Publications

    Vo, Hung, Elizabeth Patton, Monica Giannone, Brian Mandell, Jorrit de Jong, and Guhan Subramanian. 2020. “Many Ways to Get There: Securing Public Investments in Richmond, VA”. Read the full case study Abstract

    Hung Vo, Elizabeth Patton, Monica Giannone, Brian Mandell, Jorrit de Jong, and Guhan Subramanian; May 2020 

    The City of Richmond elected Levar Stoney as its youngest mayor in 2016. Mayor Stoney campaigned for better-funded public schools, government accountability, and crime prevention. One of the mayor’s main responsibilities was to propose biannual budgets to a nine-member city council, which could approve the budget as proposed or pass it with amendments. This case illustrates Stoney’s efforts to increase Richmond’s real estate tax from $1.20 to $1.29 per $100 of assessed value. This tax increase was quickly rejected by a majority of city council members. Disagreements climaxed when the mayor’s administration walked out of a city council budget hearing, prompting council members to respond by voting to pursue legal action against Stoney.

    This case focuses on how positional bargaining prevents creative deal-making when negotiators fail to understand the interests of other parties. By exploring Stoney’s relationship with city council, the case emphasizes the downsides of positional bargaining and the opportunities for better outcomes with an interest-based approach to negotiation. This case also introduces the four negotiation concepts of interests, options, criteria, and alternatives, and examines their relevance to city-level negotiations.

    Thanks to a gift from Bloomberg Philanthropies, no permission is required to teach with, download, or make copies of this case.

    Norgaard, Stefan, Elizabeth Patton, Monica Giannone, Brian Mandell, Jorrit de Jong, and Guhan Subramanian. 2020. “In the Weeds: Securing a Grass-Mowing Contract in Stockton, CA”. Read the full case study Abstract

    Stegan Norgaard, Elizabeth Patton, Monica Giannone, Brian Mandell, Jorrit de Jong, and Guhan Subramanian; May 2020

    Kurt Wilson, the City Manager of Stockton, CA, joined the city government ten months after the City declared bankruptcy. After successfully steering Stockton out of bankruptcy, Wilson committed to implementing a set of permanent financial control measures to ensure that the City remained fiscally solvent well into the future. He had an extensive background in both the private and nonprofit sectors and had served as city manager in four other California cities.

    Stockton’s Long-Range Financial Plan (L-RFP) indicated that the City could spend, at most, approximately $1.3M in 2019 fiscal year (FY19) on a contract to mow grass on city medians. The City had spent $1.2M the previous year. Wilson believed shortages of tradespeople in the Bay Area—caused in part by demand for construction after California wildfires—would affect price points. At worst, he thought he could justify spending $1.6M on the contract. Wilson cared about the fiscal health of Stockton, but he also wanted to ensure high-quality public services.

    When the City issued its RFP, bids started at $2.26M, well above what Stockton could afford. After considering his options, Wilson issued a new RFP that included a lower “base” scope of services with modular components that the City could accept or decline depending on cost. Stockton ended up spending $1.91M for a year of service, but even as costs increased, tall grasses remained on city medians. Wilson wondered whether there might have been a better way for the City to have anticipated the higher prices.

    Thanks to a gift from Bloomberg Philanthropies, no permission is required to teach with, download, or make copies of this case.

    Howard Husock, Gaylen Moore, and Jorrit de Jong, May 2020 

    Throughout the 1980s and 1990s, high atop a great many of the older, concrete-block buildings in lower-income areas of central Hong Kong and the neighborhoods of the Kowloon peninsula, informal metal-framed wooden structures housed thousands of families in austere, inexpensive quarters. These rooftop dwellings created a sort of shantytown in the air and, though built illegally, were nonetheless bought, sold, and rented on the open market. These structures were just one example of the larger phenomenon of so-called unauthorized building works (UBWs) in Hong Kong. These included balconies added to windows—sometimes used for beds—as well as hundreds of thousands of storefront street signs and canopy extensions on buildings in commercial districts, used to create rental space below for stores and restaurants on the ground floor. By 1999, the total number of UBWs was estimated at 800,000. By one assessment, if authorities continued enforcing the laws in the manner they had been, it would take more than 130 years to remove all such structures—assuming that new ones were not built in their place.

    This case raises questions about how to respond effectively to a complex problem that has arisen as a solution to other problems.

    Thanks to a gift from Bloomberg Philanthropies, no permission is required to teach with, download, or make copies of this case.

    Fernando Monge, Jorrit de Jong, and Warren Dent; May 2020 

    In the fall of 2016, the state government of the United Arab Emirates decided to take a new approach to spur floundering projects toward faster results.

