Publications

2020

CompStat: New York, NY – 1996 Innovations Winner

The dramatic reduction in crime in New York City during the 1990s grabbed the attention of the U.S. and the world, seeming to provide evidence that new policy and management approaches could make an enormous difference for the better. This case tells the story of key management decisions that the New York Police Department itself credits with the successful attack on the city's crime rate. Specifically, it describes the approach of Police Chief William Bratton in assembling a core, reform-oriented management team and the development of a computerized crime tracking system used as the foundation for the targeting of police manpower. The epilogue raises the dramatic question of whether the goal of minimizing the misuse of force by police officers is also amenable to the measurement techniques successfully employed to the activity of criminals. This case, in addition to the questions it raises, provides a powerful telling of one of the most successful public sector management initiatives of recent times.

CompStat: New York, NY – 1996 Innovations Winner

This abridgement is based on the case ”Assertive Policing, Plummeting Crime: The NYPD Takes on Crime in New York City” (1530.0). The abridgement of the case divides the story of the change in the New York Police Department into three, roughly chronological parts – the diagnosis of the crime and organizational problems, the development of a new system of practices and incentives and a description of the variety of impacts which the new ”assertive policing” regime appeared to have. The three parts (1557.3, 1558.3, 1559.3) and Epilogue (1557.1) can be used individually or together. They should not be used along with the full case and sequel (1530.0, 1530.1) but should, instead, be considered a substitute approach.

Division of Youth Services: Missouri – 2008 Innovations Winner

In the early 1970s, the Missouri Division of Youth Services (DYS) took its first steps toward radically changing the way it dealt with youthful offenders remanded to its custody. For years, like most states, it had incarcerated juveniles convicted of felony or misdemeanor offenses in large quasi-penal facilities called “training schools.” Instead, DYS began establishing smaller “cottage-style” residential programs that emphasized rehabilitation over punishment and applied a therapeutic approach to its troubled young charges. Over the next three decades, DYS expanded this approach to encompass its entire juvenile offender population. By the mid-2000s, the “Missouri model,” as it became known, was perhaps the most admired – and, many considered, most effective – juvenile corrections system in the U.S.

This case describes the Missouri model – including the population it serves, the educational and therapeutic programs it offers, and the frontline staff of “youth specialists” it employs to work closely with young offenders. The case also provides an overview of Missouri’s impressively low recidivism figures and a brief discussion of the complexities of comparing such figures among states. It concludes with a discussion of the challenges the Missouri DYS has faced in sustaining its highly regarded, but demanding, approach over many years. The case can be used in classes on child welfare policy and criminal justice.

Division of Youth Services: Missouri – 2008 Innovations Winner

This 10-minute video is a companion to ”Taking a Therapeutic Approach to Juvenile Offenders: The ‘Missouri Model,’” Kennedy School case number C16-09-1904.0. In it, Tim Decker, the director of the Missouri Division of Youth Services, lays out the philosophy and practice of the therapeutic process used by the department in its treatment of youth offenders. The video shows the young people as they explore the roots of their behavior and develop tools to process trauma, often by articulating and sharing their feelings and concerns in a group setting. The ultimate goal of the program, Decker explains, is to encourage internalized change and foster social competencies. Powerful testimony from some of the youth sheds light on the main challenges they experience as they struggle to rebuild their lives.

Wraparound Milwaukee: Milwaukee County, WI – 2009 Innovations Winner

The Wraparound Milwaukee program was created in 1995 by Milwaukee County, Wisconsin, and provides services and treatment to severely emotionally and behaviorally disturbed children and youth. The program utilizes the “wraparound philosophy” to provide the children and youth it serves with a highly individualized, community, and strength-based approach to care. The delivery of services are facilitated by a Care Coordinator who works with the family to choose the right services from Wraparound Milwaukee’s network of individual providers and community based organizations. The program’s funding is pooled from several state and county agencies. Wraparound Milwaukee’s innovative approach to care has brought considerable savings to the county $3,878 per month per child for Wraparound Milwaukee versus $8,000-$10,000 per month per child that the county paid for residential placement. Wraparound Milwaukee has seen positive outcomes in the youth it serves after disenrollment in terms of clinical health indicators as well as other indicators.

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.
Throughout August 2010, flooding continued to spread across Pakistan, eventually overtaking large portions of the southern part of the country. With Case A providing background and recounting early response efforts, Case B explores how the crisis worsened and the response intensified throughout the second half of August, highlighting actions taken at the federal level, as well as by the United States and other foreign governments. It also explores efforts by the United Nations, on behalf of the international humanitarian community, to support flood relief.
The case prompts students to consider what community recovery entails, especially vis-à-vis mental health issues and resiliency; the role of different institutions therein; and how to accommodate a range of public views on these topics. It also explores broader issues in local government, most notably coordination within and across agencies as well as between the public and private sectors.  
In the fall of 1986, the World Bank offered the government of Indonesia a loan of approximately US $200-250 million for highway construction in the capital city of Jakarta and the country's other four largest urban centers. It was an attractive proposal: plummeting world oil prices had squeezed the national treasury, which had derived about 60 percent of its revenues from Indonesian oil profits. But for much the same reason, Indonesia's Ministry of Finance felt compelled to find new revenue sources to repay the loan. 

