use the opportunity created by the improving image of government to build a consensus around the goals, as well as the underlying values, of the reforms. @@ -23322,7 +22499,7 @@ from a growing public commitment to a limited commitment. In each case, there ar direct implications for those in the public service: Challenges face public managers in areas where traditional industries, such as steel or -timber, have suddenly declined, as “high tech and high touch” has become a banner +timber, have suddenly declined, as ďż˝high tech and high touchďż˝ has become a banner for economic growth. Challenges face those at the state and local levels who must play new and important @@ -23341,7 +22518,7 @@ the services seems ever increasing. Our economy is presenting important challenges to government, but in responding to these challenges, government is not alone. The challenges have led to new ways of thinking about public/private relationships in the provision of public services. As a result, public- -service work is no longer the work only of government, but an effort in which governmen¬ +service work is no longer the work only of government, but an effort in which governmenďż˝ tal agencies, nonprofit and third-sector organizations, and corporate and business interests participate. Consider these examples: @@ -23355,8 +22532,8 @@ In major urban areas, less than half of human services are delivered by governme the majority are delivered by nonprofit and private agencies. Some of these trends, such as privatization and contracting for specific goods and -services, are becoming familiar; others are quite distinctive, as they involve third parties’ -discretion in the use of public authority and in spending of public funds. This develop¬ +services, are becoming familiar; others are quite distinctive, as they involve third partiesďż˝ +discretion in the use of public authority and in spending of public funds. This developďż˝ ment suggests a significant reshaping of the public service and raises serious questions about equity and accountability in the management of public programs. @@ -23364,31 +22541,31 @@ Trends associated with the reform agendas in the public and nonprofit sectors re more recent responses to our changing social and economic condition. We have noted that the reform agenda stems from the belief that government has failed to keep pace with the dynamic environment in the postindustrial world. Consequently, the reform -movement already has had a dramatic impact on the character and processes of gov¬ +movement already has had a dramatic impact on the character and processes of govďż˝ ernment organizations at all levels. And, given the attention this reform movement has received, such trends promise to continue into the future. An important consideration with respect to the reform movements relates to the application of entrepreneurial practices and business values in the public service. While -transforming the government-citizen relationship to economic terms—that is, viewing -the citizen as a customer—may generate cost savings and lead to more streamlined pub¬ +transforming the government-citizen relationship to economic termsďż˝that is, viewing +the citizen as a customerďż˝may generate cost savings and lead to more streamlined pubďż˝ lic organizations, the question remains as to what the long-term impact will be for issues of citizenship and public participation. For although creating a government that does more with less may produce a stronger bottom line, it could have harmful effects for issues of citizen engagement with the institutions of governance. On the other hand, the OECD cautions would-be reformers to avoid what it calls -“reform fatigue,” or “the condition in which public servants become cynical and tired of -reform” (OECD, 2001, p. 5). In its study of thirty countries that have implemented some +ďż˝reform fatigue,ďż˝ or ďż˝the condition in which public servants become cynical and tired of +reformďż˝ (OECD, 2001, p. 5). In its study of thirty countries that have implemented some 434 Chapter 12 The Future of the Public Service type of reform agenda, the OECD found that the most successful reforms were not -imposed from the executive leadership level but were embraced (and in most cases initi¬ +imposed from the executive leadership level but were embraced (and in most cases initiďż˝ ated) by those at all levels. Most importantly, successful reforms resulted not from change -simply for change’s sake, rather from attempts to build more adaptive, responsive organi¬ +simply for changeďż˝s sake, rather from attempts to build more adaptive, responsive organiďż˝ zational systems. Globalization @@ -23397,17 +22574,17 @@ Second, changing economic conditions have combined with technological developmen to make the international dimensions of public administration more important than ever. Understanding the activities of political and administrative officials in other countries is important not only for those who will spend part of their careers outside the United -States, but also for those who will work at home. Increasingly, city managers, for exam¬ +States, but also for those who will work at home. Increasingly, city managers, for examďż˝ ple, find that to be effective in local economic development activities, they must be experts in international business. But global interdependencies will affect us in other ways as well; for example, the deforestation in Brazil, Africa, and the Philippines will directly affect the quality of our own environment. And, of course, we cannot overlook our obligation to help reduce poverty and hunger throughout the world. -Several diverse—indeed, competing—views have emerged relating to this global¬ +Several diverseďż˝indeed, competingďż˝views have emerged relating to this globalďż˝ ization trend. They range from a critical perspective, in which the trend is seen as an attempt by developed nations to introduce Western values into other regions, to what -supporters believe to be a chance to extend employment opportunities and wealth cre¬ +supporters believe to be a chance to extend employment opportunities and wealth creďż˝ ation into impoverished nations. This latter view suggests that, over time, all of us in the global village will benefit from the forces of globalization and the internationalization of economic markets. @@ -23425,8 +22602,8 @@ The impact of globalization on public administration should not be underestimate However, relating to the internationalization process is a pattern that carries perhaps even greater implications: decentralization. Central governments increasingly are handing over new powers and responsibilities to local and regional authorities. Whether triggered by -declining revenues at the national level, or the nation-state’s diminished power-base, the -result has been growing demand for services and decision making by subnational admin¬ +declining revenues at the national level, or the nation-stateďż˝s diminished power-base, the +result has been growing demand for services and decision making by subnational adminďż˝ istrations. And, in many cases, these administrations lack the capacity and resources to deal effectively with their newfound authority. @@ -23435,7 +22612,7 @@ deal effectively with their newfound authority. Trends in the Public Service 435 For example, the Mexican government in 1995 implemented what President Zedillo -referred to as the “New Federalism,” a comprehensive effort to redistribute power from +referred to as the ďż˝New Federalism,ďż˝ a comprehensive effort to redistribute power from the national to subnational levels. The plan includes extending more responsibility to state and local authorities, opening new doors for local governments to play a larger role in development planning, and creating new opportunities for indigenous communities to @@ -23445,18 +22622,18 @@ struggled to achieve the broad objectives laid out by the Zedillo administration To better understand these trends, and what they mean for public administration, the development of more globalized, comparative forms of analysis will be critical. Such -analysis serves both as a source of understanding international issues, as well as enhanc¬ +analysis serves both as a source of understanding international issues, as well as enhancďż˝ ing the way we deal with issues in our own communities. So, as we continue to live in our global village, we will be challenged to deal with opportunities and threats that defy national boundaries. Our systems of governance, consequently, will need to reflect our -concern for the public interest — both at home and abroad. +concern for the public interest ďż˝ both at home and abroad. Technology and the Work Environment A third area of concern is the changing environment in which public servants work. New people and new values are entering the public workplace. Greater diversity in public agencies has had important and positive impacts on the values of those agencies. Public -organizations have taken on entirely new shapes, a feat that would have been impossi¬ +organizations have taken on entirely new shapes, a feat that would have been impossiďż˝ ble with the established, more traditional views of organizing that characterized public bureaucracies in the past. In turn, this diversity has contributed to important changes in the way we understand leadership, as diverse cultural and organizational views become @@ -23465,21 +22642,21 @@ hopes that present trends toward equity and involvement will continue. Similarly, we have experienced a transformation in the public workplace brought on by new forms of technology. The influence of information technology, in particular, -on how we conduct the public’s business has been remarkable, and there is no reason to +on how we conduct the publicďż˝s business has been remarkable, and there is no reason to expect that the technological revolution is over. Pressure to integrate work processes and create more flexible, networked organizations will continue to fuel the drive for more effective forms of communicating and sharing information. We will, more and more, work in virtual groups, with much of our interaction being transferred into cyberspace. -The Norwegian government has begun to use information and communications tech¬ +The Norwegian government has begun to use information and communications techďż˝ nology for more than enhancing internal systems; its Electronic Government Action Plan lays out guidelines on ways public officials can use technology to engage with citizens. As -part of the plan, the government has implemented a strategy to achieve high levels of pub¬ +part of the plan, the government has implemented a strategy to achieve high levels of pubďż˝ lic access to the Internet in schools, libraries, homes and places of employment. A primary -purpose is to expand Norway’s tradition of civic engagement into the electronic age. +purpose is to expand Norwayďż˝s tradition of civic engagement into the electronic age. Of course, the most prevalent argument for technology involves the use of technology -to enhance government performance. The changing character of government organiza¬ +to enhance government performance. The changing character of government organizaďż˝ tions reflects this purpose, as virtually all systems and work processes feature some form of automation. However, we should not lose sight of the fact that technology may also @@ -23492,17 +22669,17 @@ BOX 12.3 Global Perspectives on the Future of Public Administration The UN General Assembly recently opened a dialogue on the importance of public -administration in building civil society and ensuring sustainable development world¬ +administration in building civil society and ensuring sustainable development worldďż˝ wide. The following statements by discussion participants, which appeared in the UN -press release, “Good Government Cited as Positive Stimulus to Progress, as Assembly -Continues Public Administration Debate” (April 17, 1996), give a snapshot of the +press release, ďż˝Good Government Cited as Positive Stimulus to Progress, as Assembly +Continues Public Administration Debateďż˝ (April 17, 1996), give a snapshot of the global dimensions of public administration: S. R. Insanally (Guyana) said that in recent years there had been a marked tendency to diminish the importance of public administration. That accompanied the belief -that more things could be left to the “magic hand of the market.” In some coun¬ -tries, he added, “it even became fashionable to see government as a problem, to -denounce ‘big’ government.” Economic progress was due, however, both to good +that more things could be left to the ďż˝magic hand of the market.ďż˝ In some counďż˝ +tries, he added, ďż˝it even became fashionable to see government as a problem, to +denounce ďż˝bigďż˝ government.ďż˝ Economic progress was due, however, both to good public administration and to individual initiative, which good governments have actively facilitated and fostered, he said. Soliman Awaad (Egypt) said public administration was one of the main means @@ -23511,8 +22688,8 @@ administrative organs were faced with the burden of seeking to promote social an economic development, preserve the environment, control overpopulation, and provide employment for increasing numbers of young people. Joseph Chiteyeye (Malawi) said that his country had implemented a number of -development programs that were aimed at raising the standard of living of its peo¬ -ple. He said one of the government’s roles in that respect was to mobilize +development programs that were aimed at raising the standard of living of its peoďż˝ +ple. He said one of the governmentďż˝s roles in that respect was to mobilize resources, both locally and in the donor community, which could be provided directly to local communities for the construction of such things as schools, water schemes, and health centers. @@ -23520,17 +22697,17 @@ Gerhard Walter Henze (Germany) said public administration had to be based on the rule of law and democracy. Transparency and accountability for all public institutions were essential to combat all forms of mismanagement and corruption. Mehmet Atalay (Turkey) said that public administration and development were -inseparable. Since 1980, Turkey had applied an outward-oriented and private sec¬ +inseparable. Since 1980, Turkey had applied an outward-oriented and private secďż˝ tor-based development strategy, parallel to the major trends in global conditions. -The succeeding Turkish governments recognized the need for privatization, devel¬ +The succeeding Turkish governments recognized the need for privatization, develďż˝ opment of new markets, decentralization, and accountability, among other -measures. All of those had now become pivotal issues in the field of public admin¬ +measures. All of those had now become pivotal issues in the field of public adminďż˝ istration in the world today. Ascar Aitmatov (Kyrgyzstan) said that evidently, as demonstrated by the General -Assembly’s dedicating a resumed session to the theme of public administration, “we +Assemblyďż˝s dedicating a resumed session to the theme of public administration, ďż˝we have come to the stage where the need for a fundamental review of that role is -urgent” and more apparent than ever. Training was one of the most urgent needs; -the government’s administration and management system had not kept pace with the +urgentďż˝ and more apparent than ever. Training was one of the most urgent needs; +the governmentďż˝s administration and management system had not kept pace with the (continued) @@ -23540,24 +22717,24 @@ Trends in the Public Service 437 changes in modern society. The earlier predominance of central planning meant that many public servants had technical skills, but almost no training on policy analysis, -evaluation, or modern implementation methods. “New management methods and -techniques are almost unknown,” he said. +evaluation, or modern implementation methods. ďż˝New management methods and +techniques are almost unknown,ďż˝ he said. Ramtane Lamamra (Algeria) said that, since independence, Algeria had sought to establish solid institutions which could lay the groundwork for an economic and social progress. In that process, a web of industries had been set up and -the needs of a deprived population had been addressed. Free enterprise and pri¬ +the needs of a deprived population had been addressed. Free enterprise and priďż˝ vate initiative had been encouraged. The challenges facing public administration today called for a refocusing towards promoting the well-being of all society. Attention was being devoted to preserving macroeconomic stability, achieving -national consensus in an open society, and restructuring the state’s presence in +national consensus in an open society, and restructuring the stateďż˝s presence in the economic arena. Alyaksandr M. Sychou (Belarus) said his country had set itself a series of tasks to effect the move from a planned to a market economy. The effectiveness of public administration had been a key factor in the success of that transition effort in -Belarus. Reform of the public administration currently involved focusing on lead¬ -ing-edge technology, while stimulating long-term capital investment and direct for¬ +Belarus. Reform of the public administration currently involved focusing on leadďż˝ +ing-edge technology, while stimulating long-term capital investment and direct forďż˝ eign investment. -Diallo Amadou Ousmane (Mauritania) said that after independence, his coun¬ +Diallo Amadou Ousmane (Mauritania) said that after independence, his counďż˝ try found itself confronted with the urgent need to build a nation state. This required the rapid organization of civil society and the building of the appropriate state structures; it then had to take over the key sectors of the economy. The state @@ -23576,11 +22753,11 @@ people, a demanding inflow of former refugees for voluntary repatriation, and a traumatized surviving population. Imre Verebelyi (Hungary) said that Hungary was a European country in transition from the previous totalitarian, centralized, one-party system. It was currently -undergoing “an administrative revolution, rather than a simple reform.” This +undergoing ďż˝an administrative revolution, rather than a simple reform.ďż˝ This administrative revolution focused on the changes of basic functions, role, and structure of public administration. The institutional side of change was underlined -and emphasized, while the operational side had been “rather pushed into the back¬ -ground.” +and emphasized, while the operational side had been ďż˝rather pushed into the backďż˝ +ground.ďż˝ (continued) @@ -23595,8 +22772,8 @@ also impacted on public administrations. The United Nations played a pivotal rol as a clearinghouse and service-oriented catalyst for governments to improve their public management capacities. -SOURCE: United Nations. “Good Government Cited as Positive Stimulus to Progress, as Assembly -Continues Public Administration Debate.” Press release issued by the United Nations General Assembly, +SOURCE: United Nations. ďż˝Good Government Cited as Positive Stimulus to Progress, as Assembly +Continues Public Administration Debate.ďż˝ Press release issued by the United Nations General Assembly, Press Release #GA/9062, 17 April 1996. help us achieve more value-oriented goals of public service. Technology in the form of @@ -23608,25 +22785,25 @@ Still, as this trend develops, it raises important concerns for the human conseq of advanced technology. How technology affects the relationship between government workers and their clients, how to cope with the seemingly inevitable impersonality of the information age, and how to resolve the difficult ethical questions relating to privacy and -abuse — these and many other issues will continue to confound us over the coming +abuse ďż˝ these and many other issues will continue to confound us over the coming decades as the technological society pursues its present course. The Role of Citizens in the Governance Process The fourth issue involves the participation of citizens in the governance process and the -notion of civil society. More and more, public decisions are being made through mean¬ +notion of civil society. More and more, public decisions are being made through meanďż˝ ingful interaction with citizens. This means that citizens are playing an important role not as recipients of government services but as contributors to the policies and programs -that affect their lives. In many ways, this emerging form of citizen participation repre¬ +that affect their lives. In many ways, this emerging form of citizen participation repreďż˝ sents a return to important principles that underlie our system of democracy. It appears -that we are becoming more concerned with equity and justice, as opposed to merely effi¬ -ciency and performance. Yet the change from the more traditional representative democ¬ +that we are becoming more concerned with equity and justice, as opposed to merely effiďż˝ +ciency and performance. Yet the change from the more traditional representative democďż˝ racy to a direct form poses unique challenges for elected and administrative officials. -As it stands, many public administrators view citizen participation as a source of ten¬ -sion. That is, they associate civic engagement with public hearings, legal and administra¬ +As it stands, many public administrators view citizen participation as a source of tenďż˝ +sion. That is, they associate civic engagement with public hearings, legal and administraďż˝ tive arbitration, and other formal mechanisms that tend to be time consuming and highly -confrontational. Public involvement, accordingly, comes to represent a hindrance to effi¬ +confrontational. Public involvement, accordingly, comes to represent a hindrance to effiďż˝ cient management. In turn, public involvement is limited to being a source of legitimacy, through hearings and similar forums, of decisions that have already been made through more rational approaches. However, such limited forms of civic engagement not only @@ -23642,7 +22819,7 @@ forms of engagement. In the Netherlands, for example, public officials at the na local level have initiated more interactive forms of decision making, where government decisions result not just from consultation with citizens but with direct involvement of the public in the decision-making process. The government also has opened doors for legal -resistance to governmental actions, giving citizens the opportunity to challenge the gov¬ +resistance to governmental actions, giving citizens the opportunity to challenge the govďż˝ ernment on policies believed to run counter to the public interest. The move to more direct forms of civic participation opens the door for effective and @@ -23653,7 +22830,7 @@ between government and citizens be brought about. For those in public administra the challenge will be to sustain these meaningful forms of engagement and civil society. To guide public administrators in this capacity, Janet and Robert Denhardt (2000) -offer seven principles of what they call “the New Public Service”: +offer seven principles of what they call ďż˝the New Public Serviceďż˝: 1. The primary role of the public servant is to help citizens articulate and meet their mutual interests rather than to attempt to control or steer society in new directions. @@ -23664,7 +22841,7 @@ achieved through collective efforts and collaborative processes. 4. The public interest is the result of a dialogue about shared values rather than the aggregation of individual self-interests. 5. Public servants must be attentive to more than the market; they must also attend to -statutory and constitutional law, community values, political norms, professional stan¬ +statutory and constitutional law, community values, political norms, professional stanďż˝ dards, and citizen interests. 6. Public organizations and the networks in which they participate are more likely to be successful in the long run if they are operated through processes of collaboration and @@ -23683,15 +22860,15 @@ moral and ethical dimensions of public administration and to assert moral leader As we have seen, early writers in the field portrayed public administration primarily as a managerial concern with the technical processes of implementing public policy. Over the years, public administrators have developed considerable skill in managing public -programs—probably more than they are usually given credit for. +programsďż˝probably more than they are usually given credit for. -44° Chapter 12 The Future of the Public Service +44ďż˝ Chapter 12 The Future of the Public Service -Others soon came to recognize that public administration is also a political concern — +Others soon came to recognize that public administration is also a political concern ďż˝ that administrators at all levels are deeply involved in shaping public policy. Despite -recent rhetoric in Washington, there is every reason to expect that those in public organi¬ +recent rhetoric in Washington, there is every reason to expect that those in public organiďż˝ zations will increasingly be called upon to do more than simply respond to legislative mandate; they will be asked to identify and to articulate important public interests. @@ -23708,7 +22885,7 @@ behavior. Beyond that, to see the public service as a moral and ethical concern recognition that every action an administrator takes involves an effort to discover or to clarify the public interest. -The future public servant will likely be both active in policy development and respon¬ +The future public servant will likely be both active in policy development and responďż˝ sive to the public interest. Our constitutional structure not only permits but encourages an active executive and administrative role. Even more important is the implicit philosophical directive of the Constitution that public service is a special calling in a democracy and that @@ -23723,12 +22900,12 @@ services. This development raises managerial concerns, political concerns, and m all, moral and ethical concerns. Under these conditions, public administrators must assume leadership in establishing a high moral tone for the public service generally. In contrast to the often-heard advice that public administrators should follow the model of -business, we might propose just the opposite—that public organizations and the values +business, we might propose just the oppositeďż˝that public organizations and the values and commitments they represent should become models for all organizations, at least those involved in the management of public programs. Ethical considerations have become a central theme in public administration around -the world. In Japan, for example, lawmakers at the national level recently passed com¬ +the world. In Japan, for example, lawmakers at the national level recently passed comďż˝ prehensive legislation to ensure ethical practices by governmental officials. Among other provisions, the National Public Service Ethics Act, which took effect in April 2000, established a national ethics board to continuously monitor compliance of government @@ -23749,28 +22926,28 @@ practices and ideals is clear to all will we once again be able to establish pub the highest calling in our society. Commitment to democratic ideals involves concerns such as responsiveness and -involvement, but also commitment to equity and justice. Think for a moment of the rea¬ -sons that bring people to the public service. No doubt high on the list would be the con¬ +involvement, but also commitment to equity and justice. Think for a moment of the reaďż˝ +sons that bring people to the public service. No doubt high on the list would be the conďż˝ cern for the well-being of others. At one point in our history, we seemed to feel that the primary measure of success of the public service was the elimination of human suffering. Public officials are still at the forefront of dealing with the complex and difficult issues of homelessness, poverty, and drug addiction. Perhaps more than any other group, public -administrators are uniquely situated to see and understand these concerns. They cer¬ +administrators are uniquely situated to see and understand these concerns. They cerďż˝ tainly should be able to pinpoint the failures of past policies, to suggest alternatives, and to work actively toward implementation with elected leaders. Indeed, they have a moral responsibility to do so. A Final Note -The challenges to the public service are substantial and pose managerial, political, and eth¬ +The challenges to the public service are substantial and pose managerial, political, and ethďż˝ ical questions for all who participate in public programs. They will require careful analysis -and effective action on the part of academics and practitioners in the field of public admin¬ +and effective action on the part of academics and practitioners in the field of public adminďż˝ istration and beyond. Most of all, they are challenges that will require responsibility both in the sense of acting responsibly and in the sense of accepting responsibility for our ideas -and actions. The frontiers of public service will present quite difficult personal and profes¬ +and actions. The frontiers of public service will present quite difficult personal and profesďż˝ sional choices. But responsible public servants will find their solution very rewarding. -Albert Schweitzer once said, “I don’t know where you will go or what you will do, but the -ones among you that will be most happy will be those who serve.” We would only add +Albert Schweitzer once said, ďż˝I donďż˝t know where you will go or what you will do, but the +ones among you that will be most happy will be those who serve.ďż˝ We would only add that especially happy will be those who serve the public, well and faithfully. Study Questions @@ -23778,12 +22955,12 @@ Study Questions 1. Discuss some of the changes in the image of public service over the last thirty years. 2. What are some recommendations of the National Commission on the Public Service -for attracting and retaining the “best and the brightest” in the public service? +for attracting and retaining the ďż˝best and the brightestďż˝ in the public service? 3. Discuss future trends in the field of public administration. Cases and Exercises -1. By most objective measures, public agencies are, on the average, highly productive — +1. By most objective measures, public agencies are, on the average, highly productive ďż˝ at least in comparison to their private-sector counterparts. (There are wide variations @@ -23791,21 +22968,21 @@ at least in comparison to their private-sector counterparts. (There are wide var 44z Chapter 12 The Future of the Public Service in both sectors, but the general conclusion seems valid.) The general public, however, -seems to have exactly the opposite impression—that government agencies are hope¬ +seems to have exactly the opposite impressionďż˝that government agencies are hopeďż˝ lessly inefficient and unproductive. Part of the problem seems to be that people are more critical of government in the abstract than where it directly touches their lives. In fact, one study found most people highly critical of the coldness and inefficiency of government in general, but highly complimentary of specific government employees with whom they had dealt most recently. -In any case, there seems to be some disparity between image and reality—a dispar¬ +In any case, there seems to be some disparity between image and realityďż˝a disparďż˝ ity that is often quite damaging to the morale of the public workforce. Write an essay explaining why you think governments are considered less productive and less efficient than they really are. Consider the issue from several viewpoints. How would the issue appear from the perspective of a legislator? A public manager? A citizen? On the basis of your analysis, what should be done to improve the image of the public service? -2. In this chapter, we have considered a number of trends that are likely to affect the pub¬ +2. In this chapter, we have considered a number of trends that are likely to affect the pubďż˝ lic service over the next decade or more. What do these trends mean in terms of the skills that individual public managers will require? Review once more the set of public management skills in Chapter 1, then, in small groups, discuss the following questions: @@ -23853,7 +23030,7 @@ Mills, Claudia. Values and Public Policy. Fort Worth: Harcourt Brace, 1992. National Commission on the Public Service. Leadership for America. Washington, DC: National Commission, 1989. -Nye, Philip D. Zelikow, and David C. King, eds. Why People Don’t Trust Government. +Nye, Philip D. Zelikow, and David C. King, eds. Why People Donďż˝t Trust Government. Cambridge, MA: Harvard University Press, 1997. OECD. Government of the Future. PUMA Policy Brief No. 9. Paris: OECD, June 2001. @@ -23877,29 +23054,29 @@ Chapter One Appleby, Paul. Policy and Administration. University, AL: University of Alabama Press, 1949. -Blumenthal, W. Michael. “Candid Reflections of a Businessman in Washington.” In Public +Blumenthal, W. Michael. ďż˝Candid Reflections of a Businessman in Washington.ďż˝ In Public Management, by James L. Perry and Kenneth L. Kraemer. Palo Alto, CA: Mayfield Publishing, 1983. -Dimock, Marshall E. “Criteria and Objectives of Public Administration.” In The +Dimock, Marshall E. ďż˝Criteria and Objectives of Public Administration.ďż˝ In The Frontiers of Public Administration, edited by John M. Gaus, Leonard D. White, and Marshall E. Dimock, pp. 116-134. Chicago: University of Chicago Press, 1936. -Flanders, Loretta R., and Dennis Utterback. “The Management Excellence Inventory.” +Flanders, Loretta R., and Dennis Utterback. ďż˝The Management Excellence Inventory.ďż˝ Public Administration Review 45 (May/June 1985): 403-410. -Gulick, Luther. “Science, Values, and Public Administration.” In Papers on the Science +Gulick, Luther. ďż˝Science, Values, and Public Administration.ďż˝ In Papers on the Science of Administration, edited by Luther Gulick and L. Urwick, pp. 189-195. New York: Institute of Public Administration, 1937. -Katz, Robert L. “Skills of an Effective Administrator.” Harvard Business Review 52 +Katz, Robert L. ďż˝Skills of an Effective Administrator.ďż˝ Harvard Business Review 52 (September/October 1974): 90-102. Redford, Emmette S. Democracy in the Administrative State. New York: Oxford University Press, 1969. Rosenbloom, David. Public Administration. New York: McGraw-Hill, 1993. -Rumsfeld, Donald. “A Politician-Turned-Executive Surveys Both Worlds.” In Public +Rumsfeld, Donald. ďż˝A Politician-Turned-Executive Surveys Both Worlds.ďż˝ In Public Management, by James L. Perry and Kenneth L. Kraemer. Palo Alto, CA: Mayfield Publishing, 1983. @@ -23911,22 +23088,22 @@ White, Leonard D. The Study of Public Administration. New York: Macmillan, 1948. Willoughby, W. F. Principles of Public Administration. Baltimore, MD: Johns Hopkins Press, 1927. -Wilson, Woodrow. “The Study of Public Administration.” Political Science Quarterly 2 +Wilson, Woodrow. ďż˝The Study of Public Administration.ďż˝ Political Science Quarterly 2 (June 1887): 197-222. Chapter Two -Abney, Glenn, and Thomas P. Lauth. “Councilmanic Intervention in Municipal Adminis¬ -tration.” Administration and Society 13, no. 4 (February 1982): 435-456. +Abney, Glenn, and Thomas P. Lauth. ďż˝Councilmanic Intervention in Municipal Adminisďż˝ +tration.ďż˝ Administration and Society 13, no. 4 (February 1982): 435-456. Anderson, James E., David W. Brady, and Charles Bullock. Public Policy and Politics in America. Pacific Grove, CA: Brooks/Cole, 1984. -Archibald, Samuel J. The Freedom of Information Act Revisited.” Public Administration +Archibald, Samuel J. The Freedom of Information Act Revisited.ďż˝ Public Administration Review 39, no. 4 (July/August 1979): 311-317. -Behn, Robert D. “The Fortune 500 and the 50 States.” Durham, NC: Institute of Policy +Behn, Robert D. ďż˝The Fortune 500 and the 50 States.ďż˝ Durham, NC: Institute of Policy Sciences and Public Affairs, Duke University (February 1990). 444 @@ -23935,7 +23112,7 @@ Sciences and Public Affairs, Duke University (February 1990). References 445 -Boris, Elizabeth T. “Nonprofit Organizations in a Democracy: Varied Roles and +Boris, Elizabeth T. ďż˝Nonprofit Organizations in a Democracy: Varied Roles and Responsibilities." In Nonprofits and Government: Collaboration and Conflict, edited by Elizabeth T. Boris and C. Eugene Steuerle, pp. 3-29. Washington, DC: Urban Institute Press, 1999. @@ -23946,17 +23123,17 @@ NJ: Prentice-Hall, 1986. Caldwell, Lynton. Administrative Theories of Hamilton and Jefferson. Chicago: University of Chicago Press, 1944. -Cooper, Phillip J. “Due Process, the Burger Court, and Public Administration.” Southern +Cooper, Phillip J. ďż˝Due Process, the Burger Court, and Public Administration.ďż˝ Southern Review of Public Administration 6, no. I (Spring 1982): 65-98. Cooper, Phillip J. Public Law and Public Administration. Palo Alto, CA: Mayfield Publishing, 1983. -Cooper, Phillip J. “Conflict or Constructive Tension: The Changing Relationship of Judges -and Administrators.” Public Administration Review 45, special issue (November 1985): +Cooper, Phillip J. ďż˝Conflict or Constructive Tension: The Changing Relationship of Judges +and Administrators.ďż˝ Public Administration Review 45, special issue (November 1985): 643-652. -Cooper, Phillip J. “By Order of the President.” Administration and Society 18, no. 2 +Cooper, Phillip J. ďż˝By Order of the President.ďż˝ Administration and Society 18, no. 2 (August 1986): 233-262. Cooper, Phillip J. Public Law and Public Administration. 3d ed. Itasca, IL: E E. Peacock @@ -23968,10 +23145,10 @@ Press, 1975. Davidson, Roger H., and Walter J. Oleszek. Congress and Its Members. 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Making Nonprofits Work: A Report on the Tides of Nonprofit Management Reform. Washington, DC: Brookings Institution, 2000. -Marchetti, Domenica. “High-Tech Hopes Meet Reality.” Chronicle of Philanthropy 13, +Marchetti, Domenica. ďż˝High-Tech Hopes Meet Reality.ďż˝ Chronicle of Philanthropy 13, no. 17 (June 14, 2001): 1, 20-22. -Milakovich, Michael. “Total Quality Management in the Public Sector.” National +Milakovich, Michael. ďż˝Total Quality Management in the Public Sector.ďż˝ National Productivity Review (Spring 1991): 195-213. Mooney, James, and Alan C. Reiley. The Principles of Organization. New York: Harper & Row, 1939. -Newcomer, Kathryn, and Aaron A. Otto. “Is GPRA Improving Federal Government?” +Newcomer, Kathryn, and Aaron A. Otto. ďż˝Is GPRA Improving Federal Government?ďż˝ PA Times 23, no. 1 (January 2000): 1-6. @@ -25032,16 +24209,16 @@ PA Times 23, no. 1 (January 2000): 1-6. References 461 Office of Management and Budget. OMB Draft Circular A-132 (1990). -Ostrom, Vincent, and Elinor Ostrom. “Public Choice: A Different Approach to the Study +Ostrom, Vincent, and Elinor Ostrom. ďż˝Public Choice: A Different Approach to the Study -of Public Administration.” Public Administration Review 31 (March/April 1971): +of Public Administration.ďż˝ Public Administration Review 31 (March/April 1971): 203-216. Peters, J. Thomas, and Robert H. Waterman. In Search of Excellence. New York: Harper & Row, 1982. -Rainey, Hal G., and Brinton H. Milward. “Public Organization: Policy Networks and -Environments.” In Organization Theory and Public Policy, edited by Richard H. Hall +Rainey, Hal G., and Brinton H. Milward. ďż˝Public Organization: Policy Networks and +Environments.ďż˝ In Organization Theory and Public Policy, edited by Richard H. Hall and Robert E. Quinn, pp. 133-146. Beverly Hills, CA: Sage Publications, 1983. Redford, Emmette. Democracy in the Administrative State. New York: Oxford @@ -25057,8 +24234,8 @@ Senge, Peter M. The Fifth Discipline: The Art and Practice of the Learning Organ New York: Currency Doubleday, 1990. Simon, Herbert A. Models of Man. New York: Wiley, 1957. -Stoneman, Bill. “Old-Line to Online.” Governing 13, no. 12 (September 2000): 34-50. -Swope, Christopher. “Restless for Results.” Governing 14, no. 7 (April 2000): 20-23. +Stoneman, Bill. ďż˝Old-Line to Online.ďż˝ Governing 13, no. 12 (September 2000): 34-50. +Swope, Christopher. ďż˝Restless for Results.ďż˝ Governing 14, no. 7 (April 2000): 20-23. Taylor, Frederick W. Scientific Management. New York: Harper & Row, 1923. Thomas, John Clayton. Public Participation in Public Decisions. San Francisco: Jossey- @@ -25076,32 +24253,32 @@ Press, 1927. Chapter Ten -Bennis, Warren. “The Artform of Leadership.” In The Executive Mind, edited by Suresh +Bennis, Warren. ďż˝The Artform of Leadership.ďż˝ In The Executive Mind, edited by Suresh Srivastya. San Francisco: Jossey-Bass, 1983. Benson, Herbert. The Relaxation Response. New York: Morrow, 1975. Cooper, Kenneth H. The Aerobics Way. Toronto: Bantam Books, 1978. -Denhardt, Robert B., and Kevin Prelgovisk. “Public Leadership: A Developmental +Denhardt, Robert B., and Kevin Prelgovisk. ďż˝Public Leadership: A Developmental -Perspective.” In Executive Leadership in the Public Service, edited by Robert +Perspective.ďż˝ In Executive Leadership in the Public Service, edited by Robert B. Denhardt and William H. Stewart. Tuscaloosa: The University of Alabama Press, 1992. Gardner, John. Remarks to the National Conference of the National Association of Schools of Public Affairs and Administration, Seattle, October 23, 1987. -Hales, Colin P. “What Do Managers Do? A Critical Review of the Evidence.” Journal of +Hales, Colin P. ďż˝What Do Managers Do? A Critical Review of the Evidence.ďż˝ Journal of Management 23 (1986): 88-115. 462 References -Helgesen, Sally. “Leading from the Grassroots.” In The Leader of the Future: New Visions, +Helgesen, Sally. ďż˝Leading from the Grassroots.ďż˝ In The Leader of the Future: New Visions, Strategies, and Practices for the Next Era, edited by Frances Hesselbein, Marshall Goldsmith, and Richard Beckhard. San Francisco: Jossey-Bass, 1996. -Hopper, Linda. “Unstressing Work.” Public Management 17 (November 1988): 1-4. +Hopper, Linda. ďż˝Unstressing Work.ďż˝ Public Management 17 (November 1988): 1-4. Kotter, John P. The General Manager. New York: The Free Press, 1982. Lakein, Alan. How to Get Control of Your Time and Your Life. New York: Signet @@ -25144,17 +24321,17 @@ Janis, Irving. Groupthink. 2d ed. Boston: Houghton Mifflin, 1983. Kanter, Rosabeth Moss. Men and Women of the Corporation. New York: Basic Books 1977. -Lee, Seok-Hwan. “Does Performance-Base Pay Motivate? Maybe, Or Maybe Not . . .” +Lee, Seok-Hwan. ďż˝Does Performance-Base Pay Motivate? Maybe, Or Maybe Not . . .ďż˝ PA Times 24, no. 4 (April 2001): 3. Lippitt, Gordon L., Peter Langseth, and Jack Mossop. Implementing Organizational Change. San Francisco: Jossey-Bass, 1985. Maslow, Abraham. Motivation and Personality. New York: Harper & Brothers, 1954. -Organ, Dennis H. “A Review of Management and the Worker.” Academy of Management +Organ, Dennis H. ďż˝A Review of Management and the Worker.ďż˝ Academy of Management Review 11, no. 2 (April 1986): 459-464. -Rankin, Paul. “Listening Ability.” Proceedings of the Ohio State Educational Conference, +Rankin, Paul. ďż˝Listening Ability.ďż˝ Proceedings of the Ohio State Educational Conference, Ninth Annual Session, 1929. @@ -25172,14 +24349,14 @@ Prentice-Hall, 1988. Vroom, Victor H., and Philip W. Yetton. Leadership and Decision Making. Pittsburgh, PA: University of Pittsburgh Press, 1973. -Ziller, R. C. “Toward a Theory of Open and Closed Groups.” Psychological Bulletin 64 +Ziller, R. C. ďż˝Toward a Theory of Open and Closed Groups.ďż˝ Psychological Bulletin 64 (1965): 164-182. Chapter Twelve -Denhardt, Robert B., and Janet Vinzant Denhardt. “The New Public Service: Serving -Rather Than Steering.” Public Administration Review 60, no. 6 (November/December +Denhardt, Robert B., and Janet Vinzant Denhardt. ďż˝The New Public Service: Serving +Rather Than Steering.ďż˝ Public Administration Review 60, no. 6 (November/December 2000): 249-259. Goodsell, Charles T. The Case for Bureaucracy. 2d ed. Chatham, NJ: Chatham House, @@ -25203,7 +24380,7 @@ Journals Academy of Management Review Canadian Public Administration Ohio Northern University Institute of Public Administration P.O. Box 209 of Canada -300 South Union Street Revue de l’Institut de l’Administration +300 South Union Street Revue de lďż˝Institut de lďż˝Administration Ada, OH 45810 Publique du Canada Eglington Ave. East, Suite 305 @@ -25416,14 +24593,14 @@ Washington, DC 20005 Washington, DC 20004 Glossary -Accounting: The process of identifying, measuring, and communicating economic infor¬ +Accounting: The process of identifying, measuring, and communicating economic inforďż˝ mation to permit informed judgment and decision making. Adverse or disparate impact: Criterion for showing that employment practices affect one group more harshly than another. Affirmative action: Use of positive, results-oriented practices to ensure that women, -minorities, handicapped persons, and other protected classes of people will be equi¬ +minorities, handicapped persons, and other protected classes of people will be equiďż˝ tably represented in an organization. Agenda setting: Phase in public policy process when certain problems come to be viewed @@ -25443,7 +24620,7 @@ Authorizing legislation: Legislative action that permits establishment or contin a particular program or agency. Autocracy: Government by one. -Bargaining unit: The organization that will represent employees in conferring and nego¬ +Bargaining unit: The organization that will represent employees in conferring and negoďż˝ tiating various issues. Behavioral awards: Used to reward behaviors that management wishes to encourage. @@ -25453,13 +24630,13 @@ specific functional field. Bond: Promise to repay a certain amount (principal) at a certain time (maturity date) at a particular rate of interest. -Boundary spanning: Representing an organization to outside groups and organiza¬ +Boundary spanning: Representing an organization to outside groups and organizaďż˝ tions. Bounded rationality: Seeking the best possible solution, but not necessarily the most rational, from a purely economic standpoint. -Brainstorming: Technique for enhancing the alternative-generation portion of the decision¬ +Brainstorming: Technique for enhancing the alternative-generation portion of the decisionďż˝ making process. Budget padding: Proposing a higher budget than is actually needed. @@ -25473,7 +24650,7 @@ Capital grants: Grants for use in construction or renovation. Categorical or project grants: Grants requiring that the money may be spent for only a limited purpose; typically available on a competitive basis. -Charter: Local government’s equivalent of a constitution. +Charter: Local governmentďż˝s equivalent of a constitution. 468 @@ -25487,7 +24664,7 @@ and its goals. Comparable worth: Notion that men and women in jobs that are not identical but require similar levels of skill and training should be paid equally. -Constituent policy: Policy designed to benefit the public generally or to serve the gov¬ +Constituent policy: Policy designed to benefit the public generally or to serve the govďż˝ ernment. Continuing resolution: Resolution permitting the government to continue operating until @@ -25496,27 +24673,27 @@ an appropriations measure is passed. Cooperative federalism: Greater sharing of responsibilities between federal and state governments. -Co-optation: Situations in which citizens are given the feeling of involvement while exer¬ +Co-optation: Situations in which citizens are given the feeling of involvement while exerďż˝ cising little real power. -Coproduction: Using volunteer activity to supplement or supplant the work of govern¬ +Coproduction: Using volunteer activity to supplement or supplant the work of governďż˝ ment officials. Cost-benefit: Identifying and quantifying both negative impacts (costs) and positive impacts (benefits) of a proposal, then subtracting one from the other to arrive at a net benefit. -Councils of government: Oversight bodies representing various localities to help coordi¬ +Councils of government: Oversight bodies representing various localities to help coordiďż˝ nate local affairs. Cross-cutting requirements: Rules that apply to most grant programs. -Debt capacity: Value of a city’s resources combined with the ability of the government to +Debt capacity: Value of a cityďż˝s resources combined with the ability of the government to draw on them to provide payment. Decision analysis: Technique wherein decisions are likely to be made sequentially and under some degree of uncertainty. -Decision tree: Technique that identifies various possible outcomes, given the risk associ¬ +Decision tree: Technique that identifies various possible outcomes, given the risk associďż˝ ated with each. Deferral: Decision by the president to withhold expenditure of funds for a brief period. @@ -25527,7 +24704,7 @@ members of the society. Deontology: Belief that broad principles of rightness and wrongness can be established and are not dependent on particular circumstances. -Dillon’s Rule: Municipalities have only those powers granted in their charters; cities are +Dillonďż˝s Rule: Municipalities have only those powers granted in their charters; cities are creatures of the state. Direct orders: Requirements or restrictions that are enforced by one government over @@ -25549,7 +24726,7 @@ Efficiency: Relationship between inputs and outputs. -47° Glossary +47ďż˝ Glossary Employee recognition program: Effective way to acknowledge special contributions of certain employees or groups to the organization. @@ -25571,7 +24748,7 @@ Ethical or moral relativism: Belief that moral judgment can be made only by taki account the context in which action occurs. Ethics: Process by which we clarify right and wrong and act on what we take to be right. -Ethics audit: Evaluation of the value premises that guide an organization’s action. +Ethics audit: Evaluation of the value premises that guide an organizationďż˝s action. Excise tax: Tax applied to the sale of specific commodities. Executive order: A presidential mandate directed to and governing, with the effect of @@ -25584,24 +24761,24 @@ Fiduciary funds: Funds used when government must hold assets for individuals or government holds resources to be transmitted to another organization. Final-offer arbitration: Technique in which both parties must present their best offer -with the understanding that an arbitrator will choose one or the other without modi¬ +with the understanding that an arbitrator will choose one or the other without modiďż˝ fication. Fiscal policy: Public policy concerned with the impact of government taxation and spending on the economy. -Fiscal year (FY): Government’s basic accounting period. +Fiscal year (FY): Governmentďż˝s basic accounting period. Formula grants: Grants that employ a specific division rule to indicate how much money any given jurisdiction will receive. -Franchise: Exclusive award to one firm (or a limited number) to operate a certain busi¬ +Franchise: Exclusive award to one firm (or a limited number) to operate a certain busiďż˝ ness within a jurisdiction. Functional principle: Horizontal division of labor. Gainsharing plan: Monetary award for a group of employees based on savings generated by the group. -General fund: Fund that handles “unrestricted” funds of government. +General fund: Fund that handles ďż˝unrestrictedďż˝ funds of government. Grants: Transfers of money (and/or property) from one government to another. Grantsmanship: Skills needed to compete successfully in the grant process. Gross National Product (GNP): Measure of total spending in the economy; includes @@ -25610,7 +24787,7 @@ total personal consumption, private investment, and government purchases. Hidden agenda: Privately held goals and priorities. Home rule: Provision allowing cities greater autonomy over local activities. Impoundment: Withholding of funds authorized and appropriated by law. -Independent agencies: Agencies intentionally created outside the normal cabinet orga¬ +Independent agencies: Agencies intentionally created outside the normal cabinet orgaďż˝ nization. @@ -25630,10 +24807,10 @@ relations among those at various levels of government. Interorganizational networks: Pattern of relationships within and among various groups and organizations working in a single policy area. -Interventionist: External consultant brought in to reveal dysfunctional patterns of behav¬ +Interventionist: External consultant brought in to reveal dysfunctional patterns of behavďż˝ ior and to try to develop more effective working relationships. -Iron triangle: Term given to a coalition of interest groups, agency personnel, and mem¬ +Iron triangle: Term given to a coalition of interest groups, agency personnel, and memďż˝ bers of Congress created to exert influence on a particular policy issue. Item veto: Allows a governor to veto specific items in an appropriations bill. @@ -25643,7 +24820,7 @@ job; typically contains these elements: job title, duties required, responsibili job qualifications. Lateral entry: Entry into government positions at any level. -Legislative veto: Statutory provision that gives Congress the authority to approve or dis¬ +Legislative veto: Statutory provision that gives Congress the authority to approve or disďż˝ approve certain executive actions. Liberty: The idea that individual citizens of a democracy should have a high degree of @@ -25663,16 +24840,16 @@ Merit pay: Increases in salary and wages that are tied to actual quality of work Merit principle: Concept that selection and treatment of government employees should be based on merit or competence rather than personal or political favoritism. -Morality: Practices and activities considered right or wrong and the values those prac¬ +Morality: Practices and activities considered right or wrong and the values those pracďż˝ tices reflect. Negotiated investment strategy: Bringing together representatives of all affected groups to set priorities for funding. -Neutral competence: The belief that a neutral public bureaucracy following the man¬ +Neutral competence: The belief that a neutral public bureaucracy following the manďż˝ dates of a legislative body will meet the requirements of democracy. -Nominal group: Face-to-face meeting that allows only limited interaction among partici¬ +Nominal group: Face-to-face meeting that allows only limited interaction among particiďż˝ pants. Nonprofit organizations: Organizations prohibited by law from distributing surplus @@ -25692,14 +24869,14 @@ Operating grants: Grants for use in development and operation of specific progra Organization development: Process-oriented approach to planned change. Organizational culture: Basic patterns of attitudes, beliefs, and values that underlie an -organization’s operation. +organizationďż˝s operation. Parity principle: Idea that an individual should have equal amounts of authority and responsibility. Participant-observer: Someone in either the target population or the agency who makes observations and draws conclusions based on firsthand experience. -Performance appraisal: Specific evaluation with respect to an individual’s progress in +Performance appraisal: Specific evaluation with respect to an individualďż˝s progress in completing specified tasks. Performance auditing: Analysis and evaluation of the effective performance of agencies @@ -25710,7 +24887,7 @@ Performance bonus: One-time monetary award based on superior performance on the job or in a particular task. Performance budget: Budget format organized around programs or activities; includes -various performance measurements that indicate the relationship between work actu¬ +various performance measurements that indicate the relationship between work actuďż˝ ally done and its cost. PERT (Program evaluation review technique): A way to monitor the time or costs of @@ -25720,7 +24897,7 @@ activities must be completed. Picket-fence federalism: Pattern of intergovernmental relations in which the horizontal bars represent levels of government and the vertical slats represent various substantive fields. -Piecework bonus: Incentive that ties the worker’s productivity in a given task to the +Piecework bonus: Incentive that ties the workerďż˝s productivity in a given task to the monetary rewards he or she receives. Planning-programming-budgeting system (PPBS): Effort to connect planning, systems @@ -25742,7 +24919,7 @@ pursuit of particular policy changes. Political economy approach: Focusing on politics and economies as categories for analyzing organizational behavior. -Position classification: Analyzing and organizing jobs on the basis of duties, responsibili¬ +Position classification: Analyzing and organizing jobs on the basis of duties, responsibiliďż˝ ties, and having the knowledge and skills required to perform them. Preaudit: Review in advance of an actual expenditure. @@ -25769,7 +24946,7 @@ Proprietary funds: Used to account for government activities that more closely r private business. Public administration: The management of public programs. -Public corporation: An essentially commercial agency in which work requires greater lat¬ +Public corporation: An essentially commercial agency in which work requires greater latďż˝ itude and acquires at least a portion of its funding in the marketplace (e.g., Tennessee Valley Authority). @@ -25777,7 +24954,7 @@ Valley Authority). Public policy: Authoritative statements made by legitimate governmental actors about public problems. -Quality circle: Small group of people who do similar or connected work and meet regu¬ +Quality circle: Small group of people who do similar or connected work and meet reguďż˝ larly to identify, analyze, and solve work-process problems. Reconciliation bill: Legislative action that attempts to reconcile individual actions in @@ -25811,12 +24988,12 @@ Role conflict: Occurs when one faces two different and incompatible sets of dema Rule making: Administrative establishment of general guidelines for application to a class of people or a class of actions at some future time. -Rule of three: Provision of most merit systems that requires at least the top three appli¬ +Rule of three: Provision of most merit systems that requires at least the top three appliďż˝ -cants’ names to be forwarded to the hiring official to allow some flexibility in selec¬ +cantsďż˝ names to be forwarded to the hiring official to allow some flexibility in selecďż˝ tion. -Satisficing decision: One that is just “good enough” in terms of some criterion. +Satisficing decision: One that is just ďż˝good enoughďż˝ in terms of some criterion. Scalar principle: Vertical division of labor among various organizational levels. Scientific management: Approach to management based on carefully defined laws, rules, @@ -25831,12 +25008,12 @@ with his or her job performance. 474 Glossary Special districts: Local governments created for a specific purpose within a specific area. -Spoils system: The ability to give government jobs to the party faithful; “to the victor +Spoils system: The ability to give government jobs to the party faithful; ďż˝to the victor -belong the spoils.” +belong the spoils.