    Frustrated with slow progress on key issues like public health and traffic safety, the state launched a new program to accelerate change and enhance performance across government agencies. The innovative program, called Government Accelerators, ran 100-day challenges—intense periods of action where “acceleration” teams of frontline staff worked across agency boundaries to tackle pressing problems. This case illustrates how three teams were chosen to participate in the program, and how, in the 100-day timeframe, they worked toward clear and ambitious goals that would impact citizens’ lives.

    The case aims to raise discussion about different types of public sector innovation, to explain the approach and methodology of the Government Accelerators, and to analyze the conditions under which a similar tool might work in other cities.

    Thanks to a gift from Bloomberg Philanthropies, no permission is required to teach with, download, or make copies of this case.

    Norgaard, Stefan, Elizabeth Patton, Monica Giannone, Brian Mandell, Jorrit de Jong, and Guhan Subramanian. 2020. “You Get What You Pay for: Reforming Procurement in Naperville, Illinois”. Read the full case study Abstract

    Stegan Norgaard, Elizabeth Patton, Monica Giannone, Brian Mandell, Jorrit de Jong, and Guhan Subramanian; May 2020

    Naperville, Illinois is a suburb of approximately 150,000 people in the Chicago metropolitan area. Traditionally, the City focused on price for all procurement negotiations, but it often had few vendors applying for key contracts and struggled to negotiate on both price and quality.

    Naperville’s original procurement process was called Quality-Adjusted Cost (QAC). This process sought to simplify a myriad of concerns and variables (including price, quality, timeline, and scope, among others) into a single metric, so that the City could easily and objectively evaluate bids. Although QAC attempted to incorporate quality into the evaluation, there were instances when it seemed the best vendor was not selected.

    In an effort to improve the quality of City services, Naperville adopted a new procurement approach called “Cost as a Component.” This revamped process allowed the City to negotiate with vendors on more than just price for technology upgrades and aimed to ensure long-term partnerships with relevant firms, creating value for both vendors and the City. This case illustrates the trade-offs between QAC and “Cost as a Component” for Naperville and prompts participants to apply negotiation concepts to the broader process of city procurement.

    Thanks to a gift from Bloomberg Philanthropies, no permission is required to teach with, download, or make copies of this case.

    Why Do We Still Have the Electoral College?

    Alexander Keyssar, Harvard University Press, July 2020

    With every presidential election, Americans puzzle over the peculiar mechanism of the Electoral College. The author of the Pulitzer finalist The Right to Vote explains the enduring problem of this controversial institution.

    Every four years, millions of Americans wonder why they choose their presidents through the Electoral College, an arcane institution that permits the loser of the popular vote to become president and narrows campaigns to swing states. Most Americans have long preferred a national popular vote, and Congress has attempted on many occasions to alter or scuttle the Electoral College. Several of these efforts—one as recently as 1970—came very close to winning approval. Yet this controversial system remains.

    Leonard, Herman B. "Dutch", Arnold M. Howitt, and David Giles. 2020. “Crisis Communications for COVID-19”. Read the full report Abstract

    Herman "Dutch" Leonard, Arnold Howitt, and David Giles; April 2020

    Communication with employees, customers, investors, constituents, and other stakeholders can contribute decisively to the successful navigation of a crisis.  But how should leaders think about what they are trying to say – and how to say it?

    This policy brief lays out simple frameworks that can be used to formulate the messages that leaders can and should – indeed, must – convey to help their communities and organizations make their way forward as effectively as they reasonably can.

    Leonard, Herman B. "Dutch", Arnold M. Howitt, and David W. Giles. 2020. “Crisis Management for Leaders Coping with COVID-19”. Read the full report Abstract

    Herman "Dutch" Leonard, Arnold Howitt, and David Giles; April 2020

    In the face of the rapidly evolving coronavirus crisis that demands many urgent decisions but provides few clear-cut cues and requires tradeoffs among many critically important values, how can leaders and their advisers make effective decisions about literally life-and-death matters?  This policy brief contrasts the current “crisis” environment with the more familiar realm of “routine emergencies.” It argues that for crises, leaders need to adopt a more agile, highly adaptive, yet deliberate decision-making method that can move expeditiously to action, while retaining the capacity to iteratively re-examine tactics in light of decision impacts. This method can help the team take account of the multiple dimensions of the COVID-19 crisis and cope as well as possible with swiftly changing conditions.