One Church/One Child Minority Adoption Campaign: Illinois – 1986 Innovations Winner

In 1980, the Illinois Department of Children and Family Services faced a crisis. Over 700 black children in cook County, including 69 infants, waited for adoption while the agency was unable to find black parents. A supplement to the case (856.0), this video exhibit brings to life the successful strategy of the One Church, One Child program, focusing on a presentation in a black church designed to encourage adoptions. In addition, the video includes retrospective comments from the program's administrators and vignettes of families who have adopted children as a result of the program. This case will challenge students to examine the assumptions that limit bureaucracies.

Case Management for At-Risk Children in Detention: New York, NY – 1986 Innovations Winner

The latest in a long string of directors of New York City’s toughest juvenile detention facility confronts a staff which is both demoralized and resentful of authority. As the jail’s first black director, she must cope with a predominantly black staff long accustomed to ”getting over” – giving less than full effort and rationalizing its attitude in terms of the perceived indifference of a ”downtown” white power structure. Battles over child abuse, insubordination and union power ensue.

Science, Technology, & Democracy: Building a Modern Congressional Technology Assessment Office

Zach Graves and Daniel Schuman, January 2020

This paper offers recommendations and a road map for the future success of a restarted technology assessment office in Congress. We look at three potential approaches: (1) Building up the Government Accountability Office (GAO)’s OTA-like capacity in its newly created Science, Technology Assessment, and Analytics (STAA) team, and giving it greater resources and structural autonomy; (2) Reviving OTA but updating its procedures and statutory authority; and (3) A hybrid approach wherein both GAO and a new OTA develop different capacities and specializations. (Spoiler: we favor the third approach.)
 
The next section of this paper reviews what OTA was and how it functioned. The third section discusses the history of and rationale for the defunding of OTA, other cuts to Congress’s S&T capacity, and why this congressional capacity and expertise matter for democracy. The fourth section reviews efforts to revive OTA and other efforts to build new congressional S&T capacity. The fifth section discusses the political landscape for building S&T capacity, including the legislative branch appropriations process and the different political constituencies for S&T. The final section offers a detailed discussion of various structural recommendations for a new congressional technology assessment office, including an expanded STAA unit in GAO, and a new OTA.
 
The Hidden Face of Rights

Kathryn Sikkink, Yale University Press, January 2020 

When we debate questions in international law, politics, and justice, we often use the language of rights—and far less often the language of responsibilities. Human rights scholars and activists talk about state responsibility for rights, but they do not articulate clear norms about other actors’ obligations. In this book, Kathryn Sikkink argues that we cannot truly implement human rights unless we also recognize and practice the corresponding human responsibilities.
 
Focusing on five areas—climate change, voting, digital privacy, freedom of speech, and sexual assault—and providing many examples of on-the-ground initiatives where people choose to embrace a close relationship between rights and responsibilities, Sikkink argues for the importance of responsibilities to any comprehensive understanding of political ethics and human rights.

Randall K.Q. Akee, Eric C. Henson, Miriam R. Jorgensen, and Joseph P. Kalt; May 2020 

Title V of the CARES Act requires that the Act’s funds earmarked for tribal governments be released immediately and that they be used for actions taken to respond to the COVID‐19 pandemic. These may include costs incurred by tribal governments to respond directly to the crisis, such as medical or public health expenditures by tribal health departments. Eligible costs may also include burdens associated with what the U.S. Treasury Department calls “second‐order effects,” such as having to provide economic support to those suffering from employment or business interruptions due to pandemic‐driven business closures. Determining eligible costs is problematic.

Title V of the CARES Act instructs that the costs to be covered are those incurred between March 1, 2020 and December 30, 2020. Not only does this create the need for some means of approximating expenditures that are not yet incurred or known, but the Act’s emphasis on the rapid release of funds to tribes also makes it imperative that a fair and feasible formula be devised to allocate the funds across 574 tribes without imposing undue delay and costs on either the federal government or the tribes.

Recognizing the need for reasonable estimation of the burdens of the pandemic on tribes, the authors of this report propose an allocation formula that uses data‐ready drivers of those burdens.  Specifically, they propose a three‐part formula that puts 60% weight on each tribe’s population of enrolled citizens, 20% weight on each tribe’s total of tribal government and tribal enterprise employees, and 20% weight on each tribe’s background rate of coronavirus infections (as predicted by available, peer‐reviewed incidence models for Indian Country).