ďż˝ Staff managers: Persons who support the work of program managers through budgeting -and financial management, personnel and labor relations, and purchasing and pro¬ +and financial management, personnel and labor relations, and purchasing and proďż˝ curement. Stakeholders: The many different persons who are involved in a policy decision and are @@ -25849,7 +25026,7 @@ of objectives. Structured interviews: Those in which a previously developed set of questions is used with each applicant. -Subjective responsibility: Assurance of responsiveness based on an individual’s character. +Subjective responsibility: Assurance of responsiveness based on an individualďż˝s character. Suggestion award programs: Incentives for employees who make specific suggestions that result in savings for the organization. @@ -25857,22 +25034,22 @@ Sunset law: Provision that sets a specific termination date for a program. Sunshine law: Provision that requires agencies to conduct business in public view. Supplemental appropriation: Bill passed during the fiscal year, adding new money to an -agency’s budget for the same fiscal year. +agencyďż˝s budget for the same fiscal year. Supply-side economies: Argument that decreased taxes and government spending will stimulate capital investment and economic growth. Support system: Network of people with whom one can talk about problems. -System: Set of regularized interactions configured or “bounded” in a way that differentiates +System: Set of regularized interactions configured or ďż˝boundedďż˝ in a way that differentiates -and separates them from other actions that constitute the system’s environment. +and separates them from other actions that constitute the systemďż˝s environment. Systems approach: Suggestion that public (or other) organizations can be viewed in the same general way as biological or physical systems. Systems theory: Effort to identify the interactions of various internal and external -elements that impinge on an organization’s operations. +elements that impinge on an organizationďż˝s operations. Task forces: Groups brought together to work on specific organizational problems. -Technical subsystem: Concerned with effective performance of an organization’s actual +Technical subsystem: Concerned with effective performance of an organizationďż˝s actual work. Time series analysis: Making a number of observations about the target population both @@ -25891,7 +25068,7 @@ Whipsaw tactics: Argument that pay or benefits negotiated by one group should be applied to others. Zero-base budgeting: Budget format that presents information about the efficiency and -effectiveness of existing programs and highlights possibilities for eliminating or reduc¬ +effectiveness of existing programs and highlights possibilities for eliminating or reducďż˝ ing programs. @@ -25919,7 +25096,7 @@ Action orientation, 387 American Society for Public Budgeting, 299-300 Adjudication, 66-67 Administration Budgeting and Accounting Act of Administrative organizations and code of ethics, 148 1921, 157 -executive leadership National Campaign for Public Budgeting and financial manage¬ +executive leadership National Campaign for Public Budgeting and financial manageďż˝ administrative organizations, 37, Service, 428 ment 39-41 Americans with Disabilities Act Accounting and computer-based @@ -25928,7 +25105,7 @@ overview, 35-37 Americans with Disabilities Act Accounting; Computer-based state level, 41-43 (ADA), 227 information systems Administrative positions Anti-terror War, 217-218, b218 budgetary strategies and political -business and government inter¬ Appleby, Paul, 18 games, 182-185 +business and government interďż˝ Appleby, Paul, 18 games, 182-185 action, 13-14 Apportionment, 195 budgets. See Budgets influencing public organizations, Appropriation, 195 capital budgeting, 186-187, 195 @@ -25938,7 +25115,7 @@ preparation for, 10-12 testifying before, b62 financial management overview, technical and managerial Arbitration, 70, 233 185 training, 12-13 Area of acceptance, 325 overview, 157-158, 194-195 -Administrative Procedures Act Audit program manager’s role, bl70 +Administrative Procedures Act Audit program managerďż˝s role, bl70 (APA), 65-68, 70 performance, 176 purchasing, 190 Administrative responsibility phase of budget process, risk management, 189-190, @@ -25991,7 +25168,7 @@ sources of bureaucratic power, Conditions of employment, 225 goal setting, 402-4 Burnout, organizational factors Conflict, bargaining, and pay and job satisfaction, and, b371 negotiation, 404-405 399-400 -Bush administration, intergovern¬ Conflicts of interest, 140-142 reinforcement theory, 400-402 +Bush administration, intergovernďż˝ Conflicts of interest, 140-142 reinforcement theory, 400-402 mental relations and, 90, 92-93 federal rules, 141 Democracy Bush tax plan, 165-167 Congressional Budget Act of 1974, definition, 3, 27 @@ -25999,7 +25176,7 @@ Business cycle, 195 172 values of, 3-5 Constituent policy, 55-56, 73 Democratic dream, b5 C Continuing resolution, 172, 195 Deontology, 126-127, 149 -Cabinet-level executive Contracting, 107-110, 118 Dillon’s Rule, 100, 118 +Cabinet-level executive Contracting, 107-110, 118 Dillonďż˝s Rule, 100, 118 departments, 39-40 Cooper, Terry, 129, 132-133 Direct orders, 118 Capital Cooperative federalism, 83-84, Discretion, administrative, @@ -26025,7 +25202,7 @@ Civil Service Reform Act of 1978, Councils of government, 118 overview, 236-238 Civil service system 105 Distributive policy, 54, 73 principles, 213 County administrative organizations Dual federalism, 82-83, 118 -Clinton presidency, intergovern¬ and executive leadership, 45 Due process, concerns for, 70 +Clinton presidency, intergovernďż˝ and executive leadership, 45 Due process, concerns for, 70 mental relations and, 88-90 Courts and agency administration, Code of Ethics of the American 70, 72 E @@ -26075,7 +25252,7 @@ following orders, 138-140 cooperative, 83-84, 118 Gore, Al, 217 interacting with elected officials, dual, 82-83, 118 Governance process and the role of 137-138 images of, b83 citizens, 438-439 -prohibitions on political New, 435 Governance transformation: global¬ +prohibitions on political New, 435 Governance transformation: globalďż˝ activities, 144-145 picket-fence, 84-87, 119, b86 ization, devolution and role, whistle blowing, 142-144 Federalists, 35 b91-92 @@ -26087,7 +25264,7 @@ audit, 147, 149 Fiduciary funds, 196 Standards Board (GASB), 192 privatization, 136-137 Final-offer arbitration, 248 Governmental units by type of Ethics of public administration Financial management. See government, t43 -Code of Ethics of the American Budgeting and financial Government redefinition and chal¬ +Code of Ethics of the American Budgeting and financial Government redefinition and chalďż˝ Society for Public management lenges to public service, 432-434 Administration, 154-156 Fiscal policy, 196 Grants @@ -26095,7 +25272,7 @@ Administration, 154-156 Fiscal policy, 196 Grants establishing an ethical climate, budgets, 158-159, See also funding patterns, 96-97, t96 146-148 Budgets types, 81-82, 118-119 -ethical problems for the individ¬ Fiscal year (FY), 168, 196 Griggs v. Duke Power Company, +ethical problems for the individďż˝ Fiscal year (FY), 168, 196 Griggs v. Duke Power Company, ual. See Ethical problems for Flexibility, 387 239 the individual Flowcharting, 271-272, 290, Gross National Product (GNP), @@ -26105,7 +25282,7 @@ techniques for integrating ethics Formula grant, 81, 118 Group dynamics. See als into agency operations, bl47 Friedrich, Carl, 132 Leadership Ethics of public service Functional principle, 303 advantages of group decision -approaches to ethical delibera¬ Future of public service making, 405-407, f406 +approaches to ethical deliberaďż˝ Future of public service making, 405-407, f406 tion. See Ethical deliberation, efforts to support public service, changing group composition, @@ -26113,7 +25290,7 @@ approaches to 428,430-431, b429 409-411 challenges, 439-441 ethical challenges, 439-441. decentralized networks, 407 -Issues of administrative responsi¬ See also Ethics of public disadvantages of group decision +Issues of administrative responsiďż˝ See also Ethics of public disadvantages of group decision bility. See Administrative administration; Ethics of making, 407-408 @@ -26138,9 +25315,9 @@ program evaluation, 285-289 process, 438-439 making, 414-417 47# Index Group dynamics (Continued) systems analysis, 273-276, f273, Interpersonal skills and group -specialized techniques for group f276 dynamics. See Communica¬ +specialized techniques for group f276 dynamics. See Communicaďż˝ -decision making, 413-414 Impoundment, 174, 196 tions; Delegation and motiva¬ +decision making, 413-414 Impoundment, 174, 196 tions; Delegation and motivaďż˝ synergy, 406 Incentive programs, 350-352 tion; Group dynamics; Vroom-Yetton model, 416-417, Independent agencies, 40, 74 Organization change and @@ -26159,7 +25336,7 @@ Harvard Negotiation Project, 404 Institutional subsystem, 290 description, 220, Hatch Political Activities Act Integrated information systems, enrichment, 348 (1939), 144-145 193-194 satisfaction and pay, 399-400 -Hawthorne Works study, 304 Intergovernmental relations, 81, Judicial influence and intergovern¬ +Hawthorne Works study, 304 Intergovernmental relations, 81, Judicial influence and intergovernďż˝ Hidden agenda, 408, 422 118 mental relations, 93-96, b95 Home rule, 100, 104, 118 the Bush administration, 90, Judiciary and public Human behavior, recognition of, 92-93 administration @@ -26171,7 +25348,7 @@ Americans with Disabilities Act dual federalism, 82-83 administration, 70, 72, b (ADA). See Americans with judicial influence, 93-96 legal principles relating to Disabilities Act (ADA) overview, 80-82 judicial review, b69 -discrimination in public employ¬ picket-fence federalism, 84-87 overview, 65-68, 70 +discrimination in public employďż˝ picket-fence federalism, 84-87 overview, 65-68, 70 ment, correcting patterns. the Reagan and Bush years, Judiciary support agencies, 40-41 See Discrimination in public 87-88 Jung model of psychological types, employment, correcting state and local funding patterns, 376-379, f378 @@ -26187,9 +25364,9 @@ hiring, firing, and things Intergroup problem solving, 420 238,240 in-between, 220-229 Interorganizational context of Kohlberg, Lawrence, 127-128 merit systems in public public administration -employment, 210-218 development of intergovernmen¬ L +employment, 210-218 development of intergovernmenďż˝ L -overview, 209-210, 247 tal relations. See Inter¬ Labor-management relations +overview, 209-210, 247 tal relations. See Interďż˝ Labor-management relations political appointee-career governmental relations bargaining process, 232-233 executive relations, 244-247 management of nonprofit cooperation, b236 @@ -26224,7 +25401,7 @@ Legislative supervision: structural sneaky, 119 Negotiation, 404-405, b405 controls Marshall Trilogy, 45-46 Networking, 8, 10, 23, 39, 42, 44, overview, 58-59 Maslow, Abraham, 399 47,51,58-59, 65,81,98,108, -sunset laws, 47, 60-61 Maslow’s hierarchy of needs, 399 111, 131, 142, 158, 164, 167, +sunset laws, 47, 60-61 Maslowďż˝s hierarchy of needs, 399 111, 131, 142, 158, 164, 167, sunshine laws, 61-62, 74 Mayor-council city organization, 170, 185,209,216, 223, veto, 59-60, 74 43-44 225-226, 230, 256, 271, 279, @@ -26283,7 +25460,7 @@ interaction and communication, main conclusions, b429 management reform, 337-340 overview, 367 and Local Public Service, Nonprofit organizations, -“typical” day, b370 430-431 management of +ďż˝typicalďż˝ day, b370 430-431 management of work themes, 369 National League of Cities v. Usery, advocacy, 116-117 @@ -26346,7 +25523,7 @@ images of organizing in the Personal skills in public administration public and nonprofit sectors, management administrative organizations 297-298 creativity and problem solving, and executive leadership. -organizational culture, organiza¬ 376-379,f378 See Administrative organiza¬ +organizational culture, organizaďż˝ 376-379,f378 See Administrative organizaďż˝ tional learning, and strategic distribution of time among work tions and executive leadership management, 312-322 elements, 368 overview, 34-35, 72-73 @@ -26427,7 +25604,7 @@ and public administration, Sneaky mandate, 119 144-145 R Social power, bases of, b385 Project grant, 81, 118 Rawls, John, 127 Sovereignty, 229-231 -Property tax, 163 Reagan and Bush years, intergov¬ state, 100 +Property tax, 163 Reagan and Bush years, intergovďż˝ state, 100 Proportional tax, 196 ernmental relations and, 87-88 Speaking skills, 395-396 Proprietary funds, 192, 196 Recission, 174, 197 Special districts, 105-106, 119 Psychology, moral, 127-129 Reconciliation bill, 196 administrative organizations and @@ -26440,7 +25617,7 @@ administration, 5-7 Reflections of a public service Stakeholders, 290 current thinking, 7-9 junkie, b26 State sovereignty, 100 definition, 2-3, 28 Regions Hospital v. Sbalala, 67, b69 State spending from tobacco -political context. See Political con¬ Regressive tax, 196 settlement, t98 +political context. See Political conďż˝ Regressive tax, 196 settlement, t98 text of public administration Regulatory Strategic management, 326 @@ -26491,7 +25668,7 @@ stress signals and responses, competence, 387 V 372-373 subsystem, 291 Values, 316 Strike decisions, 232-235 Technology and challenge to public Veto Structured interviews, 248 service, 435, 438 legislative, 59-60, 74 -Subjective responsibility, 150 Thorndike’s law of effect, 400 line-item, 173, 196 +Subjective responsibility, 150 Thorndikeďż˝s law of effect, 400 line-item, 173, 196 Suggestion award, 351, 363 Time management, 375-376 Volcker, Paul, 428 Sunset laws, 60-61, 74 Time series analysis, 291 Volcker Commission, 428, Sunshine laws, 61-62, 74 Tobacco settlement, state 430-431 @@ -26592,11 +25769,11 @@ involved in political science. Our textbooks weave current events, research, and scholarship into insightful, compelling narratives . . . while innovative multimedia and technology resources help students make the connection between those narratives and daily life. We -offer complete teaching and learning packages—integrated resources +offer complete teaching and learning packagesďż˝integrated resources that make teaching easier and help students experience the power and relevance of government. -• FREE! InfoTrac® College Edition —an online library of top +ďż˝ FREE! InfoTracďż˝ College Edition ďż˝an online library of top journals and magazines J Instructors: Give your students online access to the latest @@ -26614,12 +25791,12 @@ The Wadsworth Political Science Resource Center http:/ / politicalscience.wadsworth.com When you adopt a Wadsworth political science text, you and your students have access to a rich array of teaching and learning -resources you won’t find anywhere else. This outstanding site features +resources you wonďż˝t find anywhere else. This outstanding site features everything from student tutorials to discussion forums, the latest political science news, and a career center. It also includes dozens -of InfoTrac College Edition activities and new “In the News” +of InfoTrac College Edition activities and new ďż˝In the Newsďż˝ features that bring home the -relevance of politics. It’s an +relevance of politics. Itďż˝s an ideal way to make teaching and learning an exciting, Political Science diff --git a/Books/Procedure/The Checklist Manifesto How to Get Things Right (Atul Gawande) (z-library.sk, 1lib.sk, z-lib.sk).txt b/Books/Procedure/The Checklist Manifesto How to Get Things Right (Atul Gawande) (z-library.sk, 1lib.sk, z-lib.sk).txt index 368d927..71a3f8a 100644 --- a/Books/Procedure/The Checklist Manifesto How to Get Things Right (Atul Gawande) (z-library.sk, 1lib.sk, z-lib.sk).txt +++ b/Books/Procedure/The Checklist Manifesto How to Get Things Right (Atul Gawande) (z-library.sk, 1lib.sk, z-lib.sk).txt @@ -1,104 +1,6 @@ -ALSO BY ATUL GAWANDE - -BETTER: A SURGEON’S NOTES ON PERFORMANCE - -COMPLICATIONS: A SURGEON’S NOTES ON AN IMPERFECT -SCIENCE - - - -THE CHECKLIST MANIFESTO - - - -ATUL GAWANDE - - - -THE CHECKLIST MANIFESTO HOW TO GET THINGS -RIGHT - - - -First published in Great Britain in 2010 by -PROFILE BOOKS LTD - -3A Exmouth House -Pine Street - -London EC1R 0JH -www.profilebooks.com - -First published in America in 2009 by -Metropolitan Books of Henry Holt and Company LLC - -Copyright © Atul Gawande, 2010 - -Some material in this book originally appeared -in the New Yorker essay, ‘The Checklist’ in different form - -1 2 3 4 5 6 7 9 10 - -Printed and bound in Great Britain by -Clays, Bungay, Suffolk - -The moral right of the author has been asserted. - -All rights reserved. Without limiting the rights under copyright reserved -above, no part of this publication may be reproduced, stored or introduced - -into a retrieval system, or transmitted, in any form or by any means -(electronic, mechanical, photocopying, recording or otherwise), without the - -prior written permission of both the copyright owner and the publisher of -this book. - -A CIP catalogue record for this book is available from the British Library. - -eISBN: 978-1-84765-187-7 - -The paper this book is printed on is certified by the © 1996 Forest -Stewardship Council A.C. (FSC). It is ancient-forest friendly. The printer - -holds FSC chain of custody SGS-COC-2061 - - - - - - -For Hunter, Hattie, and Walker - - - -CONTENTS - -INTRODUCTION - -1. THE PROBLEM OF EXTREME COMPLEXITY -2. THE CHECKLIST -3. THE END OF THE MASTER BUILDER -4. THE IDEA -5. THE FIRST TRY -6. THE CHECKLIST FACTORY -7. THE TEST -8. THE HERO IN THE AGE OF CHECKLISTS -9. THE SAVE - -NOTES ON SOURCES -ACKNOWLEDGMENTS - - - -THE CHECKLIST MANIFESTO - - - -INTRODUCTION - I was chatting with a medical school friend of mine who is now a general surgeon in San Francisco. We were trading war stories, as surgeons -are apt to do. One of John’s was about a guy who came in on Halloween +are apt to do. One of Johnďż˝s was about a guy who came in on Halloween night with a stab wound. He had been at a costume party. He got into an altercation. And now here he was. @@ -108,12 +10,12 @@ from head to toe, front and back. He was of moderate size, about two hundred pounds, most of the excess around his middle. That was where they found the stab wound, a neat two-inch red slit in his belly, pouting open like a fish mouth. A thin mustard yellow strip of omental fat tongued -out of it—fat from inside his abdomen, not the pale yellow, superficial fat -that lies beneath the skin. They’d need to take him to the operating room, -check to make sure the bowel wasn’t injured, and sew up the little gap. +out of itďż˝fat from inside his abdomen, not the pale yellow, superficial fat +that lies beneath the skin. Theyďż˝d need to take him to the operating room, +check to make sure the bowel wasnďż˝t injured, and sew up the little gap. -“No big deal,” John said. -If it were a bad injury, they’d need to crash into the operating room— +ďż˝No big deal,ďż˝ John said. +If it were a bad injury, theyďż˝d need to crash into the operating roomďż˝ stretcher flying, nurses racing to get the surgical equipment set up, the anesthesiologists skipping their detailed review of the medical records. But @@ -121,24 +23,24 @@ this was not a bad injury. They had time, they determined. The patient lay waiting on his stretcher in the stucco-walled trauma bay while the OR was readied. -Then a nurse noticed he’d stopped babbling. His heart rate had -skyrocketed. His eyes were rolling back in his head. He didn’t respond +Then a nurse noticed heďż˝d stopped babbling. His heart rate had +skyrocketed. His eyes were rolling back in his head. He didnďż˝t respond when she shook him. She called for help, and the members of the trauma team swarmed back into the room. His blood pressure was barely detectible. They stuck a tube down his airway and pushed air into his lungs, poured -fluid and emergency-release blood into him. Still they couldn’t get his +fluid and emergency-release blood into him. Still they couldnďż˝t get his pressure up. -So now they were crashing into the operating room—stretcher flying, +So now they were crashing into the operating roomďż˝stretcher flying, nurses racing to get the surgical equipment set up, the anesthesiologists skipping their review of the records, a resident splashing a whole bottle of Betadine antiseptic onto his belly, John grabbing a fat No. 10 blade and -slicing down through the skin of the man’s abdomen in one clean, +slicing down through the skin of the manďż˝s abdomen in one clean, determined swipe from rib cage to pubis. -“Cautery.” +ďż˝Cautery.ďż˝ He drew the electrified metal tip of the cautery pen along the fat underneath the skin, parting it in a line from top to bottom, then through the @@ -146,34 +48,34 @@ fibrous white sheath of fascia between the abdominal muscles. He pierced his way into the abdominal cavity itself, and suddenly an ocean of blood burst out of the patient. -“Crap.” -The blood was everywhere. The assailant’s knife had gone more than a +ďż˝Crap.ďż˝ +The blood was everywhere. The assailantďż˝s knife had gone more than a -foot through the man’s skin, through the fat, through the muscle, past the +foot through the manďż˝s skin, through the fat, through the muscle, past the intestine, along the left of his spinal column, and right into the aorta, the main artery from the heart. -“Which was crazy,” John said. Another surgeon joined to help and got a +ďż˝Which was crazy,ďż˝ John said. Another surgeon joined to help and got a fist down on the aorta, above the puncture point. That stopped the worst of -the bleeding and they began to get control of the situation. John’s colleague -said he hadn’t seen an injury like it since Vietnam. +the bleeding and they began to get control of the situation. Johnďż˝s colleague +said he hadnďż˝t seen an injury like it since Vietnam. The description was pretty close, it turned out. The other guy at the -costume party, John later learned, was dressed as a soldier—with a bayonet. +costume party, John later learned, was dressed as a soldierďż˝with a bayonet. The patient was touch and go for a couple days. But he pulled through. John still shakes his head ruefully when he talks about the case. -There are a thousand ways that things can go wrong when you’ve got a +There are a thousand ways that things can go wrong when youďż˝ve got a patient with a stab wound. But everyone involved got almost every step -right—the head-to-toe examination, the careful tracking of the patient’s +rightďż˝the head-to-toe examination, the careful tracking of the patientďż˝s blood pressure and pulse and rate of breathing, the monitoring of his consciousness, the fluids run in by IV, the call to the blood bank to have blood ready, the placement of a urinary catheter to make sure his urine was running clear, everything. Except no one remembered to ask the patient or the emergency medical technicians what the weapon was. -“Your mind doesn’t think of a bayonet in San Francisco,” John could +ďż˝Your mind doesnďż˝t think of a bayonet in San Francisco,ďż˝ John could only say. @@ -181,17 +83,17 @@ only say. He told me about another patient, who was undergoing an operation to remove a cancer of his stomach when his heart suddenly stopped.* John remembered looking up at the cardiac monitor and saying to the -anesthesiologist, “Hey, is that asystole?” Asystole is total cessation of heart +anesthesiologist, ďż˝Hey, is that asystole?ďż˝ Asystole is total cessation of heart function. It looks like a flat line on the monitor, as if the monitor is not even hooked up to the patient. -The anesthesiologist said, “A lead must have fallen off,” because it -seemed impossible to believe that the patient’s heart had stopped. The man +The anesthesiologist said, ďż˝A lead must have fallen off,ďż˝ because it +seemed impossible to believe that the patientďż˝s heart had stopped. The man was in his late forties and had been perfectly healthy. The tumor was found almost by chance. He had gone to see his physician about something else, a -cough perhaps, and mentioned he’d been having some heartburn, too. Well, +cough perhaps, and mentioned heďż˝d been having some heartburn, too. Well, not heartburn exactly. He felt like food sometimes got stuck in his -esophagus and wouldn’t go down and that gave him heartburn. The doctor +esophagus and wouldnďż˝t go down and that gave him heartburn. The doctor ordered an imaging test that required him to swallow a milky barium drink while standing in front of an X-ray machine. And there on the images it was: a fleshy mouse-size mass, near the top of the stomach, intermittently @@ -201,54 +103,54 @@ case a total gastrectomy, meaning removal of his entire stomach, a major four-hour undertaking. The team members were halfway through the procedure. The cancer was -out. There’d been no problems whatsoever. They were getting ready to -reconstruct the patient’s digestive tract when the monitor went flat-line. It +out. Thereďż˝d been no problems whatsoever. They were getting ready to +reconstruct the patientďż˝s digestive tract when the monitor went flat-line. It took them about five seconds to figure out that a lead had not fallen off. The -anesthesiologist could feel no pulse in the patient’s carotid artery. His heart +anesthesiologist could feel no pulse in the patientďż˝s carotid artery. His heart had stopped. John tore the sterile drapes off the patient and started doing chest -compressions, the patient’s intestines bulging in and out of his open +compressions, the patientďż˝s intestines bulging in and out of his open abdomen with each push. A nurse called a Code Blue. John paused here in telling the story and asked me to suppose I was in his -situation. “So, now, what would you do?” +situation. ďż˝So, now, what would you do?ďż˝ I tried to think it through. The asystole happened in the midst of major surgery. Therefore, massive blood loss would be at the top of my list. I would open fluids wide, I said, and look for bleeding. -That’s what the anesthesiologist said, too. But John had the patient’s +Thatďż˝s what the anesthesiologist said, too. But John had the patientďż˝s abdomen completely open. There was no bleeding, and he told the anesthesiologist so. -“He couldn’t believe it,” John said. “He kept saying, ‘There must be +ďż˝He couldnďż˝t believe it,ďż˝ John said. ďż˝He kept saying, ďż˝There must be -massive bleeding! There must be massive bleeding!’ ” But there was none. -Lack of oxygen was also a possibility. I said I’d put the oxygen at 100 +massive bleeding! There must be massive bleeding!ďż˝ ďż˝ But there was none. +Lack of oxygen was also a possibility. I said Iďż˝d put the oxygen at 100 -percent and check the airway. I’d also draw blood and send it for stat +percent and check the airway. Iďż˝d also draw blood and send it for stat laboratory tests to rule out unusual abnormalities. John said they thought of that, too. The airway was fine. And as for the lab tests, they would take at least twenty minutes to get results, by which point it would be too late. -Could it be a collapsed lung—a pneumothorax? There were no signs of it. +Could it be a collapsed lungďż˝a pneumothorax? There were no signs of it. They listened with a stethoscope and heard good air movement on both sides of the chest. -The cause therefore had to be a pulmonary embolism, I said—a blood -clot must have traveled to the patient’s heart and plugged off his circulation. -It’s rare, but patients with cancer undergoing major surgery are at risk, and -if it happens there’s not much that can be done. One could give a bolus of -epinephrine— adrenalin—to try to jump-start the heart, but it wouldn’t +The cause therefore had to be a pulmonary embolism, I saidďż˝a blood +clot must have traveled to the patientďż˝s heart and plugged off his circulation. +Itďż˝s rare, but patients with cancer undergoing major surgery are at risk, and +if it happens thereďż˝s not much that can be done. One could give a bolus of +epinephrineďż˝ adrenalinďż˝to try to jump-start the heart, but it wouldnďż˝t likely do much good. John said that his team had come to the same conclusion. After fifteen -minutes of pumping up and down on the patient’s chest, the line on the +minutes of pumping up and down on the patientďż˝s chest, the line on the screen still flat as death, the situation seemed hopeless. Among those who arrived to help, however, was a senior anesthesiologist who had been in the room when the patient was being put to sleep. When he left, nothing @@ -264,55 +166,55 @@ fine, and the anesthesiologist had given him a dose of potassium to correct it. I was chagrined at having missed this possibility. An abnormal level of -potassium is a classic cause of asystole. It’s mentioned in every textbook. I -couldn’t believe I overlooked it. Severely low potassium levels can stop the +potassium is a classic cause of asystole. Itďż˝s mentioned in every textbook. I +couldnďż˝t believe I overlooked it. Severely low potassium levels can stop the heart, in which case a corrective dose of potassium is the remedy. And too -much potassium can stop the heart, as well—that’s how states execute +much potassium can stop the heart, as wellďż˝thatďż˝s how states execute prisoners. The senior anesthesiologist asked to see the potassium bag that had been hanging. Someone fished it out of the trash and that was when they figured it out. The anesthesiologist had used the wrong concentration of potassium, -a concentration one hundred times higher than he’d intended. He had, in +a concentration one hundred times higher than heďż˝d intended. He had, in other words, given the patient a lethal overdose of potassium. -After so much time, it wasn’t clear whether the patient could be revived. +After so much time, it wasnďż˝t clear whether the patient could be revived. It might well have been too late. But from that point on, they did everything they were supposed to do. They gave injections of insulin and glucose to lower the toxic potassium level. Knowing that the medications would take a -good fifteen minutes to kick in—way too long—they also gave intravenous +good fifteen minutes to kick inďż˝way too longďż˝they also gave intravenous calcium and inhaled doses of a drug called albuterol, which act more -quickly. The potassium levels dropped rapidly. And the patient’s heartbeat +quickly. The potassium levels dropped rapidly. And the patientďż˝s heartbeat did indeed come back. -The surgical team was so shaken they weren’t sure they could finish the -operation. They’d not only nearly killed the man but also failed to recognize +The surgical team was so shaken they werenďż˝t sure they could finish the +operation. Theyďż˝d not only nearly killed the man but also failed to recognize how. They did finish the procedure, though. John went out and told the family what had happened. He and the patient were lucky. The man -recovered—almost as if the whole episode had never occurred. +recoveredďż˝almost as if the whole episode had never occurred. The stories surgeons tell one another are often about the shock of the -unexpected—the bayonet in San Francisco, the cardiac arrest when all -seemed fine—and sometimes about regret over missed possibilities. We talk +unexpectedďż˝the bayonet in San Francisco, the cardiac arrest when all +seemed fineďż˝and sometimes about regret over missed possibilities. We talk about our great saves but also about our great failures, and we all have them. They are part of what we do. We like to think of ourselves as in -control. But John’s stories got me thinking about what is really in our +control. But Johnďż˝s stories got me thinking about what is really in our control and what is not. In the 1970s, the philosophers Samuel Gorovitz and Alasdair MacIntyre published a short essay on the nature of human fallibility that I read during -my surgical training and haven’t stopped pondering since. The question +my surgical training and havenďż˝t stopped pondering since. The question they sought to answer was why we fail at what we set out to do in the -world. One reason, they observed, is “necessary fallibility”—some things +world. One reason, they observed, is ďż˝necessary fallibility��some things we want to do are simply beyond our capacity. We are not omniscient or all- powerful. Even enhanced by technology, our physical and mental powers -are limited. Much of the world and universe is—and will remain—outside +are limited. Much of the world and universe isďż˝and will remainďż˝outside our understanding and control. There are substantial realms, however, in which control is within our @@ -320,36 +222,36 @@ reach. We can build skyscrapers, predict snowstorms, save people from heart attacks and stab wounds. In such realms, Gorovitz and MacIntyre point out, we have just two reasons that we may nonetheless fail. -The first is ignorance—we may err because science has given us only a +The first is ignoranceďż˝we may err because science has given us only a partial understanding of the world and how it works. There are skyscrapers we do not yet know how to build, snowstorms we cannot predict, heart -attacks we still haven’t learned how to stop. The second type of failure the -philosophers call ineptitude—because in these instances the knowledge +attacks we still havenďż˝t learned how to stop. The second type of failure the +philosophers call ineptitudeďż˝because in these instances the knowledge exists, yet we fail to apply it correctly. This is the skyscraper that is built wrong and collapses, the snowstorm whose signs the meteorologist just plain missed, the stab wound from a weapon the doctors forgot to ask about. -Thinking about John’s cases as a small sample of the difficulties we face +Thinking about Johnďż˝s cases as a small sample of the difficulties we face in early-twenty-first-century medicine, I was struck by how greatly the balance of ignorance and ineptitude has shifted. For nearly all of history, -people’s lives have been governed primarily by ignorance. This was +peopleďż˝s lives have been governed primarily by ignorance. This was nowhere more clear than with the illnesses that befell us. We knew little about what caused them or what could be done to remedy them. But -sometime over the last several decades—and it is only over the last several -decades— science has filled in enough knowledge to make ineptitude as +sometime over the last several decadesďż˝and it is only over the last several +decadesďż˝ science has filled in enough knowledge to make ineptitude as much our struggle as ignorance. Consider heart attacks. Even as recently as the 1950s, we had little idea -of how to prevent or treat them. We didn’t know, for example, about the -danger of high blood pressure, and had we been aware of it we wouldn’t +of how to prevent or treat them. We didnďż˝t know, for example, about the +danger of high blood pressure, and had we been aware of it we wouldnďż˝t have known what to do about it. The first safe medication to treat hypertension was not developed and conclusively demonstrated to prevent -disease until the 1960s. We didn’t know about the role of cholesterol, either, +disease until the 1960s. We didnďż˝t know about the role of cholesterol, either, or genetics or smoking or diabetes. Furthermore, if someone had a heart attack, we had little idea of how to -treat it. We’d give some morphine for the pain, perhaps some oxygen, and -put the patient on strict bed rest for weeks—patients weren’t even permitted +treat it. Weďż˝d give some morphine for the pain, perhaps some oxygen, and +put the patient on strict bed rest for weeksďż˝patients werenďż˝t even permitted to get up and go to the bathroom for fear of stressing their damaged hearts. Then everyone would pray and cross their fingers and hope the patient @@ -359,7 +261,7 @@ would make it out of the hospital to spend the rest of his or her life at home as a cardiac cripple. Today, by contrast, we have at least a dozen effective ways to reduce your -likelihood of having a heart attack—for instance, controlling your blood +likelihood of having a heart attackďż˝for instance, controlling your blood pressure, prescribing a statin to lower cholesterol and inflammation, limiting blood sugar levels, encouraging exercise regularly, helping with smoking cessation, and, if there are early signs of heart disease, getting you @@ -368,13 +270,13 @@ heart attack, we have a whole panel of effective therapies that can not only save your life but also limit the damage to your heart: we have clot-busting drugs that can reopen your blocked coronary arteries; we have cardiac catheters that can balloon them open; we have open heart surgery -techniques that let us bypass the obstructed vessels; and we’ve learned that +techniques that let us bypass the obstructed vessels; and weďż˝ve learned that in some instances all we really have to do is send you to bed with some -oxygen, an aspirin, a statin, and blood pressure medications—in a couple -days you’ll generally be ready to go home and gradually back to your usual +oxygen, an aspirin, a statin, and blood pressure medicationsďż˝in a couple +days youďż˝ll generally be ready to go home and gradually back to your usual life. -But now the problem we face is ineptitude, or maybe it’s “eptitude”— +But now the problem we face is ineptitude, or maybe itďż˝s ďż˝eptitude�� making sure we apply the knowledge we have consistently and correctly. Just making the right treatment choice among the many options for a heart attack patient can be difficult, even for expert clinicians. Furthermore, @@ -403,10 +305,10 @@ Getting the steps right is proving brutally hard, even if you know them. I have been trying for some time to understand the source of our greatest difficulties and stresses in medicine. It is not money or government or the -threat of malpractice lawsuits or insurance company hassles—although they +threat of malpractice lawsuits or insurance company hasslesďż˝although they all play their role. It is the complexity that science has dropped upon us and the enormous strains we are encountering in making good on its promise. -The problem is not uniquely American; I have seen it everywhere—in +The problem is not uniquely American; I have seen it everywhereďż˝in Europe, in Asia, in rich countries and poor. Moreover, I have found to my surprise that the challenge is not limited to medicine. @@ -414,11 +316,11 @@ Know-how and sophistication have increased remarkably across almost all our realms of endeavor, and as a result so has our struggle to deliver on them. You see it in the frequent mistakes authorities make when hurricanes or tornadoes or other disasters hit. You see it in the 36 percent increase -between 2004 and 2007 in lawsuits against attorneys for legal mistakes— +between 2004 and 2007 in lawsuits against attorneys for legal mistakesďż˝ the most common being simple administrative errors, like missed calendar dates and clerical screwups, as well as errors in applying the law. You see it in flawed software design, in foreign intelligence failures, in our tottering -banks—in fact, in almost any endeavor requiring mastery of complexity and +banksďż˝in fact, in almost any endeavor requiring mastery of complexity and of large amounts of knowledge. Such failures carry an emotional valence that seems to cloud how we @@ -426,26 +328,26 @@ think about them. Failures of ignorance we can forgive. If the knowledge of the best thing to do in a given situation does not exist, we are happy to have people simply make their best effort. But if the knowledge exists and is not applied correctly, it is difficult not to be infuriated. What do you mean half -of heart attack patients don’t get their treatment on time? What do you +of heart attack patients donďż˝t get their treatment on time? What do you mean that two-thirds of death penalty cases are overturned because of errors? It is not for nothing that the philosophers gave these failures so -unmerciful a name—ineptitude. Those on the receiving end use other +unmerciful a nameďż˝ineptitude. Those on the receiving end use other words, like negligence or even heartlessness. -For those who do the work, however—for those who care for the patients, -practice the law, respond when need calls—the judgment feels like it +For those who do the work, howeverďż˝for those who care for the patients, +practice the law, respond when need callsďż˝the judgment feels like it ignores how extremely difficult the job is. Every day there is more and more to manage and get right and learn. And defeat under conditions of complexity occurs far more often despite great effort rather than from a lack -of it. That’s why the traditional solution in most professions has not been to +of it. Thatďż˝s why the traditional solution in most professions has not been to punish failure but instead to encourage more experience and training. There can be no disputing the importance of experience. It is not enough for a surgeon to have the textbook knowledge of how to treat trauma -victims—to understand the science of penetrating wounds, the damage they +victimsďż˝to understand the science of penetrating wounds, the damage they cause, the different approaches to diagnosis and treatment, the importance of acting quickly. One must also grasp the clinical reality, with its nuances of timing and sequence. One needs practice to achieve mastery, a body of @@ -453,13 +355,13 @@ experience before one achieves real success. And if what we are missing when we fail is individual skill, then what is needed is simply more training and practice. -But what is striking about John’s cases is that he is among the best- +But what is striking about Johnďż˝s cases is that he is among the best- trained surgeons I know, with more than a decade on the front lines. And this is the common pattern. The capability of individuals is not proving to be our primary difficulty, whether in medicine or elsewhere. Far from it. Training in most fields is longer and more intense than ever. People spend years of sixty, seventy-, eighty-hour weeks building their base of -knowledge and experience before going out into practice on their own— +knowledge and experience before going out into practice on their ownďż˝ whether they are doctors or professors or lawyers or engineers. They have sought to perfect themselves. It is not clear how we could produce substantially more expertise than we already have. Yet our failures remain @@ -471,7 +373,7 @@ the most highly trained, highly skilled, and hardworking people in our society. And, with it, they have indeed accomplished extraordinary things. Nonetheless, that know-how is often unmanageable. Avoidable failures are common and persistent, not to mention demoralizing and frustrating, across -many fields—from medicine to finance, business to government. And the +many fieldsďż˝from medicine to finance, business to government. And the reason is increasingly evident: the volume and complexity of what we know has exceeded our individual ability to deliver its benefits correctly, safely, or reliably. Knowledge has both saved us and burdened us. @@ -482,7 +384,7 @@ somehow also makes up for our inevitable human inadequacies. And there -is such a strategy— though it will seem almost ridiculous in its simplicity, +is such a strategyďż˝ though it will seem almost ridiculous in its simplicity, maybe even crazy to those of us who have spent years carefully developing ever more advanced skills and technologies. @@ -504,7 +406,7 @@ Following instructions from an emergency response team reached on their cell phone, they began cardiopulmonary resuscitation. Rescue personnel arrived eight minutes later and took the first recordings -of the girl’s condition. She was unresponsive. She had no blood pressure or +of the girlďż˝s condition. She was unresponsive. She had no blood pressure or pulse or sign of breathing. Her body temperature was just 66 degrees. Her pupils were dilated and unreactive to light, indicating cessation of brain function. She was gone. @@ -514,12 +416,12 @@ her to the nearest hospital, where she was wheeled directly into an operating room, a member of the emergency crew straddling her on the gurney, pumping her chest. A surgical team got her onto a heart-lung bypass machine as rapidly as it could. The surgeon had to cut down through the -skin of the child’s right groin and sew one of the desk-size machine’s +skin of the childďż˝s right groin and sew one of the desk-size machineďż˝s silicone rubber tubes into her femoral artery to take the blood out of her, then another into her femoral vein to send the blood back. A perfusionist turned the pump on, and as he adjusted the oxygen and temperature and flow through the system, the clear tubing turned maroon with her blood. -Only then did they stop the girl’s chest compressions. +Only then did they stop the girlďż˝s chest compressions. Between the transport time and the time it took to plug the machine into her, she had been lifeless for an hour and a half. By the two-hour mark, @@ -529,12 +431,12 @@ her, she had been lifeless for an hour and a half. By the two-hour mark, however, her body temperature had risen almost ten degrees, and her heart began to beat. It was her first organ to come back. -After six hours, the girl’s core reached 98.6 degrees, normal body +After six hours, the girlďż˝s core reached 98.6 degrees, normal body temperature. The team tried to shift her from the bypass machine to a mechanical ventilator, but the pond water and debris had damaged her lungs too severely for the oxygen pumped in through the breathing tube to reach her blood. So they switched her instead to an artificial-lung system known -as ECMO— extracorporeal membrane oxygenation. To do this, the +as ECMOďż˝ extracorporeal membrane oxygenation. To do this, the surgeons had to open her chest down the middle with a power saw and sew the lines to and from the portable ECMO unit directly into her aorta and her beating heart. @@ -549,11 +451,11 @@ lungs had recovered sufficiently for the team to switch her from ECMO to a mechanical ventilator, which required taking her back to the operating room to unplug the tubing, repair the holes, and close her chest. -Over the next two days, all the girl’s organs recovered—her liver, her +Over the next two days, all the girlďż˝s organs recoveredďż˝her liver, her kidneys, her intestines, everything except her brain. A CT scan showed global brain swelling, which is a sign of diffuse damage, but no actual dead zones. So the team escalated the care one step further. It drilled a hole into -the girl’s skull, threaded a probe into the brain to monitor the pressure, and +the girlďż˝s skull, threaded a probe into the brain to monitor the pressure, and kept that pressure tightly controlled through constant adjustments in her fluids and medications. For more than a week, she lay comatose. Then, slowly, she came back to life. @@ -565,12 +467,12 @@ was thick and slurry. But she underwent extensive outpatient therapy. By age five, she had recovered her faculties completely. Physical and neurological examinations were normal. She was like any little girl again. -What makes this recovery astounding isn’t just the idea that someone +What makes this recovery astounding isnďż˝t just the idea that someone could be brought back after two hours in a state that would once have been -considered death. It’s also the idea that a group of people in a random +considered death. Itďż˝s also the idea that a group of people in a random hospital could manage to pull off something so enormously complicated. Rescuing a drowning victimis nothing like it looks on television shows, where a few chest compressions and some mouth-to-mouth resuscitation @@ -585,14 +487,14 @@ of orchestrating them in the right sequence, with nothing dropped, leaving some room for improvisation, but not too much. For every drowned and pulseless child rescued, there are scores more -who don’t make it—and not just because their bodies are too far gone. -Machines break down; a team can’t get moving fast enough; someone fails -to wash his hands and an infection takes hold. Such cases don’t get written +who donďż˝t make itďż˝and not just because their bodies are too far gone. +Machines break down; a team canďż˝t get moving fast enough; someone fails +to wash his hands and an infection takes hold. Such cases donďż˝t get written up in the Annals of Thoracic Surgery, but they are the norm, though people may not realize it. -I think we have been fooled about what we can expect from medicine— -fooled, one could say, by penicillin. Alexander Fleming’s 1928 discovery +I think we have been fooled about what we can expect from medicineďż˝ +fooled, one could say, by penicillin. Alexander Flemingďż˝s 1928 discovery held out a beguiling vision of health care and how it would treat illness or injury in the future: a simple pill or injection would be capable of curing not just one condition but perhaps many. Penicillin, after all, seemed to be @@ -601,12 +503,12 @@ diseases. So why not a similar cure-all for the different kinds of cancer? And why not something equally simple to melt away skin burns or to reverse cardiovascular disease and strokes? -Medicine didn’t turn out this way, though. After a century of incredible +Medicine didnďż˝t turn out this way, though. After a century of incredible discovery, most diseases have proved to be far more particular and difficult to treat. This is true even for the infections doctors once treated with penicillin: not all bacterial strains were susceptible and those that were soon developed resistance. Infections today require highly individualized -treatment, sometimes with multiple therapies, based on a given strain’s +treatment, sometimes with multiple therapies, based on a given strainďż˝s pattern of antibiotic susceptibility, the condition of the patient, and which organ systems are affected. The model of medicine in the modern age seems @@ -614,12 +516,12 @@ organ systems are affected. The model of medicine in the modern age seems less and less like penicillin and more and more like what was required for the girl who nearly drowned. Medicine has become the art of managing -extreme complexity—and a test of whether such complexity can, in fact, be +extreme complexityďż˝and a test of whether such complexity can, in fact, be humanly mastered. -The ninth edition of the World Health Organization’s international +The ninth edition of the World Health Organizationďż˝s international classification of diseases has grown to distinguish more than thirteen -thousand different diseases, syndromes, and types of injury—more than +thousand different diseases, syndromes, and types of injuryďż˝more than thirteen thousand different ways, in other words, that the body can fail. And, for nearly all of them, science has given us things we can do to help. If we cannot cure the disease, then we can usually reduce the harm and misery @@ -628,12 +530,12 @@ never simple. Clinicians now have at their disposal some six thousand drugs and four thousand medical and surgical procedures, each with different requirements, risks, and considerations. It is a lot to get right. -There is a community clinic in Boston’s Kenmore Square affiliated with -my hospital. The word clinic makes the place sound tiny, but it’s nothing of +There is a community clinic in Bostonďż˝s Kenmore Square affiliated with +my hospital. The word clinic makes the place sound tiny, but itďż˝s nothing of the sort. Founded in 1969, and now called Harvard Vanguard, it aimed to provide people with the full range of outpatient medical services they might need over the course of their lives. It has since tried to stick with that plan, -but doing so hasn’t been easy. To keep up with the explosive growth in +but doing so hasnďż˝t been easy. To keep up with the explosive growth in medical capabilities, the clinic has had to build more than twenty facilities and employ some six hundred doctors and a thousand other health professionals covering fifty-nine specialties, many of which did not exist @@ -641,9 +543,9 @@ when the clinic first opened. Walking the fifty steps from the fifth-floor elevator to the general surgery department, I pass offices for general internal medicine, endocrinology, genetics, hand surgery, laboratory testing, nephrology, ophthalmology, orthopedics, radiology scheduling, and urology -—and that’s just one hallway. +ďż˝and thatďż˝s just one hallway. -To handle the complexity, we’ve split up the tasks among various +To handle the complexity, weďż˝ve split up the tasks among various specialties. But even divvied up, the work can become overwhelming. In the course of one day on general surgery call at the hospital, for instance, the labor floor asked me to see a twenty-five-year-old woman with @@ -661,34 +563,34 @@ intensive care with a large cancer that had grown to obstruct her kidneys and bowel and produce bleeding that they were having trouble controlling. Our internal medicine service called me to see a sixty-one-year-old man with emphysema so severe he had been refused hip surgery because of -insufficient lung reserves; now he had a severe colon infection—an acute -diverticulitis—that had worsened despite three days of antibiotics, and +insufficient lung reserves; now he had a severe colon infectionďż˝an acute +diverticulitisďż˝that had worsened despite three days of antibiotics, and surgery seemed his only option. Another service asked for help with a fifty- two-year-old man with diabetes, coronary artery disease, high blood pressure, chronic kidney failure, severe obesity, a stroke, and now a strangulating groin hernia. And an internist called about a young, otherwise healthy woman with a possible rectal abscess to be lanced. -Confronted with cases of such variety and intricacy—in one day, I’d had +Confronted with cases of such variety and intricacyďż˝in one day, Iďż˝d had six patients with six completely different primary medical problems and a -total of twenty-six different additional diagnoses—it’s tempting to believe -that no one else’s job could be as complex as mine. But extreme complexity -is the rule for almost everyone. I asked the people in Harvard Vanguard’s +total of twenty-six different additional diagnosesďż˝itďż˝s tempting to believe +that no one elseďż˝s job could be as complex as mine. But extreme complexity +is the rule for almost everyone. I asked the people in Harvard Vanguardďż˝s medical records department if they would query the electronic system for how many different kinds of patient problems the average doctor there sees annually. The answer that came back flabbergasted me. Over the course of a -year of office practice— which, by definition, excludes the patients seen in -the hospital— physicians each evaluated an average of 250 different +year of office practiceďż˝ which, by definition, excludes the patients seen in +the hospitalďż˝ physicians each evaluated an average of 250 different primary diseases and conditions. Their patients had more than nine hundred other active medical problems that had to be taken into account. The doctors each prescribed some three hundred medications, ordered more than a hundred different types of laboratory tests, and performed an average of -forty different kinds of office procedures—from vaccinations to setting +forty different kinds of office proceduresďż˝from vaccinations to setting fractures. -Even considering just the office work, the statistics still didn’t catch all +Even considering just the office work, the statistics still didnďż˝t catch all the diseases and conditions. One of the most common diagnoses, it turned -out, was “Other.” On a hectic day, when you’re running two hours behind +out, was ďż˝Other.ďż˝ On a hectic day, when youďż˝re running two hours behind and the people in the waiting room are getting irate, you may not take the time to record the precise diagnostic codes in the database. But, even when @@ -704,29 +606,29 @@ ganglioneuroblastoma (a rare type of tumor of the adrenal gland) and another with a nightmarish genetic condition called Li-Fraumeni syndrome, which causes inheritors to develop cancers in organs all over their bodies. Neither disease had yet made it into the pull-down menus. All I could -record was, in so many words, “Other.” Scientists continue to report -important new genetic findings, subtypes of cancer, and other diagnoses— -not to mention treatments—almost weekly. The complexity is increasing so +record was, in so many words, ďż˝Other.ďż˝ Scientists continue to report +important new genetic findings, subtypes of cancer, and other diagnosesďż˝ +not to mention treatmentsďż˝almost weekly. The complexity is increasing so fast that even the computers cannot keep up. -But it’s not only the breadth and quantity of knowledge that has made -medicine complicated. It is also the execution—the practical matter of what +But itďż˝s not only the breadth and quantity of knowledge that has made +medicine complicated. It is also the executionďż˝the practical matter of what knowledge requires clinicians to do. The hospital is where you see just how formidable the task can be. A prime example is the place the girl who -nearly drowned spent most of her recovery—the intensive care unit. +nearly drowned spent most of her recoveryďż˝the intensive care unit. -It’s an opaque term, intensive care. Specialists in the field prefer to call -what they do critical care, but that still doesn’t exactly clarify matters. The +Itďż˝s an opaque term, intensive care. Specialists in the field prefer to call +what they do critical care, but that still doesnďż˝t exactly clarify matters. The nonmedical term life support gets us closer. The damage that the human body can survive these days is as awesome as it is horrible: crushing, burning, bombing, a burst aorta, a ruptured colon, a massive heart attack, rampaging infection. These maladies were once uniformly fatal. Now survival is commonplace, and a substantial part of the credit goes to the abilities intensive care units have developed to take artificial control of -failing bodies. Typically, this requires a panoply of technology— a +failing bodies. Typically, this requires a panoply of technologyďż˝ a mechanical ventilator and perhaps a tracheostomy tube if the lungs have failed, an aortic balloon pump if the heart has given out, a dialysis machine -if the kidneys don’t work. If you are unconscious and can’t eat, silicone +if the kidneys donďż˝t work. If you are unconscious and canďż˝t eat, silicone tubing can be surgically inserted into your stomach or intestines for formula feeding. If your intestines are too damaged, solutions of amino acids, fatty acids, and glucose can be infused directly into your bloodstream. @@ -754,12 +656,12 @@ observed patient care in ICUs for twenty-four-hour stretches. They found that the average patient required 178 individual actions per day, ranging from administering a drug to suctioning the lungs, and every one of them posed risks. Remarkably, the nurses and doctors were observed to make an -error in just 1 percent of these actions—but that still amounted to an +error in just 1 percent of these actionsďż˝but that still amounted to an average of two errors a day with every patient. Intensive care succeeds only when we hold the odds of doing harm low enough for the odds of doing good to prevail. This is hard. There are dangers simply in lying unconscious in bed for a few days. Muscles atrophy. Bones lose mass. Pressure ulcers -form. Veins begin to clot. You have to stretch and exercise patients’ flaccid +form. Veins begin to clot. You have to stretch and exercise patientsďż˝ flaccid limbs daily to avoid contractures; you have to give subcutaneous injections of blood thinners at least twice a day, turn patients in bed every few hours, bathe them and change their sheets without knocking out a tube or a line, @@ -771,8 +673,8 @@ The story of one of my patients makes the point. Anthony DeFilippo was a forty-eight-year-old limousine driver from Everett, Massachusetts, who started to hemorrhage at a community hospital during surgery for a hernia and gallstones. The surgeon was finally able to stop the bleeding but -DeFilippo’s liver was severely damaged, and over the next few days he -became too sick for the hospital’s facilities. I accepted him for transfer in +DeFilippoďż˝s liver was severely damaged, and over the next few days he +became too sick for the hospitalďż˝s facilities. I accepted him for transfer in order to stabilize him and figure out what to do. When he arrived in our ICU, at 1:30 a.m. on a Sunday, his ragged black hair was plastered to his @@ -781,13 +683,13 @@ ICU, at 1:30 a.m. on a Sunday, his ragged black hair was plastered to his sweaty forehead, his body was shaking, and his heart was racing at 114 beats a minute. He was delirious from fever, shock, and low oxygen levels. -“I need to get out!” he cried. “I need to get out!” He clawed at his gown, +ďż˝I need to get out!ďż˝ he cried. ďż˝I need to get out!ďż˝ He clawed at his gown, his oxygen mask, the dressings covering his abdominal wound. -“Tony, it’s all right,” a nurse said to him. “We’re going to help you. -You’re in a hospital.” +ďż˝Tony, itďż˝s all right,ďż˝ a nurse said to him. ďż˝Weďż˝re going to help you. +Youďż˝re in a hospital.ďż˝ -He shoved her out of the way—he was a big man—and tried to swing his +He shoved her out of the wayďż˝he was a big manďż˝and tried to swing his legs out of the bed. We turned up his oxygen flow, put his wrists in cloth restraints, and tried to reason with him. He eventually tired out and let us draw blood and give him antibiotics. @@ -799,17 +701,17 @@ next few hours, his blood pressure fell, his breathing worsened, and he drifted from agitation to near unconsciousness. Each of his organ systems, including his brain, was shutting down. -I called his sister, his next of kin, and told her the situation. “Do -everything you can,” she said. +I called his sister, his next of kin, and told her the situation. ďż˝Do +everything you can,ďż˝ she said. So we did. We gave him a syringeful of anesthetic, and a resident slid a -breathing tube into his throat. Another resident “lined him up.” She inserted +breathing tube into his throat. Another resident ďż˝lined him up.ďż˝ She inserted a thin two-inch-long needle and catheter through his upturned right wrist and into his radial artery, then sewed the line to his skin with a silk suture. -Next, she put in a central line—a twelve-inch catheter pushed into the +Next, she put in a central lineďż˝a twelve-inch catheter pushed into the jugular vein in his left neck. After she sewed that in place, and an X-ray -showed its tip floating just where it was supposed to—inside his vena cava -at the entrance to his heart—she put a third, slightly thicker line, for +showed its tip floating just where it was supposed toďż˝inside his vena cava +at the entrance to his heartďż˝she put a third, slightly thicker line, for dialysis, through his right upper chest and into the subclavian vein, deep under the collarbone. @@ -830,23 +732,23 @@ a little adjustment here and there, and we could alter the levels of potassium and bicarbonate and salt, as well. He was, we liked to imagine, a simple machine in our hands. -But he wasn’t, of course. It was as if we had gained a steering wheel and +But he wasnďż˝t, of course. It was as if we had gained a steering wheel and a few gauges and controls, but on a runaway 18-wheeler hurtling down a -mountain. Keeping that patient’s blood pressure normal required gallons of +mountain. Keeping that patientďż˝s blood pressure normal required gallons of intravenous fluid and a pharmacy shelf of drugs. He was on near-maximal ventilator support. His temperature climbed to 104 degrees. Less than 5 -percent of patients with DeFilippo’s degree of organ failure make it home. +percent of patients with DeFilippoďż˝s degree of organ failure make it home. A single misstep could easily erase those slender chances. -For ten days, though, we made progress. DeFilippo’s chief problem had +For ten days, though, we made progress. DeFilippoďż˝s chief problem had been liver damage from his prior operation: the main duct from his liver -was severed and was leaking bile, which is caustic—it digests the fat in -one’s diet and was essentially eating him alive from the inside. He had +was severed and was leaking bile, which is causticďż˝it digests the fat in +oneďż˝s diet and was essentially eating him alive from the inside. He had become too sick to survive an operation to repair the leak. So once we had -stabilized him, we tried a temporary solution—we had radiologists place a +stabilized him, we tried a temporary solutionďż˝we had radiologists place a plastic drain, using CT guidance, through his abdominal wall and into the severed duct in order to draw out the leaking bile. They found so much that -they had to place three drains—one inside the duct and two around it. But, +they had to place three drainsďż˝one inside the duct and two around it. But, as the bile drained out, his fevers subsided. His need for oxygen and fluids diminished, and his blood pressure returned to normal. He was beginning to mend. Then, on the eleventh day, just as we were getting ready to take him @@ -854,7 +756,7 @@ off the ventilator, he again developed high, spiking fevers, his blood pressure sank, and his blood-oxygen levels plummeted again. His skin became clammy. He got shaking chills. -We couldn’t understand what had happened. He seemed to have +We couldnďż˝t understand what had happened. He seemed to have developed an infection, but our X-rays and CT scans failed to turn up a source. Even after we put him on four antibiotics, he continued to spike fevers. During one fever, his heart went into fibrillation. A Code Blue was @@ -868,7 +770,7 @@ infected, so we put in new lines and sent the old ones to the lab for culturing. Forty-eight hours later, the results returned. All the lines were infected. The infection had probably started in one line, which perhaps was -contaminated during insertion, and spread through DeFilippo’s bloodstream +contaminated during insertion, and spread through DeFilippoďż˝s bloodstream to the others. Then they all began spilling bacteria into him, producing the fevers and steep decline. @@ -897,17 +799,17 @@ people in his situation do not. Here, then, is the fundamental puzzle of modern medical care: you have a desperately sick patient and in order to have a chance of saving him you have to get the knowledge right and then you have to make sure that the 178 -daily tasks that follow are done correctly—despite some monitor’s alarm +daily tasks that follow are done correctlyďż˝despite some monitorďż˝s alarm going off for God knows what reason, despite the patient in the next bed crashing, despite a nurse poking his head around the curtain to ask whether -someone could help “get this lady’s chest open.” There is complexity upon +someone could help ďż˝get this ladyďż˝s chest open.