Jear C PB 2018 PDF

2018
CONFERENCE
Impact Factor: 2.415

ISSN: 1387-3821
2018 EDITION
Proceedings Book
E-CONFERENCE, Impact Factor, ISBN
JUNE 2018
Impact Factor: 2.415
ISBN 1387-3812
e-Conference Proceeding Book 2018 1 http://www.jear-eu.com

EDITORIAL BOARD
Editor-in-Chief:
Dr. Iulian Rusu
JEAR Executive Editor:
Dr. A. Nesteruk; University of Chzech, CzR ;
Prof. D. Keith Brannan; Abilene Christian University, USA ;
Prof. A. Nicolaidi;s University of Gdansk, Poland ;
JEAR Editor:
Ashraf B. Abdel-Naim; Ain Shams University, EGYPT ;
Amar Abderrahmani ; Centre National de la Recherche Scientifique, FRANCE ;
Zaid Abdo; Colorado State University, UNITED STATES ;

PRESENTATION FORMATS
Synchronous: Interactive webcasts are offered in real-time, while presenters show visuals such
as PowerPoint slides with desktop applications. Participants had opportunity to interactive with
the presenters in real time (or by email).
Virtual Poster Sessions (Asynchronous): In addition, asynchronous poster sessions selected

only for virtual presentation will be available when the Virtual Conference launches, as Power
Point Presentation.
In one of forms below:

Fig. 1. Sample Poster Arrangements
The participation was not orbligated to be as poster presantation, candidates by htem wish were
adviced to decide for tem best presentation, includin only paper.

Content
Editorial Board .............................................................................................................................................. 2
Presentation Formats ................................................................................................................................... 3
The impact of stress and anxiety on the parents who have hospitalized children ...................................... 8
Niman Bardhi ............................................................................................................................................ 8
Mimoza Shahini ........................................................................................................................................ 8
Eglantina Kraja ......................................................................................................................................... 8
Analysis and anticipation of stress factors in the workplace .................................................................... 15

Eglantina Kraja ........................................................................................................................................ 15
Mimoza Shahini....................................................................................................................................... 15
Niman Bardhi .......................................................................................................................................... 15
The stock market as a game an agent based approach to trading in stocks .............................................. 24
Eric Engle ................................................................................................................................................. 24
What is Good Public Discourse? An Annotated Bibliography ..................................................................... 30

David M. Ryfe .......................................................................................................................................... 30
Kohlberg's stages of moral development and criticisms ............................................................................ 73

James Mark Baldwin ............................................................................................................................... 73
The changing role of marketing in the corporation .................................................................................... 82

Frederick E. Webster, Jr. ......................................................................................................................... 82
Pocket School: Exploring Mobile Technology as a Sustainable Literacy Education Option for Underserved
Indigenous Children in Latin America ....................................................................................................... 100
Paul Kim ................................................................................................................................................ 100
Talia Miranda ........................................................................................................................................ 100
Claudia Olaciregui ................................................................................................................................. 100
Overview of Environmental Law ............................................................................................................... 110

Lisa F. Brown, ........................................................................................................................................ 110
The Idea of Restorative Justice ................................................................................................................. 131

Gerry Johnstone .................................................................................................................................... 131
Introduction to Tax Policy Design and Development ............................................................................... 139

Richard M. Bird ..................................................................................................................................... 139
Eric M. Zolt ............................................................................................................................................ 139
Intellectual property rights and economic development ......................................................................... 146

Keith E. Maskus ..................................................................................................................................... 146

Next isues
29 AUGUST 2018

THE IMPACT OF STRESS AND ANXIETY ON THE PARENTS WHO
HAVE HOSPITALIZED CHILDREN
Niman Bardhi, MA,

Mimoza Shahini, MD, Msc, PhD
Eglantina Kraja, MA,
Abstract
Introduction: Parental psychosocial functioning is important for the health, mental and physical
health of children, and their attitudes in childhood illness, especially during hospitalization, can
greatly affect child's respect for care and illness.
Aim and Objective: This research aims at investigating the perception of the level of stress and
anxiety in the parents who have hospitalized children.
Methodology: quantitative type research is carried out using the descriptive - prospective
approach. The target group in this research were 50 parents who had children hospitalized at the
Pediatric Clinic - UCCK in Pristina, conducted during the period February - May 2018.
Results: The level of stress based on the gender of the child results to be at the average level of
girls (57.8) while in boys (60.1), with SD 5.4 in girls and SD 4.9 in boys. The analysis between
the number of family members, the number of children and the material incomes results in a
strong correlation between the number of members and the number of children, while with the
material incomes a secondary correlation.
Conclusions: Hospitalized children are faced with many elements of not familiarity.
Examination procedures and frequent hospitalizations may show anxiety in the baby as well as in
the parents. Findings show that parental feedback is in a positive correlation with stress, so it is
proposed that policy makers, managers and health professionals draft and develop strategies to
prevent anxiety and stress in these cases. Have a clinical psychologist in each pediatric center.
Emotional support of the parents by the health personnel.
Key words: anxiety, stress, child, parent, hospitalization.

1. The impact of stress and anxiety on the parents who have the hospitalized children
Parental psychosocial functioning is important for the health, mental and physical health of
children, and their attitudes in childhood illness, especially during hospitalization can greatly
affect the child's respect for care and illness. Having a child in hospital is a stressful event for
parents who often experience anxiety and depression during the period of the child's
hospitalization.
Stress is in fact a process that represents several components, including stress defined as events
that pose a challenge to the subject, as a psychosocial mediator, a construct that enables the
subject to assess the nature of the situation and the response to stress, typically a measure
emotional reaction provoked in response to stress. Moreover, a response to stress can include
anxiety often as a component involved in stress. If stress is understood as a critical event, anxiety
follows this event (e.g. in the form of a post-traumatic stress disorder). If stress is defined as a
random response, anxiety is part of the reaction, and if stress is defined as a transactional
encounter between a person and a situation, anxiety is an emotional attachment to difficult
meetings.
According to the complex of stress phenomenon, several models of stress responses have been
developed. Among them, the bio-psycho-social model depicting psychological stress as a state of
normal tension, preoccupation and agitation reported by many, defining it as the relationship
between the person and the environment. By developing the field of psychopathology, the bio-
psycho-social model is useful for assessing psychological stress in primary care and health
research of the population. The bio-psycho-social pattern of stress includes environmental
parameters and individual processes of perception and endurance of stress. Stress effects are
actually directly related to each other (Beck CT, 1996).
According to the bio-psycho-social model, in some circumstances stress can act as a factor that
leads us to the development of various physical and mental disorders and resulting in physical or
mental illness. Forced stress disorders can only occur as a result of great stress, ie when it is of
great intensity or long duration, or when other pathogenic processes are also present (Commodari
E, Di Nuovo S, Bongiorno F, Caruso F, 2002).
The impact of pediatric disease and disability in family stress is well documented in the
literature. Some studies have found increased stress in families of children with various diseases
such as asthma, diabetes, heart disease, and other chronic pathologies. Earlier research suggests
that parents' stress has important consequences for the health and outcome of behaviors of
children (Di Nuovo S, Rispoli L, Genta E, 2000).
Parental stress is affected by special conditions, such as family structure characteristics, for
example, adoptive mothers perceived too high levels of stress during hospitalization of their
child compared to mothers of biological children who were hospitalized ( Lemrey L, Tessier R,
2008). Other research has led to the identification of some psycho-social mediators that have

been found to be important determinants of stress responses across different environments and
populations (Greer AJ, Gulotta CS, Masler EA, Laud RB, 2008).
Intensive psychosocial intervention in hospitalized patients and outpatients has been found to
have a positive impact on children and family functioning, thus reducing the level of stress.
Because visitors came to visit their relatives in hospital, they talked to the parents of hospitalized
children and this affected the stress reduction more than the conversation between the parents
who had the hospitalized children. Health professionals may also play a central role in these
interventions by helping families identify and mobilize resources in medical and community
environments (Coyne JC 2006).
With the admission of the child to the hospital, all parents will experience stress to some extent,
although unplanned admissions families experience higher levels of stress than well-received or
well-informed families instructed by the doctor in advance . No parent wants to see their child in
pain, and certainly not at the hospital. Stress, anxiety, fear and worries associated with
hospitalization is a proof of the coping skills of the child as well as the whole family. The new
study from the University of Alabama suggests that maternal abilities can influence the level of
stress and anxiety of her child during a hospital stay. Researchers have studied 24 mother-child
cases, focusing on maternal group coping skills, the hospitality satisfaction they offer, and the
level of anxiety among children.
The more a mother who can manage stress and anxiety effectively while staying in the hospital,
the more it can affect the lowest level of stress in children. As well as the more hospitals being in
the care of patients and families or finding ways to meet their demands, stress and anxiety will be
lower on their parents (Garro A, Thurman SK, Kerëin ME, Ducette JP., 2005). The level of
anxiety and stress also differs according to the type of disease the patient has. Studies show that
guardians of hospitalized children for mild acute illnesses perceive a higher level of stress and
anxiety compared to the control population.
The purpose of this study is to investigate the perception of stress and anxiety in the parents who
have children hospitalized at the Pediatric Clinic - UCCK in Pristina. The main objectives were:
(a) Measuring the degree of anxiety and stress in the parents who have the hospitalized children;
(b) Assessing the level of stress and anxiety in the mother and father by the sex of the child; (c)
Difference in the degree of stress and anxiety based on the number of children.
2. Methodology
The research is quantitative, realized using the descriptive - prospective method. The target
group in this research was the 50 parents who had children hospitalized at the Pediatric Clinic -
UCCK in Pristina, conducted during the period February - May 2018.
2.1 Collecting and analyzing data
The data collection was conducted through an interview and a standardized anonymous
questionnaire. The questionnaire had 17 general questions, 18 questions that describe parents'
feelings and perceptions, and 126 questions that determine the individual's caretaker and measure

the degree of anxiety and stress. The questions were systematically analyzed, making the
classification and analysis of the content of open questions by parents with much added care. The
data obtained were grouped according to the questions asked and statistical processing was done
with the SPSS 20 program.
3. Results
A total of 50 parents (27 (54%) males and 23 (46%) females participated in the survey, with 31
(62%) from the village and 19 (38%) from the city. According to parents' statements, 37 (74%)
children were hospitalized for the first time, 9 (18%) children for the second time, 2 (4%)
children for the third time, and 2 (4% children have been hospitalized for the fourth time.
The average number per family is 5 members / family. Low monthly income is declared to have
21 (42%) parents, average income 18 (36%) parents and high income 11 (22%) parents declared.
Unfortunately, the largest proportion of parents belong to low-income households, but no
distinction is made with the income of middle-income households.
Regarding the number of children, parents are declared to have: 1 child 15 (30%) parents, 2
children 12 (24%) parents, 3 children 9 (18%) parents, 4 children 8 (16%) parents, 5 children 3
(6%) parents, while over 6 children 3 (6%) parents. The age of younger children is 1 year and the
largest10 years, the average 3 years and the standard deviation 2.0.
The level of stress based on the gender of the child results to be at the average level of girls with
57.8 while in boys it is 60.1, with standard deviation of 5.4 in girls and 4.9 in boys. Analyzing
the reported stress of the parents according to the gender of the hospitalized child, we notice that
the parents who have the children with hospitalized girls have a lower level of stress than the
parents who have the male child. There was no correlation between the gender of the child and
the stress experienced by parent F (1) = 2.4, p = .125.
To see the impact of the number of hospitalizations on the level of stress and anxiety among
parents, it turns out that despite the number of hospitalizations of the children, all have expressed
stress and anxiety, although there is no correlation between stress and anxiety with the number of
hospitalizations.
There was also correlation between the number of children, income in the family with anxiety
and stress. From the data obtained we understand that the correlation is significant with
confidence 0.01. (Table No.1).

Table No.1 - Correlation between the number of children, income in the family with anxiety and
stress
Number of Income in the
Anxiety Stress
children family
Pearson Correlation 1 .829** -.110 -.279
Anxiety Sig. (2-tailed) .000 .563 .135
N 50 50 50 50
Pearson Correlation .829** 1 -.131 -.247
Stress Sig. (2-tailed) .000 .491 .187
N 50 50 50 50
Pearson Correlation -.110 -.131 1 -.232
Number of children Sig. (2-tailed) .563 .491 .218
N 50 50 50 50
Pearson Correlation -.279 -.247 -.232 1
Income in the family Sig. (2-tailed) .135 .187 .218
N 50 50 50 50
**. Correlation is significant at the 0.01 level (2-tailed).
By analyzing the reported stress by mother's age and father's age, it may turn out that both
parents reported the same stress and had a high correlation where r = 0.80 of the mother's age
and r = 0.90 of the father's age. After analyzing the number of family members, the number of
children and the material incomes, it results: r = -081 to the number of family members, r = -121
to the number of children, and r = 063 the income , which reflects a strong correlation between
the number of members and the number of children, while with the material incomes a moderate
correlation.
4. Conclusions
The purpose of the research was to investigate the level of stress and anxiety among parents on
the hospitalization of children and the way to reduce stress and anxiety through their emotional
support, considering that only the hospital word has a frightening harm to the child as well as for
the parent. The way of communicating with the parent that his child should be hospitalized is a
state of alarm and concern that something is happening with his or her child. In addition,
hospitalized children are faced with many not familiarity elements, see a number of unfaithful
faces, hear sounds, and feel unusual smells. Also, non-family procedures such as vital signs,
laboratory tests, and other procedures, confront the child with the hospital environment, and this
may be anxious to the baby as well as to the parents.
The level of stress in the order of hospitalizations has not been found to be significant, whereas
in terms of anxiety we conclude that parents who had children hospitalized for the third time
have had an increased level of anxiety. The economic situation results in an increase in the level

of anxiety and stress, especially the parents who have children hospitalized because they do not
have enough money to purchase essential medicines for the treatment of children. The findings
show that the parental appeal of a parent is in a positive correlation with stress and shows
significant estimation, which means that: the greater the anxiety the greater the stress
experienced in the parents. Based on the findings of this research we can make proposals about
the level of anxiety and stress of the parents who have the hospitalized children:
 Engaging policy makers, managers and health professionals in designing and delivering
strategies to prevent anxiety and stress.
 Have a clinical psychologist at each pediatric center.
 Promote the style of healthy life without stress and without anxiety.
 Creation of rooms for meeting with other persons who have children hospitalized and
conversation among them.
 Each pediatric service / department has a room with toys.
 The emotional support of the parents by the health personnel.
List of References
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ANALYSIS AND ANTICIPATION OF STRESS FACTORS IN THE
WORKPLACE
Eglantina Kraja, MA,

Mimoza Shahini, MD, Msc,
Niman Bardhi, MA,
Abstract
Background: Initially psychologists have defined stress as harmful stimulus (Selye, 1956), but
the concept of stress has evolved quickly, but physical damage is supplemented with the concept
of psychologionical stress (Lazarus, 1966). The body's immune system is weakened when stress
levels rise (Stone, 1987).
Purpose: The purpose of the study is to review and description of stress factors in the
workplace,consumption and daily irritations that cause stress. Description treated as the first
stage in the process of recognition of a phenomenon. Prediksion is achieved by proving the
existence or non-connection between two or more variables. Explaining purpose research
represents the highest goal that claims fulfillment, not just psychology as a science, but first of
all the other sciences in general .
Objectives: Define knowledge of the health workers about the links between stress and chronic
fatigue. Identify problems and understanding the causes of stress and identification of symptoms
of consumption and its adjusting.
Methodology: This research will be quantitative, since for the interpretation of the final results
of the survey we will be using statistical analysis of numerical data, also we need to know the
sample characteristics and assumptions coming from certain results. It is fundamental if the
independent variables affect the dependent one.
Results: There have been 200 participants in research, the FMC (Main Family Medicine Center),
68 were male and 132 female. 39 of them had a university degree, 78 were middle frame, while
65 were of different profiles involving laboratory, x-ray technician and administrative worker.
Presented correlation between the showed variables which have led to increased stress, lack of
respect from employees, inadequate holidays, lack of gratitude from others for the work doing,

then the connection is positive among the options presented by the growth of stress which at the
mass correlation is +0784, which represents a very strong positive link.
Discussion: To support initiatives for the organization of courses and professional training for
managing stress at work of all employees at FMC.
Conclusions: The theme of the paper is designed according to the criteria where stress
management, consumption and prejudice at work has a great significance, and as such represents
a contemporary problem which applies to become concerned
Key words: stress, consumption (bornout) and bias.
1.The concept of stress

Initially psychologists have defined stress as harmful stimulus (Selye, 1956), but the concept of
stress has evolved quickly, physical damage is supplemented with the concept of psychological
stress (Lazarus, 1966). The body's immune system is weakened when stress levels rise (Stone,
1987). Different psychologists recommend various techniques to avoid or reduce negative
emotions and physiological reactions that can be caused by an stressful situation. (Theodori
Karaj, 1998) calls techniques evasive because they seek to divert attention from the stressful
issue, (Gotleib, 1998) reported that 21% of American employers have a week of being busy at
work.
According to the International Labour Organization, 250 million children in the world are
working, especially in developing countries like Asia, Africa and Latin America. Early
employment imposes excessive physical and social demands to these children which means that
the children face stressful situations at work.
Therefore, stress is the result of interaction of employees with conditions that surround them.
Experience has shown that the interference of individual or institutional factors can mitigate the
effects of stress and prevent it. In terms of poor countries and those in transition, for the
phenomena that accompany these processes, stress showed increased presence and the necessity
of its management should be an important function of management levels and an integral part of
their functional responsibilities.
Since 40 years ago when the proffesionals have stated the stress and its impact to every
individual for the first time, there are different definitions of what is meant by the word stress.
Four prominent theories that attempt to explain the bio-psycho-social development mechanisms
of stress are:
a) General adaptation syndrome (Model Hans Salye)
b) Mdel of life changed (Dohrenwend,1961,1970, Havelka,1990);
c) Cognitive-transactional Model (Richard S. Lazarus, 1966.1995)
d) Enhanced stress model (Egge, Liechti 1988)