     

    Bloomberg Harvard City Leadership Initiative, March 2020 

     

    In the second session of the COVID-19 Local Response Initiative convened by the Bloomberg Harvard City Leadership Initiative in collaboration with Bloomberg Philanthropies and the Johns Hopkins Bloomberg School of Public Health, Josh Sharfstein, Vice Dean for Public Health Practice and Community Engagement at Johns Hopkins Bloomberg School of Public Health provided critical public health information. Jorrit de Jong, Faculty Director of the Bloomberg Harvard City Leadership Initiative and Senior Lecturer in Public Policy and Management at Harvard Kennedy School, moderated the discussion on crisis communication and preventing the spread of the virus with Dutch Leonard, the George F. Baker, Jr. Professor of Public Management, at HKS and Eliot I. Snider and Family Professor of Business Administration at HBS, Juliette Kayyem, the Belfer Senior Lecturer in International Security at HKS and Tom Frieden, former director of CDC, president and CEO of Resolve to Save Lives. President Bill Clinton shared inspiration in his opening remarks to mayors.

    Bloomberg Harvard City Leadership Initiative, March 2020 

    In the first session of the COVID-19 Local Response Initiative convened by the Bloomberg Harvard City Leadership Initiative in collaboration with Bloomberg Philanthropies and the Johns Hopkins Bloomberg School of Public Health, Josh Sharfstein, Vice Dean for Public Health Practice and Community Engagement at Johns Hopkins Bloomberg School of Public Health provided critical public health information. Dutch Leonard, the George F. Baker, Jr. Professor of Public Management, at HKS and Eliot I. Snider and Family Professor of Business Administration at HBS and Juliette Kayyem, the Belfer Senior Lecturer in International Security at HKS, taught crisis leadership and management.

    China's Most Generous: Examining Trends in Contemporary Chinese Philanthropy

    Edward Cunningham and Yunxin Li, March 2020 

    This annual report highlights leading results from the most recent data analysis of the Harvard Kennedy School Ash Center’s China Philanthropy Project, capturing over one-quarter of estimated national giving in China. We focus on elite giving by building an annual database of the top 100 individual donors, top 100 donors from corporations and other organizations, and also top university recipients of philanthropic giving.

    In 2018, such Chinese giving:

    • was dominated by large organizations (most commonly corporations) rather than individuals,  
    • supported in large part central government policy priorities in the area of poverty alleviation,
    • revealed an intriguing new philanthropy-driven educational model in the country, and
    • remained fairly local in scope.

    Read the report in Chinese 

    Malcolm McPherson, March 2020 

    This paper examines how China can improve transboundary resource management within the Greater Mekong Basin (GMB) through its participation in the Lancang-Mekong Cooperation (LMC). Such improvement would ensure the efficient management and equitable development of the basin’s natural resources and ecosystems.

    Finding Allies and Making Revolution

    Tony Saich, Brill, February 2020 

    What does a Dutchman have to do with the rise of the Chinese Communist Party? Finding Allies and Making Revolution by Tony Saich reveals how Henk Sneevliet (alias Maring), arriving as Lenin’s choice for China work, provided the communists with two of their most enduring legacies: the idea of a Leninist party and the tactic of the united front. Sneevliet strived to instill discipline and structure for the left-leaning intellectuals searching for a solution to China’s humiliation. He was not an easy man and clashed with the Chinese comrades and his masters in Moscow. This new analysis is based on Sneevliet’s diaries and reports, together with contemporary materials from key Chinese figures, and important documents held in the Comintern’s China archive.

    Watch a video introduction to the book 

    Prioritizing Public Value in the Changing Mobility Landscape

    Stephen Goldsmith and Betsy Gardner, January 2020

    In this paper we will look at the values and goals cities affect with policies concerning connected mobility, and how to create a new framework that aligns with these objectives. First, we identify the transformative changes affecting cities and mobility. Second, we discuss in more detail the guiding values and goals that cities have around mobility with examples of these values in practice. Our next paper, Effectively Managing Connected Mobility Marketplaces, discusses the different regulatory approaches that cities can leverage to achieve these goals.

    We recommend that cities identify various public values, such as Equity or Sustainability, and use these to shape their transit policy. Rather than segmenting the rapidly changing mobility space, cities should take advantage of the interconnectivity of issues like curb space management, air quality, and e-commerce delivery to guide public policy. Cities must establish a new system to meet the challenges and opportunities of this new landscape, one that is centered around common values, prioritizes resident needs, and is informed by community engagement.

    In conclusion, cities must use specific public values lenses when planning and evaluating all the different facets of mobility. Transportation has entered a new phase, and we believe that cities should move forward with values- and community-driven policies that frame changing mobility as an opportunity to amend and improve previous transportation policies.

    This paper is the first in the Mobility in the Connected City series.