ďż˝ There is complexity upon complexity. And even specialization has begun to seem inadequate. So what do you do? -The medical profession’s answer has been to go from specialization to -superspecialization. I told DeFilippo’s ICU story, for instance, as if I were +The medical professionďż˝s answer has been to go from specialization to +superspecialization. I told DeFilippoďż˝s ICU story, for instance, as if I were the one tending to him hour by hour. That, however, was actually an intensivist (as intensive care specialists like to be called). As a general surgeon, I like to think I can handle most clinical situations. But, as the @@ -919,18 +821,18 @@ superspecialists. Expertise is the mantra of modern medicine. In the early twentieth century, you needed only a high school diploma and a one-year medical -degree to practice medicine. By the century’s end, all doctors had to have a +degree to practice medicine. By the centuryďż˝s end, all doctors had to have a college degree, a four-year medical degree, and an additional three to seven -years of residency training in an individual field of practice—pediatrics, +years of residency training in an individual field of practiceďż˝pediatrics, surgery, neurology, or the like. In recent years, though, even this level of preparation has not been enough for the new complexity of medicine. After their residencies, most young doctors today are going on to do fellowships, adding one to three further years of training in, say, laparoscopic surgery, or pediatric metabolic disorders, or breast radiology, or critical care. A young -doctor is not so young nowadays; you typically don’t start in independent +doctor is not so young nowadays; you typically donďż˝t start in independent practice until your midthirties. -We live in the era of the superspecialist—of clinicians who have taken +We live in the era of the superspecialistďż˝of clinicians who have taken the time to practice, practice, practice at one narrow thing until they can do it better than anyone else. They have two advantages over ordinary specialists: greater knowledge of the details that matter and a learned ability @@ -948,17 +850,17 @@ neurosurgical anesthesiologists, and many others. Likewise, we no longer -have just “operating room nurses.” They too are often subspecialized for +have just ďż˝operating room nurses.ďż˝ They too are often subspecialized for specific kinds of cases. Then of course there are the surgeons. Surgeons are so absurdly ultraspecialized that when we joke about right ear surgeons and left ear -surgeons, we have to check to be sure they don’t exist. I am trained as a +surgeons, we have to check to be sure they donďż˝t exist. I am trained as a general surgeon but, except in the most rural places, there is no such thing. -You really can’t do everything anymore. I decided to center my practice on -surgical oncology— cancer surgery—but even this proved too broad. So, +You really canďż˝t do everything anymore. I decided to center my practice on +surgical oncologyďż˝ cancer surgeryďż˝but even this proved too broad. So, although I have done all I can to hang on to a broad span of general surgical -skills, especially for emergencies, I’ve developed a particular expertise in +skills, especially for emergencies, Iďż˝ve developed a particular expertise in removing cancers of endocrine glands. The result of the recent decades of ever-refined specialization has been a @@ -967,11 +869,11 @@ were once a double-digit risk of even small operations, and prolonged recovery and disability was the norm, day surgery has become commonplace. -Yet given how much surgery is now done—Americans today undergo an +Yet given how much surgery is now doneďż˝Americans today undergo an average of seven operations in their lifetime, with surgeons performing -more than fifty million operations annually— the amount of harm remains +more than fifty million operations annuallyďż˝ the amount of harm remains substantial. We continue to have upwards of 150,000 deaths following -surgery every year—more than three times the number of road traffic +surgery every yearďż˝more than three times the number of road traffic fatalities. Moreover, research has consistently showed that at least half our deaths and major complications are avoidable. The knowledge exists. But however supremely specialized and trained we may have become, steps are @@ -979,8 +881,8 @@ still missed. Mistakes are still made. Medicine, with its dazzling successes but also frequent failures, therefore poses a significant challenge: What do you do when expertise is not -enough? What do you do when even the super-specialists fail? We’ve begun -to see an answer, but it has come from an unexpected source—one that has +enough? What do you do when even the super-specialists fail? Weďż˝ve begun +to see an answer, but it has come from an unexpected sourceďż˝one that has nothing to do with medicine at all. @@ -989,14 +891,14 @@ nothing to do with medicine at all. On October 30, 1935, at Wright Air Field in Dayton, Ohio, the U.S. Army Air Corps held a flight competition for airplane manufacturers vying -to build the military’s next-generation long-range bomber. It wasn’t +to build the militaryďż˝s next-generation long-range bomber. It wasnďż˝t supposed to be much of a competition. In early evaluations, the Boeing -Corporation’s gleaming aluminum-alloy Model 299 had trounced the -designs of Martin and Douglas. Boeing’s plane could carry five times as +Corporationďż˝s gleaming aluminum-alloy Model 299 had trounced the +designs of Martin and Douglas. Boeingďż˝s plane could carry five times as many bombs as the army had requested; it could fly faster than previous bombers and almost twice as far. A Seattle newspaper man who had -glimpsed the plane on a test flight over his city called it the “flying -fortress,” and the name stuck. The flight “competition,” according to the +glimpsed the plane on a test flight over his city called it the ďż˝flying +fortress,ďż˝ and the name stuck. The flight ďż˝competition,ďż˝ according to the military historian Phillip Meilinger, was regarded as a mere formality. The army planned to order at least sixty-five of the aircraft. @@ -1009,7 +911,7 @@ turned on one wing, and crashed in a fiery explosion. Two of the five crew members died, including the pilot, Major Ployer P. Hill. An investigation revealed that nothing mechanical had gone wrong. The -crash had been due to “pilot error,” the report said. Substantially more +crash had been due to ďż˝pilot error,ďż˝ the report said. Substantially more complex than previous aircraft, the new plane required the pilot to attend to the four engines, each with its own oil-fuel mix, the retractable landing gear, the wing flaps, electric trim tabs that needed adjustment to maintain @@ -1017,11 +919,11 @@ stability at different airspeeds, and constant-speed propellers whose pitch had to be regulated with hydraulic controls, among other features. While doing all this, Hill had forgotten to release a new locking mechanism on the elevator and rudder controls. The Boeing model was deemed, as a -newspaper put it, “too much airplane for one man to fly.” The army air +newspaper put it, ďż˝too much airplane for one man to fly.ďż˝ The army air -corps declared Douglas’s smaller design the winner. Boeing nearly went +corps declared Douglasďż˝s smaller design the winner. Boeing nearly went bankrupt. Still, the army purchased a few aircraft from Boeing as test planes, and @@ -1031,8 +933,8 @@ of test pilots got together and considered what to do. What they decided not to do was almost as interesting as what they actually did. They did not require Model 299 pilots to undergo longer training. It was hard to imagine having more experience and expertise than -Major Hill, who had been the air corps’ chief of flight testing. Instead, they -came up with an ingeniously simple approach: they created a pilot’s +Major Hill, who had been the air corpsďż˝ chief of flight testing. Instead, they +came up with an ingeniously simple approach: they created a pilotďż˝s checklist. Its mere existence indicated how far aeronautics had advanced. In the early years of flight, getting an aircraft into the air might have been nerve-racking but it was hardly complex. Using a checklist for takeoff @@ -1040,12 +942,12 @@ would no more have occurred to a pilot than to a driver backing a car out of the garage. But flying this new plane was too complicated to be left to the memory of any one person, however expert. -The test pilots made their list simple, brief, and to the point— short +The test pilots made their list simple, brief, and to the pointďż˝ short enough to fit on an index card, with step-by-step checks for takeoff, flight, landing, and taxiing. It had the kind of stuff that all pilots know to do. They check that the brakes are released, that the instruments are set, that the door -and windows are closed, that the elevator controls are unlocked—dumb -stuff. You wouldn’t think it would make that much difference. But with the +and windows are closed, that the elevator controls are unlockedďż˝dumb +stuff. You wouldnďż˝t think it would make that much difference. But with the checklist in hand, the pilots went on to fly the Model 299 a total of 1.8 million miles without one accident. The army ultimately ordered almost thirteen thousand of the aircraft, which it dubbed the B-17. And, because @@ -1060,27 +962,27 @@ them to carry out reliably from memory alone. Multiple fields, in other words, have become too much airplane for one person to fly. Yet it is far from obvious that something as simple as a checklist could be -of substantial help. We may admit that errors and oversights occur—even +of substantial help. We may admit that errors and oversights occurďż˝even devastating ones. But we believe our jobs are too complicated to reduce to a checklist. Sick people, for instance, are phenomenally more various than airplanes. A study of forty-one thousand trauma patients in the state of -Pennsylvania—just trauma patients—found that they had 1,224 different -injury-related diagnoses in 32,261 unique combinations. That’s like having +Pennsylvaniaďż˝just trauma patientsďż˝found that they had 1,224 different +injury-related diagnoses in 32,261 unique combinations. Thatďż˝s like having 32,261 kinds of airplane to land. Mapping out the proper steps for every case is not possible, and physicians have been skeptical that a piece of paper with a bunch of little boxes would improve matters. But we have had glimmers that it might, at least in some corners. What, for instance, are the vital signs that every hospital records if not a kind of -checklist? Comprised of four physiological data points—body temperature, -pulse, blood pressure, and respiratory rate—they give health professionals a +checklist? Comprised of four physiological data pointsďż˝body temperature, +pulse, blood pressure, and respiratory rateďż˝they give health professionals a basic picture of how sick a person is. Missing one of these measures can be -dangerous, we’ve learned. Maybe three of them seem normal—the patient -looks good, actually—and you’re inclined to say, “Eh, she’s fine, send her -home.” But perhaps the fourth reveals a fever or low blood pressure or a +dangerous, weďż˝ve learned. Maybe three of them seem normalďż˝the patient +looks good, actuallyďż˝and youďż˝re inclined to say, ďż˝Eh, sheďż˝s fine, send her +home.ďż˝ But perhaps the fourth reveals a fever or low blood pressure or a galloping heart rate, and skipping it could cost a person her life. Practitioners have had the means to measure vital signs since the early @@ -1094,8 +996,8 @@ record them all. In a complex environment, experts are up against two main difficulties. The first is the fallibility of human memory and attention, especially when it comes to mundane, routine matters that are easily overlooked under the -strain of more pressing events. (When you’ve got a patient throwing up and -an upset family member asking you what’s going on, it can be easy to forget +strain of more pressing events. (When youďż˝ve got a patient throwing up and +an upset family member asking you whatďż˝s going on, it can be easy to forget that you have not checked her pulse.) Faulty memory and distraction are a particular danger in what engineers call all-or-none processes: whether running to the store to buy ingredients for a cake, preparing an airplane for @@ -1104,19 +1006,19 @@ thing, you might as well not have made the effort at all. A further difficulty, just as insidious, is that people can lull themselves into skipping steps even when they remember them. In complex processes, -after all, certain steps don’t always matter. Perhaps the elevator controls on +after all, certain steps donďż˝t always matter. Perhaps the elevator controls on airplanes are usually unlocked and a check is pointless most of the time. Perhaps measuring all four vital signs uncovers a worrisome issue in only -one out of fifty patients. “This has never been a problem before,” people +one out of fifty patients. ďż˝This has never been a problem before,ďż˝ people say. Until one day it is. Checklists seem to provide protection against such failures. They remind us of the minimum necessary steps and make them explicit. They not only offer the possibility of verification but also instill a kind of discipline of -higher performance. Which is precisely what happened with vital signs— +higher performance. Which is precisely what happened with vital signsďż˝ though it was not doctors who deserved the credit. The routine recording of the four vital signs did not become the norm in @@ -1125,25 +1027,25 @@ designed their patient charts and forms to include the signs, essentially creating a checklist for themselves. With all the things nurses had to do for their patients over the course of a -day or night—dispense their medications, dress their wounds, troubleshoot -problems—the “vitals chart” provided a way of ensuring that every six -hours, or more often when nurses judged necessary, they didn’t forget to -check their patient’s pulse, blood pressure, temperature, and respiration and +day or nightďż˝dispense their medications, dress their wounds, troubleshoot +problemsďż˝the ďż˝vitals chartďż˝ provided a way of ensuring that every six +hours, or more often when nurses judged necessary, they didnďż˝t forget to +check their patientďż˝s pulse, blood pressure, temperature, and respiration and assess exactly how the patient was doing. In most hospitals, nurses have since added a fifth vital sign: pain, as rated by patients on a scale of one to ten. And nurses have developed yet further -such bedside innovations—for example, medication timing charts and brief +such bedside innovationsďż˝for example, medication timing charts and brief written care plans for every patient. No one calls these checklists but, really, -that’s what they are. They have been welcomed by nursing but haven’t quite +thatďż˝s what they are. They have been welcomed by nursing but havenďż˝t quite carried over into doctoring. -Charts and checklists, that’s nursing stuff—boring stuff. They are nothing +Charts and checklists, thatďż˝s nursing stuffďż˝boring stuff. They are nothing that we doctors, with our extra years of training and specialization, would ever need or use. In 2001, though, a critical care specialist at Johns Hopkins Hospital named -Peter Pronovost decided to give a doctor checklist a try. He didn’t attempt +Peter Pronovost decided to give a doctor checklist a try. He didnďż˝t attempt to make the checklist encompass everything ICU teams might need to do in a day. He designed it to tackle just one of their hundreds of potential tasks, the one that nearly killed Anthony DeFilippo: central line infections. @@ -1153,7 +1055,7 @@ infections when putting in a central line. Doctors are supposed to (1) wash -their hands with soap, (2) clean the patient’s skin with chlorhexidine +their hands with soap, (2) clean the patientďż˝s skin with chlorhexidine antiseptic, (3) put sterile drapes over the entire patient, (4) wear a mask, hat, sterile gown, and gloves, and (5) put a sterile dressing over the insertion site once the line is in. Check, check, check, check, check. These steps are no- @@ -1169,16 +1071,16 @@ a step on the checklist; nurses were also to ask the doctors each day whether any lines ought to be removed, so as not to leave them in longer than necessary. This was revolutionary. Nurses have always had their ways of nudging a doctor into doing the right thing, ranging from the gentle -reminder (“Um, did you forget to put on your mask, doctor?”) to more -forceful methods (I’ve had a nurse bodycheck me when she thought I hadn’t -put enough drapes on a patient). But many nurses aren’t sure whether this is +reminder (ďż˝Um, did you forget to put on your mask, doctor?ďż˝) to more +forceful methods (Iďż˝ve had a nurse bodycheck me when she thought I hadnďż˝t +put enough drapes on a patient). But many nurses arenďż˝t sure whether this is their place or whether a given measure is worth a confrontation. (Does it -really matter whether a patient’s legs are draped for a line going into the -chest?) The new rule made it clear: if doctors didn’t follow every step, the +really matter whether a patientďż˝s legs are draped for a line going into the +chest?) The new rule made it clear: if doctors didnďż˝t follow every step, the nurses would have backup from the administration to intervene. For a year afterward, Pronovost and his colleagues monitored what -happened. The results were so dramatic that they weren’t sure whether to +happened. The results were so dramatic that they werenďż˝t sure whether to believe them: the ten-day line-infection rate went from 11 percent to zero. So they followed patients for fifteen more months. Only two line infections occurred during the entire period. They calculated that, in this one hospital, @@ -1189,13 +1091,13 @@ Pronovost recruited more colleagues, and they tested some more checklists in his Johns Hopkins ICU. One aimed to ensure that nurses observed patients for pain at least once every four hours and provided timely pain medication. This reduced from 41 percent to 3 percent the -likelihood of a patient’s enduring untreated pain. They tested a checklist for +likelihood of a patientďż˝s enduring untreated pain. They tested a checklist for patients on mechanical ventilation, making sure, for instance, that doctors prescribed antacid medication to prevent stomach ulcers and that the head -of each patient’s bed was propped up at least thirty degrees to stop oral +of each patientďż˝s bed was propped up at least thirty degrees to stop oral secretions from going into the windpipe. The proportion of patients not receiving the recommended care dropped from 70 percent to 4 percent, the occurrence of pneumonias fell by a quarter, and twenty-one fewer patients @@ -1210,29 +1112,29 @@ Pronovost observed. They helped with memory recall and clearly set out the minimum necessary steps in a process. He was surprised to discover how often even experienced personnel failed to grasp the importance of certain precautions. In a survey of ICU staff taken before introducing the ventilator -checklists, he found that half hadn’t realized that evidence strongly +checklists, he found that half hadnďż˝t realized that evidence strongly supported giving ventilated patients antacid medication. Checklists, he found, established a higher standard of baseline performance. These seem, of course, ridiculously primitive insights. -Pronovost is routinely described by colleagues as “brilliant,” “inspiring,” +Pronovost is routinely described by colleagues as ďż˝brilliant,ďż˝ ďż˝inspiring,ďż˝ -a “genius.” He has an M.D. and a Ph.D. in public health from Johns +a ďż˝genius.ďż˝ He has an M.D. and a Ph.D. in public health from Johns Hopkins and is trained in emergency medicine, anesthesiology, and critical care medicine. But, really, does it take all that to figure out what anyone who has made a to-do list figured out ages ago? Well, maybe yes. Despite his initial checklist results, takers were slow to come. He traveled around the country showing his checklists to doctors, nurses, insurers, -employers—anyone who would listen. He spoke in an average of seven +employersďż˝anyone who would listen. He spoke in an average of seven cities a month. But few adopted the idea. There were various reasons. Some physicians were offended by the suggestion that they needed checklists. Others had legitimate doubts about -Pronovost’s evidence. So far, he’d shown only that checklists worked in one +Pronovostďż˝s evidence. So far, heďż˝d shown only that checklists worked in one hospital, Johns Hopkins, where the ICUs have money, plenty of staff, and Peter Pronovost walking the hallways to make sure that the idea was being -properly implemented. How about in the real world—where ICU nurses and +properly implemented. How about in the real worldďż˝where ICU nurses and doctors are in short supply, pressed for time, overwhelmed with patients, and hardly receptive to the notion of filling out yet another piece of paper? @@ -1240,20 +1142,20 @@ and hardly receptive to the notion of filling out yet another piece of paper? In 2003, however, the Michigan Health and Hospital Association approached Pronovost about testing his central line checklist throughout the -state’s ICUs. It would be a huge undertaking. But Pronovost would have a +stateďż˝s ICUs. It would be a huge undertaking. But Pronovost would have a chance to establish whether his checklists could really work in the wider world. I visited Sinai-Grace Hospital, in inner-city Detroit, a few years after the project was under way, and I saw what Pronovost was up against. Occupying a campus of redbrick buildings amid abandoned houses, check- -cashing stores, and wig shops on the city’s West Side, just south of Eight +cashing stores, and wig shops on the cityďż˝s West Side, just south of Eight Mile Road, Sinai-Grace is a classic urban hospital. It employed at the time eight hundred physicians, seven hundred nurses, and two thousand other medical personnel to care for a population with the lowest median income of any city in the country. More than a quarter of a million residents were uninsured; 300,000 were on state assistance. That meant chronic financial -problems. Sinai-Grace is not the most cash-strapped hospital in the city— +problems. Sinai-Grace is not the most cash-strapped hospital in the cityďż˝ that would be Detroit Receiving Hospital, where more than a fifth of the patients have no means of payment. But between 2000 and 2003, Sinai- Grace and eight other Detroit hospitals were forced to cut a third of their @@ -1264,13 +1166,13 @@ Sinai-Grace has five ICUs for adult patients and one for infants. Hassan Makki, the director of intensive care, told me what it was like there in 2004, when Pronovost and the hospital association started a series of mailings and conference calls with hospitals to introduce checklists for central lines and -ventilator patients. “Morale was low,” he said. “We had lost lots of staff, -and the nurses who remained weren’t sure if they were staying.” Many +ventilator patients. ďż˝Morale was low,ďż˝ he said. ďż˝We had lost lots of staff, +and the nurses who remained werenďż˝t sure if they were staying.ďż˝ Many doctors were thinking about leaving, too. Meanwhile, the teams faced an even heavier workload because of new rules limiting how long the residents could work at a stretch. Now Pronovost was telling them to find the time to fill out some daily checklists? Tom Piskorowski, one of the ICU physicians, -told me his reaction: “Forget the paperwork. Take care of the patient.” +told me his reaction: ďż˝Forget the paperwork. Take care of the patient.ďż˝ I accompanied a team on 7:00 a.m. rounds through one of the surgical ICUs. It had eleven patients. Four had gunshot wounds (one had been shot @@ -1289,7 +1191,7 @@ patient who had had surgery to repair a cerebral aneurysm. The doctors and nurses on rounds tried to proceed methodically from one room to the next but were constantly interrupted: a patient they thought -they’d stabilized began hemorrhaging again; another who had been taken +theyďż˝d stabilized began hemorrhaging again; another who had been taken off the ventilator developed trouble breathing and had to be put back on the machine. It was hard to imagine that they could get their heads far enough above the daily tide of disasters to worry about the minutiae on some @@ -1301,18 +1203,18 @@ through the unit, clipboard in hand, making sure that every patient on a ventilator had the bed propped at the right angle and had been given the right medicines and the right tests. Whenever doctors put in a central line, a nurse made sure that the central line checklist had been filled out and placed -in the patient’s chart. Looking back through the hospital files, I found that +in the patientďż˝s chart. Looking back through the hospital files, I found that they had been doing this faithfully for more than three years. Pronovost had been canny when he started. In his first conversations with -hospital administrators, he hadn’t ordered them to use the central line +hospital administrators, he hadnďż˝t ordered them to use the central line checklist. Instead, he asked them simply to gather data on their own line infection rates. In early 2004, they found, the infection rates for ICU patients in Michigan hospitals were higher than the national average, and in some hospitals dramatically so. Sinai-Grace experienced more central line infections than 75 percent of American hospitals. Meanwhile, Blue Cross Blue Shield of Michigan agreed to give hospitals small bonus payments for -participating in Pronovost’s program. A checklist suddenly seemed an easy +participating in Pronovostďż˝s program. A checklist suddenly seemed an easy and logical thing to try. In what became known as the Keystone Initiative, each hospital assigned @@ -1322,12 +1224,12 @@ that the participating hospitals assign to each unit a senior hospital -executive who would visit at least once a month, hear the staff ’s +executive who would visit at least once a month, hear the staff ďż˝s complaints, and help them solve problems. The executives were reluctant. They normally lived in meetings, -worrying about strategy and budgets. They weren’t used to venturing into -patient territory and didn’t feel they belonged there. In some places, they +worrying about strategy and budgets. They werenďż˝t used to venturing into +patient territory and didnďż˝t feel they belonged there. In some places, they encountered hostility, but their involvement proved crucial. In the first month, the executives discovered that chlorhexidine soap, shown to reduce line infections, was available in less than a third of the ICUs. This was a @@ -1341,24 +1243,24 @@ lines, to produce a new kit that had both the drape and chlorhexidine in it. In December 2006, the Keystone Initiative published its findings in a landmark article in the New England Journal of Medicine. Within the first -three months of the project, the central line infection rate in Michigan’s -ICUs decreased by 66 percent. Most ICUs—including the ones at Sinai- -Grace Hospital—cut their quarterly infection rate to zero. Michigan’s +three months of the project, the central line infection rate in Michiganďż˝s +ICUs decreased by 66 percent. Most ICUsďż˝including the ones at Sinai- +Grace Hospitalďż˝cut their quarterly infection rate to zero. Michiganďż˝s infection rates fell so low that its average ICU outperformed 90 percent of -ICUs nationwide. In the Keystone Initiative’s first eighteen months, the +ICUs nationwide. In the Keystone Initiativeďż˝s first eighteen months, the hospitals saved an estimated $175 million in costs and more than fifteen -hundred lives. The successes have been sustained for several years now— +hundred lives. The successes have been sustained for several years nowďż˝ all because of a stupid little checklist. It is tempting to think this might be an isolated success. Perhaps there is something unusual about the strategy required to prevent central line infections. After all, the central line checklist did not prevent any of the other kinds of complications that can result from sticking these foot-long -plastic catheters into people’s chests—such as a collapsed lung if the needle +plastic catheters into peopleďż˝s chestsďż˝such as a collapsed lung if the needle goes in too deep or bleeding if a blood vessel gets torn. It just prevented infections. In this particular instance, yes, doctors had some trouble getting -the basics right—making sure to wash their hands, put on their sterile -gloves and gown, and so on—and a checklist proved dramatically valuable. +the basics rightďż˝making sure to wash their hands, put on their sterile +gloves and gown, and so onďż˝and a checklist proved dramatically valuable. @@ -1366,7 +1268,7 @@ But among the myriad tasks clinicians carry out for patients, maybe this is the peculiar case. I started to wonder, though. -Around the time I learned of Pronovost’s results, I spoke to Markus +Around the time I learned of Pronovostďż˝s results, I spoke to Markus Thalmann, the cardiac surgeon who had been the lead author of the case report on the extraordinary rescue of the little girl from death by drowning. @@ -1384,7 +1286,7 @@ hospital received between three and five such patients a year, he estimated, mostly avalanche victims, some of them drowning victims, and a few of them people attempting suicide by taking a drug overdose and then wandering out into the snowy Alpine forests to fall unconscious. For a long -time, he said, no matter how hard the hospital’s medical staff tried, they had +time, he said, no matter how hard the hospitalďż˝s medical staff tried, they had no survivors. Most of the victims had been without a pulse and oxygen for too long when they were found. But some, he was convinced, still had a flicker of viability in them, yet he and his colleagues had always failed to @@ -1392,19 +1294,19 @@ sustain it. He took a close look at the case records. Preparation, he determined, was the chief difficulty. Success required having an array of people and -equipment at the ready—trauma surgeons, a cardiac anesthesiologist, a +equipment at the readyďż˝trauma surgeons, a cardiac anesthesiologist, a cardiothoracic surgeon, bioengineering support staff, a cardiac perfusionist, operating and critical care nurses, intensivists. Almost routinely, someone or something was missing. -He tried the usual surgical approach to remedy this—yelling at everyone +He tried the usual surgical approach to remedy thisďż˝yelling at everyone to get their act together. But still they had no saves. So he and a couple of colleagues decided to try something new. They made a checklist. They gave the checklist to the people with the least power in the whole -process—the rescue squads and the hospital telephone operator—and +processďż˝the rescue squads and the hospital telephone operatorďż˝and @@ -1415,7 +1317,7 @@ on the scene, as the preparation time could be significant. The telephone operator would then work down a list of people to notify them to have everything set up and standing by. -With the checklist in place, the team had its first success—the rescue of +With the checklist in place, the team had its first successďż˝the rescue of the three-year-old girl. Not long afterward, Thalmann left to take a job at a hospital in Vienna. The team, however, has since had at least two other such rescues, he said. In one case, a man had been found frozen and pulseless @@ -1433,7 +1335,7 @@ took her straight to the operating room and crashed her onto heart-lung bypass. One step followed right after another. And, because of the speed with which they did, she had a chance. -As the girl’s body slowly rewarmed, her heart came back. In the ICU, a +As the girlďż˝s body slowly rewarmed, her heart came back. In the ICU, a mechanical ventilator, fluids, and intravenous drugs kept her going while the rest of her body recovered. The next day, the doctors were able to remove her lines and tubes. The day after that, she was sitting up in bed, @@ -1447,16 +1349,16 @@ Four generations after the first aviation checklists went into use, a lesson is emerging: checklists seem able to defend anyone, even the experienced, against failure in many more tasks than we realized. They provide a kind of cognitive net. They catch mental flaws inherent in all of -us—flaws of memory and attention and thoroughness. And because they +usďż˝flaws of memory and attention and thoroughness. And because they do, they raise wide, unexpected possibilities. But they presumably have limits, as well. So a key step is to identify which kinds of situations checklists can help with and which ones they -can’t. +canďż˝t. -Two professors who study the science of complexity— Brenda +Two professors who study the science of complexityďż˝ Brenda Zimmerman of York University and Sholom Glouberman of the University -of Toronto—have proposed a distinction among three different kinds of +of Torontoďż˝have proposed a distinction among three different kinds of problems in the world: the simple, the complicated, and the complex. Simple problems, they note, are ones like baking a cake from a mix. There is a recipe. Sometimes there are a few basic techniques to learn. But once @@ -1479,8 +1381,8 @@ brings up another feature of complex problems: their outcomes remain -highly uncertain. Yet we all know that it is possible to raise a child well. It’s -complex, that’s all. +highly uncertain. Yet we all know that it is possible to raise a child well. Itďż˝s +complex, thatďż˝s all. Thinking about averting plane crashes in 1935, or stopping infections of central lines in 2003, or rescuing drowning victims today, I realized that the @@ -1488,8 +1390,8 @@ key problem in each instance was essentially a simple one, despite the number of contributing factors. One needed only to focus attention on the rudder and elevator controls in the first case, to maintain sterility in the second, and to be prepared for cardiac bypass in the third. All were -amenable, as a result, to what engineers call “forcing functions”: relatively -straightforward solutions that force the necessary behavior— solutions like +amenable, as a result, to what engineers call ďż˝forcing functionsďż˝: relatively +straightforward solutions that force the necessary behaviorďż˝ solutions like checklists. We are besieged by simple problems. In medicine, these are the failures @@ -1504,20 +1406,20 @@ Checklists can provide protection against such elementary errors. Much of the most critical work people do, however, is not so simple. Putting in a central line is just one of the 178 tasks an ICU team must -coordinate and execute in a day—ICU work is complicated—and are we +coordinate and execute in a dayďż˝ICU work is complicatedďż˝and are we really going to be able to create and follow checklists for every possible one of them? Is this even remotely practical? There is no straightforward recipe for the care of ICU patients. It requires multiple practitioners orchestrating -different combinations of tasks for different conditions—matters that cannot +different combinations of tasks for different conditionsďż˝matters that cannot be controlled by simple forcing functions. -Plus, people are individual in ways that rockets are not—they are +Plus, people are individual in ways that rockets are notďż˝they are complex. No two pneumonia patients are identical. Even with the same bacteria, the same cough and shortness of breath, the same low oxygen levels, the same antibiotic, one patient might get better and the other might not. A doctor must be prepared for unpredictable turns that checklists seem completely unsuited to address. Medicine contains the entire range of -problems—the simple, the complicated, and the complex—and there are +problemsďż˝the simple, the complicated, and the complexďż˝and there are @@ -1525,8 +1427,8 @@ often times when a clinician has to just do what needs to be done. Forget the paperwork. Take care of the patient. I have been thinking about these matters for a long time now. I want to be -a good doctor for my patients. And the question of when to follow one’s -judgment and when to follow protocol is central to doing the job well—or +a good doctor for my patients. And the question of when to follow oneďż˝s +judgment and when to follow protocol is central to doing the job wellďż˝or to doing anything else that is hard. You want people to make sure to get the stupid stuff right. Yet you also want to leave room for craft and judgment and the ability to respond to unexpected difficulties that arise along the way. @@ -1546,16 +1448,16 @@ arisen almost overnight from the empty lot that had been there. I stood at one corner watching a construction worker welding a joint as he balanced on a girder four stories above me. And I wondered: How did he and all his co-workers know that they were building this thing right? How could they -be sure that it wouldn’t fall down? +be sure that it wouldnďż˝t fall down? The building was not unusually large. It would provide 150 private -hospital beds (so we could turn our main tower’s old, mostly shared rooms +hospital beds (so we could turn our main towerďż˝s old, mostly shared rooms into private beds as well) and sixteen fancy new operating rooms (which I -was especially looking forward to)—nothing out of the ordinary. I would +was especially looking forward to)ďż˝nothing out of the ordinary. I would bet that in the previous year dozens of bigger buildings had been constructed around the country. -Still, this one was no small undertaking, as the hospital’s real estate +Still, this one was no small undertaking, as the hospitalďż˝s real estate manager later told me. The building, he said, would be 350,000 square feet in size, with three stories underground in addition to the eleven stories above. It would cost $360 million, fully delivered, and require 3,885 tons of @@ -1566,9 +1468,9 @@ sixteen elevators, one cooling tower, and one backup emergency generator. The construction workers would have to dig out 100,000 cubic yards of dirt and install 64,000 feet of copper piping, forty-seven miles of conduit, and -ninety-five miles of electrical wire—enough to reach Maine. +ninety-five miles of electrical wireďż˝enough to reach Maine. -And, oh yeah, I thought to myself, this thing couldn’t fall down. +And, oh yeah, I thought to myself, this thing couldnďż˝t fall down. When I was eleven years old, growing up in Athens, Ohio, I decided I was going to build myself a bookcase. My mother gave me ten dollars, and @@ -1584,7 +1486,7 @@ my bedroom and put a half dozen books on it. Then I watched the whole thing fall sideways like a drunk tipping over. The two middle boards began pulling out. So I hammered in a few more nails and stood the bookcase up again. It tipped over the other way. I banged in some more nails, this time -coming in at an angle, thinking that would do the trick. It didn’t. Finally, I +coming in at an angle, thinking that would do the trick. It didnďż˝t. Finally, I just nailed the damn thing directly into the wall. And that was how I discovered the concept of bracing. @@ -1609,41 +1511,41 @@ over the globe. And they do so despite the fact that construction work has grown infinitely more complex over the decades. Moreover, they do it with -a frontline workforce that regards each particular job—from pile-driving to -wiring intensive care units—much the way doctors, teachers, and other +a frontline workforce that regards each particular jobďż˝from pile-driving to +wiring intensive care unitsďż˝much the way doctors, teachers, and other professionals regard their jobs: as specialized domains in which others should not interfere. I paid a visit to Joe Salvia, the structural engineer for our new hospital wing. I told him I wanted to find out how work is done in his profession. It -turned out I’d come to the right person. His firm, McNamara/Salvia, has +turned out Iďż˝d come to the right person. His firm, McNamara/Salvia, has provided the structural engineering for most of the major hospital buildings in Boston since the late 1960s, and for a considerable percentage of the hotels, office towers, and condominiums as well. It did the structural -rebuilding of Fenway Park, the Boston Red Sox baseball team’s thirty-six- +rebuilding of Fenway Park, the Boston Red Sox baseball teamďż˝s thirty-six- thousand-seat stadium, including the Green Monster, its iconic thirty-seven- -foot, home-run-stealing left field wall. And the firm’s particular specialty +foot, home-run-stealing left field wall. And the firmďż˝s particular specialty has been designing and engineering large, complicated, often high-rise structures all over the country. -Salvia’s tallest skyscraper is an eighty-story tower going up in Miami. In +Salviaďż˝s tallest skyscraper is an eighty-story tower going up in Miami. In Providence, Rhode Island, his firm built a shopping mall that required one of the largest steel mill orders placed on the East Coast (more than twenty- four thousand tons); it is also involved in perhaps the biggest commercial -project in the world— the Meadowlands Xanadu entertainment and sports +project in the worldďż˝ the Meadowlands Xanadu entertainment and sports complex in East Rutherford, New Jersey, which will house a stadium for the New York Giants and New York Jets football teams, a three-thousand-seat -music theater, the country’s largest movie multiplex, and the SnowPark, the -nation’s first indoor ski resort. For most of the past several years, -McNamara/Salvia’s engineers have worked on fifty to sixty projects +music theater, the countryďż˝s largest movie multiplex, and the SnowPark, the +nationďż˝s first indoor ski resort. For most of the past several years, +McNamara/Salviaďż˝s engineers have worked on fifty to sixty projects annually, an average of one new building a week. And they have never had a building come even close to collapsing. So I asked Salvia at his office in downtown Boston how he has ensured that the buildings he works on are designed and constructed right. Joe Salvia is sixty-one, with almost no hair, a strong Boston accent, and a -cheery, take-your-time, how-about-some-coffee manner that I didn’t expect -from an engineer. He told me about the first project he ever designed—a +cheery, take-your-time, how-about-some-coffee manner that I didnďż˝t expect +from an engineer. He told me about the first project he ever designedďż˝a roof for a small shopping plaza. @@ -1655,29 +1557,29 @@ plant, but he was good in school and became the first member of his family to go to college. He went to Tufts University planning to become a doctor. Then he hit organic chemistry class. -“They said, ‘Here, we want you to memorize these formulas,’ ” he -explained. “I said, ‘Why do I have to memorize them if I know where the -book is?’ They said, ‘You want to be a doctor? That’s what you have to do -in medicine—you have to memorize everything.’ That seemed ridiculous to -me. Plus I wasn’t good at memorizing. So I quit.” +ďż˝They said, ďż˝Here, we want you to memorize these formulas,ďż˝ ďż˝ he +explained. ďż˝I said, ďż˝Why do I have to memorize them if I know where the +book is?ďż˝ They said, ďż˝You want to be a doctor? Thatďż˝s what you have to do +in medicineďż˝you have to memorize everything.ďż˝ That seemed ridiculous to +me. Plus I wasnďż˝t good at memorizing. So I quit.ďż˝ -But Salvia was good at solving complex problems—he tried to explain +But Salvia was good at solving complex problemsďż˝he tried to explain how he solves quadratic equations in his head, though all I managed to pick -up was that I’d never before heard someone say “quadratic equation” in a -Boston accent. “I also liked the concept of creating,” he said. As a result, he +up was that Iďż˝d never before heard someone say ďż˝quadratic equationďż˝ in a +Boston accent. ďż˝I also liked the concept of creating,ďż˝ he said. As a result, he switched to engineering, a scientific but practical field, and he loved it. He -learned, as he put it, “basic statics and dynamics—you know, F equals ma,” +learned, as he put it, ďż˝basic statics and dynamicsďż˝you know, F equals ma,ďż˝ and he learned about the chemistry and physics of steel, concretes, and soil. -But he’d built nothing when he graduated with his bachelor’s degree and +But heďż˝d built nothing when he graduated with his bachelorďż˝s degree and joined Sumner Shane, an architectural engineering firm that specialized in structural engineering for shopping centers. One of its projects was a new shopping mall in Texas, and Salvia was assigned the roof system. He found he actually understood a lot about how to build a solid roof from his textbooks and from the requirements detailed in building codes. -“I knew from college how to design with structural steel— how to use -beams and columns,” he said. And the local building codes spelled out what +ďż˝I knew from college how to design with structural steelďż˝ how to use +beams and columns,ďż˝ he said. And the local building codes spelled out what was required for steel strength, soil composition, snow-bearing capacity, wind-pressure resistance, and earthquake tolerance. All he had to do was factor these elements into the business deal, which specified the size of the @@ -1686,53 +1588,53 @@ talked he was already drawing the contours for me on a piece of paper. It started out as a simple rectangle. Then he sketched in the store walls, doorways, walking space. The design began taking form. -“You draw a grid of likely locations to carry the roof weight,” he said, -and he put in little crosses where columns could be placed. “The rest is -algebra,” he said. “You solve for X.” You calculate the weight of the roof +ďż˝You draw a grid of likely locations to carry the roof weight,ďż˝ he said, +and he put in little crosses where columns could be placed. ďż˝The rest is +algebra,ďż˝ he said. ďż˝You solve for X.ďż˝ You calculate the weight of the roof from its size and thickness, and then, given columns placed every thirty feet, say, you calculate the diameter and strength of the column required. -You check your math to make sure you’ve met all the requirements. +You check your math to make sure youďż˝ve met all the requirements. -All this he had learned in college. But, he discovered, there was more— -much more—that they hadn’t taught him in school. +All this he had learned in college. But, he discovered, there was moreďż˝ +much moreďż˝that they hadnďż˝t taught him in school. -“You know the geometric theory of what is best, but not the practical -theory of what can be done,” he said. There was the matter of cost, for +ďż˝You know the geometric theory of what is best, but not the practical +theory of what can be done,ďż˝ he said. There was the matter of cost, for example, about which he had not a clue. The size and type of materials he put in changed the cost of the project, it turned out. There was also the -matter of aesthetics, the desires of a client who didn’t want a column +matter of aesthetics, the desires of a client who didnďż˝t want a column standing in the middle of a floor, for instance, or blocking a particular sightline. -“If engineers were in charge, every building would be a rectangular box,” +ďż˝If engineers were in charge, every building would be a rectangular box,ďż˝ Salvia said. Instead, every building is new and individual in ways both -small and large—they are complex—and as a result there is often no +small and largeďż˝they are complexďż˝and as a result there is often no textbook formula for the problems that come up. Later, for example, when he established his own firm, he and his team did the structural engineering -for Boston’s International Place, a landmark forty-six-story steel and glass +for Bostonďż˝s International Place, a landmark forty-six-story steel and glass tower designed by the architect Philip Johnson. The building was unusual, a -cylinder smashed against a rectangle, a form that hadn’t been tried in a +cylinder smashed against a rectangle, a form that hadnďż˝t been tried in a skyscraper before. From a structural engineering point of view, Salvia explained, cylinders are problematic. A square provides 60 percent more stiffness than a circle, and in wind or an earthquake a building needs to be able to resist the tendency to twist or bend. But a distorted cylinder it was, -and he and his team had to invent the engineering to realize Johnson’s +and he and his team had to invent the engineering to realize Johnsonďż˝s aesthetic vision. -Salvia’s first mall roof may have been a simpler proposition, but it +Salviaďż˝s first mall roof may have been a simpler proposition, but it seemed to him at the time to have no end of difficulties. Besides the concerns of costs and aesthetics, he also needed to deal with the requirements of all the other professionals involved. There were the -plumbing engineers, the electrical engineers, the mechanical engineers— +plumbing engineers, the electrical engineers, the mechanical engineersďż˝ every one of them wanting to put pipes, wiring, HVAC units just where his support columns were supposed to go. -“A building is like a body,” he said. It has a skin. It has a skeleton. It has -a vascular system—the plumbing. It has a breathing system—the -ventilation. It has a nervous system—the wiring. All together, he explained, +ďż˝A building is like a body,ďż˝ he said. It has a skin. It has a skeleton. It has +a vascular systemďż˝the plumbing. It has a breathing systemďż˝the +ventilation. It has a nervous systemďż˝the wiring. All together, he explained, @@ -1745,7 +1647,7 @@ ventilation, plumbing, air conditioning, fire protection), masonry, concrete structures, metal structures, electrical systems, doors and windows, thermal and moisture systems (including waterproofing and insulation), rough and finish carpentry, site work (including excavation, waste and storm water -collection, and walkways)—everything right down to the carpeting, +collection, and walkways)ďż˝everything right down to the carpeting, painting, landscaping, and rodent control. All the separate contributions had to be included. Yet they also had to fit @@ -1758,7 +1660,7 @@ For most of modern history, he explained, going back to medieval times, the dominant way people put up buildings was by going out and hiring Master Builders who designed them, engineered them, and oversaw construction from start to finish, portico to plumbing. Master Builders built -Notre Dame, St. Peter’s Basilica, and the United States Capitol building. +Notre Dame, St. Peterďż˝s Basilica, and the United States Capitol building. But by the middle of the twentieth century the Master Builders were dead and gone. The variety and sophistication of advancements in every stage of the construction process had overwhelmed the abilities of any individual to @@ -1774,28 +1676,28 @@ field looked, in other words, a lot like medicine, with all its specialists and superspecialists. Yet we in medicine continue to exist in a system created in the Master -Builder era—a system in which a lone Master Physician with a prescription +Builder eraďż˝a system in which a lone Master Physician with a prescription pad, an operating room, and a few people to follow his lead plans and executes the entirety of care for a patient, from diagnosis through treatment. -We’ve been slow to adapt to the reality that, for example, a third of patients +Weďż˝ve been slow to adapt to the reality that, for example, a third of patients have at least ten specialist physicians actively involved in their care by their last year of life, and probably a score more personnel, ranging from nurse practitioners and physician assistants to pharmacists and home medical -aides. And the evidence of how slow we’ve been to adapt is the +aides. And the evidence of how slow weďż˝ve been to adapt is the extraordinarily high rate at which care for patients is duplicated or flawed or completely uncoordinated. In the construction business, Salvia explained, such failure is not an option. No matter how complex the problems he faced in designing that first shopping mall roof, he very quickly understood that he had no margin -for error. Perhaps it’s the large number of people who would die if his roof -collapsed under the weight of snow. Or perhaps it’s the huge amount of +for error. Perhaps itďż˝s the large number of people who would die if his roof +collapsed under the weight of snow. Or perhaps itďż˝s the huge amount of money that would be lost in the inevitable lawsuits. But, whatever the -reason, architects, engineers, and builders were forced long ago—going -back to the early part of the last century—to confront the fact that the +reason, architects, engineers, and builders were forced long agoďż˝going +back to the early part of the last centuryďż˝to confront the fact that the Master Builder model no longer worked. So they abandoned it. They found a different way to make sure they get things right. @@ -1816,8 +1718,8 @@ part of the new building. When I arrived for the tour, Salvia took one look at my blue Brooks Brothers blazer and black penny loafers and let out a low chuckle. -“One thing you learn going to construction sites is you have to have the -right shoes,” he said. +ďż˝One thing you learn going to construction sites is you have to have the +right shoes,ďż˝ he said. The insides of the old buildings had long been gutted and the steel skeleton of the new tower had been built almost halfway up, to the @@ -1829,36 +1731,36 @@ on the ground, we worked our way around a pair of concrete mixing trucks, the cops stopping traffic, and a few puddles of gray mud to enter the first- floor field office of John Moriarty and Associates, the general contractor for the project. It was nothing like the movie construction-site field trailers I -had in my mind—no rusting coffee urn, no cheap staticky radio playing, no +had in my mindďż˝no rusting coffee urn, no cheap staticky radio playing, no cigar-chewing boss barking orders. Instead, there were half a dozen offices where men and women, many in work boots, jeans, and yellow safety reflector vests, sat staring into computer terminals or were gathered around a conference table with a PowerPoint slide up on a screen. I was given a blue hard hat and an insurance release to sign and -introduced to Finn O’Sullivan, a smiling six-foot-three Irishman with a -lilting brogue who served as the “project executive” for the building—they -don’t call them field bosses anymore, I was told. O’Sullivan said that on +introduced to Finn Oďż˝Sullivan, a smiling six-foot-three Irishman with a +lilting brogue who served as the ďż˝project executiveďż˝ for the buildingďż˝they +donďż˝t call them field bosses anymore, I was told. Oďż˝Sullivan said that on any given day he has between two and five hundred workers on-site, including people from any of sixty subcontractors. The volume of knowledge and degree of complexity he had to manage, it struck me, were as monstrous as anything I had encountered in medicine. He tried to explain how he and his colleagues made sure that all those people were doing their work correctly, that the building would come together properly, despite the -enormous number of considerations—and despite the fact that he could not +enormous number of considerationsďż˝and despite the fact that he could not possibly understand the particulars of most of the tasks involved. But I -didn’t really get his explanation until he brought me to the main conference +didnďż˝t really get his explanation until he brought me to the main conference room. There, on the walls around a big white oval table, hung sheets of butcher-block-size printouts of what were, to my surprise, checklists. -Along the right wall as we walked in was, O’Sullivan explained, the +Along the right wall as we walked in was, Oďż˝Sullivan explained, the construction schedule. As I peered in close, I saw a line-byline, day-by-day listing of every building task that needed to be accomplished, in what order, -and when—the fifteenth-floor concrete pour on the thirteenth of the month, +and whenďż˝the fifteenth-floor concrete pour on the thirteenth of the month, a steel delivery on the fourteenth, and so on. The schedule spread over multiple sheets. There was special color coding, with red items highlighting critical steps that had to be done before other steps could proceed. As each -task was accomplished, a job supervisor reported to O’Sullivan, who then +task was accomplished, a job supervisor reported to Oďż˝Sullivan, who then put a check mark in his computer scheduling program. He posted a new printout showing the next phase of work each week, sometimes more @@ -1870,7 +1772,7 @@ essentially one long checklist. Since every building is a new creature with its own particularities, every building checklist is new, too. It is drawn up by a group of people representing each of the sixteen trades, including, in this case, someone -from Salvia’s firm making sure the structural engineering steps were +from Salviaďż˝s firm making sure the structural engineering steps were incorporated as they should be. Then the whole checklist is sent to the subcontractors and other independent experts so they can double-check that everything is correct, that nothing has been missed. @@ -1882,9 +1784,9 @@ right way. The construction schedule for the Russia Wharf project was designed to build the complex up in layers, and I could actually see those layers when -Bernie Rouillard, Salvia’s lead structural engineer for the project, took me +Bernie Rouillard, Salviaďż˝s lead structural engineer for the project, took me on a tour. I should mention here that I am not too fond of heights. But I put -on my hard hat and followed Rouillard—past the signs that said +on my hard hat and followed Rouillardďż˝past the signs that said WARNING: CONSTRUCTION PERSONNELONLY, around a rusting nest of discarded rebar, over a trail of wood planks that served as a walkway into the building, and then into an orange cage elevator that rattled its way up @@ -1893,7 +1795,7 @@ bare, gray slab floor with no walls, just twelve-foot vertical steel columns ringing the outside, a massive rectangular concrete core in the center, and the teeming city surrounding us. -“You can see everything from here,” Rouillard said, beckoning me to join +ďż˝You can see everything from here,ďż˝ Rouillard said, beckoning me to join him out on the edge. I crept to within three feet and tried not to dwell on the wind whipping through us or the vertiginous distance to the ground as he good-naturedly pointed out the sites along the waterfront below. I did better @@ -1902,8 +1804,8 @@ trusses that had been put into the ceiling to support the floor being built above. Next, he said, will come the fireproofers. -“You have to fireproof metal?” I asked. -Oh yes, he said. In a fire, the metal can plasticize—lose its stiffness and +ďż˝You have to fireproof metal?ďż˝ I asked. +Oh yes, he said. In a fire, the metal can plasticizeďż˝lose its stiffness and bend like spaghetti. This was why the World Trade Center buildings @@ -1913,7 +1815,7 @@ collapsed, he said. He walked me down a stairway to the floor below us. Here, I could see, the fire proofing material had been sprayed on, a gypsum- based substance that made the ceiling trusses look gray and woolly. -We went down a couple more floors and he showed me that the “skin” of +We went down a couple more floors and he showed me that the ďż˝skinďż˝ of the building had now been hung at those levels. The tall, shiny glass and steel exterior had been bolted into the concrete floors every few feet. The farther down we went, the more the layers had advanced. One team of @@ -1924,26 +1826,26 @@ masonry, electrical wiring, plumbing, and even some fixtures like staircase railings were all in place. The whole intricate process was astounding to behold. -On the upper floors, however, I couldn’t help but notice something that -didn’t look right, even to my untrained eyes. There had been rain recently +On the upper floors, however, I couldnďż˝t help but notice something that +didnďż˝t look right, even to my untrained eyes. There had been rain recently and on each of the open floors large amounts of water had pooled in the -same place—up against the walls of the inner concrete core. It was as if the +same placeďż˝up against the walls of the inner concrete core. It was as if the floor were tilted inward, like a bowl. I asked Rouillard about this. -“Yeah, the owners saw that and they weren’t too happy,” he said. He +ďż˝Yeah, the owners saw that and they werenďż˝t too happy,ďż˝ he said. He explained what he thinks had happened. The immense weight of the concrete core combined with the particular makeup of the soil underneath had probably caused the core to settle sooner than anticipated. Meanwhile, -the outer steel frame had not yet been loaded with weight—there were still -eighteen stories to be built upon it—and that’s why he believes the floor had +the outer steel frame had not yet been loaded with weightďż˝there were still +eighteen stories to be built upon itďż˝and thatďż˝s why he believes the floor had begun to tip inward. Once the steel frame was loaded, he fully expected the floor to level out. -The fascinating thing to me wasn’t his explanation. I had no idea what to -make of his answer. But here was a situation that hadn’t been anticipated on +The fascinating thing to me wasnďż˝t his explanation. I had no idea what to +make of his answer. But here was a situation that hadnďż˝t been anticipated on the construction checklist: the tilting of the upper floors. At a minimum, a water cleanup would be needed and the schedule adjusted for it. That alone -could throw the builders’ tidy plans off track. Furthermore, the people +could throw the buildersďż˝ tidy plans off track. Furthermore, the people involved had to somehow determine whether the tilting indicated a serious construction defect. I was curious to know how they handled this question, for there was inevitable uncertainty. How could they know that the problem @@ -1951,42 +1853,42 @@ was just ordinary settling, that loading the steel frame would in fact level -out the floor? As Rouillard acknowledged, “variances can occur.” This was +out the floor? As Rouillard acknowledged, ďż˝variances can occur.