1.1 Stress at work
Different scientists have stated out several definitions about stress, so eg Headquartered
biochemist Hans defines stress as a requirement of the organism to adapt to its environment and
changes, namely the adaptation of the body to stimuli or strikers of physical and mental balance.
By general definition, stress is considered the body's response to harmful stimuli. The causes of
stress are known as the stressor and they are classified on three groups:
•physical stressor (temperature and loud noise in the workplace, overload at work, night
work);
•sociological stressor (political problems and economic, family migration, etc.);
•psychological stresor (death of spouse, loss of large, high professional responsibility for
human life before surgical interventions etc.).
1.2 Stress and lack of interest in work

Stress and lack of interest to work is the best indicator te stae out the problems and grievances of
the employees of the organization. Lack of interest to work in fact is manifested in various
forms, delays and absences at work, issuing early job before the end of working hours, holidays
frequent unreasonable medical leaves, irritation and reactive behaviors at the working place etc.
The causes of apathy for work are different, but mainly there are two basic reasons: lack of
motivation for work and professional incompetence in responding to work requests (Ramosaj,
2002).
1.3 Consumption - (burnout)
Consumption is nothing else but the end of our physical and mental reserves. It happens when
the amount of energy that comes out of our bodies is greater than that enters, as for example a
person who receives the additional task and consequently workload increases, and he continues
to work hard and assume more responsibility, in that case stress resists until the person is
consumed and wears out. Men and women experience consumption almost equally. Also, the age
is an important factor. Consumption affects young people more than the elderly. Unmarried
experience more often consumption than married ones, perhaps because they do not have the
same opportunities to express their concerns with someone else.
The relationship between job satisfaction, job stress, work wear and engagement.
In research done by (Rothmann.S., 2005), which was investigating the welfare purpose between
job satisfaction, stress at work, consumption and engagement in work speaks for some
components related to labor welfare. Currently there is no universally accepted definition of
burnout syndrome. Fraudenberger was the first scholar to use the term ,, burn-out & ,, to denote
a complex of symptoms, such as not good digestion, fatigue, depression. Later Cherniss with;
burn-out syndrome define individual response to a situation where work is perceived as difficult

and in which the individual does not have the necessary resources and strategies to cope with
behavior or recognition. According to Maslach, burnout is a set of psychological and behavioral
manifestations that may arise to the professionals who work with people and that can be grouped
into three components: emotional exhaustion, depersonalization, and reduced personal
accomplishment. Emotional exhaustion is the feeling of being emotionally drained and void from
their work, due to a drying emotional relationships with others.
1.4 Prejudice
Initially, we all condemn prejudice, but still continue to do so. They say prejudices that do are
mainly negative and made without relying on facts. But, social psychology explains prejudice as
opinion formed against one or more social groups, eg racist opinions, nationalist, ethnic or
religious groups (Lexikon der Psychologie, Band 3, Arnold, Eysenk, Meill). Known psychologist
Allport social psychology in 1954 of prejudices defined as a dislike which is based on erroneous
information takings and a generalization of such information. This antipathy is directed against a
group, or to a person who belongs to a certain group. This phenomenon hinders the proper
development of a society.
2. Methodology
In the research participated 200 employees of different profiles: doctors, nurses and
administrative employees of FMC (Head of Family Medicine) in Prizren. Family medicine team
comprises family doctor, a general practitioner, dentist, pharmacists, pediatrics, gynecology-
obstetrics, specialist of clinical biochemistry, nursing, midwives, physiotherapists and health
technicians.
2.1 Study Design

Before data collection survey is consulting the literature and standardization measures in
accordance with the instructions set out by questionnaire on stress at work. The questionnaires
were translated and standardization were informed after leading primary care staff and, where
permission is sought for implementation. The research was conducted within the period June
2017. Giving questionnaires was conducted in order group, with the participation of a large
number of subjects at the same time.
2.2 Instruments
Data collection was conducted through: a demographic questionnaire, "the questionnaire on
stress at work" (For the stress assessment questionnaire was used and snuff 30 Minuten Burn-
Out and belongs to the Likert type with multiple chois answers). This questionnaire is self
reported, reliability and validity of the trailer has been tested according to Alfa Cronbah. Author

Frank H. Berndt instrument. This instrument is available to determine the degree of stress at
work instrument for determining the degree of burnout.
2.3 Collection and data analysis

Sample is intentional. The research sample comprised a total of 200 employees of different
profiles of FMC (Head of Family Medicine) in Prizren. Family medicine team comprises family
doctor, a general practitioner, dentist, pharmacist, pediatrics, gynecology-obstetrics, specialist of
clinical biochemistry, nursing, midwives, physiotherapists and health technicians. Claims to
control the problem of the survey will be used SPSS 16 statistical package. During testing,
questionnaires that are partially completed will not be taken into account during further
processing of the results. For data processing and control of the hypotheses set will be used the
following statistical methods: The Pierson correlation, analysis of variances, test Leuven, T-test-
will enable us to assess averages between two groups that are statistically different from each
other and will also enable us to see if there is a difference between these groups.
3. Results
For the clearer presentation of the results of statistical analysis will be used tabular and graphical
presentations. Data descriptive demographic assert claims that the total number of participants in
the survey's consists on 200 participants from FMC (Main Center for Family Medicine), of
whom 68 were male and 132 female participants, 39 had a university degree, 78 were within the
medium, and 65 were of different profiles involving laboratory, x-ray technician and
administrative worker.
Tab. The correlation between the degree to assess the "burnout" and other
scales that assess the perception of labor (prejudice) and work experience
Stress and Prejudice - changes in
Burnout
its causes work
Pearson Correlation 1 .641** .133*
Burnout Sig. (2-tailed) .000 .021
N 200 200 200
Pearson Correlation .641** 1 .443**
Stress and its
Sig. (2-tailed) .000 .000
causes
N 200 200 200

Prejudice - Pearson Correlation .133* .443** 1
changes in Sig. (2-tailed) .021 .000
work N 200 200 200
Analysis of results from three auxiliary hypotheses proved that there is a positive correlation
between stress, burnout and prejudices associated with the work. Put differently with increasing
linear one variable have increased an other variables. In this case the increase of stress is
reasonable to expect that we will have an increase of burnout (r = 0641) or even increase
prejudice against work performed (r = 0.443). Although the positive relation between labor
burnoutit and prejudices (r = 0.133) turn this report is not as strong as between burnoutit and
stress observed (r = 641). When the person is faced by the fear of losing the job, increased
administrative work, night shifts, etc. the stress experience with even burnout, work-related
prejudices will increasingly rise up. In this form the medical staff ends to magical vortex from
which without professional help it is very hard to handle out. If the staff is found under stress
and burnout feels frustrated, emotionally absorbed and expresing out somatic diseases will (33%
reported some disease).
Tab. The correlation between the degree to assess the "burnout"

prejudice against work stress and the demographic characteristics
Gender Age
Burnout Pearson Correlation .731** -.243**
Sig. (2-tailed) .000 .000
N 200 200
Stress and its Pearson Correlation .689** -.741**
causes Sig. (2-tailed) .000 .000
N 200 200
Prejudice- Pearson Correlation .113 .043
changes in Sig. (2-tailed) .081 .280
work N 200 200
The research treated out the report on stress and burnout as well as demographic characteristics
of the medical staff. It showed that gender as an demographic characteristic have significant
value on the degree of experience of burnoutit. Female medical personnel to the greatest extent
experiencing burnoutin (M = 59.13) unlike their counterparts male (M = 57.14). the reason lies
in the emotional nature of women, on the one hand, and because of the existence of conflicts
between social roles. In other words, women also performs several roles of whom they care for
the family but also professional role. The resulting friction between social roles that women in
relatively high mass to withstand stress with up to professional burnout.

Table. We examined factors as causes of significant value to stress and burnout of medical
workers.
Type cause of stress and burnout The range of the % N
determining factors
Lack of control over your work 8 5.5 200

Mungesa e mirënjohjes nga të tjerët per punën qe e 2 12.5 200
bëni
Insecurity at work 3 9.5 200
Work excessive (too much) 4 8.0 200
work overtime outstanding (long hours of work) 13 3.5 200
Work in shifts 6 6.5 200
Pressure great to perform tasks working 13 3.5 200
Lack of respect from colleagues 7 6.0 200
Lack of respect from the supervisor 9 5.0 200
Interest conflict at work 10,5 4.0 200
unclearly defined job responsibilities 13 3.5 200
Gender discrimination 17 1.0 200
Age discrimination 10,5 4.0 200
Physical working conditions 16 2.5 200
Inadequate payment 5 7.0 200
Inadequate vacations 1 18.0 200
According to research reference stress related factors determining the degree of economic
development of the country. In other words, the patterns of stress and burnout-it are
characteristic for the countries where they were created. For poor countries stress factors are
nature "existential" and for developed countires countries stress factors not only differ but it is
very hard to recognize them and it is quite difficult to create a model of reference because their
nature is different (depending on the country).
The results offer model of stress and burnout which can be properly called as "Kosovo model of
stress and burnout ". Based on statistical indicators and processed data 18% of medical staff
report that the holidays are inadequate, 12.5% said lack of gratitude for the work they are doing,
9.5 % of medical staff expres that the main cause of stres and burnout are developed due to
unsecure working place.
If we focus the statistical analysis on what values build the value system of medical staff will see
that some of the values are distinguished but do not show the not significant differences between
the values provided. Such a separation of values gives us information on the same surface which
provide the individual in coping with the emotional state of "burnout ". As seen from the graphic
presentation for the 22% of the medical staff fanily is the most important, 13% find shrewdness
as most important value in life, and 1% of them stated that the main goal in life have personal

independence. Other values such as a sense of belonging, personal development, self-esteem,
friendship, personal independence, prestige, power, wealth and sense of achievement, are present
as the value of the dominant individual, but because of the low percentage of considered values
secondary to the lack of value for generalization .
4. Conclusions
The level of "burnout's" tens unit has been higher than the rate of authenticated in relevant
research. variables important for research: stress, burnout and work-related prejudices,
showsignificant statistically correlation between each other. Only the height of the correlation
varies. Higher correlation was obtained between stress and burnout-it but low and middle
between stress and related work prejudice. Also, it is evident that the level of experiencing
stress, burnout-and at same time it is linked to significant extent with the working environment
and the specifications that emerge from it. Gender and age are considered as variables that
statisticallyare significantly correlated with variables important for research. The research
performed the largest number of medical personnel found to have developed signs of syndrome
"burnout-it" of which the largest percentage refers degree first the syndrome burnout-it about
45.5% compared to the percentage of second instance where 13.5% of medical staff appear to
have signs of the presence of the syndrome of burnout. The study confirmed that gender is
presented as an important demographic factor for the development of burnout syndrome. The
medical staff of female mass greater develops signs of the syndrome burnout compared with
male colleagues. Stressors that are related to the terms of the specifics of the work of exercise
appear to be weighing relevant to the development of the burnout syndrome. The results
presented can contribute formulating new directions in research and professional stress and fight
against all this aims to protect mental health as well as to contribute to increasing the
productivity and quality in the provision of medical services by patients and medical staff.
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THE STOCK MARKET AS A GAME:
AN AGENT BASED APPROACH TO TRADING IN STOCKS
Eric Engle
“If ever there were a field in which machine intelligence seemed destined to replace human
brainpower, the stock market would have to be it. Investing is the ultimate numbers game, after
all, and when it comes to crunching numbers, silicon beats gray matter every time. Nevertheless,
the world has yet to see anything like a Wall Street version of Deep Blue, the artificially
intelligent machine that defeated chess grand master Gary Kasparov in 1997. Far from it, in fact:
When artificial-intelligence-enhanced investment funds made their debut a decade or so ago,
they generated plenty of media fanfare but only uneven results. Today those early adopters of AI,
like Fidelity Investments and Batterymarch Financial, refuse to even talk about the
technology...Data flows in not just from standard databases but from everywhere: CNN, hallway
conversations, trips to the drugstore. ‚Unless you can put an emotional value on certain events
and actions, you can't get the job done.‘ Naturally, investors don't process this hodgepodge of
inputs according to some set of explicit, easily transcribed rules. Instead, the mind matches the
jumble against other jumbles stored in memory and looks for patterns, usually quite
unconsciously. ‚Often, great investors can't articulate the nature of their talent. They're like pool
players who make incredible trick shots on intuition.‘ Fine for them, but how do you code
that?”1
A Taxonomy of Games
A game can be defined as a set of rules (conditionals) with one or more goals (also conditionals)
with an outcome of „win“ or „loss“ depending on whether the conditionals are fulfilled.2 Games
1
Carla Fried, „Can technology build a better Buffett?“, (February 2004)
http://www.cnn.com/2004/TECH/ptech/02/12/bus2.feat.buffett.ai/index.html
2
Wikipedia, „Game“, (2004)
http://en.wikipedia.org/wiki/Game

can either be positive sum, zero sum, or negative sum.3 Positive sum games, such as trading
goods, are games in which all parties to the game are, in absolute terms, better off as a result.
Trading of goods is generally a positive sum game: each party has a good the other good use that
it cannot. Both parties are both better off because of the trade. Negative sum games are games in
which all parties, in absolute terms, are worse off.4 War is an example of a negative sum game.
All participants in a war suffer dead and maimed persons and waste riches in mutual destruction.
War is often erroneously represented as a zero sum game. In a zero sum game any improvement
of one participant’s position results in a deterioration of the other participants position.
Just as war is sometimes fallaciously represented as a zero sum game – when in fact war is a
negative sum game – stock market trading, a positive sum game over time, is often erroneously
represented as a zero sum game. This is called the „zero sum fallacy“5 – the erroneous belief that
one trader in a stock market exchange can only improve their position provided some other
trader’s position deteriorates.6 However, a positive sum game in absolute terms can be recast as
a zero sum game in relative terms. Similarly it appears that negative sum games in absolute
terms have been recast as zero sum games in relative terms: otherwise, why would zero sum
games be used to represent situations of war? Such recasting may have heuristic or pedagogic
interest but recasting must be clearly explicited or risks generating confusion.
Availability of Information
Games can also be classified according to how much information is available to players. In a
game with perfect information all states are known to all players at all times. Chess or Go are
examples of games with perfect information. In a game with imperfect information in contrast, at
least some information is not known to some (possibly all) of the players at least some of the
time. Card games generally are examples of games with imperfect information.7 Information
may be further distinguished into private knowledge (information known only to one player);
public knowledge (information known to all players; share information (known by two or more
3
Wikipedia, „Non-Zero Sum“, (2004)
http://en.wikipedia.org/wiki/Non-zero-sum
4
Brad Spangler, „Positive-Sum, Zero-Sum, and Negative-Sum Situations“ (2003)
http://www.intractableconflict.org/m/sum.jsp
5
Wikipedia, „Zero-Sum Fallacy“, (2004)
http://en.wikipedia.org/wiki/Zero-sum_fallacy
6
Wikipedia, „Non-Zero Sum“, (2004)
http://en.wikipedia.org/wiki/Non-zero-sum
7
Brad Spangler, „Positive-Sum, Zero-Sum, and Negative-Sum Situations“ (2003)
http://www.intractableconflict.org/m/sum.jsp

players); completely unknown by any player.8
Determinicity
Games can also be classified depending on whether they are subject to random influences.
Deterministic games, such as chess or go, have no random elements. Most card games in contrast
have random aspects. Interestingly, games with random factors generally also include imperfect
information, and deterministic games usually have perfect information. However examples of
deterministic games with imperfect information such as Stratego can be found. Similarly games
with perfect information and random elements such as backgammon also exist.
Opponent Modeling9
Opponent modelling is also very relevant to stock market analysis. It is clear that there are
various investment strategies – bears, who are sceptical about market performance, bulls who are
enthusiastic about market performance, blue chip investors, who seek steady certain gains, and
speculators who are willing to take high risks in the hope of great rewards. Each of these
strategies is in fact appropriate to a certain investor. Opponent modelling could be used to tell us
how the market will behave – if we know the strategies of our opponents, which is not at all
certain.
But even if we do not know what the strategies of individual market participants are we may be
able to use oppoenent modelling to help predict how the market moves. Say we know one fourth
of all market participants are blue-chip investors, buying only stocks based on their dividends,
and we know the remainder of the market is equally divided between three types of investors:
bears, bulls, and risk takers. This may be useful to help us to model the movement of the market
and to determine whether to buy or sell a given stock at a given price.10
Interestingly, opponenet modelling has been shown to be superior to MINIMAX if the opponent
8
Wikipedia, „Zero-Sum Fallacy“, (2004)
http://en.wikipedia.org/wiki/Zero-sum_fallacy
Brian Graney, How Money Is Made in the Market“, (2000)
http://www.fool.com/news/foth/2000/foth000912.htm
9
H. H. L. M. Donkers, J. W. H. M. Uiterwijk, H. J. van den Herik, „Admissibility in opponent-model search“
Information Sciences, Volume 154, Issue 3-4 (September 2003) http://else.hebis.de/cgi-
bin/sciserv.pl?collection=journals&journal=00200255&issue=v154i3-4&article=119_aios&form=pdf&file=file.pdf
10
University of Massachussets, Amherst „Glossary of Terminology in Reinforcement Learning“ (2004)
http://www-anw.cs.umass.edu/rlr/terms.html