    Read the second paper "Effectively Managing Connected Mobility Marketplaces" 

    Effectively Managing Connected Mobility Marketplaces

    Stephen Goldsmith and Matt Leger, February 2020

    As new innovations in mobility have entered the marketplace, local government leaders have struggled to adapt their regulatory framework to adequately address new challenges or the needs of the consumers of these new services. The good news is that the technology driving this rapid change also provides the means for regulating it: real-time data. It is the responsibility of cities to establish rules and incentives that ensure proper behavior on the part of mobility providers while steering service delivery towards creating better public outcomes. Cities must use the levers at their disposal to ensure an equitable mobility marketplace and utilize real-time data sharing to enforce compliance. These include investing in and leveraging physical and digital infrastructure, regulating and licensing business conducted in public space, establishing and enforcing rules around public safety, rethinking zoning and land use planning to be transit-oriented, and regulating the digital realm to protect data integrity.

    This paper is the second in the Mobility in the Connected City series. 

    Read the first paper  "Prioritizing Public Value in the Changing Mobility Landscape"

    Creighton, Jessica, Jean Arkedis, Archon Fung, Stephen Kosack, Dan Levy, and Courtney Tolmie. 2020. Insights from Transparency and Accountability Action Plans in Indonesia and Tanzania. Read Full Publication Abstract

    Jessica Creighton, Jean Arkedis, Archon Fung, Stephen Kosack, Dan Levy & Courtney Tolmie; January 2020

    This paper provides insight into community designed and led actions in Indonesia and Tanzania that were prompted by Transparency for Development (T4D), a six-year research project that explores whether, how, and in what conditions “transparency and accountability” or “social accountability” programs improve maternal and newborn health care.

    Philadelphia Anti-Graffiti Network: Philadelphia, PA – 1991 Innovations Winner

    When Wilson Goode becomes the first African-American mayor of Philadelphia, he must find ways to fulfill a particularly visible campaign pledge: elimination of the graffiti which mar public buildings throughout poorer sections of the city and particularly in the North Philadelphia black wards crucial to Goode’s victory. This tells the story of a series of quite different compliance strategies pursued by a new city agency specifically created to curtail graffiti and housed within the mayor’s office. The anti-graffiti effort first conceives the problem in social terms and initiates a series of efforts to deal with the ”roots” of the graffiti problem, specifically the alienation and joblessness which may affect graffiti writers. Public pressure builds, however, for the city to adopt a more aggressive enforcement posture, viewing graffiti as a criminal act which must be swiftly punished. The case allows for discussion of the nature of public compliance and how it is achieved.

    Early Warning Program: U.S. Department of the Treasury – 1995 Innovations Winner

    In this case, the federal entity responsible for both safeguarding and insuring the private pension systems of the United States (Pension Benefit Guaranty Corporation) must deal with one of the nation’s largest and arguably most troubled corporate pension systems – that of the General Motors Corporation. When GM proposes to sell off its Electronic Data Systems subsidiary, regulators at PBGC face a decision. Should they permit the deal to go forward if GM does not address an estimated $20 billion unfunded pension liability? In considering the question, PBGC must decide the extent, and potential justification, for demonstrating regulatory flexibility. Insisting on the letter of the law might scotch a deal which could lead to a significant contribution to GM’s pension liability. Too great a leniency, however – for instance, by allowing the value of GM’s own stock to be applied against pension liability – might jeopardize the interests of thousands of retired auto workers. The case is meant both to raise the issue of public sector negotiations flexibility and to facilitate discussion of the dynamics of public-private negotiations. See also Part B (1386.0).

    The December 26, 2004, Indian Ocean tsunami caused tremendous damage and suffering on several continents, with Indonesia’s Aceh Province (located on the far northern tip of Sumatra Island) experiencing the very worst. In the tsunami’s wake – and with offers of billions of dollars of aid coming from all corners of the globe – the Indonesian government faced the daunting task of implementing a massive recovery effort that could meet the expectations of donors and survivors alike. With this in mind, Indonesia’s president established in April 2005 a national-level, ad hoc agency – known by its acronym, BRR – to coordinate reconstruction activities across the province. This case examines some of the core challenges BRR’s leaders encountered as they moved to set up the agency and then proceeded to coordinate and execute a recovery process involving hundreds of domestic and international partner organizations and thousands of independent reconstruction projects.

    Groundwater Management Code: Arizona – 1986 Innovations Winner

    Throughout the 1960s and 1970s, increasing demands for water threatened to lead to a crisis in Arizona. The growth of the desert state’s cities posed a conflict with its agricultural and mining interests. Its main source of water – groundwater extracted from beneath the arid surface – was threatened with depletion. This case frames the challenge faced by Arizona governor Bruce Babbitt to resolve the conflict in a way satisfactory to all three of the major interests: cities, farmers and mineowners. The case details the history of the Arizona groundwater dispute and the situation faced by Babbitt as he prepares to try to mediate it. The case invites discussion of mediation/negotiation techniques which can be employed by an elected official. In addition, it can be used as a policy exercise calling for proposals to develop an Arizona water policy that both serves and satisfies all players.

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