ďż˝ This was a situation of true complexity. -Back down in the field office, I asked Finn O’Sullivan how he and his +Back down in the field office, I asked Finn Oďż˝Sullivan how he and his team dealt with such a circumstance. After all, skyscraper builders must run -into thousands like it—difficulties they could never have predicted or +into thousands like itďż˝difficulties they could never have predicted or addressed in a checklist designed in advance. The medical way of dealing -with such problems—with the inevitable nuances of an individual patient -case—is to leave them to the expert’s individual judgment. You give the +with such problemsďż˝with the inevitable nuances of an individual patient +caseďż˝is to leave them to the expertďż˝s individual judgment. You give the specialist autonomy. In this instance, Rouillard was the specialist. Had the building site been a hospital ward, his personal judgment would hold sway. -This approach has a flaw, however, O’Sullivan pointed out. Like a -patient, a building involves multiple specialists—the sixteen trades. In the -absence of a true Master Builder—a supreme, all-knowing expert with -command of all existing knowledge— autonomy is a disaster. It produces +This approach has a flaw, however, Oďż˝Sullivan pointed out. Like a +patient, a building involves multiple specialistsďż˝the sixteen trades. In the +absence of a true Master Builderďż˝a supreme, all-knowing expert with +command of all existing knowledgeďż˝ autonomy is a disaster. It produces only a cacophony of incompatible decisions and overlooked errors. You get -a building that doesn’t stand up straight. This sounded to me like medicine +a building that doesnďż˝t stand up straight. This sounded to me like medicine at its worst. So what do you do? I asked. -That was when O’Sullivan showed me a different piece of paper hanging +That was when Oďż˝Sullivan showed me a different piece of paper hanging in his conference room. Pinned to the left-hand wall opposite the construction schedule was another butcher-block-size sheet almost identical -in form, except this one, O’Sulli-van said, was called a “submittal -schedule.” It was also a checklist, but it didn’t specify construction tasks; it +in form, except this one, Oďż˝Sulli-van said, was called a ďż˝submittal +schedule.ďż˝ It was also a checklist, but it didnďż˝t specify construction tasks; it specified communication tasks. For the way the project managers dealt with the unexpected and the uncertain was by making sure the experts spoke to -one another—on X date regarding Y process. The experts could make their +one anotherďż˝on X date regarding Y process. The experts could make their individual judgments, but they had to do so as part of a team that took one -another’s concerns into account, discussed unplanned developments, and +anotherďż˝s concerns into account, discussed unplanned developments, and agreed on the way forward. While no one could anticipate all the problems, they could foresee where and when they might occur. The checklist therefore detailed who had to talk to whom, by which date, and about what -aspect of construction—who had to share (or “submit”) particular kinds of +aspect of constructionďż˝who had to share (or ďż˝submitďż˝) particular kinds of information before the next steps could proceed. The submittal schedule specified, for instance, that by the end of the @@ -1998,7 +1900,7 @@ condition of the elevator cars traveling up to the tenth floor. The elevator cars were factory constructed and tested. They were installed by experts. But it was not assumed that they would work perfectly. Quite the opposite. The assumption was that anything could go wrong, anything could get -missed. What? Who knows? That’s the nature of complexity. But it was +missed. What? Who knows? Thatďż˝s the nature of complexity. But it was also assumed that, if you got the right people together and had them take a moment to talk things over as a team rather than as individuals, serious problems could be identified and averted. @@ -2018,9 +1920,9 @@ owners and the contractors were persuaded that it was reasonable to expect the floor to level out. Cleanup was arranged, the schedule was adjusted, and everyone signed off. -In the face of the unknown—the always nagging uncertainty about -whether, under complex circumstances, things will really be okay— the -builders trusted in the power of communication. They didn’t believe in the +In the face of the unknownďż˝the always nagging uncertainty about +whether, under complex circumstances, things will really be okayďż˝ the +builders trusted in the power of communication. They didnďż˝t believe in the wisdom of the single individual, of even an experienced engineer. They believed in the wisdom of the group, the wisdom of making sure that multiple pairs of eyes were on a problem and then letting the watchers @@ -2033,58 +1935,58 @@ about thirty wearing a yellow reflector vest, sat in front of two big flat- screen displays. His job, he explained, was to take all the construction plans submitted by each of the major trades and merge them into a three- dimensional floor-by-floor computer rendering of the building. He showed -me what the top floor looked like on the screen. He’d so far loaded in the -specifications from nine of the trades—the structural specs, the elevator +me what the top floor looked like on the screen. Heďż˝d so far loaded in the +specifications from nine of the tradesďż˝the structural specs, the elevator specs, the plumbing specs, and so on. He used his mouse to walk us through the building as if we were taking a stroll down the corridors. You could see the walls, the doors, the safety valves, everything. More to the point, you -could see problems—a place where there wasn’t enough overhead clearance +could see problemsďż˝a place where there wasnďż˝t enough overhead clearance for an average-size person, for example. He showed me an application called Clash Detective that ferreted out every instance in which the different specs conflicted with one another or with building regulations. -“If a structural beam is going where a lighting fixture is supposed to -hang, the Clash Detective turns that beam a different color on-screen,” he -said. “You can turn up hundreds of clashes. I once found two thousand.” -But it’s not enough to show the clash on the screen, he explained. You have +ďż˝If a structural beam is going where a lighting fixture is supposed to +hang, the Clash Detective turns that beam a different color on-screen,ďż˝ he +said. ďż˝You can turn up hundreds of clashes. I once found two thousand.ďż˝ +But itďż˝s not enough to show the clash on the screen, he explained. You have to resolve it, and to do that you have to make sure the critical people talk. So the computer also flags the issue for the submittal schedule printout and sends an e-mail to each of the parties who have to resolve it. -There’s yet another program, called Project Center, that allows anyone -who has found a problem—even a frontline worker—to e-mail all the +Thereďż˝s yet another program, called Project Center, that allows anyone +who has found a problemďż˝even a frontline workerďż˝to e-mail all the relevant parties, track progress, and make sure a check is added to the schedule to confirm that everyone has talked and resolved the matter. When we were back at the McNamara/Salvia offices, Bernie Rouillard showed me -one such e-mail he’d gotten that week. A worker had attached a digital -photo of a twelve-foot steel I beam he was bolting in. It hadn’t lined up +one such e-mail heďż˝d gotten that week. A worker had attached a digital +photo of a twelve-foot steel I beam he was bolting in. It hadnďż˝t lined up properly and only two of the four bolts could fit. Was that all right, the worker wanted to know? No, Rouillard wrote back. They worked out a solution together: to weld the beam into place. The e-mail was also automatically sent to the main contractor and anyone else who might potentially be required to sign off. Each party was given three days to confirm that the proposed solution was okay. And everyone needed to -confirm they’d communicated, since the time taken for even this small fix +confirm theyďż˝d communicated, since the time taken for even this small fix could change the entire sequence in which other things needed to be done. Joe Salvia had earlier told me that the major advance in the science of construction over the last few decades has been the perfection of tracking and communication. But only now did I understand what he meant. -The building world’s willingness to apply its strategies to difficulties of -any size and seriousness is striking. Salvia’s partner, Robert McNamara, for +The building worldďż˝s willingness to apply its strategies to difficulties of +any size and seriousness is striking. Salviaďż˝s partner, Robert McNamara, for instance, was one of the structural engineers for the Citicorp (now Citigroup) building in midtown Manhattan, with its iconic slanted rooftop. It was planned to rise more than nine hundred feet on four nine-story-tall -stiltlike columns placed not at the building’s corners but at the center of +stiltlike columns placed not at the buildingďż˝s corners but at the center of each side and steadied by giant, hidden chevron-shaped braces designed by -William LeMessurier, the project’s lead structural engineer. The visual +William LeMessurier, the projectďż˝s lead structural engineer. The visual effect was arresting. The colossal structure would look like it was almost floating above Fifty-third Street. But wind-tunnel testing of a model revealed that the skyscraper stood so high above the surrounding buildings @@ -2094,8 +1996,8 @@ acceptable amount of sway for the building was unknown. So what did they do? They did not scrap the building or shrink it to a less ambitious size. Instead, McNamara proposed a novel solution called a -“tuned mass damper.” They could, he suggested, suspend an immense four- -hundred-ton concrete block from huge springs in the building’s crown on +ďż˝tuned mass damper.ďż˝ They could, he suggested, suspend an immense four- +hundred-ton concrete block from huge springs in the buildingďż˝s crown on the fifty-ninth floor, so that when wind pitched the building one way, the block would swing the other way and steady it. @@ -2103,7 +2005,7 @@ The solution was brilliant and elegant. The engineers did some wind- tunnel testing with a small model of the design, and the results were highly reassuring. Nonetheless, some chance of error and unpredictability always remains in projects of this complexity. So the builders reduced their margin -of error the best way they knew how—by taking a final moment to make +of error the best way they knew howďż˝by taking a final moment to make sure that everyone talked it through as a group. The building owner met with the architect, someone from the city buildings department, the structural engineers, and others. They reviewed the idea and all the @@ -2123,8 +2025,8 @@ the hard and unexpected problems. -“The biggest cause of serious error in this business is a failure of -communication,” O’Sullivan told me. +ďż˝The biggest cause of serious error in this business is a failure of +communication,ďż˝ Oďż˝Sullivan told me. In the Citicorp building, for example, the calculations behind the designs for stabilizing the building assumed the joints in those giant braces at the @@ -2139,7 +2041,7 @@ It is not certain that a review would have led him to recognize a problem at the time. But in 1978, a year after the building opened, LeMessurier, prompted by a question from a Princeton engineering student, discovered the change. And he found it had produced a fatal flaw: the building would -not be able to withstand seventy-mile-an-hour winds—which, according to +not be able to withstand seventy-mile-an-hour windsďż˝which, according to weather tables, would occur at least once every fifty-five years in New York City. In that circumstance, the joints would fail and the building would collapse, starting on the thirtieth floor. By now, the tower was fully @@ -2149,16 +2051,16 @@ emergency crew worked at night under veil of secrecy to weld two-inch- thick steel plates around the two hundred critical bolts, and the building was secured. The Citicorp tower has stood solidly ever since. -The construction industry’s checklist process has clearly not been +The construction industryďż˝s checklist process has clearly not been foolproof at catching problems. Nonetheless, its record of success has been astonishing. In the United States, we have nearly five million commercial buildings, almost one hundred million low-rise homes, and eight million or so high-rise residences. We add somewhere around seventy thousand new -commercial buildings and one million new homes each year. But “building -failure”—defined as a partial or full collapse of a functioning structure—is +commercial buildings and one million new homes each year. But ďż˝building +failure��defined as a partial or full collapse of a functioning structureďż˝is exceedingly rare, especially for skyscrapers. According to a 2003 Ohio State University study, the United States experiences an average of just -twenty serious “building failures” per year. That’s an annual avoidable +twenty serious ďż˝building failuresďż˝ per year. Thatďż˝s an annual avoidable failure rate of less than 0.00002 percent. And, as Joe Salvia explained tome, although buildings are now more complex and sophisticated than ever in history, with higher standards expected for everything from earthquake @@ -2174,20 +2076,20 @@ The checklists work. 4. THE IDEA -There is a particularly tantalizing aspect to the building industry’s -strategy for getting things right in complex situations: it’s that it gives +There is a particularly tantalizing aspect to the building industryďż˝s +strategy for getting things right in complex situations: itďż˝s that it gives people power. In response to risk, most authorities tend to centralize power -and decision making. That’s usually what checklists are about—dictating +and decision making. Thatďż˝s usually what checklists are aboutďż˝dictating instructions to the workers below to ensure they do things the way we want. Indeed, the first building checklist I saw, the construction schedule on the -right-hand wall of O’Sullivan’s conference room, was exactly that. It +right-hand wall of Oďż˝Sullivanďż˝s conference room, was exactly that. It spelled out to the tiniest detail every critical step the tradesmen were -expected to follow and when—which is logical if you’re confronted with +expected to follow and whenďż˝which is logical if youďż˝re confronted with simple and routine problems; you want the forcing function. -But the list on O’Sullivan’s other wall revealed an entirely different -philosophy about power and what should happen to it when you’re -confronted with complex, nonroutine problems— such as what to do when +But the list on Oďż˝Sullivanďż˝s other wall revealed an entirely different +philosophy about power and what should happen to it when youďż˝re +confronted with complex, nonroutine problemsďż˝ such as what to do when a difficult, potentially dangerous, and unanticipated anomaly suddenly appears on the fourteenth floor of a thirty-two-story skyscraper under construction. The philosophy is that you push the power of decision making @@ -2196,13 +2098,13 @@ adapt, based on their experience and expertise. All you ask is that they talk to one another and take responsibility. That is what works. The strategy is unexpectedly democratic, and it has become standard -nowadays, O’Sullivan told me, even in building inspections. The inspectors +nowadays, Oďż˝Sullivan told me, even in building inspections. The inspectors do not recompute the wind-force calculations or decide whether the joints in a given building should be bolted or welded, he said. Determining whether -a structure like Russia Wharf or my hospital’s new wing is built to code and +a structure like Russia Wharf or my hospitalďż˝s new wing is built to code and fit for occupancy involves more knowledge and complexity than any one inspector could possibly have. So although inspectors do what they can to -oversee a building’s construction, mostly they make certain the builders +oversee a buildingďż˝s construction, mostly they make certain the builders have the proper checks in place and then have them sign affidavits attesting @@ -2210,10 +2112,10 @@ have the proper checks in place and then have them sign affidavits attesting that they themselves have ensured that the structure is up to code. Inspectors disperse the power and the responsibility. -“It makes sense,” O’Sullivan said. “The inspectors have more troubles +ďż˝It makes sense,ďż˝ Oďż˝Sullivan said. ďż˝The inspectors have more troubles with the safety of a two-room addition from a do-it-yourselfer than they do -with projects like ours. So that’s where they focus their efforts.” Also, I -suspect, at least some authorities have recognized that when they don’t let +with projects like ours. So thatďż˝s where they focus their efforts.ďż˝ Also, I +suspect, at least some authorities have recognized that when they donďż˝t let go of authority they fail. We need look no further than what happened after Hurricane Katrina hit New Orleans. @@ -2230,9 +2132,9 @@ FEMA was relying on information from multiple sources, but only one lone agent was actually present in New Orleans. That agent had managed to get a Coast Guard helicopter ride over the city that first afternoon, and he filed an urgent report the only way he could with most communication lines -cut—by e-mail. Flooding was widespread, the e-mail said; he himself had +cutďż˝by e-mail. Flooding was widespread, the e-mail said; he himself had seen bodies floating in the water and hundreds of people stranded on -rooftops. Help was needed. But the government’s top officials did not use e- +rooftops. Help was needed. But the governmentďż˝s top officials did not use e- mail. And as a Senate hearing uncovered, they were not apprised of the contents of the message until the next day. @@ -2251,7 +2153,7 @@ unable to reach anyone. When they finally got a live person on the phone, -they were told to wait—their requests would have to be sent up the line. +they were told to waitďż˝their requests would have to be sent up the line. The traditional command-and-control system rapidly became over whelmed. There were too many decisions to be made and too little information about precisely where and what help was needed. @@ -2259,67 +2161,67 @@ information about precisely where and what help was needed. Nevertheless, the authorities refused to abandon the traditional model. For days, while conditions deteriorated hourly, arguments roared over who had the power to provide the resources and make decisions. The federal -government wouldn’t yield the power to the state government. The state -government wouldn’t give it to the local government. And no one would +government wouldnďż˝t yield the power to the state government. The state +government wouldnďż˝t give it to the local government. And no one would give it to people in the private sector. The result was a combination of anarchy and Orwellian bureaucracy with horrifying consequences. Trucks with water and food were halted or -diverted or refused entry by authorities— the supplies were not part of their +diverted or refused entry by authoritiesďż˝ the supplies were not part of their plan. Bus requisitions were held up for days; the official request did not even reach the U.S. Department of Transportation until two days after tens of thousands had become trapped and in need of evacuation. Meanwhile two hundred local transit buses were sitting idle on higher ground nearby. -The trouble wasn’t a lack of sympathy among top officials. It was a lack +The trouble wasnďż˝t a lack of sympathy among top officials. It was a lack of understanding that, in the face of an extraordinarily complex problem, power needed to be pushed out of the center as far as possible. Everyone was waiting for the cavalry, but a centrally run, government-controlled solution was not going to be possible. Asked afterward to explain the disastrous failures, Michael Chertoff, -secretary of Homeland Security, said that it had been an “ultra-catastrophe,” -a “perfect storm” that “exceeded the foresight of the planners, and maybe -anybody’s foresight.” But that’s not an explanation. It’s simply the +secretary of Homeland Security, said that it had been an ďż˝ultra-catastrophe,ďż˝ +a ďż˝perfect stormďż˝ that ďż˝exceeded the foresight of the planners, and maybe +anybodyďż˝s foresight.ďż˝ But thatďż˝s not an explanation. Itďż˝s simply the definition of a complex situation. And such a situation requires a different kind of solution from the command-and-control paradigm officials relied on. Of all organizations, it was oddly enough Wal-Mart that best recognized the complex nature of the circumstances, according to a case study from -Harvard’s Kennedy School of Government. Briefed on what was -developing, the giant discount retailer’s chief executive officer, Lee Scott, -issued a simple edict. “This company will respond to the level of this -disaster,” he was remembered to have said in a meeting with his upper +Harvardďż˝s Kennedy School of Government. Briefed on what was +developing, the giant discount retailerďż˝s chief executive officer, Lee Scott, +issued a simple edict. ďż˝This company will respond to the level of this +disaster,ďż˝ he was remembered to have said in a meeting with his upper -management. “A lot of you are going to have to make decisions above your -level. Make the best decision that you can with the information that’s -available to you at the time, and, above all, do the right thing.” +management. ďż˝A lot of you are going to have to make decisions above your +level. Make the best decision that you can with the information thatďż˝s +available to you at the time, and, above all, do the right thing.ďż˝ -As one of the officers at the meeting later recalled, “That was it.” The +As one of the officers at the meeting later recalled, ďż˝That was it.ďż˝ The edict was passed down to store managers and set the tone for how people were expected to react. On the most immediate level, Wal-Mart had 126 stores closed due to damage and power outages. Twenty thousand employees and their family members were displaced. The initial focus was on helping them. And within forty-eight hours, more than half of the damaged stores were up and running again. But according to one executive -on the scene, as word of the disaster’s impact on the city’s population began +on the scene, as word of the disasterďż˝s impact on the cityďż˝s population began filtering in from Wal-Mart employees on the ground, the priority shifted -from reopening stores to “Oh, my God, what can we do to help these -people?” +from reopening stores to ďż˝Oh, my God, what can we do to help these +people?ďż˝ -Acting on their own authority, Wal-Mart’s store managers began +Acting on their own authority, Wal-Martďż˝s store managers began distributing diapers, water, baby formula, and ice to residents. Where -FEMA still hadn’t figured out how to requisition supplies, the managers +FEMA still hadnďż˝t figured out how to requisition supplies, the managers fashioned crude paper-slip credit systems for first responders, providing them with food, sleeping bags, toiletries, and also, where available, rescue equipment like hatchets, ropes, and boots. The assistant manager of a Wal- Mart store engulfed by a thirty-foot storm surge ran a bulldozer through the store, loaded it with any items she could salvage, and gave them all away in the parking lot. When a local hospital told her it was running short of drugs, -she went back in and broke into the store’s pharmacy—and was lauded by +she went back in and broke into the storeďż˝s pharmacyďż˝and was lauded by upper management for it. Senior Wal-Mart officials concentrated on setting goals, measuring @@ -2327,8 +2229,8 @@ progress, andmaintaining communication lines with employees at the front lines and with official agencies when they could. In other words, to handle this complex situation, they did not issue instructions. Conditions were too unpredictable and constantly changing. They worked on making sure -people talked. Wal-Mart’s emergency operations team even included a -member of the Red Cross. (The federal government declined Wal-Mart’s +people talked. Wal-Martďż˝s emergency operations team even included a +member of the Red Cross. (The federal government declined Wal-Martďż˝s invitation to participate.) The team also opened a twenty-four-hour call center for employees, which started with eight operators but rapidly expanded to eighty to cope with the load. @@ -2336,15 +2238,15 @@ expanded to eighty to cope with the load. Along the way, the team discovered that, given common goals to do what -they could to help and to coordinate with one another, Wal-Mart’s +they could to help and to coordinate with one another, Wal-Martďż˝s employees were able to fashion some extraordinary solutions. They set up three temporary mobile pharmacies in the city and adopted a plan to provide medications for free at all of their stores for evacuees with -emergency needs—even without a prescription. They set up free check +emergency needsďż˝even without a prescription. They set up free check cashing for payroll and other checks in disaster-area stores. They opened temporary clinics to provide emergency personnel with inoculations against flood-borne illnesses. And most prominently, within just two days of -Katrina’s landfall, the company’s logistics teams managed to contrive ways +Katrinaďż˝s landfall, the companyďż˝s logistics teams managed to contrive ways to get tractor trailers with food, water, and emergency equipment past roadblocks and into the dying city. They were able to supply water and food to refugees and even to the National Guard a day before the government @@ -2352,15 +2254,15 @@ appeared on the scene. By the end Wal-Mart had sent in a total of 2,498 trailer loads of emergency supplies and donated $3.5 million in merchandise to area shelters and command centers. -“If the American government had responded like Wal-Mart has -responded, we wouldn’t be in this crisis,” Jefferson Parish’s top official, +ďż˝If the American government had responded like Wal-Mart has +responded, we wouldnďż˝t be in this crisis,ďż˝ Jefferson Parishďż˝s top official, Aaron Broussard, said in a network television interview at the time. The lesson of this tale has been misunderstood. Some have argued that the episode proves that the private sector is better than the public sector in -handling complex situations. But it isn’t. For every Wal-Mart, you can find +handling complex situations. But it isnďż˝t. For every Wal-Mart, you can find numerous examples of major New Orleans businesses that proved -inadequately equipped to respond to the unfolding events—from the utility +inadequately equipped to respond to the unfolding eventsďż˝from the utility corporations, which struggled to get the telephone and electrical lines working, to the oil companies, which kept too little crude oil and refinery capacity on hand for major disruptions. Public officials could also claim @@ -2370,15 +2272,15 @@ armada of Louisiana sportsmen with flat-bottom boats and orchestrated a breathtaking rescue of more than sixty-two thousand people from the water, rooftops, and attics of the deluged city. -No, the real lesson is that under conditions of true complexity—where the +No, the real lesson is that under conditions of true complexityďż˝where the knowledge required exceeds that of any individual and unpredictability -reigns—efforts to dictate every step from the center will fail. People need +reignsďż˝efforts to dictate every step from the center will fail. People need room to act and adapt. Yet they cannot succeed as isolated individuals, -either—that is anarchy. Instead, they require a seemingly contradictory mix -of freedom and expectation—expectation to coordinate, for example, and +eitherďż˝that is anarchy. Instead, they require a seemingly contradictory mix +of freedom and expectationďż˝expectation to coordinate, for example, and also to measure progress toward common goals. This was the understanding people in the skyscraper-building industry @@ -2398,53 +2300,53 @@ unpredictabilities the best they know how. I came away from Katrina and the builders with a kind of theory: under conditions of complexity, not only are checklists a help, they are required for success. There must always be room for judgment, but judgment aided -— and even enhanced— by procedure. +ďż˝ and even enhancedďż˝ by procedure. -Having hit on this “theory,” I began to recognize checklists in odd -corners everywhere—in the hands of professional football coordinators, +Having hit on this ďż˝theory,ďż˝ I began to recognize checklists in odd +corners everywhereďż˝in the hands of professional football coordinators, say, or on stage sets. Listening to the radio, I heard the story behind rocker -David Lee Roth’s notorious insistence that Van Halen’s contracts with -concert promoters contain a clause specifying that a bowl of M&M’s has to +David Lee Rothďż˝s notorious insistence that Van Halenďż˝s contracts with +concert promoters contain a clause specifying that a bowl of M&Mďż˝s has to be provided backstage, but with every single brown candy removed, upon pain of forfeiture of the show, with full compensation to the band. And at least once, Van Halen followed through, peremptorily canceling a show in -Colorado when Roth found some brown M&M’s in his dressing room. This +Colorado when Roth found some brown M&Mďż˝s in his dressing room. This turned out to be, however, not another example of the insane demands of power-mad celebrities but an ingenious ruse. -As Roth explained in his memoir, Crazy from the Heat, “Van Halen was +As Roth explained in his memoir, Crazy from the Heat, ďż˝Van Halen was the first band to take huge productions into tertiary, third-level markets. -We’d pull up with nine eighteen-wheeler trucks, full of gear, where the +Weďż˝d pull up with nine eighteen-wheeler trucks, full of gear, where the standard was three trucks, max. And there were many, many technical -errors—whether it was the girders couldn’t support the weight, or the +errorsďż˝whether it was the girders couldnďż˝t support the weight, or the -flooring would sink in, or the doors weren’t big enough to move the gear +flooring would sink in, or the doors werenďż˝t big enough to move the gear through. The contract rider read like a version of the Chinese Yellow Pages because there was so much equipment, and so many human beings to make -it function.” So just as a little test, buried somewhere in the middle of the -rider, would be article 126, the no-brown-M&M’s clause. “When I would -walk backstage, if I saw a brown M&M in that bowl,” he wrote, “well, -we’d line-check the entire production. Guaranteed you’re going to arrive at -a technical error. . . . Guaranteed you’d run into a problem.” These weren’t +it function.ďż˝ So just as a little test, buried somewhere in the middle of the +rider, would be article 126, the no-brown-M&Mďż˝s clause. ďż˝When I would +walk backstage, if I saw a brown M&M in that bowl,ďż˝ he wrote, ďż˝well, +weďż˝d line-check the entire production. Guaranteed youďż˝re going to arrive at +a technical error. . . . Guaranteed youďż˝d run into a problem.ďż˝ These werenďż˝t trifles, the radio story pointed out. The mistakes could be life-threatening. In Colorado, the band found the local promoters had failed to read the weight requirements and the staging would have fallen through the arena floor. -“David Lee Roth had a checklist!” I yelled at the radio. -I ran my theory—about the necessity of checklists—by Jody Adams, the +ďż˝David Lee Roth had a checklist!ďż˝ I yelled at the radio. +I ran my theoryďż˝about the necessity of checklistsďż˝by Jody Adams, the chef and owner of Rialto, one of my favorite restaurants in Boston. In the -early 1990s, Food and Winemagazine named her one of America’s ten best +early 1990s, Food and Winemagazine named her one of Americaďż˝s ten best new chefs, and in 1997 she won a James Beard Foundation Best Chef award, which is the Oscar for food. Rialto is frequently mentioned on -national best-restaurant lists, most recently Esquire magazine’s. Her focus +national best-restaurant lists, most recently Esquire magazineďż˝s. Her focus is on regional Italian cuisine, though with a distinctive take. Adams is self-taught. An anthropology major at Brown University, she -never went to culinary school. “But I had a thing for food,” as she puts it, +never went to culinary school. ďż˝But I had a thing for food,ďż˝ as she puts it, and she went to work in restaurants, learning her way from chopping onions to creating her own style of cooking. @@ -2458,7 +2360,7 @@ an extraordinary level of excellence day after day, year after year, for one to three hundred people per night. I had my theory of how such perfectionism is accomplished, but was it true? Adams invited me in to see. -I spent one Friday evening perched on a stool in Rialto’s long and narrow +I spent one Friday evening perched on a stool in Rialtoďż˝s long and narrow kitchen amid the bustle, the shouting, the grill flaming on one side, the deep fryer sizzling on another. Adams and her staff served 150 people in five @@ -2471,52 +2373,52 @@ heirloom tomatoes, and pickled peppers; slow-roasted duck marinated in soy sauce, balsamic vinegar, mustard, rosemary, and garlic; and three dozen other mouthwatering dishes. -Sitting there, I saw remarkable expertise. Half of Adams’s staff had been +Sitting there, I saw remarkable expertise. Half of Adamsďż˝s staff had been to culinary school. Few had less than a decade of experience. They each had a kitchen specialty. There was a pastry chef, baker, grill chef, fry cook, -dessert chef, sous chef, sommelier— you get the picture. Through the years, -they had perfected their technique. I couldn’t fathom the subtleties of most -of what they did. Though I am a surgeon, they wouldn’t let me anywhere +dessert chef, sous chef, sommelierďż˝ you get the picture. Through the years, +they had perfected their technique. I couldnďż˝t fathom the subtleties of most +of what they did. Though I am a surgeon, they wouldnďż˝t let me anywhere near their knives. Jay, the pasta chef, showed me how to heat butter properly and tell by sight when gnocchi were perfectly boiled. Adams showed me how much a pinch of salt really was. People celebrate the technique and creativity of cooking. Chefs are personalities today, and their daring culinary exploits are what make the -television cooking shows so popular. But as I saw at Rialto, it’s discipline— -uncelebrated and untelevised—that keeps the kitchen clicking. And sure +television cooking shows so popular. But as I saw at Rialto, itďż˝s disciplineďż˝ +uncelebrated and untelevisedďż˝that keeps the kitchen clicking. And sure enough, checklists were at the center of that discipline. -First there was the recipe—the most basic checklist of all. Every dish had +First there was the recipeďż˝the most basic checklist of all. Every dish had one. The recipes were typed out, put in clear plastic sleeves, and placed at -each station. Adams was religious about her staff ’s using them. Even for -her, she said, “following the recipe is essential to making food of consistent -quality over time.” +each station. Adams was religious about her staff ďż˝s using them. Even for +her, she said, ďż˝following the recipe is essential to making food of consistent +quality over time.ďż˝ Tacked to a bulletin board beside the dessert station was what Adams -called her Kitchen Notes—e-mails to the staff of her brief observations +called her Kitchen Notesďż˝e-mails to the staff of her brief observations about the food. The most recent was from 12:50 the previous night. -“Fritters—more herbs, more garlic . . . more punch,” it said. “Corn silk in -corn! Creamed corn side on oval plates—not square! Mushrooms—more -shallots, garlic, and marsala. USE THE RECIPES!” +ďż˝Frittersďż˝more herbs, more garlic . . . more punch,ďż˝ it said. ďż˝Corn silk in +corn! Creamed corn side on oval platesďż˝not square! Mushroomsďż˝more +shallots, garlic, and marsala. USE THE RECIPES!ďż˝ -The staff didn’t always love following the recipes. You make the creamed -corn a few hundred times and you believe you have it down. But that’s +The staff didnďż˝t always love following the recipes. You make the creamed +corn a few hundred times and you believe you have it down. But thatďż˝s when things begin to slip, Adams said. The recipes themselves were not necessarily static. All the ones I saw had -scribbled modifications in the margins—many of them improvements +scribbled modifications in the marginsďż˝many of them improvements provided by staff. Sometimes there would be a wholesale revamp. One new dish they were serving was a split whole lobster in a cognac and -fish broth reduction with littleneck clams and chorizo. The dish is Adams’s +fish broth reduction with littleneck clams and chorizo. The dish is Adamsďż˝s take on a famous Julia Child recipe. Before putting a dish on the menu, however, she always has the kitchen staff make a few test runs, and some problems emerged. Her recipe called for splitting a lobster and then -sautéing it in olive oil. But the results proved too variable. Too often the +sautďż˝ing it in olive oil. But the results proved too variable. Too often the lobster meat was either overcooked or undercooked. The sauce was also made to order, but it took too long for the eight-to-ten-minute turnaround that customers expect. @@ -2528,30 +2430,30 @@ repeated test runs, the lobster came out perfectly. The recipe was rewritten. There was also a checklist for every customer. When an order was placed up front, it was printed out on a slip back in the kitchen. The ticket specified the dishes ordered, the table number, the seat number, any preferences -required by the customer or noted in a database from previous visits—food +required by the customer or noted in a database from previous visitsďż˝food allergies, for instance, or how the steak should be cooked, or whether this was a special occasion like a birthday or a visit from a VIP whom Adams needed to go out and say hello to. The sous chef, who serves as a kind of field officer for operations, read the tickets off as they came in. -“Fire mushrooms. Fire mozz. Lobo on hold. Steak very well done, no -gluten, on hold.” +ďż˝Fire mushrooms. Fire mozz. Lobo on hold. Steak very well done, no +gluten, on hold.ďż˝ -“Fire” meant cook it now. “On hold” meant it was a second course. -“Lobo” was the lobster. The steak needed to be cooked all the way through +ďż˝Fireďż˝ meant cook it now. ďż˝On holdďż˝ meant it was a second course. +ďż˝Loboďż˝ was the lobster. The steak needed to be cooked all the way through and the customer had a gluten allergy. A read-back was expected to confirm that the line cooks had heard the order right. -“Fire mushrooms. Fire mozz,” said one. -“Lobo on hold,” said the seafood cook. -“Steak very well done, no gluten, on hold,” said the grill chef. As in the +ďż˝Fire mushrooms. Fire mozz,ďż˝ said one. +ďż˝Lobo on hold,ďż˝ said the seafood cook. +ďż˝Steak very well done, no gluten, on hold,ďż˝ said the grill chef. As in the construction world, however, not everything could be anticipated and reduced to a recipe. And so Adams, too, had developed a communication checklist to ensure people recognized, and dealt with, unexpected problems -as a team. At five o’clock, half an hour before opening, the staff holds what -she calls the “pow wow.” Everyone gathers in the kitchen for a quick check -to discuss unanticipated issues and concerns—the unpredictable. The night +as a team. At five oďż˝clock, half an hour before opening, the staff holds what +she calls the ďż˝pow wow.ďż˝ Everyone gathers in the kitchen for a quick check +to discuss unanticipated issues and concernsďż˝the unpredictable. The night @@ -2560,7 +2462,7 @@ fill in for a sick staff member, and a sweet sixteen party with twenty girls who were delayed and going to arrive in the midst of the dinner rush. Everyone was given a chance to speak, and they made plans for what to do. -Of course, this still couldn’t guarantee everything would go right. There +Of course, this still couldnďż˝t guarantee everything would go right. There remained plenty of sources of uncertainty and imperfection: a soup might be plated too early and allowed to cool, a quail might have too little sauce, a striped bass might come off the grill too dry. So Adams had one final check @@ -2570,14 +2472,14 @@ looked the way it should, checked it against the order ticket, gave it a sniff or, with a clean spoon, maybe even a taste. I counted the dishes as they went by. At least 5 percent were sent back. -“This calamari has to be fried more,” the sous chef told the fry cook. “We -want more of a golden brown.” +ďż˝This calamari has to be fried more,ďż˝ the sous chef told the fry cook. ďż˝We +want more of a golden brown.ďż˝ Later, I got to try some of the results. I had the fried olives, the grilled clams, the summer succotash, and a local farm green salad. I also had the lobster. The food was incredible. I left at midnight with my stomach full and my brain racing. Even here, in one of our most particularized and craft- -driven enterprises—in a way, Adams’s cooking is more art than science— +driven enterprisesďż˝in a way, Adamsďż˝s cooking is more art than scienceďż˝ checklists were required. Everywhere I looked, the evidence seemed to point to the same conclusion. There seemed no field or profession where checklists might not help. And that might even include my own. @@ -2595,44 +2497,44 @@ significant portion of the care was so unsafe as to be a public danger. So they wanted to develop a global program to reduce avoidable deaths and harm from surgery. -I believe my response was, “Um, how do you do that?” -“We’ll have a meeting,” she said. -I asked how much money they’d be devoting to the problem. -“Oh, there’s no real money,” she said. -I said no. I couldn’t do it. I was busy. +I believe my response was, ďż˝Um, how do you do that?ďż˝ +ďż˝Weďż˝ll have a meeting,ďż˝ she said. +I asked how much money theyďż˝d be devoting to the problem. +ďż˝Oh, thereďż˝s no real money,ďż˝ she said. +I said no. I couldnďż˝t do it. I was busy. But she knew what she was about. She said something along the lines of, -“Oh, sorry. I thought you were supposed to be some kind of expert on -patient safety in surgery. My mistake.” +ďż˝Oh, sorry. I thought you were supposed to be some kind of expert on +patient safety in surgery. My mistake.ďż˝ I agreed to help organize the meeting. One of the benefits of joining up to work with WHO was gaining access to -the health system reports and data from the organization’s 193 member +the health system reports and data from the organizationďż˝s 193 member countries. And compiling the available numbers in surgery, my research -team and I found that the WHO officials’ impression was correct: the global +team and I found that the WHO officialsďż˝ impression was correct: the global volume of surgery had exploded. By 2004, surgeons were performing some -230 million major operations annually—one for every twenty-five human -beings on the planet—and the numbers have likely continued to increase +230 million major operations annuallyďż˝one for every twenty-five human +beings on the planetďż˝and the numbers have likely continued to increase since then. The volume of surgery had grown so swiftly that, without -anyone’s quite realizing, it has come to exceed global totals for childbirth— +anyoneďż˝s quite realizing, it has come to exceed global totals for childbirthďż˝ only with a death rate ten to one hundred times higher. Although most of -the time a given procedure goes just fine, often it doesn’t: estimates of +the time a given procedure goes just fine, often it doesnďż˝t: estimates of complication rates for hospital surgery range from 3 to 17 percent. While incisions have gotten smaller and recoveries have gotten quicker, the risks remain serious. Worldwide, at least seven million people a year are left -disabled and at least onemillion dead—a level of harm that approaches that +disabled and at least onemillion deadďż˝a level of harm that approaches that of malaria, tuberculosis, and other traditional public health concerns. -Peering at the numbers, I understood why WHO—an organization -devoted to solving large-scale public health problems— should suddenly +Peering at the numbers, I understood why WHOďż˝an organization +devoted to solving large-scale public health problemsďż˝ should suddenly have taken an interest in something as seemingly specific and high-tech as surgical care. Improvement in global economic conditions in recent decades had produced greater longevity and therefore a greater need for essential -surgical services—for people with cancers, broken bones and other +surgical servicesďż˝for people with cancers, broken bones and other traumatic injuries, complications during child delivery, major birth defects, disabling kidney stones and gallstones and hernias. Although there remained some two billion people, especially in rural areas, without access @@ -2641,7 +2543,7 @@ the number of surgical procedures performed. As a result, the safety and quality of that care had become a major issue everywhere. But what could be done about it? Remedying surgery as a public health -matter is not like remedying, say, polio. I’d traveled with WHO physicians +matter is not like remedying, say, polio. Iďż˝d traveled with WHO physicians overseeing the campaign to eradicate polio globally and seen how hard just providing vaccines to a population could be. Surgery was drastically more complex. Finding ways to reduce its harm in a single hospital seemed @@ -2649,9 +2551,9 @@ difficult enough. Finding a way that could reach every operating room in the world seemed absurd. With more than twenty-five hundred different surgical procedures, ranging from brain biopsies to toe amputations, pacemaker insertions to spleen extractions, appendectomies to kidney -transplants, you don’t even know where to start. Perhaps, I thought, I could -work with WHO to focus on reducing the harmof just one procedure— -much like with central lines—but how much of a dent would that make in a +transplants, you donďż˝t even know where to start. Perhaps, I thought, I could +work with WHO to focus on reducing the harmof just one procedureďż˝ +much like with central linesďż˝but how much of a dent would that make in a problem of this scale? In January 2007, at WHO headquarters in Geneva, we convened a two- @@ -2674,20 +2576,20 @@ growing and gold mining had brought a measure of prosperity, told of the conditions in his district hospital. No surgeon was willing to stay, he said. Ghanawas suffering from a brain drain, losing many of its highest skilled citizens to better opportunities abroad. He told us his entire hospital had just -three medical officers—general physicians with no surgical training. +three medical officersďż˝general physicians with no surgical training. Nevertheless, when a patient arrives critically ill and bleeding after two days in labor, or sick and feverish from appendicitis, or with a collapsed lung after a motorbike crash, the untutored doctors do what they have to do. They operate. -“You must understand,” he said. “I manage everything. I am the -pediatrician, obstetrician, surgeon, everything.” He had textbooks and a +ďż˝You must understand,ďż˝ he said. ďż˝I manage everything. I am the +pediatrician, obstetrician, surgeon, everything.ďż˝ He had textbooks and a manual of basic surgical techniques. He had an untrained assistant who had -learned how to give basic anesthesia. His hospital’s equipment was +learned how to give basic anesthesia. His hospitalďż˝s equipment was rudimentary. The standards were poor. Things sometimes went wrong. But he was convinced doing something was better than doing nothing at all. -A Russian bioengineer spoke. He’d spent much of his career overseeing +A Russian bioengineer spoke. Heďż˝d spent much of his career overseeing the supply and service of medical equipment to hospitals in different parts of the world, and he described dangerous problems in both high- and low- income settings: inadequately maintained surgical devices that have set fire @@ -2709,29 +2611,29 @@ surgeons accord anesthetists. In her country, she said, they shout anesthetists down and disregard the safety issues that her colleagues raise. Medical students see this and decide not to go into anesthesiology. As a -result, the most risky part of surgery—anesthesia—is done by untrained +result, the most risky part of surgeryďż˝anesthesiaďż˝is done by untrained people far more often than the surgery itself. A nurse from Ireland joined the clamor. Nurses work under even worse conditions, she said. They are often ignored as members of the team, condescended to, or fired for raising -concerns. She’d seen it in her home country, and from her colleagues +concerns. Sheďż˝d seen it in her home country, and from her colleagues abroad she knew it to be the experience of nurses internationally. On the one hand, everyone firmly agreed: surgery is enormously valuable -to people’s lives everywhere and should be made more broadly available. +to peopleďż˝s lives everywhere and should be made more broadly available. Even under the grimmest conditions, it is frequently lifesaving. And in -much of the world, the serious complication rates seem acceptably low—in +much of the world, the serious complication rates seem acceptably lowďż˝in the 5 to 15 percent range for hospital operations. -On the other hand, the idea that such rates are “acceptable” was hard to +On the other hand, the idea that such rates are ďż˝acceptableďż˝ was hard to swallow. Each percentage point, after all, represented millions left disabled or dead. Studies in the United States alone had found that at least half of surgical complications were preventable. But the causes and contributors were of every possible variety. We needed to do something. What, though, -wasn’t clear. +wasnďż˝t clear. Some suggested more training programs. The idea withered almost upon -utterance. If these failures were problems in every country—indeed, very -likely, in every hospital—no training program could be deployed widely +utterance. If these failures were problems in every countryďż˝indeed, very +likely, in every hospitalďż˝no training program could be deployed widely enough to make a difference. There was neither the money nor the capacity. We discussed incentive approaches, such as the pay-for-performance @@ -2739,10 +2641,10 @@ schemes recently initiated on a trial basis in the United States. In these programs, clinicians receive financial rewards for being more consistent about giving, say, heart attack patients the proper care or incur penalties for not doing so. The strategy has shown results, but the gains have been -modest—the country’s largest pay-for-performance trial, for example, +modestďż˝the countryďż˝s largest pay-for-performance trial, for example, registered just 2 to 4 percent improvement. Furthermore, the measurements required for incentive payments are not easy to obtain. They rely on -clinicians’ self-reported results, which are not always accurate. The results +cliniciansďż˝ self-reported results, which are not always accurate. The results are also strongly affected by howsick patients are to begin with. One might be tempted, for example, to pay surgeons with higher complication rates less, but some might simply have sicker patients. The incentive programs @@ -2775,8 +2677,8 @@ Brazzaville, Boston and Brisbane, little had changed. I asked a WHO official whether the organization had a guidebook on how to carry out successful global public health programs. She regarded me with -a look that a parent might give a toddler searching the dog’s mouth for the -thing that makes the barking noise. It’s a cute idea but idiotic. +a look that a parent might give a toddler searching the dogďż˝s mouth for the +thing that makes the barking noise. Itďż˝s a cute idea but idiotic. I searched anyway. I asked people around WHO for examples of public health interventions we could learn from. They came up with instances like @@ -2784,32 +2686,32 @@ the smallpox vaccination campaign that eradicated the scourge from the world in 1979 and the work of Dr. John Snow famously tracing a deadly 1854 London cholera outbreak to water in a public well. When the disease struck a London neighborhood that summer, two hundred people died in the -first three days. Three-quarters of the area’s residents fled in panic. +first three days. Three-quarters of the areaďż˝s residents fled in panic. Nonetheless, by the next week, some five hundred more died. The dominant -belief was that diseases like cholera were caused by “miasmas”—putrefied +belief was that diseases like cholera were caused by ďż˝miasmas��putrefied air. But Snow, skeptical of the bad-air theory, made a map of where the deceased had lived and found them clustered around a single water source, -a well in Soho’s Broad Street. He interviewed the bereaved families about +a well in Sohoďż˝s Broad Street. He interviewed the bereaved families about their habits. He made a careful statistical analysis of possible factors. And he concluded that contaminated water had caused the outbreak. (It was later discovered that the well had been dug next to a leaking cesspit.) Snow -persuaded the local council to remove the water well’s pump handle. This +persuaded the local council to remove the water wellďż˝s pump handle. This disabled the well, ended the spread of the disease, and also established the essential methods of outbreak investigation that infectious disease specialists follow to this day. All the examples, I noticed, had a few attributes in common: They -involved simple interventions—a vaccine, the removal of a pump handle. +involved simple interventionsďż˝a vaccine, the removal of a pump handle. The effects were carefully measured. And the interventions proved to have -widely transmissible benefits—what business types would term a large ROI +widely transmissible benefitsďż˝what business types would term a large ROI (return on investment) or what Archimedes would have called, merely, leverage. -Thinking of these essential requirements—simple, measurable, -transmissible—I recalled one of my favorite public health studies. It was a +Thinking of these essential requirementsďż˝simple, measurable, +transmissibleďż˝I recalled one of my favorite public health studies. It was a joint public health program conducted by the U.S. Centers for Disease Control and HOPE, a charitable organization in Pakistan, to address the perilous rates of premature death among children in the slums of Karachi. @@ -2818,7 +2720,7 @@ million people living under some of the most crowded and squalid conditions in the world. Sewage ran in the streets. Chronic poverty and food shortages left 30 to 40 percent of the children malnourished. Virtually all drinking water sources were contaminated. One child in ten died before age -five—usually from diarrhea or acute respiratory infections. +fiveďż˝usually from diarrhea or acute respiratory infections. The roots of these problems were deep and multifactorial. Besides inadequate water and sewage systems, illiteracy played a part, hampering @@ -2838,21 +2740,21 @@ up in Omaha, Nebraska, where his father chaired the obstetrics and gynecology faculty at Creighton University. He attended medical school at the University of Texas Southwestern. But for some reason he was always drawn to public health work. He took a CDC job investigating infectious -outbreaks in South Carolina, but when a position came open in the CDC’s +outbreaks in South Carolina, but when a position came open in the CDCďż˝s Pakistan office he jumped to take it. He arrived in Karachi with his schoolteacher wife and began publishing his first investigations of conditions there in the late nineties. I had spoken to him once about how he thought through the difficulties. -“If we had the kinds of water and sewage systems we’ve got in Omaha, we -could solve these problems,” he said. “But you have to wait decades for -major infrastructure projects.” So instead, he said, he looked for low-tech +ďż˝If we had the kinds of water and sewage systems weďż˝ve got in Omaha, we +could solve these problems,ďż˝ he said. ďż˝But you have to wait decades for +major infrastructure projects.ďż˝ So instead, he said, he looked for low-tech solutions. In this case, the solution he came up with was so humble it seemed laughable to his colleagues. It was soap. Luby learned that Procter & Gamble, the consumer product conglomerate, was eager to prove the value of its new antibacterial -Safeguard soap. So despite his colleagues’ skepticism, he persuaded the +Safeguard soap. So despite his colleaguesďż˝ skepticism, he persuaded the company to provide a grant for a proper study and to supply cases of Safeguard both with and without triclocarban, an antibacterial agent. Once a week, field-workers from HOPE fanned out through twenty-five randomly @@ -2885,9 +2787,9 @@ effective. Against seemingly insuperable odds, it was more than good enough. Plain soap was leverage. The secret, he pointed out to me, was that the soap was more than soap. It -was a behavior-change delivery vehicle. The researchers hadn’t just handed -out Safeguard, after all. They also gave out instructions—on leaflets and in -person—explaining the six situations in which people should use it. This +was a behavior-change delivery vehicle. The researchers hadnďż˝t just handed +out Safeguard, after all. They also gave out instructionsďż˝on leaflets and in +personďż˝explaining the six situations in which people should use it. This was essential to the difference they made. When one looks closely at the details of the Karachi study, one finds a striking statistic about the households in both the test and the control neighborhoods: At the start of @@ -2895,51 +2797,51 @@ the study, the average number of bars of soap households used was not zero. It was two bars per week. In other words, they already had soap. Sowh at did the study really change? Well, two things, Luby told me. -First, “We removed the economic restraint on purchasing soap. People say +First, ďż˝We removed the economic restraint on purchasing soap. People say soap is cheap and most households have soap. But we wanted people to -wash a lot. And people are quite poor. So we removed that as a barrier.” +wash a lot. And people are quite poor. So we removed that as a barrier.ďż˝ Second, and just as important, the project managed to make soap use more systematic. Luby and his team had studied washing behavior in Pakistan, Bangladesh, and other locations around South Asia, and they found that -almost everyone washes their hands after defecation. “There are strong -ideas about purity in South Asia,” he said. Even when the place to wash is +almost everyone washes their hands after defecation. ďż˝There are strong +ideas about purity in South Asia,ďż˝ he said. Even when the place to wash is far away, people go and clean their hands over 80 percent of the time, a rate that would put most denizens of airport bathrooms to shame. But the washing was not very effective, the researchers found. Often people did it -too quickly. Or they cleaned just the “involved” hand. Or they used ash or +too quickly. Or they cleaned just the ďż˝involvedďż˝ hand. Or they used ash or mud rather than soap and water. The soap experiment changed that. The field-workers gave specific -instructions on hand-washing technique—on the need to wet both hands +instructions on hand-washing techniqueďż˝on the need to wet both hands completely, to lather well, to rinse all the soap off, even if, out of necessity, -as the published report noted, “hands were typically dried on participants’ -clothing.” The instructions also got people used to washing at moments +as the published report noted, ďż˝hands were typically dried on participantsďż˝ +clothing.ďż˝ The instructions also got people used to washing at moments -when they weren’t used to doing so. “Before preparing food or feeding a -child is not a time when people think about washing,” Luby explained. The -soap itself was also a factor. “It was really nice soap,” he pointed out. It +when they werenďż˝t used to doing so. ďż˝Before preparing food or feeding a +child is not a time when people think about washing,ďż˝ Luby explained. The +soap itself was also a factor. ďż˝It was really nice soap,ďż˝ he pointed out. It smelled good and lathered better than the usual soap people bought. People -liked washing with it. “Global multinational corporations are really focused +liked washing with it. ďż˝Global multinational corporations are really focused on having a good consumer experience, which sometimes public health -people are not.” Lastly, people liked receiving the soap. The public health +people are not.ďż˝ Lastly, people liked receiving the soap. The public health field-workers were bringing them a gift rather than wagging a finger. And with the gift came a few basic ideas that would improve their lives and massively reduce disease. Thinking back on the experiment, I was fascinated to realize that it was as much a checklist study as a soap study. So I wondered: Could a checklist be -our soap for surgical care—simple, cheap, effective, and transmissible? I +our soap for surgical careďż˝simple, cheap, effective, and transmissible? I still had a hard time grasping how to make a checklist that could be both simple and effective for the manifold problems posed by surgery on a global scale. I was uncertain that it was even possible. But several of my colleagues were more sanguine when the idea was raised at the Geneva meeting. -One brought up the experience of Columbus Children’s Hospital, which +One brought up the experience of Columbus Childrenďż˝s Hospital, which had developed a checklist to reduce surgical infections. Infection is one of the most common complications of surgery in children. And the most effective way to prevent it, aside from using proper antiseptic technique, is @@ -2954,7 +2856,7 @@ into the bloodstream only thirty seconds before the incision is made, researchers have found, the circulation time is fast enough for the drug to reach the tissue before the knife breaches the skin. -Yet the step is commonly missed. In 2005, Columbus Children’s Hospital +Yet the step is commonly missed. In 2005, Columbus Childrenďż˝s Hospital examined its records and found that more than one-third of its appendectomy patients failed to get the right antibiotic at the right time. @@ -2965,30 +2867,30 @@ antibiotic at all. It seems dumb. How hard could this be? Even people in medicine assume we get this kind of simple task right 100 percent of the time. But in fact we -don’t. With all the flurry of things that go on when a patient is wheeled into +donďż˝t. With all the flurry of things that go on when a patient is wheeled into an operating room, this is exactly the sort of step that can be neglected. The anesthesiologists are the ones who have to provide the antibiotic, but they -are concentrating on getting the patient safely and calmly to sleep— and +are concentrating on getting the patient safely and calmly to sleepďż˝ and this is no small matter when that patient is a scared eight-year-old lying naked on a cold table in a room full of strangers getting ready to cut into -her. Add in an equipment malfunction (“Is that red light supposed to be -blinking like that?”), or the patient’s asthma acting up, or a page for the +her. Add in an equipment malfunction (ďż˝Is that red light supposed to be +blinking like that?