modelling algorithm has enough time to develop an accurate model of the opponent!11
Agents
An agent is „A system that is embedded in an environment, and takes actions to change the state
of the environment.“
Agents have sensors to percieve environment states
and affectors to influence it. States are a representation of the history of a system which in turn
determines the evolution of the system.
Agents can be combined with opponent modelling. For example we could create agents as
opponents which implement a trading strategy. These agents could even have learning functions
to allow them to change their trading strategy based on how they perform compared to the
market, other agents or the human player.
In an actor critic architecture one agent would execute trades while another determines whether
the trade was a good one
In addition to the „trading“ agents, executing „bearish“ or „bullish“ strategies a „critic“ agent
could evaluate the results of other agents to try to determine the optimum trading strategy. This
agent could then act as the critic to other agents in an actor-critic architecture.
Stock Valuation Strategies
There are roughly speaking three tools for analysing the value of a stock.
Technical analysis (TA) looks not at the company, but at the market. 12
Technical analysis evaluates the stock based on its sales prices in the past (opening price,
closing price, high, low, trading volume). I think this is a good tool for analysing the value of a
stock on a given day – unless exogenous factors such as war or other disaster intervene! The
other main tool is fundamental analysis. Fundamental analysis (FA) is much more conservative
but also more scientifically well founded. In FA we look at the „hard values“ of the company.
How much has it sold? Were its sales profitable? What is the net value of the company? How
much debt does the company have? What is the ration of the share price of the company to the
book price of the company? What is the ratio of the price of the company to the earnings of the
11
Bo Qian „Research“,
http://www.arches.uga.edu/~qianbo/Research.htm
12
For a listing of examples of AI in technical analysis – especially neural networks – see, Galateia corporation
"Primers and Bibliographies" (2001)
http://www.voicenet.com/~mitochon/linksource/ai00002.htm

company? Fundamental analysis is much more exacting. It requires us to understand whether the
company is on solid footing and why. Technical analysis alone cannot reveal when a company is
undervalued or overvalued. Fundamental analysis can tell us when a company is undervalued
(which we would then buy) or when it is overvalued (in which case we must not buy it, rather we
should sell). Fundamental analysis is the basis of the investment strategy of Warren Buffett, one
of the world’s richest men and the world’s best stock market trader.13
A third approach, which seems very unwise to me, is the „efficient market hypothesis“ (EMH).
EMH proposes that because stock market information is almost all publically available that the
stock market is in a situation of perfect knowledge. Consequently, according to EMH all
information is already contained in the current stock price. There are several problems with this.
While stock market information is largely public it is not able to be digested by any one actor or
even any one company. Thus though information is nearly perfect but there is a vast amount of
hidden information. Further, information is not perfectly available.: there is plenty of imperfect
information out there – false or misleading analysis, undisclosed large trading and insider trading
for examples. Information is not instantaneous nor cost free. Finally, EMH does not provide us
any algorithm to determine whether to buy or sell a stock. We would never buy or sell a stock if
we took EMH seriously because the price of the stock could never be overvalued or undervalued.
The fact that investors like Buffett and Soros consistently outperform the market refutes the
random walk theory of the EMH.
Future Research
The advantage of a neural network is that it is able to be trained. Its algorithms do not have to be
hard coded. Further, the neural network can easily learn and adapt to new behaviors. However, a
lot of the knowledge base in stock market investing can be hand coded.
Future research in agent based stock market trading should look at the following issues:
*further developing agent trading algorithms such as the reverse strategy, bears, blue chips and
convervatives to include:
a) technical analysis, i.e. how the market performance overall influences trading in a specific
stock. Most existing research is only concentrating on technical analysis. Fundamentals analysis
approaches should not ignore the points made by technical analysis. Fundamental and technical
analysis need to complement each other.
13
„Intrinsic value is an all-important concept that offers the only logical approach to evaluating the relative
attractiveness of investments and businesses.“ Warren Buffett, "An Owner's Manual" (1996)
http://www.berkshirehathaway.com/2001ar/ownersmanual.html

b) learning procedures to allo the agents to i) learn about the market ii) learn about the other
agents
c) opponent modeling in the stock market. For example, in bear markets the majority of agents
may be acting like the bear agent I present. In bull markets the majority of agents may be acting
like the fools agent I present. Opponent modeling could take this into account so that the eric
agent knows that most other traders are now, say, conservative, and thus it will be a bad time to
sell any security.
d) include a critic agent to evaluate the trading strategies of the various agents to try to develop a
best trading strategy from the different strategies.
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WHAT IS GOOD PUBLIC DISCOURSE? AN ANNOTATED
BIBLIOGRAPHY
David M. Ryfe
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family life.
Bellah, Robert, et. al. (1985). Habits of the Heart: individualism and commitment in American
life, Berkeley: UC Press. Investigates the consciousness, culture & daily practices of average
middle-class Americans in four different communities drawing on extensive interviews. It is
found that individualism lies at the core of American culture, but that other traditions compete
for space in the American psyche, including Biblical & Republican traditions. It is questioned
whether modern individualism can sustain an adequate public or private life. Individuals
expressed much ambivalence about the loss of social ties caused by an individualism that they

cherish. If overcoming deficiencies in individualism cannot mean going back to discriminatory
tradition practices, then traditional institutions must reform themselves to speak to the sense of
individualism Americans covet. In this way, individuals might begin to reconnect to the
communities of memory from which they have sprung.
Benhabib, Seyla & Drucilla Cornell. (1987). Feminism as Critique: on the politics of gender,
Minneapolis, MN: University of Minnesota Press. An edited volume containing 8 essays which
elaborate feminist critiques of gender & politics. These critiques target theories of production,
the differentiation between public & private, theories of the unencumbered self, & the
constitution of the female subject & the deconstitution of gender identity. Of these themes,
particular attention is given to the relation between the public & the private, especially as it has
been described in the work of Jurgen Habermas. A position is sought by the authors which
agrees with Habermas’ notion of communicative practice, yet avoids the universalizing &
gendered aspects of his theory.
Bennett, Lance. (1996). The Governing Crisis: media, money, and marketing in American
elections. 2nd ed. New York: St. Martin's Press. Traces the current crisis in American
governance to several factors: the transformation of electoral campaigns into high-tech
communication processes; the increased marketization of politicians & political causes; & the
unprecedented flow of money into the political process. Within the dynamic interaction of these
factors, citizens have been cut-off from governing institutions, and have developed a deep
cynicism toward the political process.
Bennett, W. Lance & John D. Klockner. (1996). "The Psychology of Mass-Mediated Publics," in
Ann Crigler, ed., The Psychology of Political Communication, Ann Arbor: The University of
Michigan Press, pp. 89-110. It is argued that the voicing or silencing of public opinion in the
news is constructed through a process based on an ecology of interests. Shared norms among
journalists, elites & publics enable these diverse players to judge which voices should be
included & excluded from news accounts. In an analysis of a broad spectrum of issues in the
news, it is shown that public opinion is either excluded from or discredited in mass media news
about foreign policy & macro-economic trends. In contrast, numerous grass-roots voices are
included without qualification in news reports of social, moral & pocketbook economic issues.
The result is a dual-democracy, with strong mobilization of opinion in some areas & a much
weaker civic culture in others.
Benson, Thomas, ed. (1997). Rhetoric and Political Culture in Nineteenth-Century America,
East Lansing, MI: Michigan State University Press. A series of close textual readings of
important 19th century public documents which inquires into the relation of the text to context,
rhetorical forms & genres the intentions of the speaker, the response of the audience & the role
of the critic.
Berkowitz, Peter. (1996). "The Debating Society." The New Republic 215(November 25): pp.
36-42. A critical review of Amy Guttmann and Dennis Thompson, Democracy and
Disagreement (1996) which questions their political program for fostering better public debate.

Guttmann and Thompson suggest that a set of basic moral principles must underlie public
discourse, and in so doing prevent fundamental questions from being raised about them.
Moreover, Guttmann and Thompson appear to advocate a form of public discourse in which
power will naturally flow to elites like themselves who possess better deliberative skills. It is
concluded that their vision of deliberative democracy ends in collapsing the virtues of freedom
with the virtues of the classroom, and thus ignores many other qualities that are central to
democracy deliberation.
Berman, Sheri. (1997). "Civil Society and Political Institutionalization," American Behavioral
Scientist, 40: pp. 562-574. Argues that the tendency of research scholarship to examine societal
and cultural variables outside their broader context leaves fundamental questions unanswered
and misinterprets important dynamics of political development. To know whether civil society
activity will have positive or negative consequences for democratic development, one must
marry an analysis of societal & cultural factors to the study of political institutions.
Bessette, Joseph. (1994). The Mild Voice of Reason: deliberative democracy and American
national government, Chicago: The University of Chicago Press. Examines whether or not the
modern American Congress over the last fifty years remains the kind of deliberative institution
imagined by the framers when they constructed the national governmental framework. The
framers believed that Congress ought to be the primary deliberative body in US politics, &
would maintain their legitimacy by sharing basic values & goals of their constituents. They
defined deliberative democracy as a system of popular government that fosters rule by the
informed and reasoned judgments of the citizenry. This implies that aggregated opinions of the
kind developed in polls are not conducive to informed judgment. Instead, informed opinions are
more likely to be produced by the operation of representative institutions. The modern Congress
is found lacking in its obligation to carry out this deliberative duty. It is suggested that legislators
ought to make several changes to amend this situation: (1) they should spend their time with the
requirements of deliberation in mind; (2) they should not delegate their deliberative duties to
aides; & (3) they should minimize artificial publicity & concentrate on holding meetings in
public. Recommendations are also made for the bureaucracy & the executive to assist in the
resuscitation of deliberation within the Congress.
Best, Stephen & Douglas Kellner. (1997). The Postmodern Turn. New York: Guilford Press.
Develops a map of the defining moments in the turn toward postmodernity in various fields. The
principle concepts, issues and problems associated with this turn are reviewed. The major
sources of postmodern theory in 19th century thinkers such as Karl Marx & Frederick Nietzsche
are outlined. Then, different trajectories of the postmodern are traced, including that of the
French situationists, developments in postmodern literature, arts and science. It is suggested
throughout that these various genealogies of the postmodern amount to a fundamental paradigm
shift as Western societies move from modern to postmodern worlds.
Billig, Michael. (1991). Ideology and Opinions: studies in rhetorical psychology, London: Sage.
Presents a series of studies which aim to develop a rhetorical approach to social psychology.
According to this rhetorical approach, the holding of opinions and attitudes is essentially

rhetorical and argumentative. This means that opinions and attitudes must be studied in a social
context as forms of ideology. The expression of opinions is understood as strategic in that it is
concerned with arguing and persuading, criticizing and justifying, concealing and exposing.
Common sense itself is a form of ideological opinion-formation, in that when speakers appeal to
common sense they are making use of social stereotypes resonant in the moment. Several case
studies are provided to demonstrate these points. Included in these case studies are analyses of
the rhetoric of British Young Conservatives, arguments against Fascist propaganda, the case of
the British Monarchy & the nature of strong opinions.
Billig, Michael. (1996). Arguing and Thinking: a rhetorical approach to social psychology,
Cambridge: Cambridge University Press. Argues for the importance of argument in social
psychology. The modern model of social psychology is taken to be that of persuasion. This
model tends to venerate logical thinking to the neglect of the sort of rhetorical thought which
composes imaginative styles of thinking. Further, it overlooks the way in which individual
thinking itself is modeled on argumentative structures, & so mirrors public debate. The form of
argument is taken to be contrastive: categories are developed & oppositional categories arise to
contest these originals. This notion of thinking as argument is applied to the notion of attitudes,
the concept of commonsense and the rhetorical flexibility by which individuals express their
attitudes.
Black, Jay. ed. (1997). Mixed News: the public/civic/communitarian journalism debate.
Mahwah, NJ: Lawrence Erlbaum. A collection of essays in which the practice of public
journalism is debated. The linchpin of these debates centers on the term community, how it is
defined, what can be expected from it, and what individuals must do to sustain it. On the side of
public journalism, it is generally argued that Americans require a common public space in which
pressing issues may be addressed. Journalism has a special responsibility for cultivating that
space. Critics of public journalism raise a number of dilemmas involving the first amendment,
the traditional role of journalists, and the danger of collective thinking within journalism. It is
also argued that while public journalism favors public debate, the industry from which it has
spawned remains private, closed and unexamined. Rather than compassionate journalism, the
critics argue that journalists would do better to return to their primary mission: informing the
public of what it needs to know so that it can participate in self-governance.
Blakely, Edward & Mary G. Snyder. (1997). Fortress America: gated communities in the United
States. Washington, D.C.: Brookings Institution Press. Traces the rapid increase in gated
communities in the United States & locates this increase within broader social, cultural &
political changes. Gated communities are a response to a felt need among the middle-classes for
greater security & peace of mind. In many ways, such communities are simply the latest
manifestation of the longstanding desire to create a suburban utopia in the US. However, these
communities also divide neighborhoods, encourage privatization and send signals of exclusion. It
is suggested that creating better communities is the appropriate response to the challenge of the
gated phenomenon.

Boggs, Carl. (1997). "The Great Retreat: decline of the public sphere in late twentieth-century
America," Theory and Society, 26: pp. 741-780. Traces the demise of the public sphere in the
face of several cultural currents: an anti-political rant against big government; localism,
metaphysical politics; the urban revolt of poor inner-city residents; & the deep ecology
movement. To reinvigorate the public sphere, there is a need for commonly-possessed
information, but this need confronts the global media industries which prevents its satisfaction.
Bohman, James & William Rehg. eds. (1997). Deliberative Democracy: essays on reason and
politics. Cambridge: MIT Press. An edited volume which brings together several of the most
important statements on the theme of deliberative democracy. Writings from Jon Elster, Jurgen
Habermas, Joshua Cohen & John Rawls are introduced as seminal statements of the need for
deliberative democracy. Nine subsequent essays tackle various problems associated with the
concept, especially those that arise as a consequence of the tension between reason and actual
political engagement.
Bohman, James F. (1990). "Communication, Ideology, and Democratic Theory," American
Political Science Review, 84: pp. 93-109. Draws upon Habermas to outline four necessary but
not sufficient conditions for genuine democratic decision-making: that they be: (1) formally &
procedurally correct; (2) cognitively adequate; (3) concern issues over which consensus is
possible; & (4) free of ideology. Communication that is free from ideology is one that is self-
reflective and self-correcting. The result of these normative guidelines is a public sphere that is a
space for social learning, criticism & autonomy.
Boorstin, Daniel. (1961). The Image: a guide to pseudo-events in America. New York:
Atheneum. Argues that Americans have employed their technology and other resources to
systematically distort direct experience and confuse clear thinking. This point is demonstrated in
a survey of several domains, including the nature of news-making, celebrity in the mass culture,
advertising and public relations, and tourism. Americans today prefer their illusions to reality
largely because they have outsized expectations of what they can expect from the world. Since
these expectations cannot be met in the real world, Americans turn to illusions to satisfy their
hopes and dreams. It is suggested that discovering our illusions will not clear our vision, but it is
a necessary first step to reclaiming reality.
Brady, Henry, Sidney Verba & Kay Lehman Schlozman. (1995). "Beyond SES: a resource
model of political participation," American Political Science Review, 89: pp. 271-294. Develops
a resource model of political participation. It is shown that time, money and skills are distributed
differentially among groups defined by SES. Further, it is demonstrated that these resources have
powerful effects on overall political activity, as measured by giving time and/or money to
politics, and voting. Each of the modes of participation: giving time, giving money and voting, is
a different kind of activity requiring different configurations of resources.
Brooks, Clem & Jeff Manza. (1997). "The Social and Ideological Bases of Middle-Class
Political Realignment in the United States, 1972-1992," American Sociological Review, 62: pp.
191-208. Investigates changes in voting behavior among managers and professionals in the US.

It is found that among professions there has been a decisive shift away from Republican
presidential candidates and toward Democratic candidates. It is suggested that increasingly
liberal attitudes toward social issues explains this shift. Party identification and partisan affect
are shown to substantially mediate the effects of social group membersip, views of the welfare
state and attitudes toward social issues.
Brooks, Clem and Jeff Manza. (1997). "Social Cleavages and Political Alignments: US
presidential elections, 1960-1992," American Sociological Review, 62: pp. 937-946. It is argued
that racial & gender social cleavages in the US have widened in recent years, while religious, and
class cleavages have declined or remained stable. The net effect has been to create stable overall
social cleavage in this period. This finding contradicts other scholarship, which has suggested
that political cleavages arising out of social group memberships has declined since 1960.
Brown, Penelope & Stephen Levinson. (1987). Politeness: some universals in language,
Cambridge: Cambridge University Press. Makes an argument that politeness, construed in terms
of E. Goffmann's notion of face, is a universal feature in human language interactions. This
argument is pursued in terms of four points: (1) all model persons have positive face & negative
face and are rational agents; (2) it is generally in the interest of two model persons to maintain
each other's face; (3) some acts intrinsically threaten face; & (4) the more an act threatens a
speaker's or addressee's face, the more the speaker will want to choose a higher-numbered
strategy (according to the following tree of actions: on record face-threatening action;
with/without redressive action; positive/negative politeness. This argument is pursued in the
context of P. Grice's theory of maxims for conversational implicature.
Burnheim, John. (1985). Is Democracy Possible? the alternative to electoral politics,
Cambridge: Polity Press. Argues that democracy as imagined by democratic theorists is
impossible. In its place, it is proposed that most decisions that take place within multi-function
agencies can be taken by autonomous specialized agencies that are coordinated by negotiations
among themselves or by quasi-juridical arbitration. Participation in this process would be limited
to those affected by the decisions in question to the degree in which they are affected. This
would entail abandoning elections and referendums and replace them by choosing by lot who is
to hold office. This form of government, termed demarchy, is defended as a reasonable proposal
given the facts of modern democratic practice.
Burns, Nancy, Kay Lehman Schlozman & Sidney Verba. (1997). "The Public Consequences of
Private Inequality: family life and citizen participation," American Political Science Review,
91(1997): pp. 373-389. Tests the proposition that because women are unequal at home, they
cannot be equal in the polity drawing on survey data. It is found that for husbands, control over
major financial decisions & autonomy in using small amounts of time enhance their ability to
participate in politics beyond what would be expected on the basis of their other characteristics.
In short, being boss at home is politically empowering to husbands. No significant relationship
was found between presence/absence of free time at home & women's civic participation.
Instead, beliefs about equality are most strongly associated with women's participation.