By August 2011, one year after the apex of Pakistan’s 2010 flooding crisis, recovery efforts had progressed substantially – but many Pakistanis still needed assistance. This epilogue highlights key accomplishments as well as some of the remaining challenges associated with the recovery, while also exploring actions taken by the national government to address problems experienced during the 2010 response. It closes by exploring how Pakistan and the international humanitarian community dealt with yet another round of severe flooding that occurred in late summer 2011.

New York Acquisition Fund: New York, NY – 2008 Innovations Winner

This three-part case study presents the initial problem, the thinking, the politics, and the design negotiations that produced New York City’s “NYC Acquisition Fund” in August 2006. The case concludes with a brief round-up of performance data and commentary from the Fund’s first two and a half years of operation.

The NYC Acquisition Fund was created to deliver loans to small and nonprofit affordable housing developers, allowing them to compete with market-rate developers to buy property in New York City on the open market at a time of rampant speculation, rapidly rising prices, and fierce competition. It represented a groundbreaking effort to use public sector funds and authority, together with foundation capital, to leverage hundreds of millions of dollars in loan capital from private lenders. In September 2008, the Fund was named a winner of the annual Innovations in American Government competition, sponsored by the Ash Institute for Democratic Governance and Innovation at the Harvard Kennedy School, which declared it a “national model.”

The case is divided in three parts in the interest of maximum teaching flexibility. Teachers may want to assign their students to read one, two, or all three parts, depending on the nature of the class. Although the case includes finance concepts and terms, they are presented clearly and simply for the benefit of lay readers. Part One: Birth & Launch of an Idea, pp. 1-16, describes the intellectual and political history of the Fund – how City Housing Commissioner Shaun Donovan came up with the idea, and how he and his allies made it a reality. Part Two: Portrait of the New York City Acquisition Fund LLC, pp. 17-26, describes the structure and principles of the Fund and details the six toughest design questions, negotiated among the Fund’s partners over a 14-month period: what kinds of projects would be eligible? how firm a commitment would the City make to funding each project upfront? when and how would loan underwriting be delegated? how, exactly, would risk be allocated among the lenders, foundations, and City? and what loan terms would be available to borrowers? Part Three: Fund Performance, August 2006 to March 2009, pp. 27-29, briefly sketches the Fund’s performance in its first two-and-a-half years. The case includes 11 exhibits, pp. 30-58.

In 2005, the Parliament of India enacted the Right to Information Act, giving citizens of India a right to access the records of official acts by any public authority. Many individuals and organizations were involved in the lengthy and difficult struggle to get this legislation enacted. This case focuses on one of these individuals, Aruna Roy, regarded by many observers as a key player in empowering citizens to exercise the democratic right to make their government transparent and accountable. It traces the trajectory of her career as she searched for an effective platform for political and social change, to improve the lives of the poor and socially marginalized while adhering firmly to her commitment to lead an ethical life.

Kentucky Video Courts: Kentucky – 1988 Innovations Winner

When a shortage of court reporters threatens to delay trials and back up the appeals process, Kentucky's Administrative Office of the Courts considers new technology as a solution to its problem. Video ”transcripts” of court proceedings hold the potential to sidestep the labor problem plaguing the courts. The use of video cameras to record court proceedings raises questions, however. Would a video record truly provide as useful a product as a written transcript? Would judges – and the courts themselves – accept video as a legal record? Director Don Cetrulo of the Administrative Office of the Courts, intrigued by the promise of video, must ponder both its implications – and the fact that no proven automatic camera technology existed in the mid-1980s that could adapt to the multiplicity of speakers and locations. Before he can reach the point of considering the legal impact of video court reporting, Cetrulo must decide whether to go so far as to award state funds to a local manufacturer who believes he can devise such a system.

Move Information, Not Property: U.S. Department of Defense – 1999 Innovations Finalist

This government re-engineering case focuses on the agency responsible for procuring goods and services (other than weapons) for the Department of Defense. New leadership at the DLA must deal with a sharply changed system. Rather than receiving an annual appropriation, the mammoth agency must bill its multitude of customers – the various military services – for performing procurement tasks. In trying to make itself a customer-focused operation, DLA considers changing both the management structure of its headquarters and the relationship between its headquarters and field offices.

Racial Integration Incentives: Cleveland, OH – 1998 Innovations Winner

Should an Ohio state agency provide low-interest loans to home buyers moving into areas in which they are ”racially under-represented” – even if they are whites in affluent suburbs moving into neighborhoods which might otherwise ”tip” to become all-black? The Ohio Housing Finance Agency confronts the questions of whether racial underrepresentation should be defined in percentage terms – and whether racial integration per se represents progress for black homebuyers. The case explores the history of efforts to manage racial integration in suburban Cleveland and highlights competing philosophies regarding the role of government in influencing residential racial patterns. It allows for discussion of ways in which public values evolve through the policymaking process.

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