ďż˝), or the patientďż˝s asthma acting up, or a page for the surgeon to call the emergency room, and you begin to see how something as mundane as an antibiotic can slip past. -The hospital’s director of surgical administration, who happened to be not +The hospitalďż˝s director of surgical administration, who happened to be not only a pediatric cardiac surgeon but also a pilot, decided to take the aviation -approach. He designed a preincision “Cleared for Takeoff ” checklist that he +approach. He designed a preincision ďż˝Cleared for Takeoff ďż˝ checklist that he put on a whiteboard in each of the operating rooms. It was really simple. There was a check box for the nurse to verbally confirm with the team that they had the correct patient and the correct side of the body planned for -surgery—something teams are supposed to verify in any case. And there +surgeryďż˝something teams are supposed to verify in any case. And there was a further check box to confirm that the antibiotics were given (or else judged unnecessary, which they can be for some operations). -There wasn’t much more to it. But getting teams to stop and use the -checklist—to make it their habit—was clearly tricky. A couple of check -boxes weren’t going to do much all by themselves. So the surgical director +There wasnďż˝t much more to it. But getting teams to stop and use the +checklistďż˝to make it their habitďż˝was clearly tricky. A couple of check +boxes werenďż˝t going to do much all by themselves. So the surgical director gave some lectures to the nurses, anesthesiologists, and surgeons explaining what this checklist thing was all about. He also did something curious: he designed a little metal tent stenciled with the phrase Cleared for Take off @@ -3006,7 +2908,7 @@ power. The surgical director measured the effect on care. After three months, 89 percent of appendicitis patients got the right antibiotic at the right time. -After ten months, 100 percent did. The checklist had become habitual—and +After ten months, 100 percent did. The checklist had become habitualďż˝and it had also become clear that team members could hold up an operation until the necessary steps were completed. @@ -3026,20 +2928,20 @@ that antibiotics had been given, that blood was available if required, that critical scans and test results needed for the operation were on hand, that any special instruments required were ready, and so on. -The checklist also included what they called a “teambriefing.” The team +The checklist also included what they called a ďż˝teambriefing.ďż˝ The team members were supposed to stop and take a moment simply to talk with one -another before proceeding—about how long the surgeon expected the +another before proceedingďż˝about how long the surgeon expected the operation to take, how much blood loss everyone should be prepared for, whether the patient had any risks or concerns the team should know about. Reznick had never heard about the demise of Master Builders, but he had -gravitated intuitively toward the skyscraper solution— a mix of task and +gravitated intuitively toward the skyscraper solutionďż˝ a mix of task and communication checks to manage the problem of proliferating complexity -—and so had others, it turned out. A Johns Hopkins pancreatic surgeon -named Martin Makary showed us an eighteen-item checklist that he’d +ďż˝and so had others, it turned out. A Johns Hopkins pancreatic surgeon +named Martin Makary showed us an eighteen-item checklist that heďż˝d tested with eleven surgeons for five months at his hospital. Likewise, a group of Southern California hospitals within the Kaiser health care system -had studied a thirty-item “surgery preflight checklist” that actually predated +had studied a thirty-item ďż˝surgery preflight checklistďż˝ that actually predated @@ -3050,31 +2952,31 @@ Surgery has, essentially, four big killers wherever it is done in the world: infection, bleeding, unsafe anesthesia, and what can only be called the unexpected. For the first three, science and experience have given us some straightforward and valuable preventive measures we think we consistently -follow but don’t. These misses are simple failures—perfect for a classic -checklist. And as a result, all the researchers’ checklists included precisely +follow but donďż˝t. These misses are simple failuresďż˝perfect for a classic +checklist. And as a result, all the researchersďż˝ checklists included precisely specified steps to catch them. -But the fourth killer—the unexpected—is an entirely different kind of +But the fourth killerďż˝the unexpectedďż˝is an entirely different kind of failure, one that stems from the fundamentally complex risks entailed by -opening up a person’s body and trying to tinker with it. Independently, each +opening up a personďż˝s body and trying to tinker with it. Independently, each of the researchers seemed to have realized that no one checklist could anticipate all the pitfalls a team must guard against. So they had determined that the most promising thing to do was just to have people stop and talk -through the case together—to be ready as a team to identify and address -each patient’s unique, potentially critical dangers. +through the case togetherďż˝to be ready as a team to identify and address +each patientďż˝s unique, potentially critical dangers. Perhaps all this seems kind of obvious. But it represents a significant departure from the way operations are usually conducted. Traditionally, -surgery has been regarded as an individual performance—the surgeon as -virtuoso, like a concert pianist. There’s a reason that much of the world uses -the phrase operating theater. The OR is the surgeon’s stage. The surgeon +surgery has been regarded as an individual performanceďż˝the surgeon as +virtuoso, like a concert pianist. Thereďż˝s a reason that much of the world uses +the phrase operating theater. The OR is the surgeonďż˝s stage. The surgeon strides under the lights and expects to start, everyone in their places, the patient laid out asleep and ready to go. -We surgeons want to believe that we’ve evolved along with the +We surgeons want to believe that weďż˝ve evolved along with the complexity of surgery, that we work more as teams now. But however embarrassing it may be for us to admit, researchers have observed that team -members are commonly not all aware of a given patient’s risks, or the +members are commonly not all aware of a given patientďż˝s risks, or the problems they need to be ready for, or why the surgeon is doing the operation. In one survey of three hundred staff members as they exited the operating room following a case, one out of eight reported that they were @@ -3083,11 +2985,11 @@ not even sure about where the incision would be until the operation started. Brian Sexton, a pioneering Johns Hopkins psychologist, has conducted a number of studies that provide a stark measure of how far we are from really performing as teams in surgery. In one, he surveyed more than a -thousand operating room staff members from hospitals in five countries— +thousand operating room staff members from hospitals in five countriesďż˝ -the United States, Germany, Israel, Italy, and Switzerland—and found that +the United States, Germany, Israel, Italy, and Switzerlandďż˝and found that although 64 percent of the surgeons rated their operations as having high levels of teamwork, just 39 percent of anesthesiologists, 28 percent of nurses, and 10 percent of anesthesia residents did. Not coincidentally, @@ -3103,17 +3005,17 @@ stand in the corner until he was sorry. When he refused, the surgeon threw him out of the room and tried to get him suspended for insubordination.) No, the more familiar and widely dangerous issue is a kind of silent disengagement, the consequence of specialized technicians sticking -narrowly to their domains. “That’s not my problem” is possibly the worst +narrowly to their domains. ďż˝Thatďż˝s not my problemďż˝ is possibly the worst thing people can think, whether they are starting an operation, taxiing an airplane full of passengers down a runway, or building a thousand-foot-tall -skyscraper. But in medicine, we see it all the time. I’ve seen it in my own +skyscraper. But in medicine, we see it all the time. Iďż˝ve seen it in my own operating room. Teamwork may just be hard in certain lines of work. Under conditions of extreme complexity, we inevitably rely on a division of tasks and expertise -—in the operating room, for example, there is the surgeon, the surgical +ďż˝in the operating room, for example, there is the surgeon, the surgical assistant, the scrub nurse, the circulating nurse, the anesthesiologist, and so -on. They can each be technical masters at what they do. That’s what we +on. They can each be technical masters at what they do. Thatďż˝s what we train them to be, and that alone can take years. But the evidence suggests we need them to see their job not just as performing their isolated set of tasks well but also as helping the group get the best possible results. This @@ -3121,12 +3023,12 @@ requires finding a way to ensure that the group lets nothing fall between the cracks and also adapts as a team to whatever problems might arise. I had assumed that achieving this kind of teamwork was -mostly a matter of luck. I’d certainly experienced it at times— difficult +mostly a matter of luck. Iďż˝d certainly experienced it at timesďż˝ difficult operations in which everyone was nonetheless firing on all cylinders, acting as one. I remember an eighty-year-old patient who required an emergency operation. He had undergone heart surgery the week before and had been -recovering nicely. But during the night he’d developed a sudden, sharp, +recovering nicely. But during the night heďż˝d developed a sudden, sharp, @@ -3137,26 +3039,26 @@ hundred and irregular. His blood pressure was dropping. And wherever I touched his abdomen, the sensation made him almost leap off the bed in agony. -He knew this was trouble. His mind was completely sharp. But he didn’t +He knew this was trouble. His mind was completely sharp. But he didnďż˝t seem scared. -“What do we need to do?” he asked between gritted teeth. -I explained that I believed his body had thrown a clot into his intestine’s +ďż˝What do we need to do?ďż˝ he asked between gritted teeth. +I explained that I believed his body had thrown a clot into his intestineďż˝s -arterial supply. It was as if he’d had a stroke, only this one had cut off blood +arterial supply. It was as if heďż˝d had a stroke, only this one had cut off blood flow to his bowel, not his brain. Without blood flow, his bowel would turn gangrenous and rupture. This was not survivable without surgery. But, I also had to tell him, it was often not survivable even with surgery. Perhaps half of the patients in his circumstance make it through. If he was one of them, there would be many complications to worry about. He might need a -ventilator or a feeding tube. He’d already been through one major +ventilator or a feeding tube. Heďż˝d already been through one major operation. He was weak and not young. I asked him if he wanted to go ahead. Yes, he said, but he wanted me to speak with his wife and son first. I reached them by phone. They too said to proceed. I called the operating room control desk and explained the situation. I needed an OR and a team -right away. I’d take whatever and whoever were available. +right away. Iďż˝d take whatever and whoever were available. We got him to the OR within the hour. And as people assembled and set to work, there was the sense of a genuine team taking form. Jay, the @@ -3166,12 +3068,12 @@ gloved, standing by with the sterile instruments at the ready. Zhi, the senior anesthesiologist, and Thor, his resident, were conferring, making sure they had their plans straight, as they set out their drugs and equipment. Joaquim, the surgery resident, stood by with a Foley catheter, ready to slip it into the -patient’s bladder as soon as he was asleep. +patientďż˝s bladder as soon as he was asleep. The clock was ticking. The longer we took, the more bowel would die. The more bowel that died, the sicker the man would become and the lower his chance of survival. Everyone understood this, which by itself was a lot. -People don’t always get it— really feel the urgency of the patient’s +People donďż˝t always get itďż˝ really feel the urgency of the patientďż˝s @@ -3184,7 +3086,7 @@ making it potentially difficult to place a breathing tube when Zhi sent him off to sleep. But Zhi had warned us of the possibility of trouble and everyone was ready with a backup plan and the instruments he and Thor might need. When Joaquim and I opened up the patient, we found that the -right colon was black with gangrene—it had died—but it had not ruptured, +right colon was black with gangreneďż˝it had diedďż˝but it had not ruptured, and the remaining three-fourths of the colon and all the small bowel seemed to be okay. This was actually good news. @@ -3193,63 +3095,63 @@ however, it became evident that the rest of the colon was not, in fact, in good shape. Where it should have been healthy pink, we found scattered dime- and quarter-sized patches of purple. The blood clots that had blocked off the main artery to the right colon had also showered into the arterial -branches of the left side. We would have to remove the patient’s entire -colon, all four feet of it, and give him an ostomy—a bag for his excreted -wastes. Steve, thinking ahead, asked Jay to grab a retractor we’d need. +branches of the left side. We would have to remove the patientďż˝s entire +colon, all four feet of it, and give him an ostomyďż˝a bag for his excreted +wastes. Steve, thinking ahead, asked Jay to grab a retractor weďż˝d need. Joaquim nudged me to make the abdominal incision bigger, and he stayed with me at every step, clamping, cutting, and tying as we proceeded inch by -inch through the blood vessels tethering the patient’s colon. The patient -began oozing blood from every raw surface—toxins from the gangrene +inch through the blood vessels tethering the patientďż˝s colon. The patient +began oozing blood from every raw surfaceďż˝toxins from the gangrene were causing him to lose his ability to clot. But Zhi and Thor kept up with -the fluid requirements and the patient’s blood pressure was actually better +the fluid requirements and the patientďż˝s blood pressure was actually better halfway through than it had been at the beginning. When I mentioned that I -thought the patient would need an ICU, Zhi told me he’d already arranged it +thought the patient would need an ICU, Zhi told me heďż˝d already arranged it and briefed the intensivist. -Because we’d worked as a single unit, not as separate technicians, the +Because weďż˝d worked as a single unit, not as separate technicians, the man survived. We were done with the operation in little more than two hours; his vital signs were stable; and he would leave the hospital just a few days later. The family gave me the credit, and I wish I could have taken it. But the operation had been symphonic, a thing of orchestral beauty. Perhaps I could claim that the teamwork itself had been my doing. But its -origins were mysterious to me. I’d have said it was just the good fortune of -the circumstances—the accidental result of the individuals who happened to +origins were mysterious to me. Iďż˝d have said it was just the good fortune of +the circumstancesďż˝the accidental result of the individuals who happened to be available for the case and their particular chemistry on that particular -afternoon. Although I operated with Zhi frequently, I hadn’t worked with -Jay or Steve in months, Joaquim in even longer. I’d worked with Thor just -once. As a group of six, we’d never before done an operation together. Such +afternoon. Although I operated with Zhi frequently, I hadnďż˝t worked with +Jay or Steve in months, Joaquim in even longer. Iďż˝d worked with Thor just +once. As a group of six, weďż˝d never before done an operation together. Such a situation is not uncommon in hospitals of any significant size. My hospital has forty-two operating rooms, staffed by more than a thousand personnel. We have new nurses, technicians, residents, and physician staff almost -constantly. We’re virtually always adding strangers to our teams. As a -consequence, the level of teamwork—an unspoken but critical component -of success in surgery—is unpredictable. Yet somehow, from the moment we +constantly. Weďż˝re virtually always adding strangers to our teams. As a +consequence, the level of teamworkďż˝an unspoken but critical component +of success in surgeryďż˝is unpredictable. Yet somehow, from the moment we six were all dropped together into this particular case, things clicked. It had been almost criminally enjoyable. -This seemed like luck, as I say. But suppose it wasn’t. That’s what the +This seemed like luck, as I say. But suppose it wasnďż˝t. Thatďż˝s what the checklists from Toronto and Hopkins and Kaiser raised as a possibility. Their insistence that people talk to one another about each case, at least just -for a minute before starting, was basically a strategy to foster teamwork—a +for a minute before starting, was basically a strategy to foster teamworkďż˝a kind of team huddle, as it were. So was another step that these checklists employed, one that was quite unusual in my experience: surgical staff members were expected to stop and make sure that everyone knew one -another’s names. +anotherďż˝s names. The Johns Hopkins checklist spelled this out most explicitly. Before starting an operation with a new team, there was a check to ensure everyone -introduced themselves by name and role: “I’m Atul Gawande, the attending -surgeon”; “I’m Jay Powers, the circulating nurse”; “I’m Zhi Xiong, the -anesthesiologist”—that sort of thing. +introduced themselves by name and role: ďż˝Iďż˝m Atul Gawande, the attending +surgeonďż˝; ďż˝Iďż˝m Jay Powers, the circulating nurseďż˝; ďż˝Iďż˝m Zhi Xiong, the +anesthesiologist��that sort of thing. It felt kind of hokey to me, and I wondered how much difference this step could really make. But it turned out to have been carefully devised. There have been psychology studies in various fields backing up what should have -been self-evident—people who don’t know one another’s names don’t work +been self-evidentďż˝people who donďż˝t know one anotherďż˝s names donďż˝t work together nearly as well as those who do. And Brian Sexton, the Johns Hopkins psychologist, had done studies showing the same in operating rooms. In one, he and his research team button holed surgical staff members @@ -3260,13 +3162,13 @@ finished and what were the names of the other staff members on the team? The researchers learned that about half the time the staff did not know one -another’s names. When they did, however, the communications ratings +anotherďż˝s names. When they did, however, the communications ratings jumped significantly. The investigators at Johns Hopkins and elsewhere had also observed that when nurses were given a chance to say their names and mention concerns at the beginning of a case, they were more likely to note problems and offer -solutions. The researchers called it an “activation phenomenon.” Giving +solutions. The researchers called it an ďż˝activation phenomenon.ďż˝ Giving people a chance to say something at the start seemed to activate their sense of participation and responsibility and their willingness to speak up. @@ -3276,22 +3178,22 @@ surgeons to broadly reduce harm to patients aside from experience and specialized training. Yet here, in three separate cities, teams had tried out these unusual checklists, and each had found a positive effect. -At Johns Hopkins, researchers specifically measured their checklist’s -effect on teamwork. Eleven surgeons had agreed to try it in their cases— +At Johns Hopkins, researchers specifically measured their checklistďż˝s +effect on teamwork. Eleven surgeons had agreed to try it in their casesďż˝ seven general surgeons, two plastic surgeons, and two neurosurgeons. After three months, the number of team members in their operations reporting -that they “functioned as a well-coordinated team” leapt from 68 percent to +that they ďż˝functioned as a well-coordinated teamďż˝ leapt from 68 percent to 92 percent. At the Kaiser hospitals in Southern California, researchers had tested their checklist for six months in thirty-five hundred operations. During that -time, they found that their staff ’s average rating of the teamwork climate -improved from “good” to “outstanding.” Employee satisfaction rose 19 -percent. The rate of OR nurse turnover—the proportion leaving their jobs -each year—dropped from 23 percent to 7 percent. And the checklist +time, they found that their staff ďż˝s average rating of the teamwork climate +improved from ďż˝goodďż˝ to ďż˝outstanding.ďż˝ Employee satisfaction rose 19 +percent. The rate of OR nurse turnoverďż˝the proportion leaving their jobs +each yearďż˝dropped from 23 percent to 7 percent. And the checklist appeared to have caught numerous near errors. In one instance, the preoperative briefing led the team to recognize that a vial of potassium -chloride had been switched with an antibiotic vial—a potentially lethal mix- +chloride had been switched with an antibiotic vialďż˝a potentially lethal mix- up. In another, the checklist led the staff to catch a paperwork error that had them planning for a thoracotomy, an open-chest procedure with a huge front-to-back wound, when what the patient had come in for was actually a @@ -3303,7 +3205,7 @@ operations. But in ten of those eighteen, they found that it had revealed -significant problems or ambiguities—in more than one case, a failure to +significant problems or ambiguitiesďż˝in more than one case, a failure to give antibiotics, for example; in another, uncertainty about whether blood was available; and in several, the kinds of unique and individual patient problems that I would not have expected a checklist to help catch. @@ -3324,39 +3226,39 @@ operating table. Because of the checklist, instead of taking the knife, he paused and conferred with everyone about the plans for the operation. The Toronto report included a transcript of the discussion. -“Are there any special anesthetic considerations?” the surgeon asked. -“Just his dysarthria,” the anesthesiologist said, referring to the patient’s +ďż˝Are there any special anesthetic considerations?ďż˝ the surgeon asked. +ďż˝Just his dysarthria,ďż˝ the anesthesiologist said, referring to the patientďż˝s inability to speak. -The surgeon thought for a moment. “It may be difficult to gauge his +The surgeon thought for a moment. ďż˝It may be difficult to gauge his -neurological function because we have these issues,” he said. -The anesthesiologist agreed. “I’ve worked out a system of hand signals +neurological function because we have these issues,ďż˝ he said. +The anesthesiologist agreed. ďż˝Iďż˝ve worked out a system of hand signals -with him.” -“His arm will [need to] be accessible then—not tucked,” the surgeon +with him.ďż˝ +ďż˝His arm will [need to] be accessible thenďż˝not tucked,ďż˝ the surgeon said. The anesthesiologist nodded, and the team then worked out a way to -leave the patient’s arms free but protected from reaching around or beneath +leave the patientďż˝s arms free but protected from reaching around or beneath the drapes. -“My other concern is the number of people in the room,” the -anesthesiologist went on, “because noise and movement may interfere with -our ability to communicate with the patient.” +ďż˝My other concern is the number of people in the room,ďż˝ the +anesthesiologist went on, ďż˝because noise and movement may interfere with +our ability to communicate with the patient.ďż˝ -“We can request silence,” the surgeon said. Problem solved. +ďż˝We can request silence,ďż˝ the surgeon said. Problem solved. None of these studies was complete enough to prove that a surgical -checklist could produce what WHO was ultimately looking for—a +checklist could produce what WHO was ultimately looking forďż˝a measurable, inexpensive, and substantial reduction in overall complications from surgery. But by the end of the Geneva conference, we had agreed that a safe surgery checklist was worth testing on a larger scale. A working group took the different checklists that had been tried and -condensed them into a single one. It had three “pause points,” as they are -called in aviation—three points at which the team must stop to run through +condensed them into a single one. It had three ďż˝pause points,ďż˝ as they are +called in aviationďż˝three points at which the team must stop to run through a set of checks before proceeding. There was a pause right before the patient is given anesthesia, one after the patient is anesthetized but before the incision is made, and one at the end of the operation, before the patient @@ -3365,7 +3267,7 @@ up the myriad checks for allergies, antibiotics, anesthesia equipment, and so on among the different pause points. They added any other checks they could think of that might make a difference in care. And they incorporated the communication checks in which everyone in the operating room ensures -that they know one another’s names and has a chance to weigh in on critical +that they know one anotherďż˝s names and has a chance to weigh in on critical plans and concerns. We made a decision to set up a proper pilot study of our safe surgery @@ -3373,12 +3275,12 @@ checklist in a range of hospitals around the world, for which WHO committed to providing the funds. I was thrilled and optimistic. When I returned home to Boston, I jumped to give the checklist a try myself. I printed it out and took it to the operating room. I told the nurses and -anesthesiologists what I’d learned in Geneva. +anesthesiologists what Iďż˝d learned in Geneva. -“So how about we try this awesome checklist?” I said. It detailed steps +ďż˝So how about we try this awesome checklist?ďż˝ I said. It detailed steps for everything from equipment inspection to antibiotic administration to the discussions we should have. The rest of the team eyed me skeptically, but -they went along. “Sure, whatever you say.” This was not the first time I’d +they went along. ďż˝Sure, whatever you say.ďż˝ This was not the first time Iďż˝d cooked up some cockamamie idea. I gave the checklist to Dee, the circulating nurse, and asked her to run @@ -3386,33 +3288,33 @@ through the first section with us at the right time. Fifteen minutes later, we were about to put the patient to sleep under general anesthesia, and I had to say, Wait, what about the checklist? -“I already did it,” Dee said. She showed me the sheet. All the boxes were +ďż˝I already did it,ďż˝ Dee said. She showed me the sheet. All the boxes were checked off. -No, no, no, I said. It’s supposed to be a verbal checklist, a team checklist. +No, no, no, I said. Itďż˝s supposed to be a verbal checklist, a team checklist. -“Where does it say that?” she asked. I looked again. She was right. It -didn’t say that anywhere. +ďż˝Where does it say that?ďż˝ she asked. I looked again. She was right. It +didnďż˝t say that anywhere. Just try it verbally anyway, I said. Dee shrugged and started going through the list. But some of the checks were ambiguous. Was she supposed to confirm that everyone knew the -patient’s allergies or actually state the allergies? she asked. And after a few +patientďż˝s allergies or actually state the allergies? she asked. And after a few minutes of puzzling our way through the list, everyone was becoming exasperated. Even the patient started shifting around on the table. -“Is everything okay?” she asked. -Oh yes, I told her. We’re only going through our checklist. Don’t worry. +ďż˝Is everything okay?ďż˝ she asked. +Oh yes, I told her. Weďż˝re only going through our checklist. Donďż˝t worry. But I was getting impatient, too. The checklist was too long. It was unclear. And past a certain point, it was starting to feel like a distraction from the person we had on the table. By the end of the day, we had stopped using the checklist. Forget making -this work around the world. It wasn’t even working in one operating room. +this work around the world. It wasnďż˝t even working in one operating room. @@ -3423,18 +3325,18 @@ to begin with. I went to the library and pulled out a few articles on how flight checklists are made. As great as the construction-world checklists seemed to be, they were employed in projects that routinely take months to complete. In surgery, minutes matter. The problemof time seemed a serious -limitation. But aviation had this challenge, too, and somehow pilots’ +limitation. But aviation had this challenge, too, and somehow pilotsďż˝ checklists met it. Among the articles I found was one by Daniel Boorman from the Boeing Company in Seattle, Washington. I gave hima call. He proved to be a -veteran pilot who’d spent the last two decades developing checklists and -flight deck controls for Boeing aircraft from the 747-400 forward. He’d +veteran pilot whoďż˝d spent the last two decades developing checklists and +flight deck controls for Boeing aircraft from the 747-400 forward. Heďż˝d most recently been one of the technical leaders behind the flight deck design for the new 787 Dreamliner, including its pilot controls, displays, and system of checklists. He is among the keepers of what could be called -Boeing’s “flight philosophy.”When you get on a Boeing aircraft, there is a -theory that governs the way your cockpit crew flies that plane—what their +Boeingďż˝s ďż˝flight philosophy.ďż˝When you get on a Boeing aircraft, there is a +theory that governs the way your cockpit crew flies that planeďż˝what their routines are, what they do manually, what they leave to computers, and how they should react when the unexpected occurs. Few have had more experience translating the theory into practice than Dan Boorman. He is the @@ -3444,8 +3346,8 @@ crashes and near crashes over the years, and he has made a science of averting human error. I had a trip to Seattle coming up, and he was kind enough to agree to a -visit. So one fall day, I drove a rental car down a long flat road on the city’s -outskirts to Boeing’s headquarters. They appeared rather ordinary—a +visit. So one fall day, I drove a rental car down a long flat road on the cityďż˝s +outskirts to Boeingďż˝s headquarters. They appeared rather ordinaryďż˝a warren of low, rectangular, institutional-looking buildings that would not be out of place on the campus of an underfunded state college, except for the tarmac and hangar of airplanes behind them. Boorman came out to meet me @@ -3453,7 +3355,7 @@ tarmac and hangar of airplanes behind them. Boorman came out to meet me at security. He was fifty-one, pilot-trim, in slacks and an open-collared -oxford shirt—more like an engineering professor than a company man. He +oxford shirtďż˝more like an engineering professor than a company man. He took me along a path of covered concrete sidewalks to Building 3-800, which was as plain and functional as it sounds. A dusty display case with yellowing pictures of guys in silver flight suits appeared not to have been @@ -3472,11 +3374,11 @@ remarkably brief, usually just a few lines on a page in big, easy-to-read type. And each applied to a different situation. Taken together, they covered a vast range of flight scenarios. -First came what pilots call their “normal” checklists—the routine lists +First came what pilots call their ďż˝normalďż˝ checklistsďż˝the routine lists they use for everyday aircraft operations. There were the checks they do before starting the engines, before pulling away from the gate, before taxiing to the runway, and so on. In all, these took up just three pages. The -rest of the handbook consisted of the “non-normal” checklists covering +rest of the handbook consisted of the ďż˝non-normalďż˝ checklists covering every conceivable emergency situation a pilot might run into: smoke in the cockpit, different warning lights turning on, a dead radio, a copilot becoming disabled, and engine failure, to name just a few. They addressed @@ -3486,7 +3388,7 @@ checklists were there should they need them. Boorman showed me the one for when the DOOR FWD CARGO warning light goes on in midflight. This signals that the forward cargo door is not closed and secure, which is extremely dangerous. He told me of a -1989 case he’d studied in which exactly this problem occurred. An +1989 case heďż˝d studied in which exactly this problem occurred. An electrical short had caused a Boeing 747 cargo door to become unlatched during a United Airlines flight out of Honolulu on its way to Auckland, New Zealand, with 337 passengers on board. The plane was climbing past @@ -3496,7 +3398,7 @@ twenty-two thousand feet and the cabin was pressurized to maintain oxygen levels for the passengers. At that altitude, a loose, unlatched cargo door is a serious hazard: if it opens enough to begin leaking air, the large pressure -difference between inside and out causes a “ring-pull” effect—an explosive +difference between inside and out causes a ďż˝ring-pullďż˝ effectďż˝an explosive release like pulling the ring top on a shaken soda can. In the Honolulu flight, the explosion blew out the cargo door almost instantly and took with it several upper-deck windows and five rows of business class seats. Nine @@ -3507,10 +3409,10 @@ from the gaping hole. The crew had had no time to prevent the catastrophe. From unlatching to blowout and the loss of nine lives took no more than 1.5 seconds. Boeing -subsequently redesigned the electrical system for its cargo doors and— -because no latch is foolproof— installed extra latches, as well. If one fails, +subsequently redesigned the electrical system for its cargo doors andďż˝ +because no latch is foolproofďż˝ installed extra latches, as well. If one fails, the DOOR FWD CARGO light goes on and the crew has more time to -respond. There is a window of opportunity to stop a blowout. That’s where +respond. There is a window of opportunity to stop a blowout. Thatďż˝s where the checklist comes in. When a latch gives way, Boorman explained, a crew should not tinker @@ -3523,7 +3425,7 @@ emergency override switch that vents the cabin air and releases the pressurization in about thirty seconds. This solution is problematic, however. First, the sudden loss of pressure can be extremely uncomfortable for passengers, particularly given the ear pain it causes. Infants fare the -worst, as their eustachian tubes haven’t developed sufficiently to adjust to +worst, as their eustachian tubes havenďż˝t developed sufficiently to adjust to the change. Second, depressurizing a plane at an altitude of twenty or thirty thousand feet is like dropping passengers onto the summit of Mount Everest. The air is too thin to supply enough oxygen for the body and brain. @@ -3547,7 +3449,7 @@ The cockpit voice recorder caught the events from the moment the cargo door blew away: CAPTAIN:What the [expletive] was that? -FIRST OFFICER: I don’t know. +FIRST OFFICER: I donďż˝t know. The pilots notified flight control that something had gone wrong. Two seconds later, their cabin pressure and oxygen levels were gone. @@ -3559,15 +3461,15 @@ FIRST OFFICER: Honolulu Center Continental One Heavy, did you want us to turn left did you say? RADIO: Continental One Heavy affirmative. FIRST OFFICER: Turning now. -CAPTAIN: I can’t get any oxygen. +CAPTAIN: I canďż˝t get any oxygen. FLIGHT ENGINEER:What do you want me to do now? VOICE UNIDENTIFIED: [expletive] FIRST OFFICER: You okay? CAPTAIN: Yeah. -FIRST OFFICER: Are you getting oxygen? We’re not getting any +FIRST OFFICER: Are you getting oxygen? Weďż˝re not getting any oxygen. -FLIGHT ENGINEER: No I’m not getting oxygen either. +FLIGHT ENGINEER: No Iďż˝m not getting oxygen either. The blast had torn out the oxygen supply lines, an investigation later found. Only by luck did the cockpit crew maintain enough control of the plane to @@ -3575,7 +3477,7 @@ descend to an altitude with sufficient oxygen levels. The pilots were then able to turn back to the Honolulu airport. All eighteen crew and 328 terrified remaining passengers survived. -The lesson for pilots is complicated. If you’re jetting along at thirty +The lesson for pilots is complicated. If youďż˝re jetting along at thirty thousand feet and the DOOR FWD CARGO warning light goes on, yes, @@ -3585,16 +3487,16 @@ door from blowing out is a very good idea, but doing it by hitting the emergency depressurization switch and leaving everyone short of oxygen is not. Instead, Boorman said, the best thing to do is to make a rapid but controlled descent to eight thousand feet or as close to it as possible. At that -height, you can safely release the plane’s inside pressure— the oxygen +height, you can safely release the planeďż˝s inside pressureďż˝ the oxygen levels at eight thousand feet are adequate for people to breathe. (It is the altitude of Aspen, Colorado, after all.) And with that, the risk of a United -Airlines–style door blowout will be safely eliminated. +Airlinesďż˝style door blowout will be safely eliminated. The DOOR FWD CARGO checklist spelled out all these steps. And Boorman stressed how carefully it was designed for a crew to use in an -emergency. All of Boeing’s aviation checklists—the company issues over -one hundred per year, either new or revised— are put together meticulously. -Boorman’s flight operations group is a checklist factory, and the experts in +emergency. All of Boeingďż˝s aviation checklistsďż˝the company issues over +one hundred per year, either new or revisedďż˝ are put together meticulously. +Boormanďż˝s flight operations group is a checklist factory, and the experts in it have learned a thing or two over the years about how to make the lists work. @@ -3602,13 +3504,13 @@ There are good checklists and bad, Boorman explained. Bad checklists are vague and imprecise. They are too long; they are hard to use; they are impractical. They are made by desk jockeys with no awareness of the situations in which they are to be deployed. They treat the people using the -tools as dumb and try to spell out every single step. They turn people’s +tools as dumb and try to spell out every single step. They turn peopleďż˝s brains off rather than turn them on. Good checklists, on the other hand, are precise. They are efficient, to the point, and easy to use even in the most difficult situations. They do not try -to spell out everything—a checklist cannot fly a plane. Instead, they provide -reminders of only the most critical and important steps—the ones that even +to spell out everythingďż˝a checklist cannot fly a plane. Instead, they provide +reminders of only the most critical and important stepsďż˝the ones that even the highly skilled professionals using them could miss. Good checklists are, above all, practical. @@ -3619,7 +3521,7 @@ function better as a team. By themselves, however, checklists cannot make anyone follow them. I could imagine, for instance, that when the DOOR FWD CARGO -warning light goes on in a cockpit, a pilot’s first instinct might not be to +warning light goes on in a cockpit, a pilotďż˝s first instinct might not be to @@ -3628,22 +3530,22 @@ light end up being a false alarm? The flight would likely have been going smoothly. No noises. No explosion. No strange thud. Just this pesky light flipping on. The ground crew already inspected the doors at the preflight check and found no problem. Besides, only 1 in 500,000 flights ever suffers -an accident of any kind. So a person could be tempted to troubleshoot— +an accident of any kind. So a person could be tempted to troubleshootďż˝ maybe have someone check the circuitry before deciding that something might really have gone wrong. Pilots nonetheless turn to their checklists for two reasons. First, they are trained to do so. They learn from the beginning of flight school that their memory and judgment are unreliable and that lives depend on their -recognizing that fact. Second, the checklists have proved their worth—they +recognizing that fact. Second, the checklists have proved their worthďż˝they work. However much pilots are taught to trust their procedures more than -their instincts, that doesn’t mean they will do so blindly. Aviation checklists +their instincts, that doesnďż˝t mean they will do so blindly. Aviation checklists are by no means perfect. Some have been found confusing or unclear or -flawed. Nonetheless, they have earned pilots’ faith. Face-to-face with +flawed. Nonetheless, they have earned pilotsďż˝ faith. Face-to-face with catastrophe, they are astonishingly willing to turn to their checklists. In the cockpit voice recorder transcript of the United flight from -Honolulu, for example, the pilots’ readiness to rely on procedure is striking. +Honolulu, for example, the pilotsďż˝ readiness to rely on procedure is striking. The circumstances were terrifying. Debris was flying. The noise was tremendous. Their hearts were probably racing. And they had a lot to focus on. Beyond the immediate oxygen problem, ejected sections of fuselage had @@ -3651,34 +3553,34 @@ flown into engine No. 3, on the right wing, and disabled it. Additional debris had hit engine No. 4 and set it on fire. The outer-edge wing flaps had been damaged. And sitting up front, trying to figure out what to do, the cockpit crew still had no idea what had really happened. They thought a -bomb had gone off. They didn’t know the full extent of the damage, or +bomb had gone off. They didnďż˝t know the full extent of the damage, or whether another blast might occur. They nonetheless needed to shut down the ruined engines, notify air traffic control of the emergency, descend to a safe altitude, determine how maneuverable the plane was, sort out which alarms on their instrument panel they could ignore and which ones they -couldn’t, and decide whether to ditch the plane in the ocean or return to -Honolulu. The greatest test of where crew members place their trust—in -their instincts or in their procedures—is how they handle such a disaster. +couldnďż˝t, and decide whether to ditch the plane in the ocean or return to +Honolulu. The greatest test of where crew members place their trustďż˝in +their instincts or in their proceduresďż˝is how they handle such a disaster. So what did they do? They grabbed their checklist book: CAPTAIN: You want me to read a checklist? -FLIGHT ENGINEER: Yeah, I got it out. When you’re ready. +FLIGHT ENGINEER: Yeah, I got it out. When youďż˝re ready. CAPTAIN: Ready. There was a lot to go through, and they had to make good choices about what procedures to turn to first. Following their protocols, they reduced their altitude, got the two damaged engines shut down safely, tested the -plane’s ability to land despite the wing damage, dumped fuel to lighten their +planeďż˝s ability to land despite the wing damage, dumped fuel to lighten their load, and successfully returned to Honolulu. To pilots, the checklists have proved worth trusting, and that is thanks to people like Boorman, who have learned how to make good checklists instead of bad. Clearly, our surgery checklist had a ways to go. -When you’re making a checklist, Boorman explained, you have a number +When youďż˝re making a checklist, Boorman explained, you have a number of key decisions. You must define a clear pause point at which the checklist is supposed to be used (unless the moment is obvious, like when a warning light goes on or an engine fails). You must decide whether you want a DO- @@ -3687,21 +3589,21 @@ checklist, he said, team members perform their jobs from memory and experience, often separately. But then they stop. They pause to run the checklist and confirm that everything that was supposed to be done was done. With a READ-DO checklist, on the other hand, people carry out the -tasks as they check them off—it’s more like a recipe. So for any new +tasks as they check them offďż˝itďż˝s more like a recipe. So for any new checklist created from scratch, you have to pick the type that makes the most sense for the situation. The checklist cannot be lengthy. A rule of thumb some use is to keep it to between five and nine items, which is the limit of working memory. -Boorman didn’t think one had to be religious on this point. +Boorman didnďż˝t think one had to be religious on this point. -“It all depends on the context,” he said. “In some situations you have -only twenty seconds. In others, you may have several minutes.” +ďż˝It all depends on the context,ďż˝ he said. ďż˝In some situations you have +only twenty seconds. In others, you may have several minutes.ďż˝ But after about sixty to ninety seconds at a given pause point, the checklist often becomes a distraction from other things. People start -“shortcutting.” Steps getmissed. So you want to keep the list short by -focusing on what he called “the killer items”—the steps that are most +ďż˝shortcutting.ďż˝ Steps getmissed. So you want to keep the list short by +focusing on what he called ďż˝the killer items��the steps that are most dangerous to skip and sometimes overlooked nonetheless. (Data @@ -3726,11 +3628,11 @@ expected. First drafts always fall apart, he said, and one needs to study how, make changes, and keep testing until the checklist works consistently. This is not easy to do in surgery, I pointed out. Not in aviation, either, he -countered. You can’t unlatch a cargo door in mid-flight and observe how a -crew handles the consequences. But that’s why they have flight simulators, +countered. You canďż˝t unlatch a cargo door in mid-flight and observe how a +crew handles the consequences. But thatďż˝s why they have flight simulators, and he offered to show me one. -I tried not to seem like a kid who’d just been offered a chance to go up to +I tried not to seem like a kid whoďż˝d just been offered a chance to go up to the front of the plane and see the cockpit. Sure, I said. That sounds neat. A short stroll later, we entered an adjacent building, walked through an @@ -3739,14 +3641,14 @@ capsule. It was mounted on three massive hydraulic legs. We appeared to be on a platform of some kind, as the capsule was on our level and the legs went down to the floor below. Boorman led me into the thing and inside was a complete Boeing 777-200ER cockpit. He had me climb into the -captain’s seat on the left while he took the one on the right. He showed me +captainďż˝s seat on the left while he took the one on the right. He showed me how to belt myself in. The windshield was three black plasma screens, until an assistant turned them on. -“What airport do you want?” Boorman asked. “We’ve got almost every -airport in the world loaded into the database.” +ďż˝What airport do you want?ďż˝ Boorman asked. ďż˝Weďż˝ve got almost every +airport in the world loaded into the database.ďż˝ -I chose the Seattle-Tacoma airport, where I’d landed the day before, and +I chose the Seattle-Tacoma airport, where Iďż˝d landed the day before, and suddenly the tarmac came up on the screens. It was amazing. We were parked at a gate. Guys with baggage carts whizzed back and forth in front @@ -3761,29 +3663,29 @@ was just a backup. Pilots usually use an electronic checklist that appears on the center console. He demonstrated how one goes through it, reading from the screen. -“Oxygen,” he said and pointed to where I could confirm the supply. -“Tested, 100 percent,” I was supposed to respond. -“Flight instruments,” he said, and showed me where I could find the +ďż˝Oxygen,ďż˝ he said and pointed to where I could confirm the supply. +ďż˝Tested, 100 percent,ďż˝ I was supposed to respond. +ďż˝Flight instruments,ďż˝ he said, and showed me where I could find the heading and altimeter readings. On our initial cockpit check, we had just four preflight items to review. Before starting the engines, we had six more items, plus a prompt asking us -to confirm that we’d completed our “taxi and takeoff briefing”—the +to confirm that weďż˝d completed our ďż˝taxi and takeoff briefing��the discussion between pilot and copilot in which they talk through their taxi and takeoff plans and concerns. Boorman went through it with me. -His plan, as far as I could follow, was to do a “normal” takeoff on -Runway 16L, lift off at a whole lot of knots per hour, “fly the standard -departure” to the southeast, and climb to twenty thousand feet—I think. He +His plan, as far as I could follow, was to do a ďż˝normalďż˝ takeoff on +Runway 16L, lift off at a whole lot of knots per hour, ďż˝fly the standard +departureďż˝ to the southeast, and climb to twenty thousand feetďż˝I think. He also said something important sounding about the radio settings. Then he -mentioned a bunch of crazy stuff—like if we had an engine failure during +mentioned a bunch of crazy stuffďż˝like if we had an engine failure during takeoff, we would power down if we were still on the ground, continue climbing if we had one engine left, or look for a good landing site nearby if -we didn’t. I nodded sagely. +we didnďż˝t. I nodded sagely. -“Do you have any concerns?” he asked. -“Nope,” I said. +ďż˝Do you have any concerns?ďż˝ he asked. +ďż˝Nope,ďż˝ I said. He started the engines, and although there were no actual engines, you could hear them rev up, and we had to talk louder to be heard above them. @@ -3792,7 +3694,7 @@ whether anti-icing was necessary and completed, the autobrakes were set, the flight controls were checked, the ground equipment was cleared, and no warning lights were on. -The three checklists took no time at all—maybe thirty seconds each— +The three checklists took no time at allďż˝maybe thirty seconds eachďż˝ plus maybe a minute for the briefing. The brevity was no accident, Boorman said. People had spent hours watching pilots try out early versions @@ -3805,41 +3707,41 @@ When he was satisfied that we were ready, he had me pull out of the gate. I was supposed to be the pilot for this flight, believe it or not. He directed me to push the pedal brake down hard with two feet to release it. I felt a jolt as the plane lurched forward. I controlled the direction of the nose wheel -with a tiller on my left—a spinning metal handle that I wound forward to -turn right and backward to turn left—and the speed with the throttle +with a tiller on my leftďż˝a spinning metal handle that I wound forward to +turn right and backward to turn leftďż˝and the speed with the throttle controls, three levers in the center console. I weaved like a sot at first but got the hang of it by the time we reached the runway. I throttled back down to idle and locked the brake with both feet to wait our turn for takeoff. Boorman called up the Before Takeoff checklist. -“Flaps,” he said. -“Set,” I said. +ďż˝Flaps,ďż˝ he said. +ďż˝Set,ďż˝ I said. This was getting to be fun. We got notification from the control tower that we were cleared. I unlocked the brakes, again. Boorman showed me how far to push the throttle. We began accelerating down the runway, slowly at first, and then it felt like we were rocketing. I pressed the right and left rudder pedals to try to keep us on the center line. Then, when he -gave me the word, I pulled back on the yoke—what I’d thought of as the -steering wheel—and felt the plane lift into the air. I don’t know how the +gave me the word, I pulled back on the yokeďż˝what Iďż˝d thought of as the +steering wheelďż˝and felt the plane lift into the air. I donďż˝t know how the simulator does it, but it really did seem like we were airborne. We rose into the clouds. I could see the city fall away below us. We slowly climbed to twenty thousand feet. And that was when the DOOR -FWD CARGO light went on. I’d forgotten that this was the whole point of +FWD CARGO light went on. Iďż˝d forgotten that this was the whole point of the exercise. The first couple lines of the electronic checklist came up on the screen, but I grabbed the paper one just so I could see the whole thing laid out. -It was, I noticed, a READ-DO checklist—read it and do it— with only +It was, I noticed, a READ-DO checklistďż˝read it and do itďż˝ with only seven lines. The page explained that the forward cargo door was not closed and secure and that our objective was to reduce the risk of door separation. This was just a simulation, I knew perfectly well. But I still felt my pulse picking up. The checklist said to lower the cabin pressure partially. -Actually, what it said was, “LDG ALT selector”— which Boorman showed -me is the cabin pressure control on the overhead panel—“PULL ON and set -to 8000.” I did as instructed. +Actually, what it said was, ďż˝LDG ALT selector�� which Boorman showed +me is the cabin pressure control on the overhead panel��PULL ON and set +to 8000.ďż˝ I did as instructed. @@ -3849,17 +3751,17 @@ the nose down. Boorman indicated the gauge to watch, and after a few minutes we leveled off at eight thousand feet. Now, the checklist said, put the air outflow switches on manual and push them in for thirty seconds to release the remaining pressure. I did this, too. And that was it. The plane -didn’t explode. We were safe. I wanted to give Boorman a high five. This +didnďż˝t explode. We were safe. I wanted to give Boorman a high five. This flying thing is easy, I wanted to say. There were, however, all kinds of steps that the checklist had not -specified—notifying the radio control tower that we had an emergency, for +specifiedďż˝notifying the radio control tower that we had an emergency, for example, briefing the flight attendants, determining the safest nearby airport -to land and have the cargo door inspected. I hadn’t done any of these yet. +to land and have the cargo door inspected. I hadnďż˝t done any of these yet. But Boorman had. The omissions were intentional, he explained. Although these are critical steps, experience had shown that professional pilots -virtually never fail to perform them when necessary. So they didn’t need to -be on the checklist—and in fact, he argued, shouldn’t be there. +virtually never fail to perform them when necessary. So they didnďż˝t need to +be on the checklistďż˝and in fact, he argued, shouldnďż˝t be there. It is common to misconceive how checklists function in complex lines of work. They are not comprehensive how-to guides, whether for building a @@ -3874,7 +3776,7 @@ London from Beijing after almost eleven hours in the air with 152 people aboard. The Boeing 777 was making its final descent into Heathrow airport. It was just past noon. Clouds were thin and scattered. Visibility was more than six miles. The wind was light, and the temperature was mild despite -the season—50 degrees Fahrenheit. The flight had been completely +the seasonďż˝50 degrees Fahrenheit. The flight had been completely uneventful to this point. Then, at two miles from the airport, 720 feet over a residential @@ -3890,7 +3792,7 @@ engines. For no apparent reason, the plane had gone eerily silent. He extended the wing flaps to make the plane glide as much as possible and to try to hold it on its original line of approach. But the aircraft was losing forward speed too quickly. The plane had become a 350,000-pound -stone falling out of the air. Crash investigators with Britain’s Air Accidents +stone falling out of the air. Crash investigators with Britainďż˝s Air Accidents Investigation Branch later determined that it was falling twenty-three feet per second. At impact, almost a quarter mile short of the runway, the plane was calculated to be moving at 124 miles per hour. @@ -3901,19 +3803,19 @@ Passengers in cars on the perimeter road around Heathrow saw the plane coming down and thought they were about to be killed. Through a coincidence of international significance, one of those cars was carrying British prime minister Gordon Brown to his plane for his first official visit -to China. “It was just yards above our heads, almost skimming a lamppost -as the plane came in very fast and very, very low,” an aide traveling with -the prime minister told London’s Daily Mirror. +to China. ďż˝It was just yards above our heads, almost skimming a lamppost +as the plane came in very fast and very, very low,ďż˝ an aide traveling with +the prime minister told Londonďż˝s Daily Mirror. The aircraft hit a grassy field just beyond the perimeter road with what a -witness described as “an enormous bang.” The nose wheels collapsed on +witness described as ďż˝an enormous bang.