Burtt, Shelley. (1990). "The Good Citizen's Psyche: on the psychology of civic virtue," Polity,
23(1990): pp. 23-38. It is suggested that there are three courses of civic virtue in the republican
tradition: education of the passions, manipulation of interests and the compulsion to duty. It is
suggested that self-interested motives can sustain civic virtue because any threat to the republic
will be taken as a threat to private well-being. Thus, individuals will be compelled to take up
their public duty through an education of the passions, which allows them to identify threats to
their self-interest.
Burtt, Shelley. (1993). "The Politics of Virtue Today: a critique and a proposal," American
Political Science Review, 87(1993): pp. 360-368. Argues for a distinction between a publicly-
oriented and a privately oriented conception of civic virtue. Both liberal and republican notions
of civic virtue are taken to be publicly oriented. Problems in their conceptualization are traced to
this public orientation. The legitimacy and promise of a privately oriented virtue is shown in a
reading of the work of Stephen Elkin and Bruce Ackerman. It is concluded that the challenge of
modern politics is to link private virtue to political deliberation.
Calhoun, Craig. ed. (1992). Habermas and the Public Sphere. Cambridge: MIT Press. A major
edited book which critically assesses the value of Jurgen Habermas' notion of the public sphere
outlined in his Structural Transformation of the Public Sphere from a variety of angles. Included
among the themes are philosophical discussions involving the appropriateness of Habermas'
model of public space, historical discussions which situate Habermas' description of the 18th
century French & English public spheres in a broader historical view, and communication
discussions which touch upon his analysis of the mass media. Included as an appendix to this
volume is an important response by Habermas himself.
Calhoun, Craig. ed. (1994). Social Theory and the Politics of Identity. Cambridge: Blackwell. An
edited volume which takes seriously the notion that identity politics challenges social theory to
put identity at the center of its activity. Contributors explore issues of identity from both macro
and micro perspectives. The apparent conflict between collective and personal identities is
particularly addressed.
Canary, Daniel, Jeanette Brossmann, Brent Brossmann, & Harry Weger. (1995). "Toward a
Theory of Minimally Rational Argument: analyses of episode specific effects of argument
structures," Communication Monographs, 62: pp. 183-212. Investigates the argumentative
structure of interpersonal settings in two experiments. It is found that conversational arguments
are expected to change structure in light of issue importance. A scope condition of minimal
rationality exists in which parties are expected to elaborate completely on reasons for their
positions regarding important issues. Jointly constructed arguments appear to be most effective,
leading to consensus & to a positive evaluation of communicators.
Cappella Joseph & Kathleen Hall Jamieson. (1997). Spiral of Cynicism: the press and the public
good. New York: Oxford University Press. Explores the effects of strategy-driven, conflict-based
press coverage on voters and citizens in both campaign and public policy environments. Drawing
on analysis of news content frames & the effect of such frames on viewers, it is shown that the

overwhelming effect of such coverage is to make the public more cynical about politics & the
political process. When politicians, journalists and the public learn to expect less of each other,
and of themselves, the result is a spiral of cynicism that ultimately leads to a degraded public
discourse.
Cargile, Aaron Castelan & Howard Giles. (1997). "Understanding Language Attitudes: exploring
listener affect and identity," Language & Communication, 17: pp. 195-217. Investigates the
affect of a speaker's non-standard accent, the fluency of his/her speech & the aggressiveness of
his/her message on Anglo-American listeners' mood state and American identity. It is found that
speakers experience less pleasure hearing any variety of Japanese accent than after hearing a
speaker with a standard American accent.
Chaney, David C. (1994). The Cultural Turn: scene-setting essays on contemporary cultural
history. London: Routledge. A collection of essays which interrogate various cultural forms of
modernity in light of the recent cultural turn within the academy generally, & cultural studies
specifically. Such forms as suburban enclaves, shopping malls, mass entertainment, & art &
literature are included in the discussion. Although the essays are written to stand alone, all are at
least broadly concerned with the difficulty of conducting social historical investigations within a
postmodern period.
Charity, Arthur. (1995). Doing Public Journalism. New York: Guilford Press. A book on public
journalism which grew out of Jay Rosen's Project on Public Life and the Press at New York
University. It is specifically devoted to the practice rather than the theory of public journalism,
and includes descriptions of the best public journalism projects undertaken across the country.
Included in this discussion are segments on the Charlotte Observer ; Cape Cod Times; Dayton
Daily News; Spokane Spokesman-review; Wisconsin State Journal; Virginian-Pilot & the
Huntington Herald-Dispatch.
Chen, Guo-Ming & William J. Starosta. (1996). "Intercultural Communication Competence: a
synthesis," Brant R. Burleson, ed., Communication Yearbook 19: pp. 353-383. A three
perspective model of intercultural competence is presented: (1) an affective perspective focused
on positive self-concept, open-mindedness, non-judgmental attitudes, and social relaxation; (2) a
cognitive perspective representing cultural awareness; & (3) a behavioral perspective
representing inter-cultural adroitness based on message skills, appropriate self disclosure,
behavioral flexibility, interaction management and social skills.
Cheney, George. (1991). Rhetoric in an Organizational Society: managing multiple identities,
Columbia: University of South Carolina Press. Argues that organizational rhetoric is a process of
the management of multiple identities drawing on the work of Kenneth Burke. This definition of
organizational rhetoric is elaborated in a case study of the development of the US Catholic
Bishops’ 1983 pastoral letter, The Challenge of Peace. It is shown that organizations are
principally involved in negotiating among a number of identities. To be heard within an
organization, one must adopt an insider’s identity which does not challenge the core identity of
the organization as a whole. Organizations face the task of reaching outsiders who may not

condone their core identity while not losing authority with insiders. To change their identity,
organizations must ground their arguments in the interests of at least some parts of their
organization. This can be especially difficult in a multi-national organization with a diversity of
cultural ethnic & national identities.
Cherwitz, Richard & James Hikins. (1986). Communication and Knowledge: an investigation in
rhetorical epistemology, Columbia, SC: University of South Carolina Press. Develops a
rhetorical epistemology in which rhetoric is defined s a description of reality through language.
The interface between rhetoric and epistemology is language. Meaning in language is a function
of a linguistic unit's embodiment of relations among rhetor, tacit audience and extra-linguistic
phenomena. A rhetoric which serves to advance epistemology is one in which the relations
among rhetors, extralinguistic phenomena and audience is made explicit; valid inferences are
drawn between first-person epistemic judgments and derived knowledge; conclusions are derived
through dialogue and preserved in a marketplace of ideas to establish their validity; and the
perspective of the rhetor is made plain. Truth within this rhetorical epistemology, knowledge is
understood in relational terms as a process of discovery between rhetors in which all perspectives
are considered.
Chong, Dennis. (1993). "How People Think, Reason, and Feel about Rights and Liberties,"
American Journal of Political Science, 37: pp. 867-899. Investigates how citizens think and
reason about political issues drawing on interviews conducted in San Francisco in which citizens
were asked to consider such topics as crime, human rights, abortion, freedom of expression &
homosexuality. It is found that people experience considerable ambivalence over many civil
liberties controversies. Most people revise their opinions over time as they uncover different
dimensions of the issues. A central tension is a belief in democratic values combined with a fear
of granting freedom to groups that violate the norms of society.
Chong, Dennis. (1994). "Tolerance and Social Adjustment to New Norms and Practices,"
Political Behavior, 16: pp. 21-53. Argues that tolerance arises not only out of people's
willingness to restrain themselves from punishing those who deviate from social norms. It also
depends on the ability of people to assuage fears & anxieties and to reconcile themselves to
social change. Because people are able to adapt psychologically to changes in norms and
practices, increases in tolerance are not necessarily accompanied by increases in self-restraint,
social strain or tension. The process by which people adjust to change plays a critical role in the
development and expansion of tolerance.
Citrin, Jack, Beth Reingold & Donald Green. (1990). "American Identity and the Politics of
Ethnic Change," Journal of Politics, 52: pp. 1124-1154. Investigates the way subjective
dimensions of national identity influence the mass public's reactions to the changing ethnic
composition of American society drawing on survey data. It is found that normative beliefs about
Americanism strongly influence general attitudes toward cultural minorities. These beliefs
contain strains of liberalism & ethnocentrism.

Cloud, Dana. (1998). Control and Consolation in American Culture and Politics: rhetoric of
therapy, Thousand Oaks, CA: Sage. Examines the rise of therapeutic discourse as a political
strategy of contemporary capitalism by which dissent is contained within a discourse of
individual or family responsibility. The therapeutic is defined as a set of discourses that have
adopted psychotherapy’s lexicon: the language of healing, coping, adaptation & restoration of a
previously existing order. These discourses work hegemonically to channel social unrest and
discontent into individualistic, private-sphere accommodations and adaptations. This thesis is
demonstrated in a series of case studies, such as the debate during the Persian Gulf War &
contemporary debates on welfare.
Cmiel, Kenneth. (1990). Democratic Eloquence: the fight over popular speech in nineteenth-
century America. New York: William Morrow & Company. A history of struggles over the
American language from the late 17th century to the end of the 19th century. It is argued that the
rise of popular democracy in the early 19th century challenged the assumptions of educated
public speech. This challenge ultimately produced "middling styles" of speech which privileged
informality and common sensical speech patterns. Eventually, these middling styles became
patrolled by professional grammarians. However, debates over the proper standard of English
continue today, demonstrating a fundamental tension between the refined & the vulgar which lies
at the heart of public speech in a democracy.
Coates, Jennifer. (1993). Women, Men and Language: a sociolinguistic account of gender
differences in language, 2nd ed., London: Longman. Reviews evidence across the social sciences
to establish whether men & women talk differently & if so, why they do. It is found that women
use more standard forms of language while men use more non-standard forms. These differences
are explained in terms of the relative strength of social networks in preserving vernacular modes
of language. Women are found to pursue different interactive styles than men: men dominate
mixed-gender conversations, interrupt women more; women use linguistic markers of politeness
more, & more hedges. These differences are discussed in terms of power differentials between
men & women & their different locations in society.
Cohen, Joshua & Joel Rogers. (1992). "Secondary Associations and Democratic Governance,"
Politics & Society, 20: pp. 393-472. Associative democracy is characterized by a broad
commitment to the abstract ideal of a democratic society, and agreement that citizens are equals
in respect of certain basic capacities. Six other principles underlie these general conditions:
popular sovereignty, political equality, distributive equity, civic consciousness, good economic
performance & state competence. Associations have the advantage of dispersing information,
equalizing representation, providing citizen education and promoting alternative forms of
governance. The core idea of associative democracy is to curb the mischiefs of faction through a
deliberate politics of association while netting such group contribution to egalitarian-democratic
governance.
Cohen, Joshua. (1998). “Democracy and Liberty,” in Jon Elster, ed., Deliberative Democracy,
Cambridge: Cambridge University Press, pp. 185-231. Deliberate democracy is described in
terms of several features: it must privilege public reasoning; participants must be understood to

be free, equal, reasonable & having conflicting philosophies of life. This structure of deliberation
is motivated by a principle of deliberative inclusion, which suggests that participants to a
discussion must work to find politically acceptable reasons for others to accept their position.
The importance of the principle of deliberative inclusion is discussed with reference to three
kinds of liberty: religious, moral & expressive.
Cohen, Lizabeth, Thomas W. Hanchett & Kenneth T. Jackson. (1996). "Shopping Malls In
America." An American Historical Review Forum. American Historical Review 101: pp. 1049-
1121. A forum which places the emergence of shopping malls in the United States in historical
context. Cohen and Hanchett argue that malls are both sources and products of key elements of
post-World War Two American life. Cohen suggests that the "malling of America" has produced
a new cultural landscape in which public space is more commercialized, privatized and
feminized than it had been in the past. Hanchett demonstrates that this process was directly
subsidized by government policies, especially in the form of tax breaks. Jackson comments on
the two essays, and situates the growth of malls in the wider context of American culture.
Condit, Celeste Michell. (1993). "Opposites in an Oppositional Practice: rhetorical criticism and
feminism," in Sheryl Perlmutter Bowen & Nancy Wyatt, eds., Transforming Visions: feminist
critiques in communication studies, Cresskill, NJ: Hampton Press, pp. 205-230. Takes issue with
the tradition of rhetorical criticism which sharply divides the public from the private.
Situationalist & positionalist approaches to rhetoric are shown to depend upon a male-dominated
canon, to focus primarily on public speeches given by men, & to use male-gendered language.
Recently, feminists have challenged this tradition by focusing on different data & using methods
more process-oriented models. It is concluded that rhetoricians ought to view the individual
rhetor as gynandrous, to denote the variety of ways individuals may appropriate gender resources
to produce themselves in communicative contexts.
Connor, Steve. (1992). Theory and Cultural Value, Oxford: Blackwell. Argues that the question
of value necessitates recognition of the radical self-contradiction & paradox of value. The
imperative of value is to move toward the better & away from the worse, form of life. This goal
cannot be achieved by following either resolutely universalist or relativist principles. Instead, a
society must tack between these extremes in a process of constant negotiation & argument. By
remaining self-reflexive, the forms & registers of value may multiply in a variety of forms and so
fill up a healthy plural conversation. This process will entail both cognitive/ethical &
aesthetic/emotional forms of discourse which idealize, reify and displace value forms. It will also
require a constant process of translation of value from the terms of one culture to those of
another.
Conover, Pamela, Ivor Crewe & Donald Searing. (1991). "The Nature of Citizenship in the
United States and Great Britain: empirical comments on theoretical themes," Journal of Politics,
53: pp. 800-832. Examines citizens' conceptions of rights, duties, and civic identities in the US &
the UK. It is found that in the minds of citizens, citizenship is a complex matter, and that they
blend together liberal and communitarian elements. These findings indicate that it is possible to
have some of the benefits of communitarianism in a basically liberal polity.

Derrida, Jacques. (1976). Of Grammatology. trans. by Gayatri Chakravorty Spivak. Baltimore:
Johns Hopkins University Press. A foundational text in the field of deconstruction which traces
the significance of a singular insight: any sign—linguistic or otherwise—is structured by
difference. One sign is distinguished from another by its difference; the traces of that difference
therefore remain within the sign, and are analyzable by a careful deconstruction of texts. One
ramification of this notion is that constructs of reason always contain the traces of its opposite,
irrationality. Thus, reason and irrationality are closely connected.
Dimaggio, Paul, John Evans & Bethany Bryson. (1996). "Have Americans' Social Attitudes
Become More Polarized?" American Journal of Sociology, 102: pp. 690-755. Little evidence of
polarization over the past two decades is found in an analysis of General Social Survey &
National Election Survey data. The only exceptions have been in the case of opinions toward
abortion & between Republican & Democratic identifiers.
Dryzek, John & Jeffrey Berejikian. (1993). "Reconstructive Democratic Theory," American
Political Science Review, 87: pp. 48-60. It is observed that democratic theory has become
disconnected from the empirical study of actual democratic discourse. To reconnect democratic
theory to empirical analysis, a reconstructive democratic theory is proposed drawing on Q
methodology. Using this methodology in a study of actually existing discourse among thirty-
seven subjects, four discourses are identified: contented Republicanism; deferential
Conservatism; disaffected populism; & private liberalism. Each of these discourses carries its
own ontology, ascription of agency, motivation & natural relationships.
Dryzek, John. (1990). Discursive Democracy: politics, policy and political science, Cambridge:
Cambridge University Press. Constructs a political framework for discursive democracy which
reconciles the demands of democracy with the fact of expert rationality. This framework is
constructed on the basis of two paradigms: critical rationalism & critical theory. Critical
rationalism is defined in terms of: (1) an idealized scientific community; open society, piecemeal
social engineering; experimenting society; the real-world approximation of liberal polyarchy; &
instrumental and objectivist rationality under criticism. Critical theory is defined in terms of: (1)
an idealized speech situation; (2) authentic public sphere; (3) discourse experimentation; (4)
discursive designs; (5) the real-world approximation of new social movements; & (6)
communicative rationality. Bureaucracies of liberal-democratic states are taken to stand as the
major barrier to implementation of these critical programs. The critical policy sciences are posed
against the discourse of opinion research as a viable model for democratizing the sciences. It is
concluded that expertise need not erode discursive democracy through techniques of
rationalization—but may contribute to democratic dialogue through adoption of the principles of
communicative rationality & critical rationalism.
Ehrenhalt, Alan. (1991). The United States of Ambitions: politicians, power, and the pursuit of
office. New York: Times Books. Argues that with the decline of parties, those involved in
politics from the local to the national levels must be personally entrepreneurial. That is, people
must nominate themselves. This simple fact has had tremendous consequences for the nature of
American politics: it means that most politicians will have a positive view of government & that

they will put greater emphasis on equality, openness & freedom when holding office. These
values of opennesss, equality & freedom are taken to be congruent with wider changes in our
political culture, which, while guaranteeing the opportunity to participate, do not always produce
good conditions for governance.
Eliasoph, Nina. (1997). "'Close to Home:' the work of avoiding politics," Theory and Society, 26:
pp. 605-647. Presents examples from a two-year fieldwork & interview study among volunteers,
activists, and recreation groups in a West Coast suburb, demonstrates how the language of 'close
to home' worked to set boundaries around the political within this network of individuals.
Citizens tended to sound more public-minded in casual and intimate contexts and less so in wider
contexts. Thus, contrary to communitarians like Wuthnow and Bellah, it is found that individuals
did not lack a language of civic obligation, they only lacked it in certain situations. When
political language seemed dangerous, or solidarity was threatened, or the power to change things
was not at hand, individuals employed a language of political avoidance to demarcate narrow
political boundaries. This language protected a faith in the democratic process in the face of
citizens' intuited powerlessness.
Fendrich, James Max. (1993). Ideal Citizens: the legacy of the civil rights movement, Albany:
State University of New York Press. Assesses the long-range consequences of participation in
the civil rights movement by tracing the careers of prominent ex-activists in Talahassee, FL since
the 1960s. It is found that 1960s activists are ideal citizens, still exercising their citizenship rights
& active in communities. This was particularly true for African Americans, less so for white
activists. However, both groups demonstrated higher levels of civic engagement than their non-
protesting counterparts.
Fischer, Frank & John Forester, eds. (1993). The Argumentative Turn in Policy Analysis and
Planning, Durham, NC: Duke University Press. Considers the implications for policy analysis of
the post-positivist turn toward argumentation in American public culture. Viewing policy
planning as argument means that more attention is paid to the day-to-day work that analysis do &
the language by which they justify their proposals. It also means paying greater attention to the
socio-political context in which policy planners work.
Fischer, Frank. (1993). “Policy Discourse and the Politics of Washington Think Tanks,” in Frank
Fischer & John Forester, eds., The Argumentative Turn in Policy Analysis and Planning,
Durham, NC: Duke University Press, pp. 21-42. Argues that liberal elites in the 1960s adopted a
technocratic strategy which sought to supplant the less sophisticated opinions of the common
citizen with technical arguments. The success of this strategy provoked a conservative backlash.
However, instead of returning policy discussions to ordinary citizens, conservatives politicized
the policy planning process. The result has been the continued marginalization of citizen
participation in policy discussions. It is concluded that new political institutions must be built
that permit the public to engage in a much wider range of discourse.
Fisher, Walter. (1989). Human Communication as Narration: toward a philosophy of reason,
value and action, Columbia, SC: University of South Carolina Press, 1989. It is argued that all

forms of human communication must be understood as stories, symbolic interpretations of the
world occurring in time and shaped by history, culture and character. On this view, particular
forms of discourse should be considered "good reasons," rather than arguments. That is,
arguments are merely value-laden warrants for believing and acting in certain ways. This form of
narrative rationality is an extension of Chaim Perelman's notion of argumentative competence,
adding two new criteria: coherence and fidelity.
Fishkin, James. (1991). Democracy and Deliberation: new directions in democratic reform, New
Haven, CT: Yale University Press, 1991. Presents the deliberative opinion poll as a mechanism
for reconciling the demands of democracy with those of deliberation. In recent years American
politics have become more democratic, but at the sacrifice of careful deliberation. To satisfy an
ideal democracy, three conditions must be met: political equality, non-tyranny by the majority &
deliberation. Political equality is defined as an institutional arrangement in which every
individual's preferences are considered & everyone is allowed to formulate their preferences. By
non-tyranny is meant that policies must not end in severe deprivations to anyone when other
policies were available. And by deliberation is meant the refinement of ordinary opinion by
discussion into enlightened understanding. To fulfill these conditions, new structures of
representing public opinion are proposed. Among these is the deliberative opinion poll. This poll
is defended as serving the goals of both democratic equality & deliberation in the context of a
large-scale mass-mediated society, and as being preferable to direct democratic proposals.
Fletcher, George. (1996). "The Case for Tolerance," Social Philosophy and Policy, 13: pp. 229-
239. A complex notion of tolerance is defended against its critics. This complex notion of
tolerance allows individuals to distance themselves from behavior with which they disapprove
while allowing that behavior to continue. Notions of respect or indifference carry moral costs
which tolerance does not fall prey to. Tolerance is not perfect, but it enables contrary ways of life
to co-exist.
Foss, Sonja & Cindy Griffin. (1995). "Beyond Persuasion: a proposal for an invitational
rhetoric," Communication Monographs, 62: pp. 2-18. Argues that most theories of rhetoric place
a positive value on dominating & changing others. An alternative rhetoric is proposed that is
grounded in feminist principles. This rhetoric stresses an invitation to understanding, equality,
immanent value & self-determination. Its purpose is to construct a public space of safety, value
and freedom.
Foucault, Michel. (1965). Madness and Civilization: a history of insanity in the Age of Reason.
trans. by Richard Howard. New York: Vintage Books. Traces the history of madness in Western
Europe from the end of the 16th century through the 18th century. It is argued that madness
could only become a major trope in the consciousness of Europe when rationality was embraced
as an ideal. Madness came to serve as the repressed unconscious of a culture enamored with the
notion of pure rationality. Thus, rather than a term described a fixed medical condition, the
notion of madness has been variable, dependent on the historical context and the manner in
which it has been juxtaposed to other seminal cultural tropes.

Fox, Charles & Hugh Miller. (1995). Postmodern Public Administration: toward discourse,
Thousand Oaks, CA: Sage. Counterposes a discourse theory of public administration to the
orthodox theory & its main rival, communitarianism. According to orthodox theory, public
administration ought to work through a representative democratic accountability feedback loop.
Failures of this loop engendered a communitarian response that sought to interrupt the loop by
directly accessing citizens. Drawing on the work of Jurgen Habermas particularly, a discourse
theory is proposed as the only viable way to take account of the postmodern condition. Within
this model, policies are debated through argumentation warranted by several conditions:
sincerity, situation-regarding intentionality, willing attention, & substantive contribution.
Nascent forms of this discourse model are found in public policy networks, interagency
consortia, & community task forces.
Fox, Harrison W. Jr. & Susan Webb Hammond. (1975). "The Growth of Congressional Staffs."
in Harvey C. Mansfield, ed. Congress Against the President. Proceedings of the American
Academy of Political Science 32: pp. 112-124. Explores the consequences of the rapid growth in
congressional staffs during the post-World War Two period. It is shown that staff sizes have
grown exponentially at all levels, from personal to committee offices. In part, this growth has
been spurred by the greater demands on the time of Congressional members, & by the greater
need for publicity of their initiatives. These staffs are not passive conduits of information, but
actively shape the kinds of issues and the manner in which they are addressed.
Frank, Robert. (1988). Passions Within Reason: the strategic role of the emotions, New York:
W.W. Norton. Argues that emotion may be central to reason, because individuals actions to solve
public problems often involve commitments to behave in ways that may later prove contrary to
the individual's interests. Emotions such as guilt, anger, envy and love can motivate individuals
to act in ways contrary to a narrow construal of self-interest. A commitment model is proposed
which suggests that people can make reasonable inferences about character traits in others, &
that these inferences may guide action. This model is contrasted to a self-interest model which
suggests that individuals are always guided by narrow self-interests. It is shown that in a variety
of situations, people proceed on the basis of reasonable emotional inferences. Moreover, these
inferences may open paths of action that are closed off within a strict self-interest model.
Fraser, Nancy. (1989). Unruly Practices: power, discourse, and gender in contemporary social
theory. Minneapolis: University of Minnesota Press. A collection of essays which engage in
various political-theoretical debates of the 1980s. Among these debates are the contribution of
Michel Foucault, Jacques Derrida, Richard Rorty, and Jurgen Habermas to political theory &
political praxis. Of particular importance is the contribution of these authors to the development
of a theoretically and politically savvy feminist political theory.
Fraser, Nancy. (1997). Justice Interruptus: critical reflections on the post-socialist condition,
New York: Routledge. The post-socialist condition is defined as a sense of skepticism & doubt
that pervades the Left after the 1989 revolutions. It consists in the lack of a credible alternative to
the present order; a shift in the grammar of claims-making to group rights; & a resurgent
economic liberalism. Essays in this volume are dedicated to moving beyond this impasse. They

embrace a politics of identity that can be wedded to a politics of social equality. And they argue
for a revised Habermasian public sphere that eliminates social equality; allows the production of
a variety of public spheres; considers private as well as public issues; & allows both for strong &
weak publics.
Frohock, Fred. (1997). "The Boundaries of Public Reason," American Political Science Review,
91: pp. 833-844. Liberalism assumes that a shared form of merit reasoning separate from
historical or political influences may adjudicate between incompatible beliefs & interests of
various social groups. It is shown that this view of public reason is unintelligible in conditions of
deep pluralism, when social disputes are profound & very divisive. In place of merit reason, a
form of non-computational reasoning is proposed that allows collective terms to dominate simple
merit adjudication. These terms require a survey of considerations beyond the merits of the case
at hand and thereby open public reason to the more general needs of the political society. Thus,
the juridical, merit form of reasoning is transcended by a more expansive sense of public reason.
Fullinwider, Robert. (1995). "Citizenship, Individualism, and Democratic Politics," Ethics, 105:
pp. 497-515. Defends a version of Rawlsian individualism against radical critics such as Iris
Marion Young, Bonnie Honig & Chantal Mouffe. It is suggested that it may be possible for
individuals to leave behind their particularities on entering the public sphere (to become
"citizens") and retain them at another level (but remain Baptists, gay, etc.). Thus, the universal
category opens the possibility for particular individuals to enter the public realm and voice their
experiences and concerns.
Gallois, Cynthia. (1993). "The Language and Communication of Emotion," American
Behavioral Scientist, 36: pp. 309-338. Reviews research on the universality and group-based
specificity of emotional language and communication. This research is divided into three
traditions: the experience of emotion, the social skills involved communicating & reading
emotion, & the social rules, codes & styles that structure the communication of emotion.
Ganguly, Keya. (1992). "Accounting for Others: feminism and representation," in Lana F.
Rakow, Women Making Meaning: new feminist directions in communication, New York:
Routledge, pp. 60-82. Discusses feminist contributions to the politics of representation. Efforts to
limit representation of women to fixed categories are resisted in favor of a process-oriented
understanding. To get at the processes of representation, interpretive constructions of the
audience are favored over sociological analyses. Recent feminist post-colonialist writings are
discussed as exemplars of efforts to create more nuanced, process-oriented understandings of
how representation is produced in practice.
Gargarella Roberto. (1998). “Full Representation, Deliberation and Impartiality,” in Jon Elster,
ed., Deliberative Democracy, Cambridge: Cambridge University Press, pp. 260-280. Suggests
that to fulfill the criteria of both deliberation & full representation, & to create impartial
decision-making processes, substantial changes are necessary in the present representative
system. These changes include: (1) the acknowledgment of radical pluralism & heterogeneity;
(2) the abandonment of the notion that politics is restricted to parliamentarian debates; & (3)

rejection of the notion that more impartial outcomes will be produced simply by introducing
more deliberation. Instead, institutions must be amended to reinforce impartiality.
Gilens, Martin. (1996). "'Race Coding' and White Opposition to Welfare," American Political
Science Review, 90: pp. 593-604. Assesses the extent to which white Americans' opposition to
welfare is rooted in their attitudes toward blacks drawing on survey data. It is found that racial
attitudes are the single most important influence on whites' welfare views. While whites hold
similar views of black & white welfare mothers, their views of black mothers are more
politically potent & generate greater opposition to welfare.
Giles, Howard, Angie Williams, Diane M. Mackie & Francine Rosselli. (1995). "Reactions to
Anglo- and Hispanic-American Accented Speakers: affect, identity, persuasion, and the English-
Only Controversy," Language & Communication, 15: pp. 107-120. An investigation in which
subjects listened to pro and con messages in either Anglo or Hispanic-accented English. It is
found that speakers were only influential when their message was not congruent with their
identity: Anglos speaking against EoM; Hispanics speaking for EoM. In general, it is found that
Anglos experienced more happiness and feelings of national identity when ethnically-similar
sounding speakers argued against English exclusivity.
Ginsberg, Benjamin. (1986). The Captive Public: how mass opinion promotes state power. New
York: Basic Books. A critical history of the rise of the public opinion industries which argues
that they have essentially led to the domestication of the public and the promotion of state power.
By appearing to cater to the opinions of ordinary citizens while in fact narrowing their ability to
participate in the political process, the state succeeds in using opinion polling to legitimize itself
in the name of democracy.
Gitlin, Todd. (1980). The Whole World is Watching: mass media in the making and unmaking of
the New Left. Berkeley: University of California Press. A major study of the mass media's role in
shaping the influence of the student movement during the 1960s. By analyzing news frames of
this movement, Gitlin demonstrates that the news media function as crucial filters and shapers of
this social movement's public image, often in ways that are detrimental to the long-term goals of
that movement. Further, it is shown that social movement leaders end up participating in this
process, most notably by making themselves available as "stars" of the movement.
Gittell, Marilyn. (1980). Limits to Citizen participation: the decline of community organizations,
Thousand Oaks, CA, Sage. A comparative study of sixteen organizations’ leaderships and
memberships involved in education policy-making in three cities. It is found that these
organizations had little influence on the decision-making process. The agenda of lower-income
organizations was defined by professionals, with little input from the citizens they serve. Further,
self-initiated middle-class citizen organizations faced the barrier of professionally-run, mandated
and service organizations which approach citizens as consumers & clients. Policymakers
interested in stimulating citizen participation are urged to take several steps: encourage
organizations to become independent from external funding sources; do not mandate community
organizations; & decentralize policymaking.

Glasser, Theodore & Charles Salmon. eds. (1995). Public Opinion and the Communication of
Consent. New York: Guilford Press. An edited volume which considers the nature of public
opinion within systems of mass communication, explores connections between individual &
mass opinion, & addresses the missing link between public opinion and social action. Sections
are devoted to the nature of public opinion, the institution of public opinion historically, the
social & psychological contexts of public opinion, systems of mass communication, & the
relation of public opinion to the promise of democracy. The book is intended to represent the
state-of-the-art research in this area & to develop an implicit model of the way in which public
opinion is produced through a cycle of conversation-opinion-organization-action.
Goldberg, Ellis. (1996). "Thinking About How Democracy Works," Politics & Society, 24: pp.
7-19. A review of Robert Putnam's book, Making Democracy Work. It is suggested that
Putnam's two variables, civic culture & social capital, do not undergird effective democratic
institutions, as he claims. This is shown in a reconsideration of the evidence from his case study
of North & South Italy.
Golebiowska, Ewa. (1995). "Individual Value Priorities, Education and Political Tolerance,"
Political Behavior, 17: pp. 23-48. Argues that increases in political tolerance may be tied to the
broad-based value shift currently sweeping through advanced industrial societies. Higher
education is shown to be strongly associated with greater tolerance. It is suggested that this
connection exists because higher education leads to individual value priorities that are conducive
to greater openness & political diversity.
Gould Carol. (1988). Rethinking Democracy: freedom and social cooperation in politics,
economy and society, Cambridge: Cambridge University Press. Makes a philosophical argument
for the primacy of freedom and the equal right to the conditions of self-development, not only in
politics, but in the economy and other areas of social life as well. Freedom is defined not only as
a capacity of free choice, but also as an activity of self-development. Both social cooperation and
access to material conditions are necessary for self-development, and so necessary for the
exercise of freedom. On this basis, it is argued that individuals must have the equal right to
participate in those decisions that concern the common activities which are among the conditions
for self-development. These areas of joint decision-making will include not only the political
domain, but also the domains of social & economic life. Thus, the value of individual freedom is
not only compatible with social cooperation, but the two are largely inter-dependent. To realize
this democratic theory, several personal traits are needed in the democratic citizen: initiative, a
disposition to social reciprocity which combines the requirements of tolerance and respect; open-
mindedness; commitment and responsibility; & communicativeness & sharing.
Granovetter, Mark, (1973). "The Strength of Weak Ties," American Journal of Sociology, 78:
pp. 1360-1380. It is argued that the degree of overlap of two individuals' friendship networks
varies directly with the strength of their tie to one another. This allows relatively weak ties to
have tremendous influence on the diffusion of information, mobility opportunity and community
organization. It is concluded that relations between groups may be just as important social
bonding as relations within groups.