ďż˝ The nose wheels collapsed on impact. The rightmain landing gear separated from the aircraft, and its two right front wheels broke away, struck the right rear fuselage, and penetrated through the passenger compartment at rows 29 and 30. The left main landing gear pushed up through the wing. Fourteen hundred liters of jet fuel came pouring out. Witnesses saw sparks, but somehow the fuel did not ignite. Although the aircraft was totaled by the blunt force of the crash, the -passengers emerged mostly unharmed— the plane had gone into a +passengers emerged mostly unharmedďż˝ the plane had gone into a thousand-foot ground slide that slowed its momentumand tempered the impact. Only a dozen or so passengers required hospitalization. The worst injury was a broken leg. @@ -3927,14 +3829,14 @@ download showed that the fuel flow to the engines had reduced for some -reason, but inspection of the fuel feed lines with a boroscope—a long -fiberoptic videoscope—showed no defects or obstructions. Tests of the +reason, but inspection of the fuel feed lines with a boroscopeďż˝a long +fiberoptic videoscopeďż˝showed no defects or obstructions. Tests of the valves and wiring that controlled fuel flow showed they had all functioned properly. The fuel tanks contained no debris that could have blocked the fuel lines. Attention therefore turned to the fuel itself. Tests showed it to be normal -Jet A-1 fuel. But investigators, considering the flight’s path over the Arctic +Jet A-1 fuel. But investigators, considering the flightďż˝s path over the Arctic Circle, wondered: could the fuel have frozen in flight, caused the crash, then thawed before they could find a trace of it? The British Airways flight had followed a path through territory at the border of China and Mongolia @@ -3948,16 +3850,16 @@ against extreme cold, and the pilots monitor the fuel temperature constantly. Cross-polar routes for commercial aircraft opened in February 2001, and thousands of planes have traveled them without incident since. In fact, on the British Airways flight, the lowest fuel temperature recorded was -29 -degrees, well above the fuel’s freezing point. Furthermore, the plane was +degrees, well above the fuelďż˝s freezing point. Furthermore, the plane was over mild-weathered London, not the Urals, when the engines lost power. -Nonetheless, investigators remained concerned that the plane’s flight path +Nonetheless, investigators remained concerned that the planeďż˝s flight path had played a role. They proposed an elaborate theory. Jet fuel normally has a minor amount of water moisture in it, less than two drops per gallon. During cold-air flights, the moisture routinely freezes and floats in the fuel as a suspension of tiny ice crystals. This had never been considered a -significant problem. But maybe on a long, very smooth polar flight—as this -one was—the fuel flow becomes so slow that the crystals have time to +significant problem. But maybe on a long, very smooth polar flightďż˝as this +one wasďż˝the fuel flow becomes so slow that the crystals have time to sediment and perhaps accumulate somewhere in the fuel tank. Then, during a brief burst of acceleration, such as on the final approach, the sudden increase in fuel flow might release the accumulation, causing blockage of @@ -3969,7 +3871,7 @@ had randomly jumped to the other end of the room, leaving him to die in his -sleep—possible, but preposterously unlikely. Nonetheless, the investigators +sleepďż˝possible, but preposterously unlikely. Nonetheless, the investigators tested what would happen if they injected water directly into the fuel system under freezing conditions. The crystals that formed, they found, could indeed clog the lines. @@ -3978,13 +3880,13 @@ Almost eight months after the crash, this was all they had for an explanation. Everyone was anxious to do something before a similar accident occurred. Just in case the explanation was right, the investigators figured out some midflight maneuvers to fix the problem. When an engine -loses power, a pilot’s instinct is to increase the thrust—to rev the engine. +loses power, a pilotďż˝s instinct is to increase the thrustďż˝to rev the engine. But if ice crystals have accumulated, increasing the fuel flow only throws more crystals into the fuel lines. So the investigators determined that pilots should do the opposite and idle the engine momentarily. This reduces fuel -flow and permits time for heat exchangers in the piping to melt the ice—it -takes only seconds—allowing the engines to recover. At least that was the -investigators’ best guess. +flow and permits time for heat exchangers in the piping to melt the iceďż˝it +takes only secondsďż˝allowing the engines to recover. At least that was the +investigatorsďż˝ best guess. So in September 2008, the Federal Aviation Administration in the United States issued a detailed advisory with new procedures pilots should follow @@ -3992,10 +3894,10 @@ to keep ice from accumulating on polar flights and also to recover flight control if icing nonetheless caused engine failure. Pilots across the world were somehow supposed to learn about these findings and smoothly incorporate them into their flight practices within thirty days. The -remarkable thing about this episode—and the reason the story is worth -telling—is that the pilots did so. +remarkable thing about this episodeďż˝and the reason the story is worth +tellingďż˝is that the pilots did so. -How this happened—it involved a checklist, of course—is instructive. +How this happenedďż˝it involved a checklist, of courseďż˝is instructive. But first think about what happens in most lines of professional work when a major failure occurs. To begin with, we rarely investigate our failures. Not in medicine, not in teaching, not in the legal profession, not in the financial @@ -4026,15 +3928,15 @@ delay is not usually laziness or unwillingness. The reason is more often that the necessary knowledge has not been translated into a simple, usable, and systematic form. If the only thing people did in aviation was issue dense, pages-long bulletins for every new finding that might affect the safe -operation of airplanes—well, it would be like subjecting pilots to the same +operation of airplanesďż˝well, it would be like subjecting pilots to the same deluge of almost 700,000 medical journal articles per year that clinicians must contend with. The information would be unmanageable. -But instead, when the crash investigators issued their bulletin—as dense -and detailed as anything we find in medicine— Boorman and his team +But instead, when the crash investigators issued their bulletinďż˝as dense +and detailed as anything we find in medicineďż˝ Boorman and his team buckled down to the work of distilling the information into its practical essence. They drafted a revision to the standard checklists pilots use for -polar flights. They sharpened, trimmed, and puzzled over pause points— +polar flights. They sharpened, trimmed, and puzzled over pause pointsďż˝ how are pilots to know, for instance, whether an engine is failing because of icing instead of something else? Then his group tested the checklist with pilots in the simulator and found problems and fixed them and tested again. @@ -4048,7 +3950,7 @@ encouraged to modify the checklists to fit into their usual procedures. (This customization is why, when airlines merge, among the fiercest battles is the one between the pilots over whose checklists will be used.) Within about a month of the recommendations becoming available, pilots had the new -checklist in their hands— or in their cockpit computers. And they used it. +checklist in their handsďż˝ or in their cockpit computers. And they used it. How do we know? Because on November 26, 2008, the disaster almost happened again. This time it was a Delta Air Lines flight from Shanghai to @@ -4056,10 +3958,10 @@ happened again. This time it was a Delta Air Lines flight from Shanghai to Atlanta with 247 people aboard. The Boeing 777 was at thirty-nine -thousand feet over Great Falls, Montana, when it experienced “an -uncommanded rollback” of the right No. 2 engine—the engine, in other +thousand feet over Great Falls, Montana, when it experienced ďż˝an +uncommanded rollbackďż˝ of the right No. 2 engineďż˝the engine, in other words, failed. Investigation later showed that ice had blocked the fuel lines -—the icing theory was correct—and Boeing instituted a mechanical change +ďż˝the icing theory was correctďż˝and Boeing instituted a mechanical change to keep it from happening again. But in the moment, the loss of one engine in this way, potentially two, over the mountains of Montana could have been catastrophic. @@ -4067,7 +3969,7 @@ been catastrophic. The pilot and copilot knew what to do, though. They got out their checklist and followed the lessons it offered. Because they did, the engine recovered, and 247 people were saved. It went so smoothly, the passengers -didn’t even notice. +didnďż˝t even notice. This, it seemed to me, was something to hope for in surgery. @@ -4091,22 +3993,22 @@ scrubbed-in and one circulating), and the anesthesiologist. But we hit problems just trying to get started. Who, for example, was supposed to bring things to a halt and kick off the -checklist? We’d been vague about that, but it proved no small decision. -Getting everyone’s attention in an operation requires a degree of -assertiveness—a level of control—that only the surgeon routinely has. +checklist? Weďż˝d been vague about that, but it proved no small decision. +Getting everyoneďż˝s attention in an operation requires a degree of +assertivenessďż˝a level of controlďż˝that only the surgeon routinely has. Perhaps, I suggested, the surgeon should get things started. I got booed for -this idea. In aviation, there is a reason the “pilot not flying” starts the -checklist, someone pointed out. The “pilot flying” can be distracted by +this idea. In aviation, there is a reason the ďż˝pilot not flyingďż˝ starts the +checklist, someone pointed out. The ďż˝pilot flyingďż˝ can be distracted by flight tasks and liable to skip a checklist. Moreover, dispersing the -responsibility sends the message that everyone—not just the captain—is +responsibility sends the message that everyoneďż˝not just the captainďż˝is responsible for the overall well-being of the flight and should have the power to question the process. If a surgery checklist was to make a -difference, my colleagues argued, it needed to do likewise—to spread +difference, my colleagues argued, it needed to do likewiseďż˝to spread responsibility and the power to question. So we had the circulating nurse call the start. -Must nurses make written check marks? No, we decided, they didn’t have -to. This wasn’t a record-keeping procedure. We were aiming for a team +Must nurses make written check marks? No, we decided, they didnďż˝t have +to. This wasnďż˝t a record-keeping procedure. We were aiming for a team @@ -4115,14 +4017,14 @@ case to go as well as possible. Every line of the checklist needed tweaking. We timed each successive version by a clock on the wall. We wanted the checks at each of the three -pause points—before anesthesia, before incision, and before leaving the OR -—to take no more than about sixty seconds, and we weren’t there yet. If we +pause pointsďż˝before anesthesia, before incision, and before leaving the OR +ďż˝to take no more than about sixty seconds, and we werenďż˝t there yet. If we wanted acceptance in the high-pressure environment of operating rooms, the checklist had to be swift to use. We would have to cut some lines, we -realized—the non–killer items. +realizedďż˝the nonďż˝killer items. This proved the most difficult part of the exercise. An inherent tension -exists between brevity and effectiveness. Cut too much and you won’t have +exists between brevity and effectiveness. Cut too much and you wonďż˝t have enough checks to improve care. Leave too much in and the list becomes too long to use. Furthermore, an item critical to one expert might not be critical to another. In the spring of 2007, we reconvened our WHO group of @@ -4131,23 +4033,23 @@ surprisingly, the most intense disagreements flared over what should stay in and what should come out. European and American studies had discovered, for example, that in long -operations teams could substantially reduce patients’ risks of developing -deep venous thrombosis—blood clots in their legs that can travel to their -lungs with fatal consequences—by injecting a low dose of a blood thinner, +operations teams could substantially reduce patientsďż˝ risks of developing +deep venous thrombosisďż˝blood clots in their legs that can travel to their +lungs with fatal consequencesďż˝by injecting a low dose of a blood thinner, such as heparin, or slipping compression stockings onto their legs. But researchers in China and India dispute the necessity, as they have reported far lower rates of blood clots in their populations than in the West and almost no deaths. Moreover, for poor- and middle-income countries, the -remedies—stockings or heparin—aren’t cheap. And even a slight mistake +remediesďż˝stockings or heparinďż˝arenďż˝t cheap. And even a slight mistake by inexperienced practitioners administering the blood thinner could cause a dangerous overdose. The item was dropped. We also discussed operating room fires, a notorious problem. Surgical teams rely on high-voltage electrical equipment, cautery devices that -occasionally arc while in use, and supplies of high-concentration oxygen— +occasionally arc while in use, and supplies of high-concentration oxygenďż˝ all sometimes in close proximity. As a result, most facilities in the world have experienced a surgical fire. These fires are terrifying. Pure oxygen can -make almost anything instantly flammable—the surgical drapes over a +make almost anything instantly flammableďż˝the surgical drapes over a patient, for instance, and even the airway tube inserted into the throat. But surgical fires are also entirely preventable. If teams ensure there are no @@ -4156,7 +4058,7 @@ surgical fires are also entirely preventable. If teams ensure there are no oxygen leaks, keep oxygen settings at the lowest acceptable concentration, minimize the use of alcohol-containing antiseptics, and prevent oxygen from flowing onto the surgical field, fires will not occur. A little advance -preparation can also avert harm to patients should a fire break out—in +preparation can also avert harm to patients should a fire break outďż˝in particular, verifying that everyone knows the location of the gas valves, alarms, and fire extinguishers. Such steps could easily be included on a checklist. @@ -4179,13 +4081,13 @@ United States. Such mistakes also get a lot of attention. So those checks stayed in. In contrast, our checks to prevent communication breakdowns tackled a -broad and widely recognized source of failure. But our approach—having +broad and widely recognized source of failure. But our approachďż˝having people formally introduce themselves and briefly discuss critical aspects of -a given case—was far from proven effective. Improving teamwork was so +a given caseďż˝was far from proven effective. Improving teamwork was so fundamental to making a difference, however, that we were willing to leave these measures in and give them a try. -After our London meeting, we did more small-scale testing— just one +After our London meeting, we did more small-scale testingďż˝ just one case at a time. We had a team in London try the draft checklist and give us suggestions, then a team in Hong Kong. With each successive round, the checklist got better. After a certain point, it seemed we had done all we @@ -4193,23 +4095,23 @@ could. We had a checklist we were ready to circulate. The final WHO safe surgery checklist spelled out nineteen checks in all. Before anesthesia, there are seven checks. The team members confirm that -the patient (or the patient’s proxy) has personally verified his or her identity +the patient (or the patientďż˝s proxy) has personally verified his or her identity and also given consent for the procedure. They make sure that the surgical -site is marked and that the pulse oximeter—which monitors oxygen levels -—is on the patient and working. They check the patient’s medication -allergies. They review the risk of airway problems—the most dangerous -aspect of general anesthesia—and that appropriate equipment and +site is marked and that the pulse oximeterďż˝which monitors oxygen levels +ďż˝is on the patient and working. They check the patientďż˝s medication +allergies. They review the risk of airway problemsďż˝the most dangerous +aspect of general anesthesiaďż˝and that appropriate equipment and assistance for them are available. And lastly, if there is a possibility of losing more than half a liter of blood (or the equivalent for a child), they verify that necessary intravenous lines, blood, and fluids are ready. After anesthesia, but before incision, come seven more checks. The team -members make sure they’ve been introduced by name and role. They +members make sure theyďż˝ve been introduced by name and role. They confirm that everyone has the correct patient and procedure (including -which side of the body—left versus right) in mind. They confirm that +which side of the bodyďż˝left versus right) in mind. They confirm that antibiotics were either given on time or were unnecessary. They check that any radiology images needed for the operation are displayed. And to make sure everyone is briefed as a team, they discuss the critical aspects of the @@ -4226,12 +4128,12 @@ labeling of any tissue specimens going to the pathologist, whether all needles, sponges, and instruments have been accounted for, and whether any equipment problems need to be addressed before the next case. Everyone on the team also reviews aloud their plans and concerns for the -patient’s recovery after surgery, to ensure information is complete and +patientďż˝s recovery after surgery, to ensure information is complete and clearly transmitted. Operations require many more than nineteen steps, of course. But like builders, we tried to encompass the simple to the complex, with several -narrowly specified checks to ensure stupid stuff isn’t missed (antibiotics, +narrowly specified checks to ensure stupid stuff isnďż˝t missed (antibiotics, allergies, the wrong patient) and a few communication checks to ensure people work as a team to recognize the many other potential traps and subtleties. At least that was the idea. But would it work and actually make a @@ -4244,18 +4146,18 @@ checklist on patient care in eight hospitals around the world. This number was large enough to provide meaningful results while remaining manageable for my small research team and the modest budget WHO agreed to furnish. We got dozens of applications from hospitals seeking to -participate. We set a few criteria for selection. The hospital’s leader had to -speak English— we could translate the checklist for staff members but we -didn’t have the resources for daily communication with eight site leaders in +participate. We set a few criteria for selection. The hospitalďż˝s leader had to +speak Englishďż˝ we could translate the checklist for staff members but we +didnďż˝t have the resources for daily communication with eight site leaders in multiple languages. The location had to be safe for travel. We received, for instance, an enthusiastic application from the chief of surgery in an Iraqi hospital, which would have been fascinating, but conducting a research trial in a war zone seemed unwise. -I also wanted a wide diversity of participating hospitals— hospitals in +I also wanted a wide diversity of participating hospitalsďż˝ hospitals in rich countries, poor countries, and in between. This insistence caused a degree of consternation at WHO headquarters. As officials explained, -WHO’s first priority is, quite legitimately, to help the poorer parts of the +WHOďż˝s first priority is, quite legitimately, to help the poorer parts of the world, and the substantial costs of paying for data collection in wealthier countries would divert resources from elsewhere. But I had seen surgery in places ranging from rural India to Harvard and seen failure across the span. @@ -4267,22 +4169,22 @@ support most, if not all, the research costs themselves. Lastly, the hospitals had to be willing to allow observers to measure their actual rates of complications, deaths, and systems failures in surgical care before and after adopting the checklist. Granting this permission was no -small matter for hospitals. Most—even those in the highest income settings -—have no idea of their current rates. Close observation was bound to +small matter for hospitals. Mostďż˝even those in the highest income settings +ďż˝have no idea of their current rates. Close observation was bound to embarrass some. Nonetheless, we got eight willing hospitals lined up from all over the globe. Four were in high-income countries and among the leading hospitals in the world: the University of Washington Medical Center in Seattle, Toronto -General Hospital in Canada, St. Mary’s Hospital in London, and Auckland -City Hospital, New Zealand’s largest. Four were intensely busy hospitals in +General Hospital in Canada, St. Maryďż˝s Hospital in London, and Auckland +City Hospital, New Zealandďż˝s largest. Four were intensely busy hospitals in low- or middle-income countries: Philippines General Hospital in Manila, which was twice the size of the wealthier hospitals we enrolled; Prince Hamza Hospital in Amman, Jordan, a new government facility built to -accommodate Jordan’s bursting refugee population; St. Stephen’s Hospital +accommodate Jordanďż˝s bursting refugee population; St. Stephenďż˝s Hospital in New Delhi, an urban charity hospital; and St. Francis Designated District Hospital in Ifakara, Tanzania, the lone hospital serving a rural population of nearly one million people. @@ -4291,7 +4193,7 @@ This was an almost ridiculous range of hospitals to study. Annual health care spending in the high-income countries reached thousands of dollars per person, while in India, the Philippines, and East Africa, it did not rise beyond the double digits. So, for example, the budget of the University of -Washington Medical Center—over one billion dollars per year—was more +Washington Medical Centerďż˝over one billion dollars per yearďż˝was more than twice that of the entire country of Tanzania. Surgery therefore differed starkly in our eight hospitals. On one end of the spectrum were those with state-of-the-art capabilities allowing them to do everything from robotic @@ -4299,13 +4201,13 @@ prostatectomies to liver transplants, along with factory loads of planned, low-risk, often day-surgery procedures like hernia repairs, breast biopsies, and ear-tube placements for drainage of chronic ear infections in children. On the other end were hospitals forced by lack of staff and resources to -prioritize urgent operations—emergency cesarean sections for mothers +prioritize urgent operationsďż˝emergency cesarean sections for mothers dying in childbirth, for example, or procedures for repair of severe -traumatic injuries. Even when the hospitals did the same operations—an -appendectomy, a mastectomy, the placement of a rod in a broken femur— +traumatic injuries. Even when the hospitals did the same operationsďż˝an +appendectomy, a mastectomy, the placement of a rod in a broken femurďż˝ the conditions were so disparate that the procedures were the same only in -name. In the poorer hospitals, the equipment was meager, the teams’ -training was more limited, and the patients usually arrived sicker—the +name. In the poorer hospitals, the equipment was meager, the teamsďż˝ +training was more limited, and the patients usually arrived sickerďż˝the appendix having ruptured, the breast cancer having grown twice as large, the femur proving not only broken but infected. @@ -4314,7 +4216,7 @@ all, was not to compare one hospital with another but to determine where, if anywhere, the checklist could improve care. We hired local research coordinators for the hospitals and trained themto collect accurate information on deaths and complications. We were conservative about what -counted. The complications had to be significant—a pneumonia, a heart +counted. The complications had to be significantďż˝a pneumonia, a heart attack, bleeding requiring a return to the operating room or more than four units of blood, a documented wound infection, or the like. And the occurrence had to actually be witnessed in the hospital, not reported from @@ -4332,10 +4234,10 @@ than four hundred developed major complications resulting from surgery. Fifty-six of them died. About half the complications involved infections. Another quarter involved technical failures that required a return trip to the operating room to stop bleeding or repair a problem. The overall -complication rates ranged from 6 percent to 21 percent. It’s important to +complication rates ranged from 6 percent to 21 percent. Itďż˝s important to note that the operating rooms we were studying tended to handle the -hospital’s more complex procedures. More straightforward operations have -lower injury rates. Nonetheless, the pattern confirmed what we’d +hospitalďż˝s more complex procedures. More straightforward operations have +lower injury rates. Nonetheless, the pattern confirmed what weďż˝d understood: surgery is risky and dangerous wherever it is done. We also found, as we suspected we would, signs of substantial @@ -4345,13 +4247,13 @@ prepared for, cases with high blood-loss risk, or conducted any kind of preoperative team briefing about patients. We tracked performance of six specific safety steps: the timely delivery of antibiotics, the use of a working pulse oximeter, the completion of a formal risk assessment for placing an -airway tube, the verbal confirmation of the patient’s identity and procedure, +airway tube, the verbal confirmation of the patientďż˝s identity and procedure, the appropriate placement of intravenous lines for patients who develop severe bleeding, and finally a complete accounting of sponges at the end of the procedure. These are basics, the surgical equivalent of unlocking the elevator controls before airplane takeoff. Nevertheless, we found gaps everywhere. The very best missed at least one of these minimum steps 6 -percent of the time—once in every sixteen patients. And on average, the +percent of the timeďż˝once in every sixteen patients. And on average, the hospitals missed one of them in a startling two-thirds of patients, whether in rich countries or poor. That is how flawed and inconsistent surgical care routinely is around the world. @@ -4368,9 +4270,9 @@ to their anesthetists, nurses, and other surgical personnel. We supplied the hospitals with their failure data so the staff could see what they were trying to address. We gave them some PowerPoint slides -and a couple of YouTube videos, one demonstrating “How to Use the Safe -Surgery Checklist” and one—a bit more entertaining—entitled “How Not to -Use the Safe Surgery Checklist,” showing how easy it is to screw +and a couple of YouTube videos, one demonstrating ďż˝How to Use the Safe +Surgery Checklistďż˝ and oneďż˝a bit more entertainingďż˝entitled ďż˝How Not to +Use the Safe Surgery Checklist,ďż˝ showing how easy it is to screw everything up. We also asked the hospital leaders to introduce the checklist in just one @@ -4380,13 +4282,13 @@ surely be bugs to work out. Each hospital would have to adjust the order and wording of the checklist to suit its particular practices and terminology. Several were using translations. A few had already indicated they wanted to add extra checks. For some hospitals, the checklist would also compel -systemic changes—for example, stocking more antibiotic supplies in the +systemic changesďż˝for example, stocking more antibiotic supplies in the operating rooms. We needed the first groups using the checklist to have the seniority and patience to make the necessary modifications and not dismiss the whole enterprise. -Using the checklist involved a major cultural change, as well—a shift in -authority, responsibility, and expectations about care—and the hospitals +Using the checklist involved a major cultural change, as wellďż˝a shift in +authority, responsibility, and expectations about careďż˝and the hospitals needed to recognize that. We gambled that their staff would be far more likely to adopt the checklist if they saw their leadership accepting it from the outset. @@ -4398,24 +4300,24 @@ anticipated and the range of problems was infinitely wider. In Tanzania, the hospital was two hundred miles of sometimes one-lane dirt roads from the capital, Dar es Salaam, and flooding during the rainy -season cut off supplies—such as medications and anesthetic gases—often +season cut off suppliesďż˝such as medications and anesthetic gasesďż˝often for weeks at a time. There were thousands of surgery patients, but just five surgeons and four anesthesia staff. None of the anesthetists had a medical -degree. The patients’ families supplied most of the blood for the blood -bank, and when that wasn’t enough, staff members rolled up their sleeves. +degree. The patientsďż˝ families supplied most of the blood for the blood +bank, and when that wasnďż˝t enough, staff members rolled up their sleeves. They conserved anesthetic supplies by administering mainly spinal -anesthesia—injections of numbing medication directly into the spinal canal. +anesthesiaďż˝injections of numbing medication directly into the spinal canal. They could do operations under spinal that I never conceived of. They saved and resterilized their surgical gloves, using them over and over until holes appeared. They even made their own surgical gauze, the nurses and anesthesia staff sitting around an old wood table at teatime each afternoon -cutting bolts of white cotton cloth to size for the next day’s cases. +cutting bolts of white cotton cloth to size for the next dayďż˝s cases. In Delhi, the charity hospital was not as badly off as the Tanzanian site or -hospitals I’d been to in rural India. There were more supplies. The staff +hospitals Iďż˝d been to in rural India. There were more supplies. The staff members were better trained. But the volume of patients they were asked to care for in this city of thirteen million was beyond comprehension. The hospital had seven fully trained anesthetists, for instance, but they had to @@ -4424,42 +4326,42 @@ ludicrous this is, our New Zealand pilot hospital employed ninety-two anesthetists to manage a similar magnitude of surgery. Yet, for all the equipment shortages, power outages, waiting lists, fourteen-hour days, I heard less unhappiness and complaining from the surgical staff in Delhi -than in many American hospitals I’ve been to. +than in many American hospitals Iďż˝ve been to. The differences were not just between rich and poor settings, either. Each -site was distinctive. St. Mary’s Hospital, for example, our London site, was +site was distinctive. St. Maryďż˝s Hospital, for example, our London site, was a compound of red brick and white stone buildings more than century and a half old, sprawling over a city block in Paddington. Alexander Fleming discovered penicillin here in 1928. More recently, under its chairman of surgery, Lord Darzi of Denham, the hospital has become an international pioneer in the development of minimally invasive surgery and surgical -simulation. St. Mary’s is modern, well equipped, and a draw for London’s -powerful and well-to-do—Prince William and Prince Harry were born here, -for example, and Conservative Party leader David Cameron’s severely +simulation. St. Maryďż˝s is modern, well equipped, and a draw for Londonďż˝s +powerful and well-to-doďż˝Prince William and Prince Harry were born here, +for example, and Conservative Party leader David Cameronďż˝s severely disabled son was cared for here, as well. But it is hardly posh. It remains a government hospital in the National Health Service, serving any Briton without charge or distinction. -Walking through St. Mary’s sixteen operating rooms, I found they looked -much the same as the ones where I work in Boston— high-tech, up-to-date. +Walking through St. Maryďż˝s sixteen operating rooms, I found they looked +much the same as the ones where I work in Bostonďż˝ high-tech, up-to-date. But surgical procedures seemed different at every stage. The patients were put to sleep outside the operating theater, instead of inside, and then wheeled in, which meant that the first part of the checklist would have to be -changed. The anesthetists and circulating nurses didn’t wear masks, which +changed. The anesthetists and circulating nurses didnďż˝t wear masks, which seemed like sacrilege to me, although I had to admit their necessity is -unproven for staff who do not work near the patient’s incision. Almost +unproven for staff who do not work near the patientďż˝s incision. Almost every term the surgical teams used was unfamiliar. We all supposedly spoke English, but I was often unsure what they were talking about. In Jordan, the working environment was also at once recognizable and alien, but in a different way. The operating rooms in Amman had zero frills -—this was a still-developing country and the equipment was older and -heavily used—but they had most of the things I am used to as a surgeon, +ďż˝this was a still-developing country and the equipment was older and +heavily usedďż˝but they had most of the things I am used to as a surgeon, and the level of care seemed very good. One of the surgeons I met was -Iraqi. He’d trained in Baghdad and practiced there until the chaos following +Iraqi. Heďż˝d trained in Baghdad and practiced there until the chaos following the American invasion in 2003 forced him to flee with his family, abandoning their home, their savings, and his work. Before Saddam Hussein, in the last years of his rule, gutted the Iraqi medical system, @@ -4469,7 +4371,7 @@ he felt fortunate to be there. I learned that more than 200,000 foreign patients travel to Jordan for their health care each year, generating as much as one billion dollars in revenues for the country. -What I couldn’twork out, though, was how the country’s strict gender +What I couldnďż˝twork out, though, was how the countryďż˝s strict gender divide was negotiated in its operating rooms. I remember sitting outside a restaurant the day I arrived, studying the people passing by. Men and women were virtually always separated. Most women covered their hair. I @@ -4478,9 +4380,9 @@ who was my guide for the visit. We even went out to see a movie together. When I learned he had a girlfriend of two years, a graduate student, I asked him how long it was before he got to see her hair. -“I never have,” he said. -“C’mon. Never?” -“Never.” He’d seen a few strands. He knew she had dark brown hair. But +ďż˝I never have,ďż˝ he said. +ďż˝Cďż˝mon. Never?ďż˝ +ďż˝Never.ďż˝ Heďż˝d seen a few strands. He knew she had dark brown hair. But even in the more modern dating relationship of a partly Westernized, highly educated couple, that was it. @@ -4493,16 +4395,16 @@ even possible. The women wore their head scarves in the operating rooms. Most avoided eye contact with men. I slowly learned, however, that not all -was what it seemed. The staff didn’t hesitate to discard the formalities when +was what it seemed. The staff didnďż˝t hesitate to discard the formalities when necessary. I saw a gallbladder operation in which the surgeon inadvertently -contaminated his glove while adjusting the operating lights. He hadn’t +contaminated his glove while adjusting the operating lights. He hadnďż˝t noticed. But the nurse had. -“You have to change your glove,” the nurse told him in Arabic. +ďż˝You have to change your glove,ďż˝ the nurse told him in Arabic. (Someone translated for me.) -“It’s fine,” the surgeon said. -“No, it’s not,” the nurse said. “Don’t be stupid.” Then she made him +ďż˝Itďż˝s fine,ďż˝ the surgeon said. +ďż˝No, itďż˝s not,ďż˝ the nurse said. ďż˝Donďż˝t be stupid.ďż˝ Then she made him change his glove. For all the differences among the eight hospitals, I was nonetheless @@ -4526,19 +4428,19 @@ particular anesthesia practices. There was a learning curve, as well. However straightforward the checklist might appear, if you are used to getting along without one, incorporating it into the routine is not always a smooth process. Sometimes -teams forgot to carry out part of the checklist— especially the sign-out, +teams forgot to carry out part of the checklistďż˝ especially the sign-out, before taking the patient from the room. Other times they found adhering to -it just too hard—though not because doing so was complicated. Instead, the +it just too hardďż˝though not because doing so was complicated. Instead, the difficulty seemed to be social. It felt strange to people just to get their -mouths around the words—for a nurse to say, for example, that if the -antibiotics hadn’t been given, then everyone needed to stop and give them +mouths around the wordsďż˝for a nurse to say, for example, that if the +antibiotics hadnďż˝t been given, then everyone needed to stop and give them before proceeding. Each person has his or her style in the operating room, especially surgeons. Some are silent, some are moody, some are chatty. Very few knew immediately how to adapt their style to huddling with -everyone—even the nursing student—for a systematic run-through of the +everyoneďż˝even the nursing studentďż˝for a systematic run-through of the plans and possible issues. The introduction of names and roles at the start of an operating day @@ -4547,7 +4449,7 @@ nurses seemed especially grateful for the step, but the surgeons were sometimes annoyed by it. Nonetheless, most complied. Most but not all. We were thrown out of operating rooms all over the -world. “This checklist is a waste of time,” we were told. In a couple places, +world. ďż˝This checklist is a waste of time,ďż˝ we were told. In a couple places, the hospital leaders wanted to call the curmudgeons on the carpet and force them to use it. We discouraged this. Forcing the obstinate few to adopt the checklist might cause a backlash that would sour others on participating. @@ -4568,24 +4470,24 @@ introduction of the checklist. That way any changes we observed would likely be the consequence of the checklist and not of long-term, ongoing trends in health or medical care. But I worried whether anything could really change in so short a time. The teams were clearly still getting the -hang of things. Perhaps we hadn’t given them enough time to learn. I also +hang of things. Perhaps we hadnďż˝t given them enough time to learn. I also worried about how meager the intervention was when you got right down to -it. We’d provided no new equipment, staff, or clinical resources to hospitals. +it. Weďż˝d provided no new equipment, staff, or clinical resources to hospitals. The poor places were still poor, and we had to wonder whether improvement in their results was really possible without changing that. All -we’d done was give them a one-page, nineteen-item list and shown them -how to use it. We’d worked hard to make it short and simple, but perhaps +weďż˝d done was give them a one-page, nineteen-item list and shown them +how to use it. Weďż˝d worked hard to make it short and simple, but perhaps -we’d made it too short and too simple—not detailed enough. Maybe we -shouldn’t have listened to the aviation gurus. +weďż˝d made it too short and too simpleďż˝not detailed enough. Maybe we +shouldnďż˝t have listened to the aviation gurus. We began to hear some encouraging stories, however. In London, during a knee replacement by an orthopedic surgeon who was one of our toughest critics, the checklist brought the team to recognize, before incision and the point of no return, that the knee prosthesis on hand was the wrong size for -the patient—and that the right size was not available in the hospital. The +the patientďż˝and that the right size was not available in the hospital. The surgeon became an instant checklist proponent. In India, we learned, the checklist led the surgery department to @@ -4599,13 +4501,13 @@ patients were in the operating room. In Seattle, a friend who had joined the surgical staff at the University of Washington Medical Center told me how easily the checklist had fit into her -operating room’s routine. But was it helping them catch errors, I asked? +operating roomďż˝s routine. But was it helping them catch errors, I asked? -“No question,” she said. They’d caught problems with antibiotics, +ďż˝No question,ďż˝ she said. Theyďż˝d caught problems with antibiotics, equipment, overlooked medical issues. But more than that, she thought going through the checklist helped the staff respond better when they ran -into trouble later—like bleeding or technical difficulties during the -operation. “We just work better together as a team,” she said. +into trouble laterďż˝like bleeding or technical difficulties during the +operation. ďż˝We just work better together as a team,ďż˝ she said. The stories gave me hope. @@ -4613,12 +4515,12 @@ In October 2008, the results came in. I had two research fellows, both of them residents in general surgery, working on the project with me. Alex Haynes had taken more than a year away from surgical training to run the eight-city pilot study and compile the data. Tom Weiser had spent two years -managing development of the WHO checklist program, and he’d been in +managing development of the WHO checklist program, and heďż˝d been in charge of double-checking the numbers. A retired cardiac surgeon, William Berry, was the triple check on everything they did. Late one afternoon, they all came in to see me. -“You’ve got to see this,” Alex said. +ďż˝Youďż˝ve got to see this,ďż˝ Alex said. @@ -4626,49 +4528,49 @@ He laid a sheaf of statistical printouts in front of me and walked me through the tables. The final results showed that the rate of major complications for surgical patients in all eight hospitals fell by 36 percent after introduction of the checklist. Deaths fell 47 percent. The results had -far outstripped what we’d dared to hope for, and all were statistically highly +far outstripped what weďż˝d dared to hope for, and all were statistically highly significant. Infections fell by almost half. The number of patients having to return to the operating room after their original operations because of bleeding or other technical problems fell by one-fourth. Overall, in this group of nearly 4,000 patients, 435 would have been expected to develop serious complications based on our earlier observation data. But instead just -277 did. Using the checklist had spared more than 150 people from harm— +277 did. Using the checklist had spared more than 150 people from harmďż˝ and 27 of them from death. -You might think that I’d have danced a jig on my desk, that I’d have gone -running through the operating room hallways yelling, “It worked! It -worked!” But this is not what I did. Instead, I became very, very nervous. I +You might think that Iďż˝d have danced a jig on my desk, that Iďż˝d have gone +running through the operating room hallways yelling, ďż˝It worked! It +worked!ďż˝ But this is not what I did. Instead, I became very, very nervous. I started poking through the pile of data looking for mistakes, for problems, for anything that might upend the results. -Suppose, I said, this improvement wasn’t due to the checklist. Maybe, +Suppose, I said, this improvement wasnďż˝t due to the checklist. Maybe, just by happenstance, the teams had done fewer emergency cases and other -risky operations in the second half of the study, and that’s why their results +risky operations in the second half of the study, and thatďż˝s why their results looked better. Alex went back and ran the numbers again. Nope, it turned out. The teams had actually done slightly more emergency cases in the -checklist period than before. And the mix of types of operations— obstetric, -thoracic, orthopedic, abdominal—was unchanged. +checklist period than before. And the mix of types of operationsďż˝ obstetric, +thoracic, orthopedic, abdominalďż˝was unchanged. Suppose this was just a Hawthorne effect, that is to say, a byproduct of -being observed in a study rather than proof of the checklist’s power. In +being observed in a study rather than proof of the checklistďż˝s power. In about 20 percent of the operations, after all, a researcher had been physically present in the operating room collecting information. Maybe the -observer’s presence was what had improved care. The research team +observerďż˝s presence was what had improved care. The research team pointed out, however, that the observers had been in the operating rooms from the very beginning of the project, and the results had not leaped -upward until the checklist was introduced. Moreover, we’d tracked which -operations had an observer and which ones hadn’t. And when Alex -rechecked the data, the results proved no different—the improvements were +upward until the checklist was introduced. Moreover, weďż˝d tracked which +operations had an observer and which ones hadnďż˝t. And when Alex +rechecked the data, the results proved no differentďż˝the improvements were equally dramatic for observed and unobserved operations. Okay, maybe the checklist made a difference in some places, but perhaps -only in the poor sites. No, that didn’t turn out to be the case either. The +only in the poor sites. No, that didnďż˝t turn out to be the case either. The baseline rate of surgical complications was indeed lower in the four hospitals in high-income countries, but introducing the checklist had produced a one-third decrease in major complications for the patients in -those hospitals, as well— also a highly significant reduction. +those hospitals, as wellďż˝ also a highly significant reduction. The team took me through the results for each of the eight hospitals, one by one. In every site, introduction of the checklist had been accompanied by @@ -4678,18 +4580,18 @@ double-digit percentage drop. This thing was real. In January 2009, the New England Journal of Medicine published our study as a rapid-release article. Even before then, word began to leak out as we distributed the findings to our pilot sites. Hospitals in Washington State -learned of Seattle’s results and began trying the checklist themselves. Pretty -soon they’d formed a coalition with the state’s insurers, Boeing, and the +learned of Seattleďż˝s results and began trying the checklist themselves. Pretty +soon theyďż˝d formed a coalition with the stateďż˝s insurers, Boeing, and the governor to systematically introduce the checklist across the state and track detailed data. In Great Britain, Lord Darzi, the chairman of surgery at St. -Mary’s Hospital, had meanwhile been made a minister of health. When he -and the country’s top designate to WHO, Sir Liam Donaldson (who had +Maryďż˝s Hospital, had meanwhile been made a minister of health. When he +and the countryďż˝s top designate to WHO, Sir Liam Donaldson (who had also pushed for the surgery project in the first place), saw the study results, they launched a campaign to implement the checklist nationwide. The reaction of surgeons was more mixed. Even if using the checklist -didn’t take the time many feared—indeed, in several hospitals teams -reported that it saved them time—some objected that the study had not +didnďż˝t take the time many fearedďż˝indeed, in several hospitals teams +reported that it saved them timeďż˝some objected that the study had not clearly established how the checklist was producing such dramatic results. This was true. In our eight hospitals, we saw improvements in administering antibiotics to reduce infections, in use of oxygen monitoring @@ -4703,12 +4605,12 @@ communication. There was also a notable correlation between teamwork -scores and results for patients— the greater the improvement in teamwork, +scores and results for patientsďż˝ the greater the improvement in teamwork, the greater the drop in complications. Perhaps the most revealing information, however, was simply what the -staff told us. More than 250 staff members—surgeons, anesthesiologists, -nurses, and others—filled out an anonymous survey after three months of +staff told us. More than 250 staff membersďż˝surgeons, anesthesiologists, +nurses, and othersďż˝filled out an anonymous survey after three months of using the checklist. In the beginning, most had been skeptical. But by the end, 80 percent reported that the checklist was easy to use, did not take a long time to complete, and had improved the safety of care. And 78 percent @@ -4719,8 +4621,8 @@ Nonetheless, some skepticism persisted. After all, 20 percent did not find it easy to use, thought it took too long, and felt it had not improved the safety of care. -Then we asked the staff one more question. “If you were having an -operation,” we asked, “would you want the checklist to be used?” +Then we asked the staff one more question. ďż˝If you were having an +operation,ďż˝ we asked, ďż˝would you want the checklist to be used?ďż˝ A full 93 percent said yes. @@ -4741,22 +4643,22 @@ doctors to make it part of their practice. Government programs would research it. Competitors would jump in to make newer and better versions. If the checklist were a medical device, we would have surgeons clamoring for it, lining up at display booths at surgical conferences to give it a try, -hounding their hospital administrators to get one for them—because, damn -it, doesn’t providing good care matter to those pencil pushers? +hounding their hospital administrators to get one for themďż˝because, damn +it, doesnďż˝t providing good care matter to those pencil pushers? -That’s what happened when surgical robots came out—drool-inducing +Thatďż˝s what happened when surgical robots came outďż˝drool-inducing twenty-second-century $1.7 million remote-controlled machines designed to help surgeons do laparoscopic surgery with more maneuverability inside -patients’ bodies and fewer complications. The robots increased surgical +patientsďż˝ bodies and fewer complications. The robots increased surgical costs massively and have so far improved results only modestly for a few operations, compared with standard laparoscopy. Nonetheless, hospitals in the United States and abroad have spent billions of dollars on them. -But meanwhile, the checklist? Well, it hasn’t been ignored. Since the +But meanwhile, the checklist? Well, it hasnďż˝t been ignored. Since the results of the WHO safe surgery checklist were made public, more than a -dozen countries—including Australia, Brazil, Canada, Costa Rica, Ecuador, +dozen countriesďż˝including Australia, Brazil, Canada, Costa Rica, Ecuador, France, Ireland, Jordan, New Zealand, the Philippines, Spain, and the -United Kingdom—have publicly committed to implementing versions of it +United Kingdomďż˝have publicly committed to implementing versions of it in hospitals nationwide. Some are taking the additional step of tracking results, which is crucial for ensuring the checklist is being put in place successfully. In the United States, hospital associations in twenty states @@ -4780,7 +4682,7 @@ out an operation is my business and my responsibility. So who do these people think they are, telling me what to do? Now, if surgeons end up using the checklist anyway, what is the big deal -if we do so without joy in our souls? We’re doing it. That’s what matters, +if we do so without joy in our souls? Weďż˝re doing it. Thatďż˝s what matters, right? Not necessarily. Just ticking boxes is not the ultimate goal here. @@ -4792,7 +4694,7 @@ adopt, for example, specialized checklists for hip replacement procedures, pancreatic operations, aortic aneurysm repairs, examining each of our major procedures for their most common avoidable glitches and incorporating checks to help us steer clear of them. We could even devise emergency -checklists, like aviation has, for nonroutine situations— such as the cardiac +checklists, like aviation has, for nonroutine situationsďż˝ such as the cardiac arrest my friend John described in which the doctors forgot that an overdose of potassium could be a cause. @@ -4800,48 +4702,48 @@ Beyond the operating room, moreover, there are hundreds, perhaps thousands, of things doctors do that are as dangerous and prone to error as surgery. Take, for instance, the treatment of heart attacks, strokes, drug overdoses, pneumonias, kidney failures, seizures. And consider the many -other situations that are only seemingly simpler and less dire—the +other situations that are only seemingly simpler and less direďż˝the evaluation of a patient with a headache, for example, a funny chest pain, a -lung nodule, a breast lump. All involve risk, uncertainty, and complexity— +lung nodule, a breast lump. All involve risk, uncertainty, and complexityďż˝ and therefore steps that are worth committing to a checklist and testing in routine care. Good checklists could become as important for doctors and nurses as good stethoscopes (which, unlike checklists, have never been -proved to make a difference in patient care). The hard question—still -unanswered—is whether medical culture can seize the opportunity. +proved to make a difference in patient care). The hard questionďż˝still +unansweredďż˝is whether medical culture can seize the opportunity. -Tom Wolfe’s The Right Stuff tells the story of our first astronauts and +Tom Wolfeďż˝s The Right Stuff tells the story of our first astronauts and charts the demise of the maverick, Chuck Yeager test-pilot culture of the 1950s. It was a culture defined by how unbelievably dangerous the job was. Test pilots strapped themselves into machines of barely controlled power and complexity, and a quarter of them were killed on the job. The pilots had -to have focus, daring, wits, and an ability to improvise—the right stuff. But -as knowledge of how to control the risks of flying accumulated—as -checklists and flight simulators became more prevalent and sophisticated— +to have focus, daring, wits, and an ability to improviseďż˝the right stuff. But +as knowledge of how to control the risks of flying accumulatedďż˝as +checklists and flight simulators became more prevalent and sophisticatedďż˝ the danger diminished, values of safety and conscientiousness prevailed, and the rock star status of the test pilots was gone. Something like this is going on in medicine. We have the means to make -some of the most complex and dangerous work we do—in surgery, -emergency care, ICU medicine, and beyond— more effective than we ever +some of the most complex and dangerous work we doďż˝in surgery, +emergency care, ICU medicine, and beyondďż˝ more effective than we ever thought possible. But the prospect pushes against the traditional culture of medicine, with its central belief that in situations of high risk and -complexity what you want is a kind of expert audacity—the right stuff, +complexity what you want is a kind of expert audacityďż˝the right stuff, again. Checklists and standard operating procedures feel like exactly the -opposite, and that’s what rankles many people. +opposite, and thatďż˝s what rankles many people. -It’s ludicrous, though, to suppose that checklists are going to do away +Itďż˝s ludicrous, though, to suppose that checklists are going to do away with the need for courage, wits, and improvisation. The work of medicine is too intricate and individual for that: good clinicians will not be able to dispense with expert audacity. Yet we should also be ready to accept the virtues of regimentation. And it is true well beyond medicine. The opportunity is evident in many -fields—and so also is the resistance. Finance offers one example. Recently, +fieldsďż˝and so also is the resistance. Finance offers one example. Recently, I spoke to Mohnish Pabrai, managing partner in Pabrai Investment Funds in -Irvine, California. He is one of three investors I’ve recently met who have +Irvine, California. He is one of three investors Iďż˝ve recently met who have taken a page from medicine and aviation to incorporate formal checklists into their work. All three are huge investors: Pabrai runs a $500 million portfolio; Guy Spier is head of Aquamarine Capital Management in Zurich, @@ -4851,16 +4753,16 @@ portfolio; Guy Spier is head of Aquamarine Capital Management in Zurich, Switzerland, a $70 million fund. The third did not want to be identified by name or to reveal the size of the fund where he is a director, but it is one of the biggest in the world and worth billions. The three consider themselves -“value investors”—investors who buy shares in under recognized, -undervalued companies. They don’t time the market. They don’t buy +ďż˝value investors��investors who buy shares in under recognized, +undervalued companies. They donďż˝t time the market. They donďż˝t buy according to some computer algorithm. They do intensive research, look for good deals, and invest for the long run. They aim to buy Coca-Cola before -everyone realizes it’s going to be Coca-Cola. +everyone realizes itďż˝s going to be Coca-Cola. -Pabrai described what this involves. Over the last fifteen years, he’s made -a new investment or two per quarter, and he’s found it requires in-depth +Pabrai described what this involves. Over the last fifteen years, heďż˝s made +a new investment or two per quarter, and heďż˝s found it requires in-depth investigation of ten or more prospects for each one he finally buys stock in. -The ideas can bubble up from anywhere—a billboard advertisement, a +The ideas can bubble up from anywhereďż˝a billboard advertisement, a newspaper article about real estate in Brazil, a mining journal he decides to pick up for some random reason. He reads broadly and looks widely. He has his eyes open for the glint of a diamond in the dirt, of a business about to @@ -4868,48 +4770,48 @@ boom. He hits upon hundreds of possibilities but most drop away after cursory examination. Every week or so, though, he spots one that starts his pulse -racing. It seems surefire. He can’t believe no one else has caught onto it yet. +racing. It seems surefire. He canďż˝t believe no one else has caught onto it yet. He begins to think it could make him tens of millions of dollars if he plays it right, no, this time maybe hundreds of millions. -“You go into greed mode,” he said. Guy Spier called it “cocaine brain.” +ďż˝You go into greed mode,ďż˝ he said. Guy Spier called it ďż˝cocaine brain.ďż˝ Neuroscientists have found that the prospect of making money stimulates the same primitive reward circuits in the brain that cocaine does. And that, Pabrai said, is when serious investors like himself try to become systematic. They focus on dispassionate analysis, on avoiding both irrational -exuberance and panic. They pore over the company’s financial reports, -investigate its liabilities and risks, examine its management team’s track -record, weigh its competitors, consider the future of the market it is in— +exuberance and panic. They pore over the companyďż˝s financial reports, +investigate its liabilities and risks, examine its management teamďż˝s track +record, weigh its competitors, consider the future of the market it is inďż˝ trying to gauge both the magnitude of opportunity and the margin of safety. The patron saint of value investors is Warren Buffett, among the most successful financiers in history and one of the two richest men in the world, even after the losses he suffered in the crash of 2008. Pabrai has studied -every deal Buffett and his company, Berkshire Hathaway, have made— -good or bad—and read every book he could find about them. He even +every deal Buffett and his company, Berkshire Hathaway, have madeďż˝ +good or badďż˝and read every book he could find about them. He even pledged $650,000 at a charity auction to have lunch with Buffett. -“Warren,” Pabrai said—and after a $650,000 lunch, I guess first names -are in order—“Warren uses a ‘mental checklist’ process” when looking at -potential investments. So that’s more or less what Pabrai did from his fund’s +ďż˝Warren,ďż˝ Pabrai saidďż˝and after a $650,000 lunch, I guess first names +are in order��Warren uses a ďż˝mental checklistďż˝ processďż˝ when looking at +potential investments. So thatďż˝s more or less what Pabrai did from his fundďż˝s inception. He was disciplined. He made sure to take his time when studying a company. The process could require weeks. And he did very well -following this method—but not always, he found. He also made mistakes, +following this methodďż˝but not always, he found. He also made mistakes, some of them disastrous. These were not mistakes merely in the sense that he lost money on his -bets or missed making money on investments he’d rejected. That’s bound to -happen. Risk is unavoidable in Pabrai’s line of work. No, these were +bets or missed making money on investments heďż˝d rejected. Thatďż˝s bound to +happen. Risk is unavoidable in Pabraiďż˝s line of work. No, these were mistakes in the sense that he had miscalculated the risks involved, made errors of analysis. For example, looking back, he noticed that he had -repeatedly erred in determining how “leveraged” companies were—how +repeatedly erred in determining how ďż˝leveragedďż˝ companies wereďż˝how much cash was really theirs, how much was borrowed, and how risky those -debts were. The information was available; he just hadn’t looked for it +debts were. The information was available; he just hadnďż˝t looked for it carefully enough. -In large part, he believes, the mistakes happened because he wasn’t able +In large part, he believes, the mistakes happened because he wasnďż˝t able to damp down the cocaine brain. Pabrai is a forty-five-year-old former engineer. He comes from India, where he clawed his way up its fiercely competitive educational system. Then he secured admission to Clemson @@ -4920,13 +4822,13 @@ his own. All this is to say he knows a thing or two about being dispassionate and avoiding the lure of instant gratification. Yet no matter how objective he tried to be about a potentially exciting investment, he said, he found his brain working against him, latching onto evidence that -confirmed his initial hunch and dismissing the signs of a downside. It’s +confirmed his initial hunch and dismissing the signs of a downside. Itďż˝s what the brain does. -“You get seduced,” he said. “You start cutting corners.” -Or, in the midst of a bear market, the opposite happens. You go into “fear +ďż˝You get seduced,ďż˝ he said. ďż˝You start cutting corners.ďż˝ +Or, in the midst of a bear market, the opposite happens. You go into ďż˝fear -mode,” he said. You see people around you losing their bespoke shirts, and +mode,ďż˝ he said. You see people around you losing their bespoke shirts, and you overestimate the dangers. He also found he made mistakes in handling complexity. A good decision @@ -4935,29 +4837,29 @@ ways that, even without the cocaine brain, he was missing obvious patterns. -His mental checklist wasn’t good enough. “I am not Warren,” he said. “I -don’t have a 300 IQ.” He needed an approach that could work for someone +His mental checklist wasnďż˝t good enough. ďż˝I am not Warren,ďż˝ he said. ďż˝I +donďż˝t have a 300 IQ.ďż˝ He needed an approach that could work for someone with an ordinary IQ. So he devised a written checklist. Apparently, Buffett himself could have used one. Pabrai noticed that even -he made certain repeated mistakes. “That’s when I knew he wasn’t really -using a checklist,” Pabrai said. +he made certain repeated mistakes. ďż˝Thatďż˝s when I knew he wasnďż˝t really +using a checklist,ďż˝ Pabrai said. -So Pabrai made a list of mistakes he’d seen—ones Buffett and other +So Pabrai made a list of mistakes heďż˝d seenďż˝ones Buffett and other investors had made as well as his own. It soon contained dozens of different mistakes, he said. Then, to help him guard against them, he devised a -matching list of checks—about seventy in all. One, for example, came from -a Berkshire Hathaway mistake he’d studied involving the company’s +matching list of checksďż˝about seventy in all. One, for example, came from +a Berkshire Hathaway mistake heďż˝d studied involving the companyďż˝s purchase in early 2000 of Cort Furniture, a Virginia-based rental furniture -business. Over the previous ten years, Cort’s business and profits had -climbed impressively. Charles Munger, Buffett’s longtime investment +business. Over the previous ten years, Cortďż˝s business and profits had +climbed impressively. Charles Munger, Buffettďż˝s longtime investment partner, believed Cort was riding a fundamental shift in the American economy. The business environment had become more and more volatile and companies therefore needed to grow and shrink more rapidly than ever before. As a result, they were increasingly apt to lease office space rather -than buy it—and, Munger noticed, to lease the furniture, too. Cort was in a +than buy itďż˝and, Munger noticed, to lease the furniture, too. Cort was in a perfect position to benefit. Everything else about the company was -measuring up—it had solid financials, great management, and so on. So +measuring upďż˝it had solid financials, great management, and so on. So Munger bought. But buying was an error. He had missed the fact that the three previous years of earnings had been driven entirely by @@ -4965,23 +4867,23 @@ the dot-com boom of the late nineties. Cort was leasing furniture to hundreds of start-up companies that suddenly stopped paying their bills and evaporated when the boom collapsed. -“Munger and Buffett saw the dot-com bubble a mile away,” Pabrai said. -“These guys were completely clear.” But they missed how dependent Cort -was on it. Munger later called his purchase “a macroeconomic mistake.” +ďż˝Munger and Buffett saw the dot-com bubble a mile away,ďż˝ Pabrai said. +ďż˝These guys were completely clear.ďż˝ But they missed how dependent Cort +was on it. Munger later called his purchase ďż˝a macroeconomic mistake.ďż˝ -“Cort’s earning power basically went from substantial to zero for a -while,” he confessed to his shareholders. +ďż˝Cortďż˝s earning power basically went from substantial to zero for a +while,ďż˝ he confessed to his shareholders. So Pabrai added the following checkpoint to his list: when analyzing a -company, stop and confirm that you’ve asked yourself whether the revenues +company, stop and confirm that youďż˝ve asked yourself whether the revenues might be overstated or understated due to boom or bust conditions. -Like him, the anonymous investor I spoke to—I’ll call him Cook—made +Like him, the anonymous investor I spoke toďż˝Iďż˝ll call him Cookďż˝made a checklist. But he was even more methodical: he enumerated the errors -known to occur at any point in the investment process—during the research +known to occur at any point in the investment processďż˝during the research phase, during decision making, during execution of the decision, and even in the period after making an investment when one should be monitoring for problems. He then designed detailed checklists to avoid the errors, @@ -4991,38 +4893,38 @@ investment team would run through the items. He has a Day Three Checklist, for example, which he and his team review at the end of the third day of considering an investment. By that point, the checklist says, they should confirm that they have gone over the -prospect’s key financial statements for the previous ten years, including +prospectďż˝s key financial statements for the previous ten years, including checking for specific items in each statement and possible patterns across the statements. -“It’s easy to hide in a statement. It’s hard to hide between statements,” +ďż˝Itďż˝s easy to hide in a statement. Itďż˝s hard to hide between statements,ďż˝ Cook said. One check, for example, requires the members of the team to verify that -they’ve read the footnotes on the cash flow statements. Another has them -confirm they’ve reviewed the statement of key management risks. A third -asks them to make sure they’ve looked to see whether cash flow and costs +theyďż˝ve read the footnotes on the cash flow statements. Another has them +confirm theyďż˝ve reviewed the statement of key management risks. A third +asks them to make sure theyďż˝ve looked to see whether cash flow and costs match the reported revenue growth. -“This is basic basic basic,” he said. “Just look! You’d be amazed by how -often people don’t do it.” Consider the Enron debacle, he said. “People +ďż˝This is basic basic basic,ďż˝ he said. ďż˝Just look! Youďż˝d be amazed by how +often people donďż˝t do it.