Grice, Paul. (1989). "Logic in Conversation," in Grice, Studies in the Way of Words, Cambridge:
Harvard University Press, pp. 22-40. Introduces four conversational maxims: a maxim of
quantity: make your contribution as informative but no more informative than is required; a
maxim of quality: do not say what you believe to be false & do not say that for which you lack
adequate evidence; a maxim of relation: be relevant; & a maxim of manner: avoid obscurity,
ambiguity, prolixity, and disorderliness. These maxims are taken to support the Cooperative
Principle: that a conversational contribution should be made as required, at the stage at which
this requirement occurs, according to the accepted purpose or direction of the talk exchange in
which one is engaged. It is contended that these maxims are essentially connected with certain
general features of discourse & that they not only are followed in ordinary conversation, but
should be followed. Moreover, it is shown that they are involved not in the meaning of what is
actually said in conversation, but in the implication of what is said. Hence, they are
conversational "implicatures."
Guttmann, Amy. (1993). "The Challenge of Multi-culturalism in Political Ethics," Philosophy
and Public Affairs, 22: pp. 171-206. Assesss three responses to the challenge of multiculturalism
to social justice: cultural relativism, political relativism & comprehensive universalism. A form
of deliberative universalism is proposed which offers an alternative to the cultural relativist
position that social justice is what any particular culture says it is, to the political relativist view
that social justice is the outcome of legitimate procedures & to the comprehensive universalist
view that social justice is a set of substantive moral prescriptions. Deliberative universalism
defends a noncomprehensive set of substantive priciples that provide the necessary conditiosn for
deliberation about fundamental moral conflicts, along with a set of procedural principles that
support deliberation about such conflicts. Deliberative universalists do not believe in universal
morals, but only in the moral equivalent of a universal grammar.
Guttmann, Amy. (1995). "Civic Education and Social Diversity," Ethics, 105: pp. 557-579.
Argues that political liberalism (as espoused by John Rawls) does not offer a form of civic
education that is more amenable to social diversity than comprehensive liberalism (as in John
Stuart Mill). Both camps agree that teaching toleration & mutual respect is important. But
political liberals deceive themselves in believing that this may be enough. At times, parents may
push unliberal ideas on their children which contradict the demands of toleration & self-respect.
In this situation, the state has a duty to step in & enforce a comprehensive view of liberalism. By
supporting these virtues in the face of parental opposition, the state helps to create a democratic
citizenry capable of respecting diverse ways of life.
Habermas, Jurgen. (1975). Legitimation Crisis. Boston: Beacon Press. Traces the typical patterns
of economic, political & social crisis in advanced capitalist societies to a basic crisis of
legitimation. Today, the economic system functions in close relation to the state, which is
charged with regulating its excesses and ameliorating its crises. Thus, economic crises are
routinely shifted into the political system by the government. Of course, the government is
unable to finally solve these crises, but must continually confront them. As this is happening, the
political system suffers a crisis of motivation, as the occupational & educational system are

unable to maintain the public's motivation to engage in politics, and thus individuals turn more to
the consumption of material goods to sustain their psychic selves. The combination of political
and cultural crises produces a legitimation crisis for the state. That legitimation is dependent
upon its ability to regulate, or to appear to regulate, the economy well enough that consumable
goods appear to be available to all individuals equally.
Huckfeldt, Robert, Paul Allen Beck, Russell J. Dalton & Jeffrey Levine. (1995). "Political
Environments, Cohesive Social Groups and the Communication of Public Opinion," American
Journal of Political Science, 39: pp. 1025-1054. Investigates the extent to which the social
communication of political information is structured by the geographic distribution of support for
presidential candidates in the 1992 election drawing on survey data. It is found that individuals
are differentially exposed to larger environments of opinion depending on micro-environmental
patterns of social interaction and political communication. Hence, the construction of a citizen's
social network serves as a filter on the macro environmental flow of political information. Thus,
the influence of larger environments of opinion depend upon the existence of micro-
environments which expose citizens to surrounding opinion distributions.
Hughes, Robert. (1993). Culture of Complaint: the fraying of America, New York: Oxford
University Press. Argues that the US today is characterized by a culture of complaint in which an
authority figure is always to blame & the expansion of rights is demanded without corresponding
duties & obligations. The result has been a fragmentation of the polity, as groups large and small
demand recompense while the sense of common citizenship dissolves. Calls for a return to
common sense, which recognizes that all Americans share a common cultural heritage
bequeathed from Europe, and that it is characterized by individual freedom, plurality, & reasoned
& civil disagreement.
Johnson, James. (1998). “Arguing for Deliberation: some skeptical considerations,” in Jon Elster,
ed., Deliberative Democracy, Cambridge: Cambridge University Press, pp. 161-184. Suggests
that arguments in favor of democratic deliberation are misguided in several ways: (1) they
misconstrue the difficulties of non-deliberative procedures such as voting; (2) they do not
adequately justify the constraints they impose on the range of views admissible to deliberative
arenas; & (3) they do not adequately specify the mechanisms at work as parties to deliberation
seek to persuade or convince one another. A good argument for deliberation cannot rely on
utopian assumptions, must not exclude self-interest or the conflicts deliberation might generate
from the range of admissible topics; must specify the mechanisms at work when parties advance
arguments to persuade others; must include an account of the institutional forms that deliberative
processes might take; & must include an account both of the sort of effects that we might
anticipate from deliberation & of how we might justify those effects.
Kautz, Steven. (1993). "Liberalism and the Idea of Toleration," American Journal of Political
Science, 37: pp. 610-632. It is observed that the notion of toleration is under attack from various
sides: conservatives worry that it weakens civic and moral virtue; democrats believe it is a mask
for social inequality; postmodernists argue that it does an injustice to diversity. The classical
notion of toleration as "settlement" is defended. According to this understanding, toleration

simply means that each party must be willing to make concessions to the just claims of other
partisans.
Kelley, Stanley, Jr. (1956 ). Professional Public Relations and Political Power. Baltimore: The
Johns Hopkins Press. An early work on the role & consequences of public relations in American
politics. The history of public relations is traced from its beginnings in 19th century American
politics. Its role in the political process is then reviewed, with special attention given to
presidential politics. It is suggested that public relations has made public opinion a maneuverable
element in politics, although individual citizens rarely participate in this process. And, in a
prescient forecast, it is suggested that public relations will move beyond the electoral process to
become much more influential in the public policy process.
Kelly, Jerry S. (1978). Arrow Impossibility Theorems. New York: Academic Press. A volume
which elaborates the implications of several of Kenney Arrow's theorems concerning the nature
of social choice. According to Arrow, it is impossible to integrate individual preferences with
collective preferences in a rational manner because there is no rational method for aggregating
individual preferences into a clear notion of the public good. The implication of this insight and
ways of amelioriating its worst effects on public policy are investigated.
Kuhn, Deanna. (1991). The Skills of Argument, Cambridge: Cambridge University Press.
Investigates thinking as a form of argument in a study involving interviews with ordinary people
& experts in the area of urban social problems. It is found that people generally embrace three
types of causal theories: single cause, multiple parallel & multiple alternative. It is found that
whatever causal theories individuals embraced, they displayed a high degree of certainty in
offering their causal explanations. This epistemological naiveté is taken to be a key to
understanding people’s limited argumentative reasoning ability. Two basic ways of knowing are
discerned: knowing in comfortable ignorance & knowing through a constant effort of evaluating
possibilities. The latter form of arguing is taken to be superior because it entails the ability to
reflect upon one’s own theory & to consider alternative theories & evidence. Subjects differed
vastly in their ability to perform this task. Analysis of experts’ ability to argue demonstrated that
it is possible to attain expertise in the reasoning process itself. However, expertise in a content
area may expand the range of knowledge available, but it also main lead to rigid thinking & an
inability to recognize alternative views.
Kuklinski, James, Ellen Riggle, Victor Ottati, Norbert Schwarz & Robert Wyer. (1993).
"Thinking about Political Tolerance, More or Less, with More or Less Information," in George
Marcus & Russell Hanson, Reconsidering the Democratic Public, University Park, PA: The
Pennsylvania State University Press, pp. 225-247. Investigates the question of whether
deliberation produces better political choices than gut reactions drawing on survey data.
Thinking is distinguished from the amount of information people have available to think. This
distinction implies that thinking can take place with more or less information. It is found that
people generally prefer to express knee-jerk opinions on issues, and that these opinions are
largely intolerant. Moreover, when asked to think more about issues, subjects expressed even
greater intolerance than before. Only when subjects were exposed to a range of arguments,

including those concerning long-run freedom, did their level of tolerance achieve that of their gut
reactions. It is concluded that political tolerance alone does not equal democracy. Rather,
democracy entails the ability to recognize complexity and deal with it in a balanced, flexible and
even-handed manner. To achieve this goal, citizens must be invited to think about politics in a
relatively informed way.
Kurtz, Howard. (1996). Hot Air: all talk all the time. New York: Random House. Examines the
explosion of political talk shows in the 1990s in the context of a general growth of political
commentary, both within & outside the media. The growth of talk is taken to have put an
enormous burden on political decision-makers because it often forces them to act before they are
prepared to do so. Moreover, the talk show culture has opened political debate to different
voices, many of which exist on the margins of the political spectrum, and has changed the nature
of journalism. The result of this talk saturation is a general impoverishment of the political
culture, and a growing difficulty in achieving consensus on difficult political issues.
Langerak, Edward. (1994). "Pluralism, Tolerance and Disagreement," Rhetorical Society
Quarterly, 24: pp. 95-106. Argues that a notion of tolerance is needed which at once allows
individuals to respect the views of others and to judge that these views are diagreeable, and even
to take actions against them on occasion. Thus, a notion of toleration is needed which allows
individuals to be intolerant. Such a construction is offered which makes a firm distinction
toleration and respect.
Langerak, Edward. (1994). "Pluralism, Tolerance and Disagreement," Rhetorical Society
Quarterly, 24: pp. 95-106. Argues that a notion of tolerance is needed which at once allows
individuals to respect the views of others and to judge that these views are disagreeable, and
even to take actions against them on occasion. Thus, a notion of toleration is needed which
allows individuals to be intolerant. Such a construction is offered which makes a firm distinction
toleration and respect.
Lasch, Christopher. (1979). The Culture of Narcissism: American life in an age of diminishing
expectations. New York: Norton. Traces what is termed a culture of narcissism that has
developed in the 20th century. This culture is a direct outgrowth of the crisis of capitalism
administered by a bureaucratic state & the liberal political theory associated with this economic
mode. Various aspects of its growth can be seen in the development of the therapeutic
sensibility, the eclipse of the work ethic, the rise of a politics of spectacle and hero worship, the
collapse of authority, the erosion of schooling, and a new kind of bureaucratic paternalism. It is
suggested that these processes have carried the logic of individualism to an extreme; they have
made individual happiness the sole focus of human action; and, they have turned the pursuit of
individual satisfaction into the primary political strategy for escaping repressive conditions.
Lash, Scott & John Urry. (1987). The End of Organized Capitalism. Cambridge: Polity. A
macro-social theoretical discussion which proposes that the era of organized capitalism—defined
as a concentration & centralization of major economic institutions, the growth of large-scale
hierarchical bureaucracies, the inter-articulation of states & large monopolies, & the expansion

of empires overseas—is currently being replaced by a new form of disorganized capitalism. In
the new environment, national markets are becoming less regulated, a new service class is
emerging as the working-classes decline, the state & capital increasingly take an antagonistic
view toward one another, and a new form of flexible accumulation characterizes the global
economy. This new form of economic organization has tended to fragment the cultural and
political spheres in the manner that many postmodernist theorists have suggested.
Lazear, Edward P. (1996). Culture Wars in America. Stanford: Hoover Institution on War,
Revolution and Peace. Examines the extent to which American attitudes toward newcomers &
desires by immigrants to become assimilated have changed over time drawing on a variety of
empirical data. It is found that these attitudes have changed, and for the worse. New immigrants
have clustered in separate communities to an extent greater than in the past, and incentives to
assimilate have changed in response to the welfare state. The result is a situation in which large
minority cultures may retain their own cultures and speak their own languages for a very long
time. This puts these minority groups at an economic disadvantage, but the government puts a
floor on consumption levels so that they never experience the economic hardship necessary for
them to embrace the cultural attitudes and skills which will help them to better succeed. To
counter this trend, it is suggested that more resources ought to be focused on young children
rather than adults because these resources are more likely to have a higher return among that
population.
Leighley, Jan. (1991). "Participation as a Stimulus of Political Conceptualization," Journal of
Politics, 53: pp. 198-211. Tests the proposition that political participation enhances individuals'
conceptualization of politics drawing on data from the 1976 American National Election Study.
While the hypothesis is generally supported, it is observed that characteristics of the participatory
experience (e.g., success of failure) may determine the nature of its effect on conceptualization.
Leighley, Jan. (1995). "Attitudes, Opportunities and Incentives: a field essay on political
participation," Political Research Quarterly, 48: pp. 181-210. Presents a survey of the literature
on political participation. Three broad conclusions are drawn from this analysis: (1) the
discipline broadly accepts as a basic model of participation the "standard socio-economic model"
which stresses individuals' socio-economic status & civic orientations as predictors of
participation; (2) political participation is typically equated with voter turnout; (3) rational choice
models have attained a significant theoretical status in the study of political participation.
Levi, Margaret, ed. (1996). "Special Section: Critique of Robert Putnam's Making Democracy
Work," Politics & Society, 24(1). A special journal section which includes 3 essays criticizing
various aspects of Putnam's work.
Levi, Margaret. (1996). "Social and Unsocial Capital: a review essay of Robert Putnam's Making
Democracy Work," Politics & Society, 24: pp. 45-55. According to Putnam, a dense network of
civic engagements leads citizens to trust each other & to produce good democratic government.
However, these links are not clear, as membership in one kind of society is not easily translated
into addressing free rider problems in another. Putnam has neglected the role of government in

creating institutions that foster particular kinds of civic culture. The social capital produced in
voluntary associations is not enough to translate into a generalized trust. Thus, Putnam ends in a
kind of romanticization of associational life to the neglect of a theory of social capital.
Lichterman, Paul. (1995). "Beyond the See-Saw Model: public commitment in a culture of self-
fulfillment," Sociological Theory, 13: pp. 275-300. Argues against the notion found in much
communitarian thought that a culture of self-fulillment & political commitment to the public
good are incompatible. A case study of membership in a local chapter of the US Green
movement is presented to demonstrate that the personalist culture may inform and motivate
political commitment. Through personalism, the community shared a dedication to free debate
among individuals and stressed personal expression, discussion & consensual agreement. Thus,
personalism created a deep resonance and sense of responsibility within individuals & fostered a
culture that defined organization in fluid terms.
Lindblom, Charles. (1965). The Intelligence of Democracy: decision-making through mutual
adjustment, New York: The Free Press. Compares centrally directed decision making & partisan
mutual adjustment as two processes for rational decision making. In partisan mutual adjustment,
no central agency directs the relationships of actors with one another. Rather, actors adjust to
their antagonists in a number of ways, including adaptively (asking nothing of the other party),
or manipulatively (by bargaining, negotiating, discussing, compensating, etc.). Described in this
manner, government becomes a process by which political actors engage in partisan mutual
adjustment. Common values limit these interactions somewhat, but are also produced in the
process of adjustment. Because actors must always adjust to others, partisan mutual adjustment
privileges strategic reasoning, which itself produces more reasonable, legitimate, inclusive,
consensual outcomes than centralized decision making.
MacIntyre, Alasdair C. (1981). After Virtue: a study in moral theory. Notre Dame: University of
Notre Dame Press. A major statement in moral philosophy which begins from the premise that
morality today is in grave disorder because the prevailing moral idiom is disjointed &
conceptually barren. An Aristotelian moral view is outlined in which morality is conceived in
terms of shared conceptions of the good. The good is defined in terms of practices relevant to a
shared life. As such, individuals can only attain the good, and hence a moral point of view, by
entering into relationships with others.
Mackin, James. (1997). Community Over Chaos: an ecological perspective on communication
ethics, Tuscaloosa, AL: The University of Alabama Press. Presents an ecological ethic grounded
in pragmatic realism & Piercean semiotics as solution to the cynicism, skepticism and
fragmentation characteristic of postmodern public discourse. According to this framework, while
the relation between signs & objects is tenuous, human beings in dialogue may achieve some
semblance of truth by identifying patterns of regularity in our social world. An art of
communicative ethics is described based on the Aristotelian notion of virtue as habit that lead to
happiness for both the community & the individual & the Piercean notion of fuzzy logic. This art
stresses the practice of openness & honesty in public deliberations & the possibility of achieving
community through diversity.

Maltese, John. (1992). Spin Control: the White House Office of Communications and the
management of presidential news. Chapel Hill: University of North Carolina Press. Examines the
history of the White House Office of Communications, the primary institution through which
presidents attempt to control the public agenda by making presidential news. Richard Nixon
created this office in 1969, and it has steadily grown since that time. As it has grown, it has
become a more prominent vehicle for staging presidential events, managing administration news,
and generally controlling the public agenda. Developments within each administration from
Nixon to Clinton in this are carefully parsed and analyzed.
Manin, Bernard. (1997). The Principles of Representative Government, Cambridge: Cambridge
University Press. Identifies four principles of representative government which have remained
constant over two hundred years since their enunciation by the founders: (1) those who govern
are appointed by election at regular intervals; (2) the decision-making of those who govern
retains a degree of independence from the wishes of the electorate; (3) those who are governed
may give expression to their opinions and political wishes without these being subject to the
control of people who govern; & (4) public decisions undergo the trial of debate. Three ideal
types of representative government are compared on the basis of these principles:
parliamentarianism, party democracy & audience democracy (to denote the growing role of
individual personalities in elections). Where in parliaments, discussion is reserved for the
parliament, & in party democracy in inter- & intra-party negotiations, audience democracy
locates discussion in the negotiations between interest groups & the government, & in debates in
the media which seek to attract the attention of the floating voter. It is suggested that recent
alarm at a crisis in representative democracy is nothing more than anxiety about the nature of the
institutions in audience democracy—they do not reflect the erosion of the four principles of
representative government.
Mann, Thomas & Gary Orren. eds. (1992). Media Polls in American Politics. Washington, D.C.:
The Brookings Institution. An edited volume which investigates the role of opinion polls in
contemporary political reporting. Contributors include leading pollsters, media critics and
scholars of the political process. Attention is paid to the evolving technology of polling, typical
errors made by pollsters and the media who cover them, and the impact of polls on both the
public and reporters. Throughout, it is argued that polls can be a constructive part of American
public life, but only if they are used to report rather than create the news.
Mansbridge, Jane. (1980). Beyond Adversary Democracy. New York: Basic Books. Draws upon
case studies of a small New England town governed by a town meeting & a small democratic
workplace to outline a theory of unitary democracy. In the more traditional adversarial theory of
democracy, it was assumed that a good politics took place through conflict, the protection of
individual interests, majority rule and a secret ballot. This traditional model is rejected in favor
of a unitary democracy that favors common interests, equal respect, consensus, and face-to-face
deliberation. It is concluded that the task before American citizens is to unify these two different
kinds of democracies into a single institutional framework that allows individuals both to
advance their interests & to resolve conflicts.

Margolis, Howard. (1982). Selfishness, Altruism, and Rationality: a theory of social choice. New
York: Cambridge University Press. Develops a model of social choice which is capable of
explaining the existence of public goods. Traditional models of social choice, which suggest that
individuals make social decisions based on their rational self-interest, are unable to explain why
any public good is ever created. It is suggested that individuals respond to three kinds of interest:
individual, group and participative. Under normal circumstances, they seek not to achieve self-
interest, but to balance these three interests. It is this balance which gives individuals a sense that
they have done their fair share. The utility of the model for explaining social behavior is
demonstrated in an analysis of several examples.
Massey, Douglas, Andrew Gross & Kumiko Shibuya. (1994). "Migration, Segregation and the
Geographic Concentration of Poverty," American Sociological Review, 59: pp. 425-445.
Analyzes patterns of African-American mobility and white mobility in US cities. drawing on US
Census data. It is found that the geographic concentration of black poverty has not been caused
by out-migration of non-poor blacks. Rather, it is caused by residential segregation of African-
American in urban housing markets.
Matusow, Barbara. (1983). The Evening Stars: the making of the network news anchor. Boston:
Houghton Mifflin. Traces the emergence of the network news anchor as the singular figure of
television evening news. Included in this history is a description of Edward R. Murrow's legacy
for the network news anchor, and the rise of the first television news "stars," such as Walter
Cronkite, Dan Rather, Peter Jennings, Harry Reasoner, and Barbara Walters. The production of
these individuals as television stars is discussed in the context of a general trend toward making
television news more entertainment-oriented.
McCarthy, Thomas. (1992). "Practical Discourse: on the relation of morality to politics." in
Craig Calhoun. ed. Habermas and the Public Sphere. Cambridge: MIT Press, pp. 51-72.
Critically examines Jurgen Habermas' notion of practical discourse. It is suggested that within
this notion persists a fundamental tension between situated reasoning & the kind of transcendent
reasoning necessary to achieve rational consensus. Ultimately, this tension seriously troubles
Habermas' notion of the public sphere, which at once depends upon situated discourse & the
possibility of transcendent discourse. Because Habermas has failed to resolve this tension,
suspicion is cast on his democratic theory as a whole, which depends upon the ability to achieve
rational consensus on deeply conflictual issues.
McGerr, Michael. (1986). The Decline of Popular Politics: the American North, 1865-1928.
New York: Oxford University Press. Traces the demise of the party system to the activities of a
relatively small group of late-19th century northern liberal reformers who were affronted by the
excesses and spectacularism of party politics. These reformers eventually succeeded in
transforming politics into a matter of education and information rather than of public display.
However, this political form soon was challenged by a form of consumer politics advanced by
the mass media. The result is a politics much more individualistic than collective, more
concerned with knowledge than with commitment, and ironically, unable to attract the attention
and participation of even a majority of the electorate.

McLeod, Douglas & Elizabeth Perse. (1994). "Direct and Indirect Effects on Socio-economic
Status on Public Affairs Knowledge," Journalism Quarterly, 71: pp. 433-442. Draws on survey
data in Wisconsin to demonstrate that a strong relationship exists between SES and public affairs
knowledge. The evidence suggests that there is a strong relationship between perceived utility of
information & news media use & SES.
McManus, John H. (1994). Market-Driven Journalism: let the citizen beware? Thousand Oaks:
Sage. Examines the process by which market-oriented logic has been applied to news drawing on
data from four television stations located in the western United States. It is found that as
journalism has become more market oriented, the news has tended to value wealthier audiences
more than poorer ones. Moreover, while market-driven news does attract larger audiences, and
hence act to integrate audiences, it does so by offering those audiences more entertainment and
less information. This was done not by adding entertainment to information to produce "info-
tainment," but by displacing or distorting information in favor of whatever producers believed
would attract the most attention at the least possible cost.
Mill, John Stuart. (1978). On Liberty. edited by Elizabeth Rapaport. Indianopolis: Hackett
Publishing Co. A seminal text of liberal political philosophy which advances the principle that
individuals in political society ought to be free to exhibit their individuality to the extent that this
exhibition does not harm others. The state is therefore prohibited from violating the liberty of
individuals except in cases in which that liberty may unduly curtail the liberty of others.
Neustadt, Richard E. (1990). Presidential Power and the Modern Presidents: the politics of
leadership from Roosevelt to Reagan. New York: The Free Press. The standard textbook of
presidential politics which advances the proposition that presidential power is largely contained
in the power to bargain. Possessing few explicit political instruments, presidents of necessity
must enter into relationships with other political actors in Washington to achieve their goals.
Their power within these relationships is largely determined by their reputation among
Washington elites & their prestige with the public (as measured by public opinion polls).
Newton, Kenneth. (1997). "Social Capital and Democracy," American Behavioral Scientist, 40:
pp. 575-586. Identifies three aspects or dimensions of the notion of social capital: norms
(especially trust), networks and consequences. Various models of democracy are discussed in
relation to social capital, including communal society, Tocqueville's model of voluntary
associations, & modern democratic forms based on abstract trust, education and the media.
Nie, Norman, Jane Junn & Kenneth Stehlik-Barry. (1996). Education and Democratic
Citizenship in America, Chicago: The University of Chicago Press. Considers the extent to which
education influences how knowledgeable citizens are, how attentive they are, how regularly they
vote, how active in politics they are beyond the vote & how tolerant they are of the free
expression of unpopular views drawing on data from the 1990 Citizen Participation Study. A
consistent relationship is found between formal educational attainment and seven attributes of
enlightened political engagement. Education has a strong positive influence on political
knowledge, political participation and voting, attentiveness to politics and tolerance. Political

enlightenment is disaggregated from political engagement. It is found that verbal proficiency
links education to attributes of democratic citizenship through a cognitive pathway, while social
network centrality ties educational attainment to enlightened political engagement through a
positional pathway. The two together, verbal acuity and social networks, combine to shape the
configuration of democratic citizenship. This implies that those closest to the institutions of
political discourse will have a greater ability to express their political views, and that this
positioning is largely determined by educational attainment. Formal equality is impossible
because of the inherent scarcity of political access. In the future, as equality in access to
education becomes greater, so will the weight given to where that education was received.
Moreover, the US is experiencing something of an educational inflation, as people are spurred by
competition to attain greater formal education than is necessary for the position in the economy.
Thus, more education is not likely to create more social capital, but rather to spur more social
competition.
Nino, Carlos Santiago. (1996). The Constitution of Deliberative Democracy, New Haven: Yale
University Press. Proposes a theory of constitutionalism which traces its legitimacy to three
elements: a historical constitution, democratic or participatory processes & the protection of
individual rights. It is suggested that deliberative democracy best accounts for the challenges of
instituting these principles in a constitutional order. This democratic design is preferable to
utilitarianism, the economic theory of democracy, elitism, pluralism or consent theory because is
sees democracy as inextricably entwined with morality & relies on its power to transform
people’s preferences into morally acceptable ones. Thus, deliberative democracy contains great
epistemic advantages. An institutional arrangement which might bring deliberative democracy
into being includes: (1) mechanisms for direct democracy; (2) a mixed media system; (3)
dispersed sovereignty; (4) a mixed presidential/parliamentary system; & (5) the presence of an
entrenched constitution interpreted by a judiciary intent on protecting its most treasured aspects.
Norris, Pippa. (1996). "Does Television Erode Social Capital: a reply to Putnam," PS: Political
Science & Politics, 29: pp. 474-449. Rebuts Robert Putnam's (1995) argument that television
erodes social capital. Using data from The American Civic Participation Study (1990), it is
shown that the amount of television viewing supports Putnam's argument, but other evidence
regarding what Americans watch does not. A diversity of news sources are associated with
healthy aspects of democratic participation. Further, Americans are a nation of joiners, when
compared to other countries, and television has not slowed this tendency.
Nussbaum, Martha. (1986). The Fragility of Goodness: luck and ethics in Greek tragedy and
philosophy, Cambridge: Cambridge University press. Examines the aspiration to make the
goodness of human life safe from luck in Greek ethical thought through the controlling power of
reason. Greek thought was consumed by the relation between luck & the good life. Plato tried to
insulate humans from the force of luck, but Aristotle returned to the lessons of tragedy to
describe a form of practical rationality. This form of practical rationality entails seeking ethical
truth through dialogue with one another that is based upon the values & judgments they already
hold dear. This rationality aims at both activity & receptivity, a limited control balanced by

limited risk, & a good life lived along with friends, loved ones and community. Exposure and
risk in this analysis become not things to be guarded against, but as elements that bind people
more closely to one another. Within this rationality, purity & simplicity erode the richness &
complexity of human life. Practical rationality demands that compassion for the contingency &
risk of human life be a principle feature of human relations.
Polsby, Nelson. (1983). Consequences of Party Reform. Oxford: Oxford University Press.
Explores the impact of party reforms made in the late 1960s and early 1970s on the activities of
political actors. These reforms were of two types: reforms of the delegate selection process and
reforms of party finance. These reforms have had wide-ranging effects, from the way political
actors conduct their business, to the role of interest groups and the news media in the political
process. The consequences of these reforms have been mixed: they have opened the political
process to many more types of individuals and groups which were once excluded. At the same
time, they have made political choices more difficult to make, degraded public deliberation in
significant ways, and polarized politics to a great degree.
Popper, Karl. (1945). The Open Society and Its Enemies, vols. 1-2, London: Routledge. Contrasts
the closed society, defined as a society organized according to tribal or collectivist customs, with
an open society, defined as one in which individuals are confronted with personal decisions.
Western societies are described as open, a legacy of their Greek ancestors. But they are
endangered by impulses to collectivism & to tribalism, which threaten their freedom & their
ability to use their reason to produce knowledge of the world & inform their political decisions.
These dangers are likened to Plato’s ideal society in that they seek to achieve a perfect order by
the suppression of individual freedom. It is only when society allows its members to use their
faculty of reason that the open society can be maintained.
Portis, Edward. (1986). "Citizenship & Identity," Polity, 18: pp. 457-472. Argues that both
citizenship and long-term political support must be seen as communal in nature because of the
impossibility of a completely instrumental commitment to social affairs. Individuals must define
themselves in social terms, and for this reason alone they must value relevant social entities as
meaningful in themselves.
Przeworski, Adam. (1998). “Deliberation and Ideological Domination,” in Jon Elster, ed.,
Deliberative Democracy, Cambridge: Cambridge University Press, pp. 140-160. Argues that
deliberation may lead people to hold beliefs that are not in their best interest. In the process of
deliberation, people may alter their preferences, either because they now see new causal
relationships between decisions & outcomes or they have been persuaded to adopt new values.
Through deliberation, people become locked into equlibria & these equilibria have distributional
consequences.
Putnam, Hilary. (1990). Realism with a Human Face, Cambridge: Harvard University Press.
Defends a version of internal realism in which truth is understood in terms of ideal epistemic
situations. Truth, so defined, is a statement which could be verified were epistemic conditions
ideal. This view is contrasted to metaphysical realism, which assigns truth to certain statements

which can be verified through abstract logical maneuvers. It is defended through appeal to the
work of Kant, Wittgenstein, & Cavell. It claims that reason is a grounded activity of interacting
with others, establishing the truth of things in a given situation & acting on those truths. It thus
melds facts & values, the rational & the emotional, in the pursuit of understanding & explaining
human experience.
Putnam, Robert. (1995). "Tuning In, Tuning Out: the strange disappearance of social capital in
America," PS: Political Science & Politics, 28: pp. 664-683. Defines social capital as features of
social life, networks, norms and trust, that enable participants to act together more effectively to
pursue shared objectives. This form of social capital is decreasing in the US. Various factors are
identified to explain this trend: education, pressures of time & money, mobility and
suburbanization, the changing role of women, the breakdown of the family, race and the rights
revolution, and the rise of the welfare state. However, controlling for these variables, television
turns out to be strongly associated with the erosion of social connections. It is argued that
television erodes social capital by taking up time, affecting the outlook of viewers & influencing
childhood education.
Putnam, Robert. (1996). "The Strange Disappearance of Civic America," The American
Prospect, 24: pp. 34-48. Investigates the erosion of civic activity among Americans. A variety of
empirical data are presented to demonstrate that Americans born between 1910 and 1940 are
much more likely to engage in civic activity than Americans born after this period. Education is
found to be most strongly correlated with civic engagement in all its forms. Various forces are
identified as causal mechanisms of the decline of civic participation: pressures of time & money,
mobility, changes in the marriage structure, the rise of the welfare state & white flight in the face
of civil rights laws for blacks. But television is considered the prime suspect in the decline of
civic activity.
Rauch, Jonathan. (1994). Demosclerosis: the silent killer of American government. New York:
Times Books. Argues that the problem of American democracy is not that elites are too far
removed from citizens, but they are not removed enough. In the past few decades, a dizzying
array of interest groups have emerged in Washington to campaign for the interests of nearly
every kind of group. In the process of this interest group politics, efforts to reach consensus on
pressing public problems have been stymied. It is suggested that to improve American politics, it
will be necessary to make politicians less responsive to the immediate demands of interest
groups, and thus more accountable for promoting the public interest.
Rawls, John. (1971). A Theory of Justice. Cambridge: Belknap Press. The seminal text in post-
WWII American liberal political theory which argues that political justice is achieved when free
and rational persons in pursuit of their own interest accept in an initial position of equality the
terms of their political association. This theory of justice is termed, "justice as fairness." The
principles outlined in the original position of equality are to regulate all further agreements, and
to determine the level of cooperation necessary to achieve those agreements.

Rawls, John. (1993). Political Liberalism. New York: Columbia University Press. A volume
which updates Rawls' Theory of Justice (1971) by taking into account the comments of critics
over the past twenty years. A particular revision of the theory has to do with the normative
grounds on which a notion of justice may be legitimized. In the original theory of justice, these
grounds were simply assumed as a kind of Kantian a priori. In the present volume, they are
instead situated within the Western, and in particular, the American, political and cultural
traditions.
Reynolds, Charles & Ralph Norman, eds. (1988). Community in America: the challenge of
Habits of the Heart, Berkeley: UC Press. An edited volume which offers commentary & critique
on Robert Bellah, et. al.’s Habits of the Heart. The most trenchant criticism is that Bellah’s effort
to restore the meaning of citizenship & refocus on the common good ends in a kind of dangerous
conservatism that squashes dissent. Pluralism by definition is ambivalent, ambiguous, &
conflictual, & any effort to stamp out these elements will by its nature undermine diversity.
Reynolds, Charles & Ralph Norman. eds. (1988). Community in America: the challenge of
Habits of the Heart. Berkeley: University of California Press. An edited volume which reviews,
analyzes and critically appraises Robert Bellah et. al.'s Habits of the Heart. The notions of
culture, practical reason, civic practice & religious practice developed in that book are examined
in separate sections of essays. Robert Bellah's response to contributors' objections is included.
Rieff, Philip. (1968). The Triumph of the Therapeutic: uses of faith after Freud. New York:
Harper & Row. Diagnoses the dilemma of modern societies in terms of the rise of a therapeutic
sensibility which puts personal well-being above all other qualities of a good life. This sensibility
is traced to Freud, and its triumph in our culture is taken to be a result of the creation of new
technologies that allow the economy to run relatively free of human supervision. The culture of
the therapeutic is taken to have dissolved feelings of cultus, or belonging, which once sustained
individuals, and so to have eroded the social bonds which once provided the glue of society.
Riker, William. (1980). “Political Trust as Rational Choice.” in Leif Lewin & Evert Vedung. eds.
Politics as Rational Action: essays in public choice and policy analysis. Boston: D. Reidel, pp.
1-24. Argues that rational calculations underlie trust in political interactions. It is shown that
individuals can rationally calculate their level of trust in political interactions. These calculations
can take the form of pure utilitarianism, learning, rules of thumb or introspection. But every
method yields a better than random chance of predicting when it is useful to trust. It is concluded
that institutions are often arranged so that rational calculations of trust can be made quickly and
firmly.
Schrag, Calvin. (1992). The Resources of Rationality: a response to the postmodern challenge,
Bloomington, IN: Indiana University Press. A response to the postmodern argument against
modern reason & rationality which suggests that rationality is transversal to the multiplicity of
our discursive & nondiscursive practices. In the guise of three moments of communication
praxis: discerning & evaluating critique, interactive articulation; & incursive disclosure, reason
cuts across the play of discourse & action, word & deed, speaking & writing, hearing and

reading. Reason on this view is not universal & transcendent, but a set of techniques created over
time for critique, articulation & disclosure. As a transversal phenomenon, reason stands neither
above human beings more horizontal to their everyday concerns. Rather, it is between the
universal & the particular, a shifting back and forth between the two perspectives. It is in this
middle-ground that the resources of rationality afford human beings the possibility of freedom &
progress.
Schudson, Michael. (1989). "The Sociology of News Production Revisited." Media, Culture &
Society 11: 263-282. A review of three basic approaches to explaining the production of news: a
political-economy approach which focuses on macro-economic structures; an organizational
approach which concentrates on the routines and practices of news organizations; & a
culturalogical approach which focuses on the aspects of narrative, voice and image which serve
to structure the news. It is suggested that the culturalogical approach is most in need of
development.
Schudson, Michael. (1997). "Sending a Political Message: lessons from the American 1790s,"
Media, Culture & Society, 19: pp. 311-330. Reviews the public sphere of the early American
state to argue that public spheres do not only differ according to degrees of democracy,
deliberation & exclusion, but also on kinds of democracy, deliberation & exclusion. Different
political structures will configure these qualities in different ways, and so create different
possibilities for political communication.
Schudson, Michael. (1998). The Good Citizen: a history of American civic life. New York: The
Free Press. Traces the history of citizenship in the United States in terms of three stages:
citizenship as deference; citizenship as affiliation; & citizenship as individual rights. These
stages roughly correspond to the early Republic, the long 19th century party period, & the 20th
century, respectively. Within this history, the assumption that politics is today degraded, and that
citizenship is dissolved, is consistently challenged. It is argued that citizenship is not worse, only
different from prior manifestations, and that comparisons with prior forms are useless because
the conditions which supported them are no longer apparent. Moreover, there is much that is
good in a conception of citizenship as individual rights.
Seidman, Steven. ed. (1994). The Postmodern Turn: new perspectives on social theory. New
York: Cambridge University Press. An edited volume which presents seminal challenges to the
Enlightenment paradigm of social knowledge. Together, these writings represent the best
expression of postmodern theories of knowledge. Included among these statements are writings
of Michel Foucault, Richard Rorty, Jean-Francois Lyotard, Donna Haraway, Judith Butler,
Zygmunt Bauman & Nancy Fraser, among others. Contributions engage with major themes in
postmodern theory, such as the crisis of representation, the nature of knowledge as a form of
narrative, and the political significance of postmodern critique. The volume also incudes several
empirical illustrations of the postmodern sensibility.
Seligman, Adam. (1992). The Idea of Civil Society, New York: The Free Press. Traces the
development of the idea of civil society from the 18th century to the present. From the 18th