ďż˝ Consider the Enron debacle, he said. ďż˝People could have figured out it was a disaster entirely from the financial -statements.” +statements.ďż˝ He told me about one investment he looked at that seemed a huge winner. The cocaine brain was screaming. It turned out, however, that the -company’s senior officers, who’d been selling prospective investors on how +companyďż˝s senior officers, whoďż˝d been selling prospective investors on how great their business was, had quietly sold every share they owned. The company was about to tank and buyers jumping aboard had no idea. But Cook had put a check on his three-day list that ensured his team had -reviewed the fine print of the company’s mandatory stock disclosures, and -he discovered the secret. Forty-nine times out of fifty, he said, there’s -nothing to be found. “But then there is.” +reviewed the fine print of the companyďż˝s mandatory stock disclosures, and +he discovered the secret. Forty-nine times out of fifty, he said, thereďż˝s +nothing to be found. ďż˝But then there is.ďż˝ -The checklist doesn’t tell him what to do, he explained. It is not a +The checklist doesnďż˝t tell him what to do, he explained. It is not a formula. But the checklist helps him be as smart as possible every step of -the way, ensuring that he’s got the critical information he needs when he -needs it, that he’s systematic about decision making, that he’s talked to +the way, ensuring that heďż˝s got the critical information he needs when he +needs it, that heďż˝s systematic about decision making, that heďż˝s talked to @@ -5030,20 +4932,20 @@ everyone he should. With a good checklist in hand, he was convinced he and his partners could make decisions as well as human beings are able. And as a result, he was also convinced they could reliably beat the market. -I asked him whether he wasn’t fooling himself. -“Maybe,” he said. But he put it in surgical terms for me. “When surgeons +I asked him whether he wasnďż˝t fooling himself. +ďż˝Maybe,ďż˝ he said. But he put it in surgical terms for me. ďż˝When surgeons -make sure to wash their hands or to talk to everyone on the team”—he’d -seen the surgery checklist—“they improve their outcomes with no increase -in skill. That’s what we are doing when we use the checklist.” +make sure to wash their hands or to talk to everyone on the team��heďż˝d +seen the surgery checklist��they improve their outcomes with no increase +in skill. Thatďż˝s what we are doing when we use the checklist.ďż˝ -Cook would not discuss precise results—his fund does not disclose its -earnings publicly—but he said he had already seen the checklist deliver +Cook would not discuss precise resultsďż˝his fund does not disclose its +earnings publiclyďż˝but he said he had already seen the checklist deliver better outcomes for him. He had put the checklist process in place at the start of 2008 and, at a minimum, it appeared that he had been able to ride out the subsequent economic collapse without disaster. Others say his fund has done far better than that, outperforming its peers. How much of any -success can be directly credited to the checklist is not clear—after all, he’s +success can be directly credited to the checklist is not clearďż˝after all, heďż˝s used it just two years so far. What Cook says is certain, however, was that in a period of enormous volatility the checklist gave his team at least one additional and unexpected edge over others: efficiency. @@ -5057,16 +4959,16 @@ many more investments in far less time overall. Before the checklist, Cook said, it sometimes took weeks and multiple meetings to sort out how seriously they should consider a candidate -investment—whether they should drop it or pursue a more in-depth +investmentďż˝whether they should drop it or pursue a more in-depth investigation. The process was open-ended and haphazard, and when people put a month into researching an investment, they tended to get, well, invested. After the checklist, though, he and his team found that they could consistently sort out by the three-day check which prospects really deserved -further consideration and which ones didn’t. “The process was more -thorough but faster,” he said. “It was one hit, and we could move on.” +further consideration and which ones didnďż˝t. ďż˝The process was more +thorough but faster,ďż˝ he said. ďż˝It was one hit, and we could move on.ďż˝ Pabrai and Spier, the Zurich investor, found the same phenomenon. Spier -used to employ an investment analyst. But “I didn’t need him anymore,” he +used to employ an investment analyst. But ďż˝I didnďż˝t need him anymore,ďż˝ he said. Pabrai had been working with a checklist for about a year. His fund @@ -5077,33 +4979,33 @@ observed that he could move through investment decisions far faster and more methodically. As the markets plunged through late 2008 and stockholders dumped shares in panic, there were numerous deals to be had. And in a single quarter he was able to investigate more than a hundred -companies and add ten to his fund’s portfolios. Without the checklist, +companies and add ten to his fundďż˝s portfolios. Without the checklist, Pabrai said, he could not have gotten through a fraction of the analytic work or have had the confidence to rely on it. A year later, his investments were -up more than 160 percent on average. He’d made no mistakes at all. +up more than 160 percent on average. Heďż˝d made no mistakes at all. -What makes these investors’ experiences striking to me is not merely +What makes these investorsďż˝ experiences striking to me is not merely their evidence that checklists might work as well in finance as they do in -medicine. It’s that here, too, they have found takers slow to come. In the +medicine. Itďż˝s that here, too, they have found takers slow to come. In the money business, everyone looks for an edge. If someone is doing well, people pounce like starved hyenas to find out how. Almost every idea -formaking even slightly more money—investing in Internet companies, -buying tranches of sliced-up mortgages, whatever—gets sucked up by the +formaking even slightly more moneyďż˝investing in Internet companies, +buying tranches of sliced-up mortgages, whateverďż˝gets sucked up by the giant maw almost instantly. Every idea, that is, except one: checklists. I asked Cook how much interest others have had in what he has been -doing these past two years. Zero, he said—or actually that’s not quite true. -People have been intensely interested in what he’s been buying and how, +doing these past two years. Zero, he saidďż˝or actually thatďż˝s not quite true. +People have been intensely interested in what heďż˝s been buying and how, but the minute the word checklist comes out of his mouth, they disappear. -Even in his own firm, he’s found it a hard sell. +Even in his own firm, heďż˝s found it a hard sell. -“I got pushback from everyone. It took my guys months to finally see the -value,” he said. To this day, his partners still don’t all go along with his -approach and don’t use the checklist in their decisions when he’s not +ďż˝I got pushback from everyone. It took my guys months to finally see the +value,ďż˝ he said. To this day, his partners still donďż˝t all go along with his +approach and donďż˝t use the checklist in their decisions when heďż˝s not involved. -“I find it amazing other investors have not even bothered to try,” he said. -“Some have asked. None have done it.” +ďż˝I find it amazing other investors have not even bothered to try,ďż˝ he said. +ďż˝Some have asked. None have done it.ďż˝ The resistance is perhaps an inevitable response. Some years ago, Geoff Smart, a Ph.D. psychologist who was then at Claremont Graduate @@ -5118,12 +5020,12 @@ established companies with track records and public financial statements one can analyze. Venture capitalists bet on wild-eyed, greasy-haired, underaged entrepreneurs pitching ideas that might be little more than scribbles on a sheet of paper or a clunky prototype that barely works. But -that’s how Google and Apple started out, and the desperate belief of venture +thatďż˝s how Google and Apple started out, and the desperate belief of venture capitalists is that they can find the next equivalent and own it. Smart specifically studied how such people made their most difficult decision in judging whether to give an entrepreneur money or not. You -would think that this would be whether the entrepreneur’s idea is actually a +would think that this would be whether the entrepreneurďż˝s idea is actually a good one. But finding a good idea is apparently not all that hard. Finding an entrepreneur who can execute a good idea is a different matter entirely. One needs a person who can take an idea from proposal to reality, work the long @@ -5133,35 +5035,35 @@ without getting distracted or going insane. Such people are rare and extremely hard to spot. Smart identified half a dozen different ways the venture capitalists he -studied decided whether they’d found such a person. These were styles of -thinking, really. He called one type of investor the “Art Critics.” They +studied decided whether theyďż˝d found such a person. These were styles of +thinking, really. He called one type of investor the ďż˝Art Critics.ďż˝ They assessed entrepreneurs almost at a glance, the way an art critic can assess -the quality of a painting—intuitively and based on long experience. -“Sponges” took more time gathering information about their targets, +the quality of a paintingďż˝intuitively and based on long experience. +ďż˝Spongesďż˝ took more time gathering information about their targets, soaking up whatever they could from interviews, on-site visits, references, and the like. Then they went with whatever their guts told them. As one -such investor told Smart, he did “due diligence by mucking around.” +such investor told Smart, he did ďż˝due diligence by mucking around.ďż˝ -The “Prosecutors” interrogated entrepreneurs aggressively, testing them +The ďż˝Prosecutorsďż˝ interrogated entrepreneurs aggressively, testing them with challenging questions about their knowledge and how they would -handle random hypothetical situations. “Suitors” focused more on wooing -people than on evaluating them. “Terminators” saw the whole effort as +handle random hypothetical situations. ďż˝Suitorsďż˝ focused more on wooing +people than on evaluating them. ďż˝Terminatorsďż˝ saw the whole effort as doomed to failure and skipped the evaluation part. They simply bought what they thought were the best ideas, fired entrepreneurs they found to be incompetent, and hired replacements. -Then there were the investors Smart called the “Airline Captains.” They +Then there were the investors Smart called the ďż˝Airline Captains.ďż˝ They took a methodical, checklist-driven approach to their task. Studying past mistakes and lessons from others in the field, they built formal checks into their process. They forced themselves to be disciplined and not to skip -steps, even when they found someone they “knew” intuitively was a real +steps, even when they found someone they ďż˝knewďż˝ intuitively was a real prospect. -Smart next tracked the venture capitalists’ success over time. There was -no question which style was most effective—and by now you should be +Smart next tracked the venture capitalistsďż˝ success over time. There was +no question which style was most effectiveďż˝and by now you should be able to guess which one. It was the Airline Captain, hands down. Those taking the checklist-driven approach had a 10 percent likelihood of later having to fire senior management for incompetence or concluding that their @@ -5170,33 +5072,33 @@ likelihood. The results showed up in their bottom lines, too. The Airline Captains had a median 80 percent return on the investments studied, the others 35 -percent or less. Those with other styles were not failures by any stretch— +percent or less. Those with other styles were not failures by any stretchďż˝ experience does count for something. But those who added checklists to their experience proved substantially more successful. The most interesting discovery was that, despite the disadvantages, most -investors were either Art Critics or Sponges—intuitive decision makers +investors were either Art Critics or Spongesďż˝intuitive decision makers instead of systematic analysts. Only one in eight took the Airline Captain -approach. Now, maybe the others didn’t know about the Airline Captain +approach. Now, maybe the others didnďż˝t know about the Airline Captain approach. But even knowing seems to make little difference. Smart published his findings more than a decade ago. He has since gone on to explain them in a best-selling business book on hiring called Who. But when I asked him, now that the knowledge is out, whether the proportion of major investors taking the more orderly, checklist-driven approach has -increased substantially, he could only report, “No. It’s the same.” +increased substantially, he could only report, ďż˝No. Itďż˝s the same.ďż˝ -We don’t like checklists. They can be painstaking. They’re not much fun. -But I don’t think the issue here is mere laziness. There’s something deeper, +We donďż˝t like checklists. They can be painstaking. Theyďż˝re not much fun. +But I donďż˝t think the issue here is mere laziness. Thereďż˝s something deeper, more visceral going on when people walk away not only from saving lives but from making money. It somehow feels beneath us to use a checklist, an embarrassment. It runs counter to deeply held beliefs about how the truly -great among us—those we aspire to be—handle situations of high stakes +great among usďż˝those we aspire to beďż˝handle situations of high stakes and complexity. The truly great are daring. They improvise. They do not have protocols and checklists. Maybe our idea of heroism needs updating. -On January 14, 2009, WHO’s safe surgery checklist was made public. As +On January 14, 2009, WHOďż˝s safe surgery checklist was made public. As it happened, the very next day, US Airways Flight 1549 took off from La @@ -5204,16 +5106,16 @@ it happened, the very next day, US Airways Flight 1549 took off from La Guardia Airport in New York City with 155 people on board, struck a large flock of Canadian geese over Manhattan, lost both engines, and famously crash-landed in the icy Hudson River. The fact that not a single life was lost -led the press to christen the incident the “miracle on the Hudson.” A -National Transportation Safety Board official said the flight “has to go -down as the most successful ditching in aviation history.” Fifty-seven-year- -old Captain Chesley B. “Sully” Sullenberger III, a former air force pilot +led the press to christen the incident the ďż˝miracle on the Hudson.ďż˝ A +National Transportation Safety Board official said the flight ďż˝has to go +down as the most successful ditching in aviation history.ďż˝ Fifty-seven-year- +old Captain Chesley B. ďż˝Sullyďż˝ Sullenberger III, a former air force pilot with twenty thousand hours of flight experience, was hailed the world over. -“Quiet Air Hero Is Captain America,” shouted the New York Post -headline. ABC News called him the “Hudson River hero.” The German -papers hailed “Der Held von New York,” the French “Le Nouveau Héros de -l’Amérique,” the Spanish-language press “El Héroe de Nueva York.” +ďż˝Quiet Air Hero Is Captain America,ďż˝ shouted the New York Post +headline. ABC News called him the ďż˝Hudson River hero.ďż˝ The German +papers hailed ďż˝Der Held von New York,ďż˝ the French ďż˝Le Nouveau Hďż˝ros de +lďż˝Amďż˝rique,ďż˝ the Spanish-language press ďż˝El Hďż˝roe de Nueva York.ďż˝ President George W. Bush phoned Sullenberger to thank him personally, and President-elect Barack Obama invited him and his family to attend his inauguration five days later. Photographers tore up the lawn of his Danville, @@ -5226,25 +5128,25 @@ glide down to the water, the copilot who shared flight responsibilities, the cabin crew who handled the remarkably swift evacuation, we the public started to become uncertain about exactly who the hero here was. As Sullenberger kept saying over and over from the first of his interviews -afterward, “I want to correct the record right now. This was a crew effort.” +afterward, ďż˝I want to correct the record right now. This was a crew effort.ďż˝ The outcome, he said, was the result of teamwork and adherence to procedure asmuch as of any individual skill he may have had. -Aw, that’s just the modesty of the quiet hero, we finally insisted. The next -month, when the whole crew of five—not just Sullenberger—was brought -out to receive the keys to New York City, for “exclusive” interviews on +Aw, thatďż˝s just the modesty of the quiet hero, we finally insisted. The next +month, when the whole crew of fiveďż˝not just Sullenbergerďż˝was brought +out to receive the keys to New York City, for ďż˝exclusiveďż˝ interviews on every network, and for a standing ovation by an audience of seventy thousand at the Super Bowl in Tampa Bay, you could see the press had -already determined how to play this. They didn’t want to talk about +already determined how to play this. They didnďż˝t want to talk about teamwork and procedure. They wanted to talk about Sully using his experience flying gliders as an Air Force Academy cadet. -“That was so long ago,” Sullenberger said, “and those gliders are so +ďż˝That was so long ago,ďż˝ Sullenberger said, ďż˝and those gliders are so different from a modern jet airliner. I think the transfer of experience was -not large.” +not large.ďż˝ It was as if we simply could not process the full reality of what had been required to save the people on that plane. @@ -5257,26 +5159,26 @@ note is that the two had never flown together before that trip. Both were tremendously experienced. Skiles had nearly as many flight hours as Sullenberger and had been a longtime Boeing 737 captain until downsizing had forced him into the right-hand seat and retraining to fly A320s. This -much experience may sound like a good thing, but it isn’t necessarily. +much experience may sound like a good thing, but it isnďż˝t necessarily. Imagine two experienced but unacquainted lawyers meeting to handle your case on your opening day in court. Or imagine two top basketball coaches who are complete strangers stepping onto the parquet to lead a team in a championship game. Things could go fine, but it is more likely that they will go badly. -Before the pilots started the plane’s engines at the gate, however, they -adhered to a strict discipline—the kind most other professions avoid. They -ran through their checklists. They made sure they’d introduced themselves +Before the pilots started the planeďż˝s engines at the gate, however, they +adhered to a strict disciplineďż˝the kind most other professions avoid. They +ran through their checklists. They made sure theyďż˝d introduced themselves to each other and the cabin crew. They did a short briefing, discussing the -plan for the flight, potential concerns, and how they’d handle troubles if -they ran into them. And by adhering to this discipline—by taking just those -few short minutes—they not only made sure the plane was fit to travel but +plan for the flight, potential concerns, and how theyďż˝d handle troubles if +they ran into them. And by adhering to this disciplineďż˝by taking just those +few short minutesďż˝they not only made sure the plane was fit to travel but also transformed themselves from individuals into a team, one systematically prepared to handle whatever came their way. -I don’t think we recognize how easy it would have been for Sullenberger +I donďż˝t think we recognize how easy it would have been for Sullenberger and Skiles to have blown off those preparations, to have cut corners that -day. The crew had more than 150 total years of flight experience—150 +day. The crew had more than 150 total years of flight experienceďż˝150 years of running their checklists over and over and over, practicing them in simulators, studying the annual updates. The routine can seem pointless most of the time. Not once had any of them been in an airplane accident. @@ -5290,22 +5192,22 @@ fields. But they ran through their checks anyway. It need not have been this way. As recently as the 1970s, some airline pilots remained notoriously bluff about their preparations, however -carefully designed. “I’ve never had a problem,” they would say. Or “Let’s -get going. Everything’s fine.” Or “I’m the captain. This is my ship. And -you’re wasting my time.” Consider, for example, the infamous 1977 +carefully designed. ďż˝Iďż˝ve never had a problem,ďż˝ they would say. Or ďż˝Letďż˝s +get going. Everythingďż˝s fine.ďż˝ Or ďż˝Iďż˝m the captain. This is my ship. And +youďż˝re wasting my time.ďż˝ Consider, for example, the infamous 1977 Tenerife disaster. It was the deadliest accident in aviation history. Two Boeing 747 airliners collided at high speed in fog on a Canary Islands runway, killing 583 people on board. The captain on one of the planes, a KLM flight, had misunderstood air traffic control instructions conveying -that he was not cleared for takeoff on the runway—and disregarded the +that he was not cleared for takeoff on the runwayďż˝and disregarded the second officer, who recognized that the instructions were unclear. There was in fact a Pan American flight taking off in the opposite direction on the same runway. -“Is he not cleared, that Pan American?” the second officer said to the +ďż˝Is he not cleared, that Pan American?ďż˝ the second officer said to the captain. -“Oh yes,” the captain insisted, and continued onto the runway. +ďż˝Oh yes,ďż˝ the captain insisted, and continued onto the runway. The captain was wrong. The second officer sensed it. But they were not prepared for this moment. They had not taken the steps to make themselves @@ -5318,13 +5220,13 @@ They imagine mindless automatons, heads down in a checklist, incapable of looking out their windshield and coping with the real world in front of them. But what you find, when a checklist is well made, is exactly the opposite. The checklist gets the dumb stuff out of the way, the routines your -brain shouldn’t have to occupy itself with (Are the elevator controls set? +brain shouldnďż˝t have to occupy itself with (Are the elevator controls set? Did the patient get her antibiotics on time? Did the managers sell all their shares? Is everyone on the same page here?), and lets it rise above to focus on the hard stuff (Where should we land?). -Here are the details of one of the sharpest checklists I’ve seen, a checklist -for engine failure during flight in a single-engine Cessna airplane—the US +Here are the details of one of the sharpest checklists Iďż˝ve seen, a checklist +for engine failure during flight in a single-engine Cessna airplaneďż˝the US Airways situation, only with a solo pilot. It is slimmed down to six key steps not to miss for restarting the engine, steps like making sure the fuel @@ -5335,12 +5237,12 @@ switch ON. But step one on the list is the most fascinating. It is simply: FLY THE AIRPLANE. Because pilots sometimes become so desperate trying to restart their engine, so crushed by the cognitive overload of thinking through what could have gone wrong, they forget this most basic -task. FLY THE AIRPLANE. This isn’t rigidity. This is making sure +task. FLY THE AIRPLANE. This isnďż˝t rigidity. This is making sure everyone has their best shot at survival. About ninety seconds after takeoff, US Airways Flight 1549 was climbing up through three thousand feet when it crossed the path of the geese. The -plane came upon the geese so suddenly Sullenberger’s immediate reaction +plane came upon the geese so suddenly Sullenbergerďż˝s immediate reaction was to duck. The sound of the birds hitting the windshield and the engines was loud enough to be heard on the cockpit voice recorder. As news reports later pointed out, planes have hit hundreds of thousands of birds without @@ -5349,8 +5251,8 @@ made to handle most birds, more or less liquefying them. Canadian geese, however, are larger than most birds, often ten pounds and up, and no engine can handle them. Jet engines are designed instead to shut down after ingesting one, without exploding or sending metal shrapnel into the wings -or the passengers on board. That’s precisely what the A320’s engines did -when they were hit with the rarest of rare situations—at least three geese in +or the passengers on board. Thatďż˝s precisely what the A320ďż˝s engines did +when they were hit with the rarest of rare situationsďż˝at least three geese in the two engines. They immediately lost power. Once that happened, Sullenberger made two key decisions: first, to take @@ -5360,35 +5262,35 @@ instinctively. Within a minute it became apparent that the plane had too little speed to make it to La Guardia or to the runway in Teterboro, New Jersey, offered by air traffic control. As for taking over the piloting, both he and Skiles had decades of flight experience, but Sullenberger had logged far -more hours flying the A320. All the key landmarks to avoid hitting— -Manhattan’s skyscrapers, the George Washington Bridge—were out his left- +more hours flying the A320. All the key landmarks to avoid hittingďż˝ +Manhattanďż˝s skyscrapers, the George Washington Bridgeďż˝were out his left- side window. And Skiles had also just completed A320 emergency training and was more recently familiar with the checklists they would need. -“My aircraft,” Sullenberger said, using the standard language as he put +ďż˝My aircraft,ďż˝ Sullenberger said, using the standard language as he put his hands on the controls. -“Your aircraft,” Skiles replied. There was no argument about what to do -next, not even a discussion. And there was no need for one. The pilots’ +ďż˝Your aircraft,ďż˝ Skiles replied. There was no argument about what to do +next, not even a discussion. And there was no need for one. The pilotsďż˝ preparations had made them a team. Sullenberger would look for the nearest, safest possible landing site. Skiles would go to the engine failure checklists and see if he could relight the engines. But for the computerized -voice of the ground proximity warning system saying “Pull up. Pull up. Pull -up. Pull up,” the cockpit was virtually silent as each pilot concentrated on +voice of the ground proximity warning system saying ďż˝Pull up. Pull up. Pull +up. Pull up,ďż˝ the cockpit was virtually silent as each pilot concentrated on his tasks and observed the other for cues that kept them coordinated. Both men played crucial roles here. We treat copilots as if they are -superfluous—backups who are given a few tasks so that they have +superfluousďż˝backups who are given a few tasks so that they have something to do. But given the complexity of modern airplanes, they are as integral to a successful flight as anesthesiologists are to a successful operation. Pilot and copilot alternate taking the flight controls and managing the flight equipment and checklist responsibilities, and when -things go wrong it’s not at all clear which is the harder job. The plane had +things go wrong itďż˝s not at all clear which is the harder job. The plane had only three and a half minutes of glide in it. In that time, Skiles needed to -make sure he’d done everything possible to relight the engines while also -preparing the aircraft for ditching if it wasn’t feasible. But the steps +make sure heďż˝d done everything possible to relight the engines while also +preparing the aircraft for ditching if it wasnďż˝t feasible. But the steps required just to restart one engine typically take more time than that. He had some choices to make. @@ -5398,8 +5300,8 @@ entirely on the engine failure checklist and running through it as fast as he could. The extent of damage to the engines was unknown, but regaining even partial power would have been sufficient to get the plane to an airport. In the end, Skiles managed to complete a restart attempt on both engines, -something investigators later testified to be “very remarkable” in the time -frame he had—and something they found difficult to replicate in +something investigators later testified to be ďż˝very remarkableďż˝ in the time +frame he hadďż˝and something they found difficult to replicate in simulation. Yet he did not ignore the ditching procedure, either. He did not have time @@ -5407,40 +5309,40 @@ to do everything on the checklist. But he got the distress signals sent, and he made sure the plane was properly configured for an emergency water landing. -“Flaps out?” asked Sullenberger. -“Got flaps out,” responded Skiles. +ďż˝Flaps out?ďż˝ asked Sullenberger. +ďż˝Got flaps out,ďż˝ responded Skiles. Sullenberger focused on the glide down to the water. But even in this, he was not on his own. For, as journalist and pilot William Langewiesche -noted afterward, the plane’s fly-by-wire control system was designed to +noted afterward, the planeďż˝s fly-by-wire control system was designed to assist pilots in accomplishing a perfect glide without demanding unusual skills. It eliminated drift and wobble. It automatically coordinated the rudder with the roll of the wings. It gave Sullenberger a green dot on his screen to target for optimal descent. And it maintained the ideal angle to -achieve lift, while preventing the plane from accidentally reaching “radical -angles” during flight that would have caused it to lose its gliding ability. +achieve lift, while preventing the plane from accidentally reaching ďż˝radical +anglesďż˝ during flight that would have caused it to lose its gliding ability. The system freed him to focus on other critical tasks, like finding a landing site near ferries in order to give passengers their best chance of rescue and -keeping the wings level as the plane hit the water’s surface. +keeping the wings level as the plane hit the waterďż˝s surface. -Meanwhile, the three flight attendants in the cabin—Sheila Dail, Donna -Dent, and Doreen Welsh—followed through on their protocols for such +Meanwhile, the three flight attendants in the cabinďż˝Sheila Dail, Donna +Dent, and Doreen Welshďż˝followed through on their protocols for such situations. They had the passengers put their heads down and grab their legs to brace for impact. Upon landing and seeing water through the windows, the flight attendants gave instructions to don life vests. They made sure the -doors got open swiftly when the plane came to a halt, that passengers didn’t +doors got open swiftly when the plane came to a halt, that passengers didnďż˝t waste time grabbing for their belongings, or trap themselves by inflating life vests inside the aircraft. Welsh, stationed in the very back, had to wade through ice cold, chest-high water leaking in through the torn fuselage to do her part. Just two of the four exits were safely accessible. Nonetheless, working together they got everyone out of a potentially sinking plane in just -three minutes—exactly as designed. +three minutesďż˝exactly as designed. While the evacuation got under way, Sullenberger headed back to check on the passengers and the condition of the plane. Meanwhile, Skiles -remained up in the cockpit to run the evacuation checklist—making sure +remained up in the cockpit to run the evacuation checklistďż˝making sure potential fire hazards were dealt with, for instance. Only when it was completed did he emerge. The arriving flotilla of ferries and boats proved more than sufficient to get everyone out of the water. Air in the fuel tanks, @@ -5449,12 +5351,12 @@ had time for one last check of the plane. He walked the aisle to make sure no one had been forgotten, and then he exited himself. The entire event had gone shockingly smoothly. After the plane landed, -Sullenberger said, “First Officer Jeff Skiles and I turned to each other and, +Sullenberger said, ďż˝First Officer Jeff Skiles and I turned to each other and, almost in unison, at the same time, with the same words, said to each other, -‘Well, that wasn’t as bad as I thought.’ ” +ďż˝Well, that wasnďż˝t as bad as I thought.ďż˝ ďż˝ So who was the hero here? No question, there was something miraculous about this flight. Luck played a huge role. The incident occurred in @@ -5485,8 +5387,8 @@ sometimes stated, sometimes just understood. But they all have at least three common elements. First is an expectation of selflessness: that we who accept responsibility -for others—whether we are doctors, lawyers, teachers, public authorities, -soldiers, or pilots—will place the needs and concerns of those who depend +for othersďż˝whether we are doctors, lawyers, teachers, public authorities, +soldiers, or pilotsďż˝will place the needs and concerns of those who depend on us above our own. Second is an expectation of skill: that we will aim for excellence in our knowledge and expertise. Third is an expectation of trustworthiness: that we will be responsible in our personal behavior toward @@ -5498,27 +5400,27 @@ following prudent procedure and in functioning with others. This is a concept almost entirely outside the lexicon of most professions, including -my own. In medicine, we hold up “autonomy” as a professional lodestar, a +my own. In medicine, we hold up ďż˝autonomyďż˝ as a professional lodestar, a principle that stands in direct opposition to discipline. But in a world in which success now requires large enterprises, teams of clinicians, high-risk -technologies, and knowledge that outstrips any one person’s abilities, +technologies, and knowledge that outstrips any one personďż˝s abilities, individual autonomy hardly seems the ideal we should aim for. It has the ring more of protectionism than of excellence. The closest our professional -codes come to articulating the goal is an occasional plea for “collegiality.” -What is needed, however, isn’t just that people working together be nice to +codes come to articulating the goal is an occasional plea for ďż˝collegiality.ďż˝ +What is needed, however, isnďż˝t just that people working together be nice to each other. It is discipline. -Discipline is hard—harder than trustworthiness and skill and perhaps +Discipline is hardďż˝harder than trustworthiness and skill and perhaps even than selflessness. We are by nature flawed and inconstant creatures. -We can’t even keep from snacking between meals. We are not built for +We canďż˝t even keep from snacking between meals. We are not built for discipline. We are built for novelty and excitement, not for careful attention to detail. Discipline is something we have to work at. -That’s perhaps why aviation has required institutions to make discipline a +Thatďż˝s perhaps why aviation has required institutions to make discipline a norm. The preflight checklist began as an invention of a handful of army pilots in the 1930s, but the power of their discovery gave birth to entire organizations. In the United States, we now have the National -Transportation Safety Board to study accidents—to independently +Transportation Safety Board to study accidentsďż˝to independently determine the underlying causes and recommend how to remedy them. And we have national regulations to ensure that those recommendations are incorporated into usable checklists and reliably adopted in ways that @@ -5527,14 +5429,14 @@ actually reduce harm. To be sure, checklists must not become ossified mandates that hinder rather than help. Even the simplest requires frequent revisitation and ongoing refinement. Airline manufacturers put a publication date on all -their checklists, and there is a reason why—they are expected to change -with time. In the end, a checklist is only an aid. If it doesn’t aid, it’s not +their checklists, and there is a reason whyďż˝they are expected to change +with time. In the end, a checklist is only an aid. If it doesnďż˝t aid, itďż˝s not right. But if it does, we must be ready to embrace the possibility. We have most readily turned to the computer as our aid. Computers hold out the prospect of automation as our bulwark against failure. Indeed, they can take huge numbers of tasks off our hands, and thankfully already have -—tasks of calculation, processing, storage, transmission. Without question, +ďż˝tasks of calculation, processing, storage, transmission. Without question, technology can increase our capabilities. But there is much that technology cannot do: deal with the unpredictable, manage uncertainty, construct a @@ -5546,7 +5448,7 @@ complexity to the systems we depend on and given us entirely new kinds of failure to contend with. One essential characteristic of modern life is that we all depend on -systems—on assemblages of people or technologies or both—and among +systemsďż˝on assemblages of people or technologies or bothďż˝and among our most profound difficulties is making them work. In medicine, for instance, if I want my patients to receive the best care possible, not only must I do a good job but a whole collection of diverse components have to @@ -5555,41 +5457,41 @@ points out Donald Berwick, president of the Institute for Healthcare Improvement in Boston and one of our deepest thinkers about systems in medicine. In both cases, having great components is not enough. -We’re obsessed in medicine with having great components— the best -drugs, the best devices, the best specialists—but pay little attention to how +Weďż˝re obsessed in medicine with having great componentsďż˝ the best +drugs, the best devices, the best specialistsďż˝but pay little attention to how to make them fit together well. Berwick notes how wrongheaded this -approach is. “Anyone who understands systems will know immediately that -optimizing parts is not a good route to system excellence,” he says. He +approach is. ďż˝Anyone who understands systems will know immediately that +optimizing parts is not a good route to system excellence,ďż˝ he says. He gives the example of a famous thought experiment of trying to build the -world’s greatest car by assembling the world’s greatest car parts. We +worldďż˝s greatest car by assembling the worldďż˝s greatest car parts. We connect the engine of a Ferrari, the brakes of a Porsche, the suspension of a -BMW, the body of a Volvo. “What we get, of course, is nothing close to a -great car; we get a pile of very expensive junk.” +BMW, the body of a Volvo. ďż˝What we get, of course, is nothing close to a +great car; we get a pile of very expensive junk.ďż˝ -Nonetheless, in medicine that’s exactly what we have done. We have a +Nonetheless, in medicine thatďż˝s exactly what we have done. We have a thirty-billion-dollar-a-year National Institutes of Health, which has been a remarkable powerhouse of medical discoveries. But we have no National Institute of Health Systems Innovation alongside it studying how best to -incorporate these discoveries into daily practice—no NTSB equivalent +incorporate these discoveries into daily practiceďż˝no NTSB equivalent swooping in to study failures the way crash investigators do, no Boeing mapping out the checklists, no agency tracking the month-to-month results. -The same can be said in numerous other fields. We don’t study routine +The same can be said in numerous other fields. We donďż˝t study routine failures in teaching, in law, in government programs, in the financial -industry, or elsewhere. We don’t look for the patterns of our recurrent +industry, or elsewhere. We donďż˝t look for the patterns of our recurrent mistakes or devise and refine potential solutions for them. But we could, and that is the ultimate point. We are all plagued by -failures—bymissed subtleties, overlooked knowledge, and outright errors. +failuresďż˝bymissed subtleties, overlooked knowledge, and outright errors. For the most part, we have imagined that little can be done beyond working harder and harder to catch the problems and clean up after them. We are not in the habit of thinking the way the army pilots did as they looked upon -their shiny new Model 299 bomber—a machine so complex no one was -sure human beings could fly it. They too could have decided just to “try -harder” or to dismiss a crash as the failings of a “weak” pilot. +their shiny new Model 299 bomberďż˝a machine so complex no one was +sure human beings could fly it. They too could have decided just to ďż˝try +harderďż˝ or to dismiss a crash as the failings of a ďż˝weakďż˝ pilot. Instead they chose to accept their fallibilities. They recognized the simplicity and power of using a checklist. @@ -5597,7 +5499,7 @@ simplicity and power of using a checklist. And so can we. Indeed, against the complexity of the world, we must. There is no other choice. When we look closely, we recognize the same balls being dropped over and over, even by those of great ability and -determination. We know the patterns. We see the costs. It’s time to try +determination. We know the patterns. We see the costs. Itďż˝s time to try something else. Try a checklist. @@ -5611,35 +5513,35 @@ form, I began using it in my own operations. I did so not because I thought it was needed but because I wanted to make sure it was really usable. Also, I did not want to be a hypocrite. We were about to trot this thing out in eight cities around the world. I had better be using it myself. But in my heart of -hearts—if you strapped me down and threatened to take out my appendix -without anesthesia unless I told the truth—did I think the checklist would +heartsďż˝if you strapped me down and threatened to take out my appendix +without anesthesia unless I told the truthďż˝did I think the checklist would make much of a difference in my cases? No. In my cases? Please. To my chagrin, however, I have yet to get through a week in surgery -without the checklist’s leading us to catch something we would have +without the checklistďż˝s leading us to catch something we would have missed. Take last week, as I write this, for instance. We had three catches in five cases. -I had a patient who hadn’t gotten the antibiotic she should have received +I had a patient who hadnďż˝t gotten the antibiotic she should have received before the incision, which is one of our most common catches. The anesthesia team had gotten distracted by the usual vicissitudes. They had trouble finding a good vein for an IV, and one of the monitors was being twitchy. Then the nurse called a time-out for the team to run the Before Incision check. -“Has the antibiotic been given within the last sixty minutes?” I asked, +ďż˝Has the antibiotic been given within the last sixty minutes?ďż˝ I asked, reading my lines off a wall poster. -“Oh, right, um, yes, it will be,” the anesthesia resident replied. We waited +ďż˝Oh, right, um, yes, it will be,ďż˝ the anesthesia resident replied. We waited a quiet minute for the medication to flow in before the scrub tech handed over the knife. -I had another patient who specifically didn’t want the antibiotic. +I had another patient who specifically didnďż˝t want the antibiotic. Antibiotics give her intestinal upset and yeast infections, she said. She understood the benefits, but the risk of a bacterial wound infection in her -particular operation was low—about 1 percent— and she was willing to +particular operation was lowďż˝about 1 percentďż˝ and she was willing to take her chances. Yet giving an antibiotic was so automatic (when we -weren’t distracted from it) that we twice nearly infused it into her, despite +werenďż˝t distracted from it) that we twice nearly infused it into her, despite @@ -5647,29 +5549,29 @@ her objections. The first time was before she went to sleep and she caught the error herself. The second time was after and the checklist caught it. As we went around the room at the pause before the incision, making sure no one had any concerns, the nurse reminded everyone not to give the -antibiotic. The anesthesia attending reacted with surprise. She hadn’t been +antibiotic. The anesthesia attending reacted with surprise. She hadnďż˝t been there for the earlier conversation and was about to drip it in. The third catch involved a woman in her sixties for whom I was doing a neck operation to remove half of her thyroid because of potential cancer. -She’d had her share of medical problems and required a purseful of -medications to keep them under control. She’d also been a longtime heavy +Sheďż˝d had her share of medical problems and required a purseful of +medications to keep them under control. Sheďż˝d also been a longtime heavy smoker but had quit a few years before. There seemed to be no significant lingering effects. She could climb two flights of stairs without shortness of breath or chest pain. She looked generallywell. Her lungs sounded clear and without wheezes under my stethoscope. The records showed no pulmonary diagnoses. But when she met the anesthesiologist before surgery, she -remembered that she’d had trouble breathing after two previous operations -and had required oxygen at home for several weeks. In one instance, she’d +remembered that sheďż˝d had trouble breathing after two previous operations +and had required oxygen at home for several weeks. In one instance, sheďż˝d required a stay in intensive care. This was a serious concern. The anesthesiologist knew about it, but I -didn’t—not until we ran the checklist. When the moment came to raise -concerns, the anesthesiologist asked why I wasn’t planning to watch her +didnďż˝tďż˝not until we ran the checklist. When the moment came to raise +concerns, the anesthesiologist asked why I wasnďż˝t planning to watch her longer than the usual few hours after day surgery, given her previous respiratory problems. -“What respiratory problems?” I said. The full story came out from there. +ďż˝What respiratory problems?ďż˝ I said. The full story came out from there. We made arrangements to keep the patient in the hospital for observation. Moreover, we made plans to give her inhalers during surgery and afterward to prevent breathing problems. They worked beautifully. She never needed @@ -5678,80 +5580,80 @@ extra oxygen at all. No matter how routine an operation is, the patients never seem to be. But with the checklist in place, we have caught unrecognized drug allergies, equipment problems, confusion about medications, mistakes on labels for -biopsy specimens going to pathology. (“No, that one is from the right side. -This is the one from the left side.”)We’ve made better plans and been better +biopsy specimens going to pathology. (ďż˝No, that one is from the right side. +This is the one from the left side.ďż˝)Weďż˝ve made better plans and been better prepared for patients. I am not sure how many important issues would have slipped by us without the checklist and actually caused harm. We were not bereft of defenses. Our usual effort to be vigilant and attentive might have -caught some of the problems. And those we didn’t catch may never have +caught some of the problems. And those we didnďż˝t catch may never have gone on to hurt anyone. I had one case, however, in which I know for sure the checklist saved my -patient’s life. Mr. Hagerman, as we’ll call him, was a fifty-three-year-old +patientďż˝s life. Mr. Hagerman, as weďż˝ll call him, was a fifty-three-year-old father of two and the CEO of a local company, and I had brought him to the operating room to remove his right adrenal gland because of an unusual tumor growing inside it called a pheochromocytoma. Tumors like his pour out dangerous levels of adrenalin and can be difficult to remove. They are -also exceedingly rare. But in recent years, I’ve developed alongside my +also exceedingly rare. But in recent years, Iďż˝ve developed alongside my general surgery practice a particular interest and expertise in endocrine -surgery. I’ve now removed somewhere around forty adrenal tumors without +surgery. Iďż˝ve now removed somewhere around forty adrenal tumors without complication. So when Mr. Hager-man came to see me about this strange mass in his right adrenal gland, I felt quite confident about my ability to -help him. There is always a risk of serious complications, I explained—the -primary danger occurs when you’re taking the gland off the vena cava, the +help him. There is always a risk of serious complications, I explainedďż˝the +primary danger occurs when youďż˝re taking the gland off the vena cava, the main vessel returning blood to the heart, because injuring the vena cava can cause life-threatening bleeding. But the likelihood was low, I reassured him. -Once you’re in the operating room, however, you either have a -complication or you don’t. And with him I did. +Once youďż˝re in the operating room, however, you either have a +complication or you donďż˝t. And with him I did. I was doing the operation laparoscopically, freeing the tumor with instruments I observed on a video monitor using a fiberoptic camera we put inside Mr. Hagerman. All was going smoothly. I was able to lift the liver up and out of the way, and underneath I found the soft, tan yellow mass, like the yolk of a hard-boiled egg. I began dissecting it free of the vena cava, -and although doing so was painstaking, it didn’t seem unusually difficult. -I’d gotten the tumor mostly separated when I did something I’d never done +and although doing so was painstaking, it didnďż˝t seem unusually difficult. +Iďż˝d gotten the tumor mostly separated when I did something Iďż˝d never done before: I made a tear in the vena cava. This is a catastrophe. I might as well have made a hole directly in Mr. -Hagerman’s heart. The bleeding that resulted was terrifying. He lost almost +Hagermanďż˝s heart. The bleeding that resulted was terrifying. He lost almost his entire volume of blood into his abdomen in about sixty seconds and went into cardiac arrest. I made a huge slashing incision to open his chest and belly as fast and wide as I could. I took his heart in my hand and began -compressing it— one-two-three-squeeze, one-two-three-squeeze—to keep +compressing itďż˝ one-two-three-squeeze, one-two-three-squeezeďż˝to keep his blood flow going to his brain. The resident assisting me held pressure on the vena cava to slow the torrent. But in the grip of my fingers, I could feel the heart emptying out. -I thought it was over, that we’d never get Mr. Hagerman out of the +I thought it was over, that weďż˝d never get Mr. Hagerman out of the operating room alive, that I had killed him. But we had run the checklist at the start of the case. When we had come to the part where I was supposed to -discuss how much blood loss the team should be prepared for, I said, “I -don’t expect much blood loss. I’ve never lost more than one hundred cc’s.” +discuss how much blood loss the team should be prepared for, I said, ďż˝I +donďż˝t expect much blood loss. Iďż˝ve never lost more than one hundred ccďż˝s.ďż˝ I was confident. I was looking forward to this operation. But I added that the tumor was pressed right up against the vena cava and that significant blood loss remained at least a theoretical concern. The nurse took that as a cue to check that four units of packed red cells had been set aside in the -blood bank, like they were supposed to be—“just in case,” as she said. +blood bank, like they were supposed to be��just in case,ďż˝ as she said. -They hadn’t been, it turned out. So the blood bank got the four units +They hadnďż˝t been, it turned out. So the blood bank got the four units ready. And as a result, from this one step alone, the checklist saved my -patient’s life. +patientďż˝s life. -Just as powerful, though, was the effect that the routine of the checklist— -the discipline—had on us. Of all the people in the room as we started that -operation—the anesthesiologist, the nurse anesthetist, the surgery resident, -the scrub nurse, the circulating nurse, the medical student—I had worked +Just as powerful, though, was the effect that the routine of the checklistďż˝ +the disciplineďż˝had on us. Of all the people in the room as we started that +operationďż˝the anesthesiologist, the nurse anesthetist, the surgery resident, +the scrub nurse, the circulating nurse, the medical studentďż˝I had worked with only two before, and I knew only the resident well. But as we went -around the room introducing ourselves—“Atul Gawande, surgeon.” “Rich -Bafford, surgery resident.” “Sue Marchand, nurse”—you could feel the -room snapping to attention. We confirmed the patient’s name on his ID +around the room introducing ourselves��Atul Gawande, surgeon.ďż˝ ďż˝Rich +Bafford, surgery resident.ďż˝ ďż˝Sue Marchand, nurse��you could feel the +room snapping to attention. We confirmed the patientďż˝s name on his ID bracelet and that we all agreed which adrenal gland was supposed to come out. The anesthesiologist confirmed that he had no critical issues to mention before starting, and so did the nurses. We made sure that the antibiotics @@ -5765,9 +5667,9 @@ the blood from the blood bank almost instantly. The anesthesiologist began pouring unit after unit into the patient. Forces were marshaled to bring in the additional equipment I requested, to page the vascular surgeon I wanted, to assist the anesthesiologist with obtaining more intravenous access, to -keep the blood bank apprised. And together the team got me—and the -patient—precious time. They ended up transfusing more than thirty units of -blood into him—he lost three times as much blood as his body contained to +keep the blood bank apprised. And together the team got meďż˝and the +patientďż˝precious time. They ended up transfusing more than thirty units of +blood into himďż˝he lost three times as much blood as his body contained to @@ -5780,15 +5682,15 @@ survived. I cannot pretend he escaped unscathed. The extended period of low blood pressure damaged an optic nerve and left him essentially blind in one eye. -He didn’t get off the respirator for days. He was out of work for months. I +He didnďż˝t get off the respirator for days. He was out of work for months. I was crushed by what I had put him through. Though I apologized to him and carried on with my daily routine, it took me a long time to feel right -again in surgery. I can’t do an adrenalectomy without thinking of his case, +again in surgery. I canďż˝t do an adrenalectomy without thinking of his case, and I suspect that is good. I have even tried refining the operative technique in hopes of coming up with better ways to protect the vena cava and keep anything like his experience from happening again. -But more than this, because of Mr. Hagerman’s operation, I have come to +But more than this, because of Mr. Hagermanďż˝s operation, I have come to be grateful for what a checklist can do. I do not like to think how much worse the case could have been. I do not like to think about having to walk out to that family waiting area and explain to his wife that her husband had @@ -5798,370 +5700,370 @@ I spoke to Mr. Hagerman not long ago. He had sold his company with great success and was in the process of turning another company around. He was running three days a week. He was even driving. -“I have to watch out for my blind spot, but I can manage,” he said. -He had no bitterness, no anger, and this is remarkable to me. “I count +ďż˝I have to watch out for my blind spot, but I can manage,ďż˝ he said. +He had no bitterness, no anger, and this is remarkable to me. ďż˝I count -myself lucky just to be alive,” he insisted. I asked him if I could have +myself lucky just to be alive,ďż˝ he insisted. I asked him if I could have permission to tell others his story. -“Yes,” he said. “I’d be glad if you did.” +ďż˝Yes,ďż˝ he said. ďż˝Iďż˝d be glad if you did.ďż˝ NOTES ON SOURCES INTRODUCTION -7 “In the 1970s”: S. Gorovitz and A. MacIntyre, “Toward a Theory of +7 ďż˝In the 1970sďż˝: S. Gorovitz and A. MacIntyre, ďż˝Toward a Theory of -Medical Fallibility,” Journal of Medicine and Philosophy 1 (1976): 51– +Medical Fallibility,ďż˝ Journal of Medicine and Philosophy 1 (1976): 51ďż˝ 71. -9 “The first safe medication”: M. Hamilton and E. N. Thompson, “The +9 ďż˝The first safe medicationďż˝: M. Hamilton and E. N. Thompson, ďż˝The Role of Blood Pressure Control in Preventing Complications of -Hypertension,” Lancet 1 (1964): 235–39. See also VA Cooperative -Study Group, “Effects of Treatment on Morbidity of Hypertension,” -Journal of the American Medical Association 202 (1967): 1028–33. +Hypertension,ďż˝ Lancet 1 (1964): 235ďż˝39. See also VA Cooperative +Study Group, ďż˝Effects of Treatment on Morbidity of Hypertension,ďż˝ +Journal of the American Medical Association 202 (1967): 1028ďż˝33. -10 “After that, survival”: R. L. McNamara et al., “Effect of Door-to- +10 ďż˝After that, survivalďż˝: R. L. McNamara et al., ďż˝Effect of Door-to- Balloon Time on Mortality in Patients with ST-Segment Elevation -Myocardial Infarction,” Journal of the American College of Cardiology -47 (2006): 2180–86. +Myocardial Infarction,ďż˝ Journal of the American College of Cardiology +47 (2006): 2180ďż˝86. -10 “In 2006”: E. H. Bradley et al., “Strategies for Reducing the Door-to- -Balloon Time in Acute Myocardial Infarction,” New England Journal -of Medicine 355 (2006): 2308–20. +10 ďż˝In 2006ďż˝: E. H. Bradley et al., ďż˝Strategies for Reducing the Door-to- +Balloon Time in Acute Myocardial Infarction,ďż˝ New England Journal +of Medicine 355 (2006): 2308ďż˝20. -10 “Studies have found”: E. A. McGlynn et al., “Rand Research Brief: -The First National Report Card on Quality of Health Care in America,” +10 ďż˝Studies have foundďż˝: E. A. McGlynn et al., ďż˝Rand Research Brief: +The First National Report Card on Quality of Health Care in America,ďż˝ Rand Corporation, 2006. -11 “You see it in the 36 percent increase”: American Bar Association, -Profile of Legal Malpractice Claims, 2004–2007 (Chicago: American +11 ďż˝You see it in the 36 percent increaseďż˝: American Bar Association, +Profile of Legal Malpractice Claims, 2004ďż˝2007 (Chicago: American Bar Association, 2008). 1. THE PROBLEM OF EXTREME COMPLEXITY -15 “I read a case report”:M. Thalmann, N. Trampitsch, M. Haberfellner, +15 ďż˝I read a case reportďż˝:M. Thalmann, N. Trampitsch, M. Haberfellner, -et al., “Resuscitation in Near Drowning with Extracorporeal Membrane -Oxygenation,” Annals of Thoracic Surgery 72 (2001): 607–8. +et al., ďż˝Resuscitation in Near Drowning with Extracorporeal Membrane +Oxygenation,ďż˝ Annals of Thoracic Surgery 72 (2001): 607ďż˝8. -21 “The answer that came back”: Further details of the analysis by +21 ďż˝The answer that came backďż˝: Further details of the analysis by Marcus Semel, Richard Marshall, and Amy Marston will appear in a forthcoming scientific article. -23 “On any given day”: Society of Critical Care Medicine, Critical Care +23 ďż˝On any given dayďż˝: Society of Critical Care Medicine, Critical Care Statistics in the United States, 2006. -23 “The average stay”: J. E. Zimmerman et al., “Intensive Care Unit +23 ďż˝The average stayďż˝: J. E. Zimmerman et al., ďż˝Intensive Care Unit Length of Stay: Benchmarking Based on Acute Physiology and -Chronic Health Evaluation (APACHE) IV,” Critical Care Medicine 34 -(2006): 2517–29. +Chronic Health Evaluation (APACHE) IV,ďż˝ Critical Care Medicine 34 +(2006): 2517ďż˝29. -23 “Fifteen years ago”: Y. Donchin et al., “A Look into the Nature and -Causes of Human Errors in the Intensive Care Unit,” Critical Care -Medicine 23 (1995): 294–300. +23 ďż˝Fifteen years agoďż˝: Y. Donchin et al., ďż˝A Look into the Nature and +Causes of Human Errors in the Intensive Care Unit,ďż˝ Critical Care +Medicine 23 (1995): 294ďż˝300. -24 “There are dangers simply”: N. Vaecker et al., “Bone Resorption Is +24 ďż˝There are dangers simplyďż˝: N. Vaecker et al., ďż˝Bone Resorption Is Induced on the Second Day of Bed Rest: Results of a Controlled, -Crossover Trial,” Journal of Applied Physiology 95 (2003): 977–82. +Crossover Trial,ďż˝ Journal of Applied Physiology 95 (2003): 977ďż˝82. -28 “national statistics show”: Centers for Disease Control, “National +28 ďż˝national statistics showďż˝: Centers for Disease Control, ďż˝National Nosocomial Infection Surveillance (NNIS) System Report, 2004, Data Summary from January 1992 through June 2004, Issued October -2004,” American Journal of Infection Control 32 (2004): 470–85. +2004,ďż˝ American Journal of Infection Control 32 (2004): 470ďż˝85. -28 “Those who survive line infections”: P. Kalfon et al., “Comparison of +28 ďż˝Those who survive line infectionsďż˝: P. Kalfon et al., ďż˝Comparison of Silver-Impregnated with Standard Multi-Lumen Central Venous -Catheters in Critically Ill Patients,” Critical Care Medicine 35 (2007): -1032–39. +Catheters in Critically Ill Patients,ďż˝ Critical Care Medicine 35 (2007): +1032ďż˝39. -28 “All in all, about half ”: S. Ghorra et al., “Analysis of the Effect of -Conversion from Open to Closed Surgical Intensive Care Units,” -Annals of Surgery 2 (1999): 163–71. +28 ďż˝All in all, about half ďż˝: S. Ghorra et al., ďż˝Analysis of the Effect of +Conversion from Open to Closed Surgical Intensive Care Units,ďż˝ +Annals of Surgery 2 (1999): 163ďż˝71. 2. THE CHECKLIST -32 “On October 30, 1935”: P. S. Meilinger, “When the Fortress Went +32 ďż˝On October 30, 1935ďż˝: P. S. Meilinger, ďż˝When the Fortress Went -Down,” Air Force Magazine, Oct. 2004, pp. 78–82. -35 “A study of forty-one thousand”: J. R. Clarke, A. V. Ragone, and L. +Down,ďż˝ Air Force Magazine, Oct. 2004, pp. 78ďż˝82. +35 ďż˝A study of forty-one thousandďż˝: J. R. Clarke, A. V. Ragone, and L. -Greenwald, “Comparisons of Survival Predictions Using Survival Risk +Greenwald, ďż˝Comparisons of Survival Predictions Using Survival Risk Ratios Based on International Classification of Diseases, Ninth -Revision and Abbreviated Injury Scale Trauma Diagnosis Codes,” -Journal of Trauma 59 (2005): 563–69. +Revision and Abbreviated Injury Scale Trauma Diagnosis Codes,ďż˝ +Journal of Trauma 59 (2005): 563ďż˝69. -35 “Practitioners have had the means”: J. V. Stewart, Vital Signs and +35 ďż˝Practitioners have had the meansďż˝: J. V. Stewart, Vital Signs and Resuscitation (Georgetown, TX: Landes Bioscience, 2003). -38 “In more than a third of patients”: S. M. Berenholtz et al., -“Eliminating Catheter-Related Bloodstream Infections in the Intensive -Care Unit,” Critical Care Medicine 32 (2004): 2014–20. +38 ďż˝In more than a third of patientsďż˝: S. M. Berenholtz et al., +ďż˝Eliminating Catheter-Related Bloodstream Infections in the Intensive +Care Unit,ďż˝ Critical Care Medicine 32 (2004): 2014ďż˝20. -39 “This reduced from 41 percent”: M. A. Erdek and P. J. Pronovost, -“Improvement of Assessment and Treatment of Pain in the Critically -Ill,” International Journal for Quality Improvement in Healthcare 16 -(2004): 59–64. +39 ďż˝This reduced from 41 percentďż˝: M. A. Erdek and P. J. Pronovost, +ďż˝Improvement of Assessment and Treatment of Pain in the Critically +Ill,ďż˝ International Journal for Quality Improvement in Healthcare 16 +(2004): 59ďż˝64. -39 “The proportion of patients”: S. M. Berenholtz et al., “Improving Care -for the Ventilated Patient,” Joint Commission Journal on Quality and -Safety 4 (2004): 195–204. +39 ďż˝The proportion of patientsďż˝: S. M. Berenholtz et al., ďż˝Improving Care +for the Ventilated Patient,ďż˝ Joint Commission Journal on Quality and +Safety 4 (2004): 195ďż˝204. -39 “The researchers found”: P. J. Pronovost et al., “Improving -Communication in the ICU Using Daily Goals,” Journal of Critical -Care 18 (2003): 71–75. +39 ďż˝The researchers foundďż˝: P. J. Pronovost et al., ďż˝Improving +Communication in the ICU Using Daily Goals,ďż˝ Journal of Critical +Care 18 (2003): 71ďż˝75. -39 “In a survey of ICU staff ”: Berenholtz et al., “Improving Care.” -41 “But between 2000 and 2003”: K. Norris, “DMC Ends 2004 in the +39 ďż˝In a survey of ICU staff ďż˝: Berenholtz et al., ďż˝Improving Care.ďż˝ +41 ďż˝But between 2000 and 2003ďż˝: K. Norris, ďż˝DMC Ends 2004 in the -Black, but Storm Clouds Linger,” Detroit Free Press, March 30, 2005. -44 “In December 2006”: P. J. Pronovost et al., “An Intervention to +Black, but Storm Clouds Linger,ďż˝ Detroit Free Press, March 30, 2005. +44 ďż˝In December 2006ďż˝: P. J. Pronovost et al., ďż˝An Intervention to -Reduce Catheter-Related Bloodstream Infections in the ICU,” New -England Journal of Medicine 355 (2006): 2725–32. +Reduce Catheter-Related Bloodstream Infections in the ICU,ďż˝ New +England Journal of Medicine 355 (2006): 2725ďż˝32. 3. THE END OF THE MASTER BUILDER -48 “Two professors who study”: S. Glouberman and B. Zimmerman, +48 ďż˝Two professors who studyďż˝: S. Glouberman and B. Zimmerman, -“Complicated and Complex Systems: What Would Successful Reform -of Medicare Look Like?” discussion paper no. 8, Commission on the +ďż˝Complicated and Complex Systems: What Would Successful Reform +of Medicare Look Like?ďż˝ discussion paper no. 8, Commission on the Future of Health Care in Canada, Saskatoon, 2002. -54 “His firm, McNamara/Salvia”: Portfolio at www.mcsal.com. -59 “We’ve been slow to adapt”: Data from the Dartmouth Atlas of Health +54 ďż˝His firm, McNamara/Salviaďż˝: Portfolio at www.mcsal.com. +59 ďż˝Weďż˝ve been slow to adaptďż˝: Data from the Dartmouth Atlas of Health Care, www.darmouthatlas.org. -69 “It was planned to rise”: R. J. McNamara, “Robert J. McNamara, SE, +69 ďż˝It was planned to riseďż˝: R. J. McNamara, ďż˝Robert J. McNamara, SE, -FASCE,” Structural Design of Tall and Special Buildings 17 (2008): -493–512. +FASCE,ďż˝ Structural Design of Tall and Special Buildings 17 (2008): +493ďż˝512. -70 “But, as a New Yorker story”: Joe Morgenstern, “The Fifty-Nine-Story -Crisis,” New Yorker, May 29, 1995. +70 ďż˝But, as a New Yorker storyďż˝: Joe Morgenstern, ďż˝The Fifty-Nine-Story +Crisis,ďż˝ New Yorker, May 29, 1995. -71 “In the United States”: U.S. Census data for 2003 and 2008, www -.census.gov; K. Wardhana and F. C. Hadipriono, “Study of Recent -Building Failures in the United States,” Journal of Performance of -Constructed Facilities 17 (2003): 151–58. +71 ďż˝In the United Statesďż˝: U.S. Census data for 2003 and 2008, www +.census.gov; K. Wardhana and F. C. Hadipriono, ďż˝Study of Recent +Building Failures in the United States,ďż˝ Journal of Performance of +Constructed Facilities 17 (2003): 151ďż˝58. 4. THE IDEA -73 “At 6:00 a.m.”: Hurricane Katrina events and data from E. Scott, +73 ďż˝At 6:00 a.m.ďż˝: Hurricane Katrina events and data from E. Scott, -“Hurricane Katrina,” Managing Crises: Responses to Large-Scale +ďż˝Hurricane Katrina,ďż˝ Managing Crises: Responses to Large-Scale Emergencies, ed. A. M. Howitt and H. B. Leonard (Washington, D.C.: -CQ Press, 2009), pp. 13–74. +CQ Press, 2009), pp. 13ďż˝74. -76 “Of all organizations”: Wal-Mart events and data from S. Rose-grant, -“Wal-Mart’s Response to Hurricane Katrina,” Managing Crises, pp. -379–406. +76 ďż˝Of all organizationsďż˝: Wal-Mart events and data from S. Rose-grant, +ďż˝Wal-Martďż˝s Response to Hurricane Katrina,ďż˝ Managing Crises, pp. +379ďż˝406. -78 “For every Wal-Mart”: D. Gross, “What FEMA Could Learn from -Wal-Mart: Less Than You Think,” Slate, Sept. 23, 2005, http:// +78 ďż˝For every Wal-Martďż˝: D. Gross, ďż˝What FEMA Could Learn from +Wal-Mart: Less Than You Think,ďż˝ Slate, Sept. 23, 2005, http:// www.slate.com/id/2126832. -78 “In the early days”: Scott, “Hurricane Katrina,” p. 49. -80 “As Roth explained”: D. L. Roth, Crazy from the Heat (New York: +78 ďż˝In the early daysďż˝: Scott, ďż˝Hurricane Katrina,ďż˝ p. 49. +80 ďż˝As Roth explainedďż˝: D. L. Roth, Crazy from the Heat (New York: Hyperion, 1997). -81 “Her focus is on regional Italian cuisine”: J. Adams and K. Rivard, In +81 ďż˝Her focus is on regional Italian cuisineďż˝: J. Adams and K. Rivard, In the Hands of a Chef: Cooking with Jody Adams of Rialto Restaurant (New York:William Morrow, 2002). 5. THE FIRST TRY -87 “By 2004”: T. G. Weiser et al., “An Estimation of the Global Volume +87 ďż˝By 2004ďż˝: T. G. Weiser et al., ďż˝An Estimation of the Global Volume -of Surgery: A Modelling Strategy Based on Available Data,” Lancet -372 (2008): 139–44. +of Surgery: A Modelling Strategy Based on Available Data,ďż˝ Lancet +372 (2008): 139ďż˝44. -87 “Although most of the time”: A. A. Gawande et al., “The Incidence -and Nature of Surgical Adverse Events in Colorado and Utah in 1992,” -Surgery 126 (1999): 66–75. +87 ďż˝Although most of the timeďż˝: A. A. Gawande et al., ďż˝The Incidence +and Nature of Surgical Adverse Events in Colorado and Utah in 1992,ďż˝ +Surgery 126 (1999): 66ďż˝75. -87 “Worldwide, at least seven million people”: Weiser, “An Estimation,” +87 ďż˝Worldwide, at least seven million peopleďż˝: Weiser, ďż˝An Estimation,ďż˝ and World Health Organization, World Health Report, 2004 (Geneva: WHO, 2004). See annex, table 2. -91 “The strategy has shown results”: P. K. Lindenauer et al., “Public -Reporting and Pay for Performance in Hospital Quality Improvement,” -New England Journal of Medicine 356 (2007): 486–96. +91 ďż˝The strategy has shown resultsďż˝: P. K. Lindenauer et al., ďż˝Public +Reporting and Pay for Performance in Hospital Quality Improvement,ďż˝ +New England Journal of Medicine 356 (2007): 486ďż˝96. -93 “When the disease struck”: S. Johnson, The Ghost Map (New York: +93 ďż˝When the disease struckďż˝: S. Johnson, The Ghost Map (New York: Riverhead, 2006). -95 “Luby and his team reported”: S. P. Luby et al., “Effect of Hand- -washing on Child Health: A Randomised Controlled Trial,” Lancet 366 -(2005): 225–33. +95 ďż˝Luby and his team reportedďż˝: S. P. Luby et al., ďż˝Effect of Hand- +washing on Child Health: A Randomised Controlled Trial,ďż˝ Lancet 366 +(2005): 225ďż˝33. -98 “But give it on time”: A. A. Gawande and T. G. Weiser, eds.,World +98 ďż˝But give it on timeďż˝: A. A. Gawande and T. G. Weiser, eds.,World Health Organization Guidelines for Safe Surgery (Geneva: WHO, 2008). -102 “In one survey of three hundred”:M. A. Makary et al., “Operating -Room Briefings and Wrong-Site Surgery,” Journal of the American -College of Surgeons 204 (2007): 236–43. +102 ďż˝In one survey of three hundredďż˝:M. A. Makary et al., ďż˝Operating +Room Briefings and Wrong-Site Surgery,ďż˝ Journal of the American +College of Surgeons 204 (2007): 236ďż˝43. -102 “surveyed more than a thousand”: J. B. Sexton, E. J. Thomas, and R. -L. Helmsreich, “Error, Stress, and Teamwork in Medicine and -Aviation,” British Medical Journal 320 (2000): 745–49. +102 ďż˝surveyed more than a thousandďż˝: J. B. Sexton, E. J. Thomas, and R. +L. Helmsreich, ďż˝Error, Stress, and Teamwork in Medicine and +Aviation,ďż˝ British Medical Journal 320 (2000): 745ďż˝49. -108 “The researchers learned”: See preliminary data reported in “Team -Communication in Safety,” OR Manager 19, no. 12 (2003): 3. +108 ďż˝The researchers learnedďż˝: See preliminary data reported in ďż˝Team +Communication in Safety,ďż˝ OR Manager 19, no. 12 (2003): 3. -109 “After three months”: Makary et al., “Operating Room Briefings and -Wrong-Site Surgery.” +109 ďż˝After three monthsďż˝: Makary et al., ďż˝Operating Room Briefings and +Wrong-Site Surgery.ďż˝ -109 “At the Kaiser hospitals”: “ ‘Preflight Checklist’ Builds Safety -Culture, Reduces Nurse Turnover,” OR Manager 19, no. 12 (2003): 1– +109 ďż˝At the Kaiser hospitalsďż˝: ďż˝ ďż˝Preflight Checklistďż˝ Builds Safety +Culture, Reduces Nurse Turnover,ďż˝ OR Manager 19, no. 12 (2003): 1ďż˝ 4. -109 “At Toronto”: L. Lingard et al. “Getting Teams to Talk: Development +109 ďż˝At Torontoďż˝: L. Lingard et al. ďż˝Getting Teams to Talk: Development and Prior Implementation of a Checklist to Promote Interpersonal -Communication in the OR,” Quality and Safety in Health Care 14 -(2005): 340–46. +Communication in the OR,ďż˝ Quality and Safety in Health Care 14 +(2005): 340ďż˝46. 6. THE CHECKLIST FACTORY -114 “Among the articles I found”: D. J. Boorman, “Reducing Flight +114 ďż˝Among the articles I foundďż˝: D. J. Boorman, ďż˝Reducing Flight Crew Errors and Minimizing New Error Modes with Electronic -Checklists,” Proceedings of the International Conference on Human- -Computer Interaction in Aeronautics (Toulouse: Editions Cépaudčs, -2000), pp. 57–63; D. J. Boorman, “Today’s Electronic Checklists +Checklists,ďż˝ Proceedings of the International Conference on Human- +Computer Interaction in Aeronautics (Toulouse: Editions Cďż˝paudďż˝s, +2000), pp. 57ďż˝63; D. J. Boorman, ďż˝Todayďż˝s Electronic Checklists -Reduce Likelihood of Crew Errors and Help Prevent Mishaps,” ICAO -Journal 56 (2001): 17–20. +Reduce Likelihood of Crew Errors and Help Prevent Mishaps,ďż˝ ICAO +Journal 56 (2001): 17ďż˝20. -116 “An electrical short”: National Traffic Safety Board, “Aircraft -Accident Report: Explosive Decompression—Loss of Cargo Door in +116 ďż˝An electrical shortďż˝: National Traffic Safety Board, ďż˝Aircraft +Accident Report: Explosive Decompressionďż˝Loss of Cargo Door in Flight, United Airlines Flight 811, Boeing 747-122, N4713U, -Honolulu, Hawaii, February 24, 1989,” Washington D.C., March 18, +Honolulu, Hawaii, February 24, 1989,ďż˝ Washington D.C., March 18, 1992. -116 “The plane was climbing”: S. White, “Twenty-Six Minutes of -Terror,” Flight Safety Australia, Nov.–Dec. 1999, pp. 40–42. +116 ďż˝The plane was climbingďż˝: S. White, ďż˝Twenty-Six Minutes of +Terror,ďż˝ Flight Safety Australia, Nov.ďż˝Dec. 1999, pp. 40ďż˝42. -120 “They can help experts”: A. Degani and E. L. Wiener, “Human -Factors of Flight-Deck Checklists: The Normal Checklist,” NASA +120 ďż˝They can help expertsďż˝: A. Degani and E. L. Wiener, ďż˝Human +Factors of Flight-Deck Checklists: The Normal Checklist,ďż˝ NASA Contractor Report 177549, Ames Research Center, May 1990. -121 “Some have been found confusing”: Aviation Safety Reporting -System, “ASRS Database Report Set: Checklist Incidents,” 2009. +121 ďż˝Some have been found confusingďż˝: Aviation Safety Reporting +System, ďż˝ASRS Database Report Set: Checklist Incidents,ďż˝ 2009. -129 “Crash investigators with Britain’s”: Air Accidents Investigation -Branch, “AAIB Interim Report: Accident to Boeing 777-236ER, G- -YMMM, at London Heathrow Airport on 17 January 2008,” +129 ďż˝Crash investigators with Britainďż˝sďż˝: Air Accidents Investigation +Branch, ďż˝AAIB Interim Report: Accident to Boeing 777-236ER, G- +YMMM, at London Heathrow Airport on 17 January 2008,ďż˝ Department of Transport, London, Sept. 2008. -129 “ ‘It was just yards above’ ”: M. Fricker, “Gordon Brown Just 25 -Feet from Death in Heathrow Crash,” Daily Mirror, Jan. 18, 2008. +129 ďż˝ ďż˝It was just yards aboveďż˝ ďż˝: M. Fricker, ďż˝Gordon Brown Just 25 +Feet from Death in Heathrow Crash,ďż˝ Daily Mirror, Jan. 18, 2008. -129 “The nose wheels collapsed”: Air Accidents Investigation Branch, -“AAIB Bulletin S1/2008,” Department of Transport, London, Feb. +129 ďż˝The nose wheels collapsedďż˝: Air Accidents Investigation Branch, +ďż˝AAIB Bulletin S1/2008,ďż˝ Department of Transport, London, Feb. 2008. -130 “Their initial reports”: Air Accidents Investigation Branch, “AAIB -Bulletin S1/2008”; Air Accidents Investigation Branch, “AAIB -Bulletin S3/2008,” Department of Transport, London, May 2008. +130 ďż˝Their initial reportsďż˝: Air Accidents Investigation Branch, ďż˝AAIB +Bulletin S1/2008ďż˝; Air Accidents Investigation Branch, ďż˝AAIB +Bulletin S3/2008,ďż˝ Department of Transport, London, May 2008. -132 “Nonetheless, the investigators tested”: Air Accidents Investigation -Branch, “AAIB Interim Report.” +132 ďż˝Nonetheless, the investigators testedďż˝: Air Accidents Investigation +Branch, ďż˝AAIB Interim Report.ďż˝ -132 “So in September 2008”: Federal Aviation Administration, +132 ďż˝So in September 2008ďż˝: Federal Aviation Administration, Airworthiness Directive; Boeing Model 777-200 and -300 Series Airplanes Equipped with Rolls-Royce Model RB211-TRENT 800 Series Engines, Washington, D.C., Sept. 12, 2008. -133 “One study in medicine”: E. A. Balas and S. A. Boren, “Managing -Clinical Knowledge for Health Care Improvement,” Yearbook of -Medical Informatics (2000): 65–70. +133 ďż˝One study in medicineďż˝: E. A. Balas and S. A. Boren, ďż˝Managing +Clinical Knowledge for Health Care Improvement,ďż˝ Yearbook of +Medical Informatics (2000): 65ďż˝70. -133 “almost 700,000 medical journal articles”: National Library of -Medicine, “Key Medline Indicators,” Nov. 12, 2008, accessed at +133 ďż˝almost 700,000 medical journal articlesďż˝: National Library of +Medicine, ďż˝Key Medline Indicators,ďż˝ Nov. 12, 2008, accessed at www.nlm.nih.gov/bsd/bsd_key.html. -134 “This time it was”: National Transportation Safety Board, “Safety -Recommendations A-09-17-18,”Washington, D.C., March 11, 2009. +134 ďż˝This time it wasďż˝: National Transportation Safety Board, ďż˝Safety +Recommendations A-09-17-18,ďż˝Washington, D.C., March 11, 2009. 7. THE TEST -139 “Of the tens of millions”: Joint Commission, Sentinel Event Alert, +139 ďż˝Of the tens of millionsďż˝: Joint Commission, Sentinel Event Alert, June 24, 2003. -139 “By comparison, some 300,000”: R. D. Scott, “The Direct Medical +139 ďż˝By comparison, some 300,000ďż˝: R. D. Scott, ďż˝The Direct Medical Costs of Healthcare-Associated Infections in U.S. Hospitals and the -Benefits of Prevention,” Centers for Disease Control, March 2009. +Benefits of Prevention,ďż˝ Centers for Disease Control, March 2009. -140 “The final WHO safe surgery checklist”: The checklist can be +140 ďż˝The final WHO safe surgery checklistďż˝: The checklist can be accessed at www.who.int/safesurgery. -146 “We gave them some PowerPoint slides”: The videos can be viewed +146 ďż˝We gave them some PowerPoint slidesďż˝: The videos can be viewed at www.safesurg.org/materials.html. -156 “In January 2009”: A. B. Haynes et al., “A Surgical Safety Checklist -to Reduce Morbidity and Mortality in a Global Population,” New -England Journal of Medicine 360 (2009): 491–99. +156 ďż˝In January 2009ďż˝: A. B. Haynes et al., ďż˝A Surgical Safety Checklist +to Reduce Morbidity and Mortality in a Global Population,ďż˝ New +England Journal of Medicine 360 (2009): 491ďż˝99. 8. THE HERO IN THE AGE OF CHECKLISTS -161 “Tom Wolfe’s The Right Stuff”: T. Wolfe, The Right Stuff (New York: +161 ďż˝Tom Wolfeďż˝s The Right Stuffďż˝: T. Wolfe, The Right Stuff (New York: Farrar, Straus and Giroux, 1979). -163 “Neuroscientists have found”: H. Breiter et al., “Functional Imaging +163 ďż˝Neuroscientists have foundďż˝: H. Breiter et al., ďż˝Functional Imaging of Neural Responses to Expectancy and Experience of Monetary Gains -and Losses,” Neuron 30 (2001): 619–39. +and Losses,ďż˝ Neuron 30 (2001): 619ďż˝39. -166 “ ‘Cort’s earning power’ ”: Wesco Financial Corporation, Securities +166 ďż˝ ďż˝Cortďż˝s earning powerďż˝ ďż˝: Wesco Financial Corporation, Securities and Exchange Commission, Form 8-K filing, May 4, 2005. -170 “Smart specifically studied”: G. H. Smart, “Management Assessment +170 ďż˝Smart specifically studiedďż˝: G. H. Smart, ďż˝Management Assessment Methods in Venture Capital: An Empirical Analysis of Human Capital -Valuation,” Journal of Private Equity 2, no. 3 (1999): 29–45. +Valuation,ďż˝ Journal of Private Equity 2, no. 3 (1999): 29ďż˝45. -172 “He has since gone on”: G. H. Smart and R. Street, Who: The A +172 ďż˝He has since gone onďż˝: G. H. Smart and R. Street, Who: The A Method for Hiring (New York: Ballantine, 2008). -173 “A National Transportation Safety Board official”: J. Olshan and I. -Livingston, “Quiet Air Hero Is Captain America,” New York Post, Jan. +173 ďż˝A National Transportation Safety Board officialďż˝: J. Olshan and I. +Livingston, ďż˝Quiet Air Hero Is Captain America,ďż˝ New York Post, Jan. 17, 2009. -174 “As Sullenberger kept saying”:M. Phillips, “Sully, Flight 1549 Crew -Receive Keys to New York City,” The Middle Seat, blog,Wall Street +174 ďż˝As Sullenberger kept sayingďż˝:M. Phillips, ďż˝Sully, Flight 1549 Crew +Receive Keys to New York City,ďż˝ The Middle Seat, blog,Wall Street Journal, Feb. 9, 2009, http://blogs.wsj.com/middleseat/2009/02/ 09/. -174 “ ‘That was so long ago’ ”: “Sully’s Tale,” Air&Space, Feb. 18, +174 ďż˝ ďż˝That was so long agoďż˝ ďż˝: ďż˝Sullyďż˝s Tale,ďż˝ Air&Space, Feb. 18, 2009. -178 “Once that happened”: C. Sullenberger and J. Zaslow, Highest Duty: +178 ďż˝Once that happenedďż˝: C. Sullenberger and J. Zaslow, Highest Duty: My Search for What Really Matters (New York: William Morrow, 2009). -179 “Skiles managed to complete”: Testimony of Captain Terry Lutz, +179 ďż˝Skiles managed to completeďż˝: Testimony of Captain Terry Lutz, Experimental Test Pilot, Engineering Flight Operations, Airbus, -National Transportation Safety Board, “Public Hearing in the Matter of +National Transportation Safety Board, ďż˝Public Hearing in the Matter of the Landing of US Air Flight 1549 in the Hudson River, Weehawken, -New Jersey, January 15, 2009,” June 10, 2009. +New Jersey, January 15, 2009,ďż˝ June 10, 2009. -180 “ ‘Flaps out?’ ”: D. P. Brazy, “Group Chairman’s Factual Report of -Investigation: Cockpit Voice Recorder DCA09MA026,” National +180 ďż˝ ďż˝Flaps out?ďż˝ ďż˝: D. P. Brazy, ďż˝Group Chairmanďż˝s Factual Report of +Investigation: Cockpit Voice Recorder DCA09MA026,ďż˝ National Transportation Safety Board, April 22, 2009. -180 “For, as journalist and pilot”: W. Langewiesche, “Anatomy of a -Miracle,” Vanity Fair, June 2009. +180 ďż˝For, as journalist and pilotďż˝: W. Langewiesche, ďż˝Anatomy of a +Miracle,ďż˝ Vanity Fair, June 2009. -181 “After the plane landed”: Testimony of Captain Chesley +181 ďż˝After the plane landedďż˝: Testimony of Captain Chesley Sullenberger, A320 Captain, US Airways, National Transportation Safety Board, Public Hearing, June 9, 2009. @@ -6188,8 +6090,8 @@ almost every source here, checked my facts, provided suggestions, and kept me honest. Roslyn Schloss provided meticulous copyediting and a vital final review. At Metropolitan Books, Riva Hocherman went through the text with inspired intelligence and gave crucial advice at every stage of the -book’s development. Most of all, I leaned on Sara Bershtel, Metropolitan’s -publisher, with whom I’ve worked for nearly a decade now. Smart, tough, +bookďż˝s development. Most of all, I leaned on Sara Bershtel, Metropolitanďż˝s +publisher, with whom Iďż˝ve worked for nearly a decade now. Smart, tough, and tireless, she combed through multiple drafts, got me to sharpen every section, and saved me from numerous errors of tone and thinking, all the while shepherding the book through production with almost alarming @@ -6205,10 +6107,10 @@ ones to suggest my name to the World Health Organization. Sir Liam Donald-son, the chair of WHO Patient Safety, who established the -organization’s global campaign to reduce deaths in surgery, was kind +organizationďż˝s global campaign to reduce deaths in surgery, was kind enough to bring me aboard to lead it and then showed me what leadership in public health really meant. Pauline Philip, the executive director of WHO -Patient Safety, didn’t take no for an answer from me and proved +Patient Safety, didnďż˝t take no for an answer from me and proved extraordinary in both her dedication and her effectiveness in carrying out work that has now extended across dozens of countries. @@ -6245,27 +6147,27 @@ Dyer, Lizzie Edmondson, Luke Funk, Stuart Lipsitz, Scott Regenbogen, and -my colleagues at the Brigham and Women’s Center for Surgery and Public +my colleagues at the Brigham and Womenďż˝s Center for Surgery and Public Health; and the MacArthur Foundation. I am deeply indebted to the many experts named throughout the book whose generosity and forbearance helped me explore their fields. Unnamed here are Jonathan Katz, who opened the door to the world of skyscraper building; Dutch Leonard and Arnold Howitt, who explained Hurricane -Katrina to me; Nuno Alvez and Andrew Hebert, Rialto’s sous chefs, who let +Katrina to me; Nuno Alvez and Andrew Hebert, Rialtoďż˝s sous chefs, who let me invade their kitchen; Eugene Hill, who sent me the work of Geoff Smart; and Marcus Semel, the research fellow in my group who analyzed the data from Harvard Vanguard Medical Associates showing the complexity of clinical work in medicine and the national data showing the frequency of death in surgery. In addition, Katy Thompson helped me with -the research and fact-checking behind my New Yorker article “The -Checklist,” which this book grew out of. +the research and fact-checking behind my New Yorker article ďż˝The +Checklist,ďż˝ which this book grew out of. Lastly, we come to those without whom my life in writing and research and surgery would be impossible. Elizabeth Morse, my administrative director, has proved irreplaceable, lending a level head, around-the-clock support, and continually wise counsel. Michael Zinner, the chairman of my -surgery department at Brigham and Women’s Hospital, and Arnie Epstein, +surgery department at Brigham and Womenďż˝s Hospital, and Arnie Epstein, the chairman of my health policy and management department at the Harvard School of Public Health, have backed me in this project as they have for many others over the last decade and more. David Remnick, the @@ -6287,9 +6189,9 @@ not everything. My thanks to them are boundless. ABOUT THE AUTHOR Atul Gawande is the author of Better and Complications. A MacArthur -Fellow, a general and endocrine surgeon at the Brigham and Women’s +Fellow, a general and endocrine surgeon at the Brigham and Womenďż˝s Hospital in Boston, a staff writer for The New Yorker, and an associate professor at Harvard Medical School and the Harvard School of Public -Health, he also leads the World Health Organization’s Safe Surgery Saves +Health, he also leads the World Health Organizationďż˝s Safe Surgery Saves Lives program. He lives with his wife and three children in Newton, Massachusetts. \ No newline at end of file diff --git a/Books/Procedure/The Craft of Professional Writi - Michael S. Malone;.txt b/Books/Procedure/The Craft of Professional Writi - Michael S. Malone;.txt index cd2748b..8462900 100644 --- a/Books/Procedure/The Craft of Professional Writi - Michael S. Malone;.txt +++ b/Books/Procedure/The Craft of Professional Writi - Michael S. Malone;.txt @@ -1,156 +1,3 @@ -The Craft of - -Professional - -Writing, - -Second Edition - - - - - -The Craft of - -Professional - -Writing, - -Second Edition - - -A Guide for Amateur - -and Professional - -Writers - -by - -Michael S. Malone - - - - - -Anthem Press - - -An imprint of Wimbledon Publishing Company - -www.anthempress.com - -This edition first published in UK and USA 2024 - -by ANTHEM PRESS - -75–76 Blackfriars Road, London SE1 8HA, UK - -or PO Box 9779, London SW19 7ZG, UK - -and - -244 Madison Ave #116, New York, NY 10016, USA - -Copyright © Michael.S.Malone 2024 - -The author asserts the moral right to be identified as the author of this work. - -All rights reserved. Without limiting the rights under copyright reserved above, no part of this publication may be reproduced, stored or introduced into a retrieval system, or transmitted, in any form or by any means (electronic, mechanical, photocopying, recording or otherwise), without the prior written permission of both the copyright owner and the above publisher of this book. - -British Library Cataloguing-in-Publication Data - -A catalogue record for this book is available from the British Library. - -Library of Congress Control Number: 2024934623 - -A catalog record for this book has been requested. - -ISBN-13: 978-1-83999-210-0 (Hbk) - -ISBN-10: 1-83999-210-7 (Hbk) - -Cover credit: Tad Malone - -This title is also available as an e-book. - - - - - -To every person who ever wrote a sentence and wondered if they could make a living from it. - - - - - -CONTENTS - - -Introduction - -Introduction to the 2nd Edition - -Part One: Basics - -1. Gathering Information - -2. Words, Sentences, and Paragraphs - -3. Narrative and Composition - -Part Two: Corporate Careers and Disciplines - -4. Publicist - -5. Advertising Copywriter - -6. Speechwriter - -7. Technical Writer - -Part Three: Writing Careers in Media - -8. Blogger and Podcaster - -9. News Reporter - -10. Critic - -11. Essayist - -12. Nonfiction Book Author - -13. Television and Radio News Reporter - -14. Screenwriter and Playwright - -15. Fiction Writer and Novelist - -16. Academic Writing - -17. Miscellaneous Writing - -Part Four: The Work of Professional Writing - -18. Pitching - -19. Editing - -20. Rejection - -21. A Writer's Life - -Further Reading - -Suggested Assignments - -Index - - - - - Introduction @@ -6767,1458 +6614,3 @@ Good luck and have a great career. -FURTHER READING - - -Ultimately, you learn to be a writer by writing (and by being edited); and you learn to be a professional writer by writing professionally, that is, by pitching and selling your work. When you start out as a writer, it is easy—and dangerous—to substitute the actual work of writing with endlessly reading advice books about how to become a writer. This is a common mistake. But, in the end, there is no substitute for doing the work. - -That said, once you do become a writer, there is every reason to perfect your craft, to make yourself a better writer and a better manager of your career, not to mention getting your work sold in ever more-lucrative and respected markets. The following books, covering many different careers discussed in this text, are among the most popular and influential works in their fields. If you gain one useful skill or piece of practical information from each of these books, they will be more than worth their price. - -Note that these books are designed for practical application to your work. It goes without saying that a number of other books, good and bad, deal with the philosophy of writing, the creative process and getting yourself in the mood for writing. The author offers no opinion on those books, except that, in the end, you still need to do the work. - -Bell, James Scott. How to Write Dazzling Dialogue: The Fastest Way to Improve Any Manuscript. Woodland Hills: Compendium Press, 2014. - -———. How to Write Short Stories and Use Them to Further Your Writing Career. Woodland Hills: Compendium Press, 2016. - -Clark, Roy Peter. Writing Tools: 55 Essential Strategies for Every Writer, 10th Anniversary Edition. Boston: Little Brown & Co., 2008. - -Field, Syd. Screenplay: The Foundations of Screenwriting. Little Rock: Delta, 2005. - -Fox, Chris. Write to Market: Deliver a Book that Sells. Seattle: CreateSpace Independent Publishing, 2016. - -Hardy, Janice. Understanding Show, Don’t Tell: And Really Getting It. Online: Fiction University’s Skill Builders Series, 2016. - -Hatcher, Jeffrey. The Art and Craft of Playwriting. Los Angeles: Story Press, 2000. - -Kramer, Mark. Telling True Stories: A Nonfiction Writers’ Guide from the Nieman Foundation at Harvard University. New York: Plume, 2007. - -Noonan, Peggy. On Speaking Well: How to Give a Speech with Style, Substance, and Clarity. New York: William Morrow, 1999. - -Penn, Joanna. Business for Authors: How to be an Author Entrepreneur. Online: CreateSpace Independent Publishing Platform, 2014. - -———. How to Make a Living with Your Writing: Books, Blogging and More. (Books for Writers, Book 2) 2nd edn. Bath: Curl Up Press, 2015. - -Petit, Zachary. The Essential Guide to Freelance Writing: How to Write, Work, and Thrive on Your Own Terms. Writer’s Digest Books, 2015. - -Ruberg, Michelle, ed. Writer’s Digest Handbook of Magazine Article Writing, 2nd edn. Cincinnati: Writer’s Digest Books, 2004. - -Saleh, Naveed. The Complete Guide to Article Writing: How to Write Successful Articles for Online and Print Markets. Cincinnati: Writer’s Digest Books, 2014. - -Sayre, Henry M. Writing about Art, 6th edn. Washington, DC: Pearson, 2008. - -Scott, Steve. How to Write Great Blog Posts that Engage Readers. Online: Kindle, 2014. - -Sedniev, Andrii. Magic of Public Speaking: A Complete System to Become a World Class Speaker. Online: Kindle Edition, Primed E-launch LLC, 2012. - -Sloan, Justin M. Creative Writing Career: Becoming a Writer of Film, Video Games, and Books, Writing Mentor vol. 1. Seattle: CreateSpace Independent Publishing, 2015. - -Snyder, Blake. Save The Cat! The Last Book on Screenwriting You’ll Ever Need. Los Angeles: Michael Wiese Productions, 2005. - -Strunk, William Jr, and E. B. White. The Elements of Style, 4th edn. Foreword by Roger Angell. London: Longman, 1999. - -Toscan, Richard. Playwriting Seminars 2.0: A Handbook on the Art and Craft of Dramatic Writing with an Introduction to Screenwriting. Oakland: Franz Press, 2012. - -Trottier, David. The Screenwriter’s Bible: A Complete Guide to Writing, Formatting, and Selling Your Script, 6th edn. Los Angeles Silman-James Press, 2014. - -Turabian, Kate L. “A Manual for Writers of Research Papers, Theses, and Dissertations: Chicago Style for Students and Researchers.” In Kate L. Turabian, Wayne C. Booth, Gregory G. Colomb, Joseph M. Williams, eds., Chicago Guides to Writing, Editing, and Publishing, 8th edn. Chicago: University of Chicago Press, 2013. - -Weiland, K. M. Structuring Your Novel: Essential Keys for Writing an Outstanding Story. South Yorkshire: PenforASword, 2013. - -Zinsser, William. On Writing Well: The Classic Guide to Writing Nonfiction, 30th Anniversary Edition. New York: HarperCollins, 2013. - - - - - -SUGGESTED ASSIGNMENTS - - - - - -Chapter 1 - - -Interview a friend, family member or interesting individual to produce a five-page interview. Obtain from the subject two topics in detail: Basic information on themselves, including name, title, job, birthplace, age, education, family members. Focus on being accurate by rechecking everything. - -A complete description by the subject of an interesting event in his or her life. - - - - - -Take a breaking news story from a wire service or Web. Interview someone in your life for his or her opinion on how that story will likely impact them. - - - - - -Chapter 2 - - -Take five sentences from a newspaper, wire service, the Web, or a magazine story that is too long, pretentious, or complex. Edit those sentences to make them shorter, simpler, with punchier verbs, and simpler nouns. - -Find five great metaphors in literature. Write a paragraph on each explaining why they work. - -Write five original metaphors of your own. Beware clichĂ©s: conduct a Web search to prove they are all but unique (i.e., less than five citations). - - - - - -Chapter 3 - - -Take the interview from Chapter 1—from either the entire interview, or from the anecdote told by your subject—and create the first four paragraphs of a feature story. Incorporate at least one quote from your subject in those paragraphs. - -Take a popular song and convert it into a poem, with a complex meter, caesura, and other poetic techniques. - -Take a complex poem and convert it into a popular song, with a beat and workable chorus. - - - - - -Chapter 4 - - -Using a common consumer product—shoes, toothbrush, briefcase, flashlight, and so forth—and write a two-page press release that includes a lede, opening quote, bulleted list of features, closing quote, price, delivery, and boilerplate. - -Write a pitch letter for that product, one page, with contact information. - -Using the Web, research and develop a 20-outlet (TV, print, Web) routing for the release and pitch letter. - - - - - -Chapter 5 - - -Form into a team of four or five members. Take a common consumer product—you can use the same item as in Chapter 4—and develop an advertisement for it. You may design it for print, radio, or television. Provide both the tagline copy and the body copy for the ad. - -Take an existing advertisement and rewrite the tagline and copy for a different target audience. Before you do, research that audience on the Web and justify your choices. - -Using the ad from #1 or #2, determine a target placement for the ad. Investigate the term sheet for that venue and establish a budget for the ad buy. - - - - - -Chapter 6 - - -Write a 30-second introduction to speech to be given by a friend or family member. Include a greeting to the audience, a witty anecdote about the speaker, and a closing set‑up. - -Write the first three minutes of a speech. Include an opening, a set‑up to the speech and an outline to the key points of the speech. - -Write a two-minute toast for a dinner or wedding reception. - - - - - -Chapter 7 - - -Choose a technology-related activity—for example, operating an app on your smartphone—and write a two-page description of how to perform that activity successfully. Focus on covering the entire process, including side activities, and on providing a simple and clear description of the steps. - -Write a one-page explanation of a complex technology—the microprocessor, GPS, packet switching, and so forth—in a manner understandable by someone who is not technologically astute. - -Take the description you created in #1 and convert it into a video script, including simple storyboards. - - - - - -Chapter 8 - - -Using freeware, establish a blog. Create a homepage using words and images. - -Using this new blog site, write four multimedia entries on a common theme. - -Develop a blogroll. Notify those blogs listed and request to be listed on their blogrolls. - -Prepare a briefing document—topics and content, along with background material, for a 30-minute show with one guest. - - - - - -Chapter 9 - - -Attend a public event, on campus or elsewhere. Write a four-paragraph story, including lede, details on the event, and a quote. - -Take a story from the newspaper, wire service, or Web. Rewrite it to give a local slant. - -Take the box score from a sporting event. Convert it to a 150-word narrative. - - - - - -Chapter 10 - - -Write a 300-word review of a new music download. - -Write a 300-word review of a book written in the last six months. Include all publication information, price, and so forth. - -Write a 300-word review of an episode of a television series, or a live performance. - - - - - -Chapter 11 - - -Write the first 150 words of an essay on a literary or arts-related topic. Include a strong thesis statement. - -Write the first 250 words of an essay on a political or newsworthy topic. Explain the structure of the rest of the essay. - -Write the first 250 words of a personal essay, beginning with a real-life anecdote and using it as the basis of a larger, universal concept. - - - - - -Chapter 12 - - -Write a three-page proposal on a book idea. Include: Overview of the idea - -Description of the book - -Plan for the book (pages, delivery date) - -Audience and marketing - -Author bio - -Table of contents, with two sentences describing each chapter. - - - - - -Write a cover letter to this package, giving a brief explanation of the book. - -Conduct a Web search of potential agents for your book. Look for those who specialize in your field or have represented authors who are like you. - -If advised by your instructor, contact a selection of likely agents. Write each in turn and send a pitch letter explaining why he or she should represent you; describe the nature of your book idea. This letter should be no more than one page. If you get a response, send the cover letter and book proposal. - - - - - -Chapter 13 - - -Attend a public event, on campus or elsewhere (it can be the same even as #1). Prepare a 30-second radio spot covering the story. - -Attend a public event, on campus or elsewhere (it can be the same as #1 or #2). Prepare a one-minute television news story. Include description of video clips to be used. - -Write a 150-word introduction to a television documentary. Provide suggested imagery to accompany this introduction. - - - - - -Chapter 14 - - -Using commercial screenwriting software or freeware, write the first five minutes of a television program or movie. - -Write a one-page, single-spaced treatment of a movie or television episode. - -Using standard format, write the opening scene of a play of your devising. - - - - - -Chapter 15 - - -Outline, in two pages, the plot of a novel or novella. - -Write the opening scene of a novel. - -Write a 150-word description of the protagonist of your proposed novel. - - - - - -Chapter 16 - - -Take one of your school papers and reformat it to fit a format shown in the Chicago Manual of Style. Properly format all citations and footnotes. Add a proper abstract. - -Take a poem or short story you have written (it does not have to be for this course) and submit it online or via hardcopy to a literary magazine. Show evidence of this submission. - -Prepare your curriculum vitae in standard form. - -Take another of your school papers. This time, rewrite it to pitch to a mainstream website or print magazine/newspaper. Give it a new lede and finish, punch up the prose, and minimize hard numbers and technical jargon without losing content. - - - - - -Chapter 17 - - -Using Photoshop, mock up a poster—including a headline and body copy—for your favorite nonprofit group. - -Using Photoshop, mock up a printer advertisement—including a headline and body copy—for your favorite consumer product. - -Using prepared copy and your own voice-over, create a 60-second public service announcement radio spot. - - - - - -Chapter 18 - - -Write a one-page pitch letter for a proposed story, of your idea, to a newspaper or major magazine. Describe your unique knowledge or access as part of your explanation of why you alone should get the assignment. - - - - - -Chapter 19 - - -Take a homework assignment (including from this course) from this term. Give it a careful line editing. Use standard editing symbols and markings. - - - - - -INDEX - - -60 Minutes 222, 224 - -1990s 57, 217 - -2010 58, 126 - -Academy Awards 89 - -ad agency 61, 65–66, 69, 292 - -ad copy 34, 72–74, 291 - -adjunct professor 173, 275 - -advertising 28, 33, 35, 53–66, 108, 114, 234, 268 - -advocacy blog 128 - -Africa 17, 20, 181, 205 - -after dinner speech 100–101 - -Agee: see Agee, James - -Agee, James 163, 166, 168 - -agent 90, 157, 193, 195–98, 234, 256, 261 - -algorithm 7 - -amateurs 24, 27, 41, 57, 74–75, 130, 163, 198, 208, 237, 240, 256, 280, 292–93, 302, 318 - -Amazon 49–50, 164, 203 - -anchor/host 134, 216, 226–27, 232 - -anecdotes 1, 28, 42, 84, 86–88, 90–93, 98, 100, 183, 244, 250 - -Anglo-Saxon 20–21 - -Apollinaire 168 - -Apple Inc. 243 - -apprenticeship 166, 219, 223, 235 - -Aran sweater 132 - -Aristophanes 162 - -art monographs 161 - -articles 12, 24, 27, 48, 51, 63, 103, 108, 129, 144, 155, 161, 189, 191, 204–6, 212, 230, 242, 282, 293, 317–18, 323 - -Artificial Intelligence 7, 245 - -Associated Press 141 - -astro-turf 128 - -Atlantic Monthly 161 - -audience 35, 42, 44, 53, 55–56, 71–72, 82–83, 96–106, 109, 121, 123, 130–36, 162, 164–67, 199, 211, 215–19, 221–27, 237, 240, 275, 294, 324, 326 - -author 2–3, 8, 17–18, 24, 46, 48, 51, 78, 80, 85, 93, 98, 101, 114, 125, 127–28, 140, 141, 146–49, 152–55, 164, 170, 185, 191–99, 201–18, 229, 243, 275, 286, 312, 315–16 - -backgrounders 41–42 - -Bacon, Francis 180 - -Balzac 36, 181, 246 - -banner 35, 57–58, 61, 132, 136 - -banner ads 57, 133 - -Barnum, P.T. 145 - -Barratt, Thomas J.54 - -Barry, Dave 162 - -Barzun, Jacques 168 - -Baudelaire, Charles 165, 168 - -Bazin, Andre 168 - -BBC Radio 163 - -BBS sites 126 - -beat 22, 24, 45, 70, 98, 132, 139–42, 148–51, 196, 210, 214, 218–21, 227 - -Berlin, Isaiah 160, 181 - -Bernays, Edward 54 - -bias 7, 13, 68, 124, 169, 177, 275, 287, 328 - -billing 3, 116–17, 292, 299, 301, 326 - -biography 91–92, 105, 172, 192, 196, 199, 205, 211, 283, 303, 329 - -“Blog” 2–3, 28, 36, 47, 53, 121, 123–37, 150, 160, 179, 182, 294, 297, 309, 313 - -bloggers 2, 36, 47, 53, 121, 123, 125–32, 134–35, 179 - -blogging 3, 125 - -“Blogsphere,” the: see Blog, bloggers - -Bloom, Alan 163 - -Bolger, Brenna 4 - -book 1–4, 7 - -book proposal 195–201 - -Bourke-White, Margaret 43 - -brand 3, 50, 58–59, 64, 103, 134, 149, 223, 262–63 - -brand writing 59 - -breaking news coverage 219 - -broadcasts 53, 56, 78, 123, 141, 146, 148, 163, 216, 220, 235, 325 - -Bushman 17–18 - -Byte Magazine 126 - -cadences 82–83 - -California 7, 14, 239, 305 - -Car & Driver 166 - -Carey, Pete 4 - -Caribbean 20 - -Castiglione 180 - -catch 23, 25, 50, 93 - -Celtic 20 - -CEO 12, 39, 51, 64, 78, 95, 103, 149, 175, 278, 314 - -Chamber of Commerce 78, 81 - -ChatGPT 7 - -Chesterton, G.K. 160, 181 - -Chicago Manual of Style 286 - -Chief Joseph 77 - -China 49, 54 - -Christgau, Robert 164 - -Churchill, Winston 77 - -Cicero 77, 180 - -citations 286 - -clickbait 57 - -client 2, 11, 44, 46, 58–76, 82–91, 98–106, 112, 115–17, 147, 196, 289–93, 304–5, 315 - -climax 98, 101, 257, 265, 269, 273 - -Closing of the American Mind 163 - -Cloud, the 41, 110, 208, 253, 293 - -CNet 161, 166 - -CNN 105, 217, 224 - -“Coke is It” slogan 72 - -college textbook 4 - -colloquialism 268, 286 - -columnist 2, 11, 105, 150, 160, 216, 280 - -comedy 87, 98, 104, 124, 162, 216, 231, 237 - -commentary 124–25, 127–30, 134, 160, 162, 180, 184, 222 - -compensation 161, 172 - -Compuserve 126 - -conclusion 22, 27–28, 30–31, 98, 101, 179, 182, 185, 187–89, 219, 257, 273 - -conflict of interest 169 - -congressman 81 - -Consumer Reports 166 - -copy 13, 25, 28, 34, 41, 53, 55, 57–60, 67, 73–76, 103, 142, 146, 155, 160, 168–70, 189, 198, 208, 230, 240, 268, 288–89, 291–95, 304, 307, 309, 311–15 - -copywriters 234 - -copywriting 231, 291–92 - -corporate writing 107, 121 - -correspondent 141, 224–25 - -cover letter 36, 38–40, 197–98, 211, 290 - -COVID 125 - -craft 17–18 - -creative collapse: see creative stasis - -creative writing 118–19, 121 - -crime 85, 140, 148, 151, 155–56, 220, 260 - -critic 2, 82, 104, 129, 150, 159–78, 181, 184, 226, 251, 263, 279 - -music 2, 164, 175, 176 - -critical analysis 162, 178 - -critical biographies 162 - -criticism 159–78 - -Cronkite, Walter 216 - -Crouch, Stanley 164 - -cultural criticism 160, 162, 166, 181, 184 - -CV 88, 199 - -deadlines 201, 218 - -deep fakes 7 - -Degnan: see Degnan, James - -Degnan, James 4 - -Democrat Underground 129 - -Descartes 180 - -dialog 229, 232–35, 238–41, 244, 251, 255, 263, 268–73 - -Diderot, Denis 165 - -“direct marketing” 53 - -draft 72–73, 78, 83, 85, 92–93, 101, 114, 118, 148, 200–201, 204, 234, 253, 291, 308 - -Drudge, Matt 126, 315 - -Drudge Report, The 126 - -DVD 163, 171 - -earth 5, 7, 20, 25, 77, 270–71 - -editing 25, 34, 37, 61–62, 72–74, 81, 112–13, 124–25, 129, 146, 200, 204, 208, 252–55, 269, 277, 289, 295, 299, 308–16, 318, 325 - -editor 2, 4, 11, 34–36, 44, 46, 53, 61, 127–29, 139–40, 142, 144–47, 152, 161, 167–69, 173, 175–76, 179, 184, 187–88, 198, 201, 205, 210–11, 219, 222, 225, 227, 243, 256, 277–80, 302, 314–20 - -Egyptian hieroglyphics 19 - -Eiseley, Loren 25, 181 - -Eliot, T.S. 29, 181, 246, 308 - -Emerson 181 - -England 25, 54, 165 - -Epic of Gilgamesh, The 19 - -Epictetus 180 - -essays 27, 29, 126, 161–64, 174, 179–87, 242, 279–80 - -Eudemian Ethics 180 - -experimental novel 1 - -e-zines 39, 42 - -Facebook 61, 131, 297, 329 - -failure 3, 13, 66, 72, 104, 109, 126 - -Faulkner, William 22, 247, 328 - -FBI, the 154 - -feature writers 11, 150, 162, 224, 280 - -fiction 4, 11, 25, 27–28, 30, 71, 104, 121, 126, 132, 162, 179, 191, 240–51, 268, 279–81, 287 - -Final Draft 84, 234 - -fliers 55 - -footnotes 210, 286–88, 322 - -Forbes 4–5 - -Forbes ASAP 4 - -Foreign Policy 162, 184 - -formal address 94 - -formal address: see formal address - -Fortune 50 company 81 - -France 54, 165, 183, 246 - -fraud 62, 101 - -Free Republic 129 - -freelance: see freelancer - -freelance technical writers 116 - -freelancer 2, 33, 66, 104, 114–18, 141, 160, 165, 172, 280, 316, 326 - -From Dawn to Decadence 168 - -Fry, Roger 165 - -Gaelic Irish 18 - -Generation Z 125 - -Germany 54, 247 - -ghost-written 63 - -Gide, Andre 178, 247 - -Golden Sayings 180 - -Google 125, 133, 309 - -grammar rules 1, 7, 9, 17, 25, 112, 169, 207, 209, 267, 307, 313 - -Grammy 89 - -Grapes of Wrath, The 77 - -graphics: see logos - -Greenberg, Clement 165 - -Gross, Teri 216 - -Guardian, The 123 - -guidebooks 108, 276 - -Gutenberg 55 - -Hall, Justin 126 - -Hammerstein, Oscar 29 - -Hammett, Dashiell 25 - -handbills 54–55 - -handbooks 108 - -Hayes, Tom 59 - -Hazlitt, William 165, 180 - -headphone 125 - -Hentoff, Nate 164 - -Hewlett-Packard Co. 4 - -hired gun speechwriter 104 - -Hollywood 36, 56, 64, 83, 142–43, 171, 230, 236, 315 - -honorary address 97 - -Hope, Bob 89, 104 - -Huffington Post 129, 136 - -Hughes, Robert 165 - -Hugo, Victor 22 - -humor 101, 162, 192, 244, 248 - -Huxtable, Ada Louise 165 - -hyperbole 169, 198 - -index 15, 90, 111, 170 - -India 20, 54 - -industry speeches 98–99 - -infomercials 56–57 - -informal toast: see untargeted toast - -insider/outsider 68–69 - -Instapundit 128 - -intellectual courage 167 - -Internet, the 124 - -interviews 13, 15, 94, 125, 135, 142–43, 146, 152, 172, 199, 205, 212, 217, 219, 221, 224, 226, 325–26 - -inverted pyramid 74 - -investigative reporter 121, 152, 154–57, 225 - -invoice 3, 93, 189, 292, 302, 304–5, 326 - -standard form 3 - -iPod 123 - -jargon 185, 268, 286 - -Jobs, Steve 45, 243 - -Johnson, Samuel 180, 289, 326 - -journalism 4, 12, 36, 41, 46–48, 64, 74, 104, 107, 128, 139, 146, 215, 241, 276, 316 - -journalist 13, 35, 38, 40–43, 48, 50, 80, 126, 136, 148–49, 151–52, 156, 161, 166, 170, 175, 216, 315 - -Joy Luck Club, The 119 - -Kael, Pauline 163 - -Karlgaard, Richard 5 - -Kazin, Alfred 166 - -kill fee 114, 289, 319 - -Kubrick, Stanley 161 - -lawsuits 151, 308, 314 - -le mot juste 20 - -lecture 96–98, 173, 231, 276–77 - -lede 38, 51, 74, 109, 140, 143, 146, 172, 187, 219, 226, 255, 309, 314 - -legacy media 124 - -legal documents 13–14, 154–55, 308 - -Leonidas at Thermopylae 77 - -Lerner & Lowe 238 - -Leviestro, Christian 4 - -libel 14, 151, 155–56, 183, 225–26 - -lifestyle 47, 69, 132, 150, 168, 192, 219–20 - -lifestyle news 219 - -Limbaugh, Rush 216 - -Lincoln 77–78 - -Lincoln at Gettysburg 77 - -lingua franca 20, 286 - -LinkedIn 199, 297 - -Lippmann, W alter 160 - -“Little Gidding” 29 - -Lives of a Cell 25 - -logos 54, 58, 126, 184, 318 - -London Blitz 216 - -Lone Ranger, The 216 - -Long Island 14 - -Los Angeles Times 101 - -Lost Illusions 36 - -luncheon speech(es) 100–101 - -Macbeth 19 - -MacDonald, Dwight 166, 181 - -Machievelli 180 - -Madison Avenue 54 - -magazine business 2, 205 - -magazine reviews 160 - -magazines 5, 34, 36–37, 54–55, 128–29, 150, 160–61, 163–65, 176, 178–79, 184, 186, 203, 222, 224, 279–80, 287, 313 - -Maltese Falcon, The 25 - -manual 4, 108–10, 112, 114, 117, 233, 286, 308, 310 - -manuscript 30, 192, 196–202, 204–6 - -March, Dave 162, 164 - -Marcos regime 14 - -Marcus Aurelias 180 - -Marcus, Greil 164 - -marketing 28, 34, 39, 42, 44, 53, 55, 59, 62, 65, 68–69, 103, 116–17, 134–35, 195, 199, 203–4, 209–10, 226, 247, 278, 301, 311, 313 - -masters of ceremonies 88–89 - -masters of fine arts 196 - -mea culpa speech(es) 85 - -media 3, 7, 13–14, 35–48, 57, 67–69, 78–79, 94, 107, 121, 123–24, 131, 170–71, 186, 194, 208, 216, 226, 230, 247, 297, 317 - -medium 55, 57, 126, 163, 181, 215–17, 246, 296–97 - -melodrama 237 - -memory 77, 208, 242, 245, 253 - -meta-blogs 128–29 - -metaphor 23–24, 262–63 - -methodology 108, 134, 161 - -Metro 140, 160, 223 - -microphone 14, 85, 102–3, 123, 125, 139 - -Milton, John 180 - -Mitchell, Jim 4 - -mixing software 14–15, 113, 124–25, 132, 135, 207, 233, 304 - -mnemonics 97 - -monetize 57, 124 - -monologue 98, 180, 229, 273 - -Motor Trend 166 - -Murrow, Edward R. 216, 221 - -Muse, the 1–2, 241 - -Music Man, The 238 - -My Fair Lady 238 - -Namibia 17 - -narrative 15, 17, 20, 24, 26–31, 38, 72, 92, 98, 108–9, 124, 131, 135, 142, 193, 195, 200, 206, 211, 226, 231, 233–34, 236, 245–46, 251, 253–54, 256, 260–65, 268–69, 272–73, 286, 307–11 - -NASA 112, 216 - -neo-magazines 129 - -network news 216, 224 - -New Criterion, The 161, 185 - -New England 25 - -New York Times 165 - -news release 39, 41, 43, 46, 143, 219 - -“newsbites” 78 - -newsletters 34, 37, 293, 313 - -Newsnight 222 - -Newspaper Op-Ed sections 184 - -newspaper reviews 159–60 - -newsrooms 46, 139–40, 218 - -Nicomachean Ethics: see Plato - -Night Country, The 25 - -Nixon 85 - -non-fiction 25, 27–28, 30, 71, 104, 121, 162 - -Noonan, Peggy 79 - -notebook 145, 251 - -novelist 2, 11, 67, 70, 81, 109, 119, 160, 178, 191, 197, 209, 232–33, 241–45, 247–49, 273, 276, 281, 294, 321, 325, 327 - -novel-writing 3, 247 - -NPR 163 - -official reports 13, 28 - -Oklahoma 29, 92 - -Olivier, Laurence 106 - -Opie and Anthony 216 - -opinion 4, 7, 19, 36, 95, 123–24, 126–27, 129–30, 132, 135, 144, 147, 167–69, 172, 178–79, 184, 186–87, 222, 224, 267, 278, 294, 297, 323 - -opinion journals 184 - -O’Rourke, P.J. 162 - -Orwell, George 163, 181 - -Ovambo tribe 17 - -pacing 22, 187, 192, 198, 218, 239, 254 - -Paleolithic 53 - -Palmer, Volney B. 54 - -“Parable of the Cave” 180 - -Parsons, Louella 216 - -Pascal 180 - -pathos 258 - -patois 55, 83 - -Pears Soap 54 - -Pennsylvania 77 - -pens 145 - -PhD 276, 283, 287, 307 - -philosophy 54, 182, 192, 214, 287, 302 - -photoshop 7 - -piece 22, 27, 96, 114, 166, 168, 174, 179, 181, 189, 205–6, 222, 232, 242, 254, 259, 263, 279, 297, 303–4, 317–18, 320, 327 - -Pillow Book, The 180 - -pitching 3, 195, 201, 219, 242, 299, 301–2, 305, 318–19 - -Plato 165, 180 - -play-on-demand 123 - -playwright 2, 162, 236–40, 248–49 - -playwriting 236–40 - -“Pocket Fisherman” 56 - -podcast 123–25, 127, 133–37 - -podcaster 123, 133–37 - -podcasting 124–25, 133–37 - -poems 28–29, 186, 245–46, 308 - -poetry 29–30, 72, 98, 188, 244, 268 - -poets 11, 165, 181 - -policy address 95 - -Popeil: see Popeil, Ron - -Popeil, Ron 56–57 - -Popular Science/Electronics/Mechanics 166 - -Porsche 132 - -portal blog 127–28 - -portmanteau 59, 123 - -post-socratic philosophers, the 180 - -Pournelle, Jerry 126 - -PR: see Public Relations - -President of the United States 79, 85, 196 - -President Reagan 79 - -press conference 44–45, 95, 101, 141, 149 - -press kit 40–41, 44 - -press release 28, 34, 36, 38–39, 41–46, 48, 51, 140, 203, 211, 242, 251, 292, 311, 324 - -press secretary of the President of the United States 85 - -Prince, The 180 - -producer 2, 125, 134, 218, 222, 224, 226, 232, 235 - -product guides 108 - -product handbook 112 - -product warranties 108 - -professional writer 1–4, 12, 17–19, 21, 28, 40, 55, 60, 62, 70, 93, 107, 121, 125, 163, 186, 193, 207, 212, 281–82, 285–86, 293, 297, 299, 307, 309, 321, 325 - -professional writing 1–4 - -promotion 35–36, 40, 42, 55, 61, 80, 94, 134, 174, 204, 208, 212, 221, 226, 278, 282, 301, 318, 323, 325–27 - -propaganda 54 - -proposal 195–201, 302, 317 - -Proust, Marcel 22, 247 - -PRx Inc: see Bolger, Brenna - -public address 79 - -public relations (PR) 2, 35–38, 40–44, 46, 48, 64–65, 114, 134, 143, 147, 170, 212, 292 - -corporate 4, 38, 42, 47 - -publishers 174, 184, 191, 194–98, 200–204, 212, 247, 275, 280–82, 287 - -Pulitzer Prize 14, 151, 154, 281 - -Pygmalion 238 - -Q&A 42, 95, 99, 101, 303 - -R&D 68 - -“Rashoman effect” 13 - -redundancies 96, 112 - -regional stations 223 - -rejection 3, 316–20 - -reporter 11–14, 35–37, 39–40, 42–46, 50–51, 53, 70, 85, 94–95, 101, 109, 121, 139–57, 170, 176, 183, 215–27, 234–35, 283, 302–3, 313, 325 - -reporting 2–3, 11, 121, 127, 129, 139–56, 215, 219–22, 224, 226, 231, 235, 319 - -news 2–3, 121, 139–57, 215, 219, 224, 231, 235 - -reports 13, 28–29, 65, 108, 111, 142, 153, 166, 226, 278 - -research 13, 28, 54, 60–61, 72, 74, 80–81, 88, 108, 115, 117, 130, 135, 160–61, 171, 173, 193, 199–200, 204, 219, 225, 277, 281–82, 287, 293, 302 - -researcher 108, 219, 225 - -resume 88, 129, 156, 174, 197, 199, 223, 276, 325 - -Reuters 43, 141 - -reviewer 2, 159–61, 163–68, 171–78, 203, 211, 279 - -Reynolds, Glenn 128 - -rhythms 29–30, 55, 82 - -Ricochet 129 - -rising action 98, 257, 273 - -Robinson, Peter 79, 104, 182, 246 - -Rolling Stone 164 - -Roman Senate 77, 155, 165, 168, 180, 199, 248, 259, 286, 328 - -Rosenberg, Harold 165 - -rough draft 84, 92, 292 - -rulebooks 108 - -Ruskin, John 165 - -Sagan, Carl 112 - -salaries 33, 61, 103, 112, 224, 277, 284 - -Salon 129 - -San Jose Mercury- News 4 - -San people 17 - -Santa Clara University 4 - -satire 162, 180, 183–84 - -scapegoat 68–69, 83, 106 - -scapegoated: see scapegoat - -the scheduled speech 99–100 - -scientific papers 107–8, 112, 313 - -screenplays 28, 229, 231–32, 235, 313 - -screenwriter 2, 78, 109, 197, 229–33, 235–37, 248, 268 - -screenwriting 110, 229, 232, 238 - -script 4, 13–14, 21, 41, 43, 57–58, 61, 64, 75, 88–89, 104, 110, 229–35 - -Secretary of the Interior 81 - -self-description 59, 261–63, 266, 273 - -Shakespeare: see Shakespeare, William - -Shaw, George Bernard 238 - -Shonagon 180 - -sibilants 19, 82 - -sidebar 38–39, 41–42, 144, 151, 304, 319 - -Silicon Valley 4, 7, 12, 59, 101, 119, 152–53, 197 - -similes 23 - -Sirard, Jack 4 - -Siskel & Ebert 163 - -Skype 46 - -Slate 129 - -slogan 61, 63–64, 70, 72–73, 75, 267 - -social media 7, 39, 131, 297 - -social networks 36, 61, 203, 297 - -speaker 38, 45, 78–86, 88, 94–104, 174, 212, 222, 231–32, 269, 325–26 - -speaking professionals 80–81 - -speech 2, 28, 44–45, 75, 84, 101 - -speech writers 103 - -speech writing 2, 77–84 - -Spin 164 - -spoken word 215, 234, 268 - -sponsorship 35 - -sportswriter 150 - -Spotify 124–25 - -St. Augustine 165, 180, 246 - -St. Crispin’s Day 77 - -stand-up comedy 98, 104, 162 - -stand-up comic 104, 248 - -Stern, Howard 216 - -Steyn, Mark 166, 182 - -story 3, 11–14, 19, 31, 35–36, 39, 52, 70, 72–74, 90, 92, 95, 109, 136, 139, 141, 143–57, 160, 168, 204, 208, 217, 225, 230, 238, 240, 242, 244, 250, 260, 272, 301, 319, 327 - -storyline 51, 73, 193, 236, 242, 250 - -stressed phrases 102 - -structure 1, 27, 49, 73, 91, 94, 100, 172, 179–80, 205, 232, 250, 256, 280, 307, 310 - -style 1, 51, 60, 72, 74, 84, 93, 103, 107, 112, 127, 132, 135, 143–44, 166–67, 185, 193, 208–9, 237, 244–45, 259–60, 273, 286–87, 296, 302, 308, 325 - -subject 9, 12–15, 22, 66, 73–75, 78, 83, 85, 98, 109–10, 113, 115, 129, 132, 134, 144–47, 152–56, 161–68, 174, 177, 182–83, 189, 191, 193–94, 199, 202, 214, 217, 221, 295–96, 301, 320 - -Sumeria 19, 245 - -Super Bowl 56, 217 - -Swaggert, Jimmy 85 - -Swarthmore College 126 - -Swift, Jonathon 162, 180, 217, 264 - -syllogisms 78 - -syndicated news shows 223 - -table of contents 111, 170, 195, 200, 204 - -tagline 61, 64, 70, 72, 75, 296 - -talking head 134 - -Tan, Amy 119 - -targeted gossip 59 - -targeted toast 87–88 - -technical paper 108, 111 - -technical writing 107–19 - -technology reporter 143, 150, 219 - -teleconferencing 46 - -teleprompter 94, 102, 226, 230 - -television host 2 - -Terkel, Studs 216 - -terminology 108 - -Teutonic 20 - -textbook 1–2, 24, 83, 108, 192, 194, 233, 251, 284, 308 - -theory 4, 132, 277 - -Thomas, Lewis 25 - -Thompson, Virgil 164, 166 - -Thoreau 181 - -thumbsuck blog 127, 133 - -tickler file 147 - -TikTok 7, 125, 297 - -Times New Roman (typeface) 286 - -Times Review of Books 161 - -TKs 73, 253, 255, 309, 311 - -trade magazine 12, 42, 108, 161 - -trade manual 4 - -trademark law 59 - -tragedy 237 - -transcribing 14 - -transitions 42, 95, 198, 231, 254–55, 266, 309 - -trend stories 219 - -tropes - -writing 74, 216 - -Tsurezuregusa 180 - -TV 44, 46, 56, 58, 65, 75, 125, 134, 140–41, 171, 192, 215, 217–18, 222–23, 234 - -Twain, Mark 162 - -twentieth century 29, 54–55, 106, 164–65, 181 - -twenty-first century 54–55, 61, 79, 110, 176, 181–82, 208, 243 - -Twitter/X 297 61, 101, 126 - -Tynan, Kenneth 168 - -United States 36, 64, 79, 85, 128, 163, 181, 196, 216, 247, 284 - -University of Tennessee 128 - -untargeted toast 87–88 - -Updike, John 163, 247 - -upmarket stations 223 - -“Vegematic” 56 - -Vikings 20 - -Village Voice 164 - -visuals 73, 100, 217, 219 - -vlog 123–24 - -VNR 44, 143 - -Voltaire 162, 180 - -Wall Street Journal 161, 165–66, 184 - -Washington, George 183, 305 - -Web (the World Wide Web) 124–25 - -West, Rebecca 51, 159, 189, 266, 293, 297 - -whisper campaign: see targeted gossip - -White House 85, 149, 225 - -Who? What? When? Where? And Why? 144 - -Wilde, Oscar 165, 168, 246 - -Wilson, Meredith 166, 238 - -Winchell, Walter 216 - -Winter’s Tale, The 237 - -wire service 13, 37, 40–41, 43, 139, 141, 235 - -Wolfe, Tom 166, 181 - -“writer’s block” 30 - -writing career 2–4, 9, 61, 63, 67, 107, 114, 118–19, 121, 135, 195, 215, 235–36, 248, 275, 280, 301, 326 - -written manual 110 - -Yoachum, Susan 4 - -Yoshida Kenko 180 - -YouTube 39, 41, 44, 58, 110, 124–25 - -Zola, Emile 160, 181, 183, 246 - -Zoom 7, 124–25 - - - - - diff --git a/Books/Procedure/embeddings_cache.npz b/Books/Procedure/embeddings_cache.npz new file mode 100644 index 0000000..849584a Binary files /dev/null and b/Books/Procedure/embeddings_cache.npz differ diff --git a/Books/Procedure/embeddings_cache_meta.json b/Books/Procedure/embeddings_cache_meta.json new file mode 100644 index 0000000..b3e586f --- /dev/null +++ b/Books/Procedure/embeddings_cache_meta.json @@ -0,0 +1 @@ +{"book_files": ["Books\\Procedure\\Made to Stick_ Why Some Ideas S - Chip Heath.txt", "Books\\Procedure\\Never Split the Difference_ Neg - Voss, Chris.txt", "Books\\Procedure\\Public administration.txt", "Books\\Procedure\\The Checklist Manifesto How to Get Things Right (Atul Gawande) (z-library.sk, 1lib.sk, z-lib.sk).txt", "Books\\Procedure\\The Craft of Professional Writi - Michael S. Malone;.txt"], "file_sizes": {"Books\\Procedure\\Made to Stick_ Why Some Ideas S - Chip Heath.txt": 580174, "Books\\Procedure\\Never Split the Difference_ Neg - Voss, Chris.txt": 493433, "Books\\Procedure\\Public administration.txt": 1511216, "Books\\Procedure\\The Checklist Manifesto How to Get Things Right (Atul Gawande) (z-library.sk, 1lib.sk, z-lib.sk).txt": 346682, "Books\\Procedure\\The Craft of Professional Writi - Michael S. Malone;.txt": 765726}} \ No newline at end of file diff --git a/Chartwell.py b/Chartwell.py index b0e06c1..98eaf1c 100644 --- a/Chartwell.py +++ b/Chartwell.py @@ -17,7 +17,7 @@ os.environ["PATH"] = r"C:\Program Files\NVIDIA GPU Computing Toolkit\CUDA\v11.8\ # ------------------------- # Knowledge base selection # ------------------------- -BOOK_DIR = 'Books/Science' +BOOK_DIR = 'Books/Music' # Explore adding TYPE to headers. 4 types fact, rule, reference, pedagogical, the ordering ranks #TYPE: fact | rule | reference | pedagogical @@ -162,13 +162,16 @@ MODES = { "You are a helpful research assistant. " "Restrict your response strictly to the provided context. " "If the source material is exhausted, stop writing. " +# "If the context does not contain enough information to fully answer, provide only what is explicitly supported or say you don't know. " "If a relationship or entity is not explicitly documented in the context, do not include it. " "Do not repeat the same information in different wording. " "If multiple context passages express the same idea, summarize it once. " "If the context contains repetitive legal or procedural text, merge it into a single concise statement. " "Do not list multiple similar verses. " "Prefer one coherent explanation over multiple extracted quotations. " - "Do not infer, supplement, or use external training knowledge. " +# "Do not infer, supplement, or use external training knowledge. " + "Do not infer, guess, or use external knowledge under any circumstances. " + "If the answer is not explicitly stated in the context, respond with: \"I don't know based on the provided context.\"" # "Be direct and concise. " "Never repeat the context or instructions. " "Never echo the question. " @@ -176,24 +179,40 @@ MODES = { ) }, -# You are a retrieval-only QA assistant. - -# Rules: -# - Use only the provided context. -# - Do not use external knowledge. -# - If the answer is not explicitly stated in the context, respond: "Not found in context." -# - Do not explain reasoning or rules. -# - Do not repeat the question. -# - Output must be one short paragraph. - + # "advanced": { + # "print_msg": "Advanced mode.", + # "prompt_instruction": ( + # "You are adept at mathematics and computer programming. " + # "You are a linguist able to put together complex ideas and work with formulations and workflows." + # ) + # }, "advanced": { "print_msg": "Advanced mode.", "prompt_instruction": ( - "You are adept at mathematics and computer programming. " - "You are a linguist able to put together complex ideas and work with formulations and workflows." + "You are a highly capable analytical assistant. " + "Base your response primarily on the provided context. " + + "OUTPUT FORMAT (strict):\n" + "Step 1: ANALYSIS\n" + "- Write sentences, each prefixed with:\n" + " [C] = directly supported by the context\n" + " [I] = inferred from the context\n" + " [E] = not explicitly supported\n\n" + + "Step 2: FINAL ANSWER\n" + "- Write ONE paragraph summary only\n" + "- Must be fully supported by statements in ANALYSIS\n" + "- Do NOT introduce new information\n\n" + + "RULES:\n" + "- Do not repeat sentences\n" + "- Do not create multiple sections beyond ANALYSIS and FINAL ANSWER\n" + "- Minimize [E] usage\n" + "- If context is insufficient, say so in FINAL ANSWER\n" ) }, + "music": { "print_msg": "Music mode.", "prompt_instruction": ( @@ -214,7 +233,6 @@ MODES = { "- Return only the final answer.\n" "- No explanations unless explicitly requested.\n" "- End with a single period.\n" - "Before answering any music question, state: root=X index=Y interval=Z target=W note=Result\n" ) } } @@ -268,7 +286,7 @@ LEVELS = { 3: {"expand": False, "top_k": 2, "max_tokens": 100*3, "context_len": 700}, 4: {"expand": False, "top_k": 2, "max_tokens": 100*3, "context_len": 800}, 5: {"expand": False, "top_k": 3, "max_tokens": 125*3, "context_len": 1000}, - 6: {"expand": False, "top_k": 5, "max_tokens": 150*3, "context_len": 1200}, + 6: {"expand": False, "top_k": 6, "max_tokens": 200*3, "context_len": 2000}, 7: {"expand": True, "top_k": 5, "max_tokens": 150*3, "context_len": 1400}, 8: {"expand": True, "top_k": 5, "max_tokens": 175*3, "context_len": 1600}, 9: {"expand": True, "top_k": 6, "max_tokens": 175*3, "context_len": 1800},