century onward, the idea of civil society developed along two lines: post-Hegelian Marxist &
Anglo-American. In the Anglo-American edition, animated by the Scottish Enlightenment, civil
society was defined as a realm of solidarity held together by the form of moral sentiments and
natural affections, particularly by the rule of reason. In this tradition, civil society was separated
from ethical society, which was thought to be located in the private sphere. In contrast, the
Hegelian tradition understood civil society as an embodiment of an ethical ideal. In Hegel, civil
society is historicized, posited to be an arena of conflicting interests, the transcendence of which
produces a new ethical unity. Marx jettisons this notion of ethical unity, but keeps the notion of
conflict of interests historically negotiated. In the late 19th century, the idea of citizenship came
to replace the problem of civil society as the locus of social conflict. Issues of participation &
values of membership came to the forefront. Universal reason became embodied in the idea of
universal citizenship. This was a paradoxical move which produced a number of contradictions,
most notably between collective solidarity & individualism. In the 20th century, these
contradictions have been manifested in debates about social trust. Civil society assumes a certain
level of social trust, but does not provide the conditions in which such trust can be established.
Thus, proposals such as those of Habermas’ discourse ethics founder on the shoals of the issue of
trust. Civil society is taken to have been an idea rooted in a prior age which has little relevance
for contemporary politics—particularly for the situation of Eastern Europe.
Spragens, Thomas. (1990). Reason and Democracy, Durham, NC: Duke University Press.
Reflects upon the role of reason in democratic deliberation. The notion of rationality has long
been a central feature of Western political theories, however, recent accounts of political
rationality have been narrow & inadequate. This narrowness has been due to the pre-eminence of
a calculative ideal in political theories of rational decision-making. An alternative form of the
rational political enterprise is proposed. This rational enterprise is one in which autonomous
persons are oriented to the attainment of the common & individual human good. The central
institutional feature of this orientation is practical discourse, which both defines the common
good & places constraints on the principle of right. This proposal is compared to pluralist, liberal
& communitarian conceptions of democracy. It is suggested that citizenship in a society that
practices rational discourse will be characterized by participation, tolerance, respect, an effort to
improve good political judgment & a focus on the common good. Policy implications of this
view are several: education ought to be oriented to producing practical discourse; political
institutions ought to be democratized; political journalism ought to be improved; & cross-
paradigm forums ought to be developed.
Stanley, Manfred. (1990). “The Rhetoric of the Commons: forum discourse in politics and
society,” in Herbert Simons, ed., The Rhetorical Turn: invention and persuasion in the conduct
of inquiry, Chicago: The University of Chicago Press, pp. 238-257. Suggests that American
political society is composed of two regimes: liberalism, which is based on the market economy
& democracy, which is based on the principle of popular sovereignty. These regimes create
distinctive forums for political conversation. The liberal forum has several characteristics: it is
policy-oriented; interested in creating consensus based on evaluating policy decisions; choices
are made through a process of working through alternatives to come to a least objectionable

decision; & forum participants are conceived as aggregates of individuals who bring their wants
to the political marketplace. The democratic forum has different characteristics: it is civic-
oriented; aims at a much more comprehensive notion of consensus; operates on the basis of an
immigration metaphor of moving between distinctive worlds; participants are conceived of as
complex social beings whose consciousness is structured by group & institutional memberships,
collective memories, & naturalized ideologies.
Stokes, Susan. (1998). “Pathologies of Deliberation,” in Jon Elster, ed., Deliberative Democracy,
Cambridge: Cambridge University Press, pp. 123-139. Considers instances of democratic
deliberation which end in pathological outcomes. These outcomes include those in which
deliberation induces preferences that appear to be more in line with the interests of the
communicator that with those of message recipients; deliberation creates the public belief that
preferences have been transformed; & those in which social inequality produces identities that
are politically debilitating. Several rules are suggested by this discussion: (1) if elites shape
citizen preferences, then parties are needed that cover a broad spectrum to permit citizens a
choice of preferences to cleave to; competitive media structures are necessary to reduce the
amount of press mis-interpretation of what people want; resource-source poor citizens’
associations must be capacitated; & the public and politicians have to know where information &
points of views come from.
Sullivan, Patricia & Steven Goldzwig. (1995). "A Relational Approach to Moral Decision-
Making: the majority opinion in Planned Parenthood v. Casey," Quarterly Journal of Speech, 81:
pp. 167-190. The majority opinion in this Supreme Court case is taken to be an instance in which
the court acknowledged the complex web of relationships involved in abortion decision-making.
In this sense, it is an example of relational moral reasoning. This relational approach stresses
interconnectedness, context & humility in conversations over moral issues. The notion of
relational moral reasoning stems from feminist theorizing, & is advocated as a useful revision of
traditional approaches to rhetoric that stress individual autonomy & argument.
Sunstein, Cass. (1990) After the Rights Revolution: reconceiving the regulatory state.
Cambridge: Harvard University Press. Traces the nature and significance of regulatory measures
enacted during the rights revolution that was initiated by the New Deal. This rights revolution is
defined as the creation by Congress and the president of a set of legal rights that were not
recognized in the Constitution. Among these rights are the right to clean air and water, to safe
consumer products and workplaces, and to a social safety net. This revolution has spawned an
enormous regulatory framework that in many ways has been successful. However, this
regulatory mindset has also jeopardized important constitutional values, given rise to powerful
interest groups, ignored the redundancy and inefficiency of many regulatory measures, and
downplayed the difficulties associated with treating the management of social risks as
conventional rights. Principles and reforms are proposed that might promote the purposes of
regulatory programs while avoiding these problems.

Tannen, Deborah. (1993). "Editor's Introduction," in Tannen, ed., Gendered and Conversational
Interaction, New York: Oxford University Press. Introduces a set of essays which explore the
relationship between gender & language using ethnographically centered discourse analysis.
Tannen, Deborah. (1998). The Argument Culture: moving from debate to dialogue, New York:
Random House. The argument culture is defined as a set of values/attitudes/beliefs which lead
individuals to approach public discourse in terms of war-like interactions. In this culture,
aggressive tactics are adopted for their own sake & irrelevant points are seized upon for the sake
of rhetorical victory. This culture is traced in the press, politics & the law. It is argued that men
are more likely to engaged in this agonistic form of conversation than women, and that
technology tends to increase the likelihood of its occurring. Examples from other cultures are
reviewed for other ways in which opposition may be negotiated. It is concluded that a greater
variety of interactive styles is necessary so that argument can be used in appropriate formats, and
not used when it is inappropriate.
Teske, Nathan. (1997). "Beyond Altruism: identity-construction as moral motive in political
explanation," Political Psychology, 18: pp. 71-91. Draws upon data from long interviews to
argue against current self-interest & moral motive models of political actin. In place of these
models, it is suggested that individuals are motivated to engage in politics in a complex
interweaving of self & moral motives. Activists are primarily concerned with what kind of
person they are and what kind of life they are living. These concerns are both moral & self-
regarding, and therefore defy the conventional dichotomy in the literature.
Teske, Nathan. (1997). Political Activists in America: the identity construction model of political
participation, Cambridge: Cambridge University Press. Investigates why people become
involved in politics using interviews with environmental, social justice, and pro-life activists.
Against the conventional wisdom that engagement in politics is inherently costly and lacking any
intrinsic reward, it is argued that active involvement in politics is personally fulfilling, & enables
activists to become people whom they would otherwise have been unable to become. Thus,
motivations for political activity are both self-interested and altruistic, as individuals seek to
realize their personal interest in fashioning moral selves.
Theis-Morse, George Marcus & John Sullivan. (1993). "Passion and Reason in Political Life: the
organization of affect and cognition and political tolerance," in George Marcus & Russell
Hanson, Reconsidering the Democratic Public, University Park, PA: The Pennsylvania State
University Press, pp. 249-272. Explores the role of affect & cognition in the construction of
perceptions of threat and political tolerance drawing on survey data. It is found that arousing the
emotions is an effective way to gain people's attention. When emotions are not aroused & people
attend to their thoughts, they are more tolerant. However, it is also found that affective reactions
play an important role in enabling people to evaluate their current environment. Further, when
people attend to their circumstances, emotions and cognitions often work together. Thus, people
who seek to ignore their passions will likely become inattentive and unresponsive to their
political environment.

Theiss-Morse, Elizabeth. (1993). "Conceptualizations of Good Citizenship and Political
Participation," Political Behavior, 15: pp. 355-380. Investigates how individuals view their
responsibilities as citizens & the relationship of these views to political participation drawing on
a Q method study in the Twin Cities. Four distinct perspectives on participative duties were
found: Representative Democracy; Political Enthusiast; Pursued Interests & Indifferent. Most
people are engaged in politics to an extent consistent with their citizenship perspective.
Thelen, David. (1996). Becoming a Citizen in the Age of Television: how Americans challenged
the media and seized political initiative during the Iran-Contra debate. Chicago: The University
of Chicago Press. Explores how Americans become citizens in the age of television drawing on
an examination of the conflict between citizens & political leaders that exploded in 1987 during
the Iran-Contra hearings. It is shown that politicians and citizens live in different political
worlds. The world of the politician is shaped by technical and expert kinds of knowledge while
the ordinary citizen views politics through the prism of his or her informal relationships. The
implication is that citizens are not apathetic or unmotivated, but located in a different social
sphere than politicians—and that television does not help bring the two together. Therefore, a
call is made to draw politics closer to everyday life so that politicians and citizens may once
again find one another.
Thernstrom, Stephan & Abigail Thernstrom. (1997). America in Black and White: one nation,
indivisible. New York: Simon & Schuster. Presents an analysis of the status of African-
Americans in the contemporary U.S. drawing on a wide variety of statistical data. It is shown
that the conventional wisdom on their status is misguided in a number of ways. Blacks gained
the most in the years between World War Two and the 1970s—before the start of the modern
affirmative action era. Black gains as measured by a variety of indicators—graduate rates,
income, social relationships—have been impressive. While problems in race relations remain, it
is argued that they will not be solved by traditional civil rights strategies. Thus, affirmative
action programs have threatened, not contributed to, racial progress. Only through a common
understanding among Blacks and Whites alike that we are one nation, indivisible, will racial
progress continue.
Toulmin, Steven. (1985). The Uses of Argument, Cambridge: Cambridge University Press.
Compares two models of argument, one mathematical and the other prudential. In the first,
argument is laid out in logical form in quasi-geometrical shapes; in the second, it is laid out
procedurally, in proper form. It is suggested hat examples of mathematical arguments compose a
special kind of logic which should not be mistaken as a generalizable model. Instead, idealized
logic ought to be combined with the procedural logic applied in concrete fields of interaction to
compose a new discipline of applied logic. Validity within any given field is field-specific, not
transcendent, and so follows the procedures of validity which are taken to be legitimate within it.
Tulis, Jeffrey. (1987). The Rhetorical Presidency. Princeton: Princeton University Press. Traces
the emergence of a strong, rhetorically-centered presidency in the 20th century. In the original
Constitution, the presidency was imagined as an executor of legislative decisions rather than as a
strong political force in its own right. This sense has changed in the 20th century, as presidents

began to develop a strong program of popular leadership. It is concluded that this transformation
is dangerous, because it leads to demagoguery, spectacle, & an abuse of presidential power.
Underwood, Doug. (1993). When MBAs rule the Newsroom: how the marketers and managers
are reshaping today's media. New York: Columbia University Press. Examines the impact of
market-driven journalism on the contemporary newsroom, the daily newspaper, and the attitudes
of newspaper journalists drawing on interviews & surveys. The transition to marketing-oriented
journalism is traced to economic crises within the newspaper economy that began in the 1980s.
Today, market-minded managers have displaced most traditional news editors in newspapers
across the country, & have steadily implemented mechanisms which are transforming the way in
which journalism is done. As this process has taken place, it has threatened the traditional values
of autonomy & community service prized by journalists. The result is that reporters are
increasingly demoralized, more fearful for their job prospects & the kind of job they will be
performing in the near future, and generally gloomy about their profession.
Van Dijk, Teun. (1988). "Social Cognition, Social Power and Social Discourse," Text, 8: pp.
129-157. A framework which draws connections between social power & discourse is presented.
Within this framework the mediating power of social cognitions is emphasized. Social cognitions
involve the interpretation, recognition and legitimation of power through ideological models.
These models are adopted by individuals to guide their beliefs, language and actions. One can
witness these models in action in discourse, in markers of interaction, linguistic codes, and
symbolic dimensions of interactions. It is in the communication of these models that relations of
social power are reproduced.
Van Dyke, Vernon. (1982). "Collective Entities and Moral Rights: problems in liberal-
democratic thought," The Journal of Politics, 44: pp. 21-40. Makes the argument that certain
kinds of collective entities have legal & moral rights. To make judgments as to which groups
have such rights, several principles are offered: (1) a group has a stronger claim the more it is
self-conscious & desires to preserve itself; (2) the more it has a reasonable chance of succeeding;
(3) the more its criteria of membership are clear; (4) the more it is significant in the lives of its
members; (5) the more important the rights sought are to its members; (6) the more organized it
is; (7) the more firmly established in tradition it is; & (8) the more clear it seeks rights that are
compatible with an equality principle.
van Dijk, Teun. (1987). Communicating Racism: ethnic prejudice in thought and talk. Newbury
Park: Sage. The way in which racism is reproduced in everyday talk is analyzed drawing on data
from a variety of projects conducted from 1980-1985, including interviews with about 180
individuals in Amsterdam & San Diego. It is shown that the major cognitive structures that form
the basis of discrimination & racism are manifested in everyday talk. In such talk, individuals
orient themselves to main topics, engage in storytelling, make arguments & semantic moves, &
assume particular styles of rhetoric, which are structured by underlying racial structures. Thus,
though specific utterances are individually spoken, they are deeply embedded with wider social
relationships.

van Eemeren, Frans, Rob Grootendorst, Sally Jackson, and Scott Jacobs. (1993). Reconstructing
Argumentative Discourse, Tuscaloosa, AL: The University of Alabama Press. Constructs a
dialectical model of argument which consists of several stages: identifying disagreements;
establishing agreement as to process by which arguments are to proceed; providing for indefinite
exploration of relevant issues; ending in resolution which satisfies all participants. Particular
types of speech acts are appropriate to each stage: expressing standpoints to confrontation;
challenging or defending standpoints to openings; advancing, accepting or requesting further
argumentation in the argumentation stage; & establishing & accepting the result in the
concluding phase. An engineering metaphor is suggested to connect this idealized form of
argument to concrete argumentative situations.
van Mill, David. (1996). "The Possibility of Rational Outcomes from Democratic Discourse and
Procedures," The Journal of Politics, 58: pp. 734-52. Compares two traditions in democratic
theory: theories of democratic discourse & disequilibrium theories of social choice, according to
their conclusions as to what outcomes can be expected from democratic procedures. It is shown
that both theories hold identical assumptions concerning the requirements for a fair procedure:
equal access, the absence of powerful agenda setters, unrestrained discourse, etc. However, the
first argues that this procedure will yield morally legitimate outcomes, while the second argues
that more democracy will yield instability & arbitrary results. Theorists of democratic discourse
are urged to create models that is open and democratic but also that creates stability by placing
limits on freedom.
Verba, Sidney & Gary Orren. (1985). Equality in America: the view from the top, Cambridge:
Harvard University Press. Observes that a tension exists between economic & political equality.
Inequality in the economic sphere does much to shape politics as those with more resources use
them for political gain. Political equality, also as ideal & reality, poses a constant challenge to
economic inequality as disadvantaged groups petition the state for redress. The history of the US
may be described at least in some part as a norm of inequality, both political & economic, spiked
by surges of egalitarianism. The limits to the redistributive process are set by the limits of
American beliefs about equality, and these beliefs in turn are in large measure defined by the
most affluent classes. Members of the highest SES are the most ideological in their perspective
on public life. They also hold a set of views toward equality that is fairly uniform & structured
by a set of values toward the New Deal, race, quotas, causes of inequality, redistribution &
gender. American leaders agree that income equality should not be attained, but they disagree
more often on equality of influence in politics. While accepting this value, elites struggle with
one another to assure themselves of more political influence than other groups. The result is that
political equality is unlikely to be attained, both because elites cannot agree on what it means &
because political equality is linked to economic equality. For these reasons, inequality, both
economic & political, is likely to continue in the near future.
Viswanath, K. & John R. Finnegan, Jr. (1996). "The Knowledge-Gap Hypothesis: twenty-five
years later," Brant R. Burleson, ed., Communication Yearbook 19: pp. 187-228. The knowledge-
gap hypothesis states that as mass media information increases in society, the gap between

segments of the population in terms of the ability to acquire information will become greater.
Research has found that knowledge gaps are less likely to be found on issues defined as
important to communities. Differences in knowledge have been associated with differences in
media attention,processing, and dependency relations between the lower- and higher-SES
groups. Little has been done to link situational and structural levels of analysis into a coherent
framework.
Walker, Jack. (1983). "The Origins and Maintenance of Interest Groups in America." The
American Political Science Review 77: 390-406. An influential article which investigates how
interest groups attract & hold their member base drawing on survey data collected in 190-81. It is
found that the number of interest groups in operation, the mixture of types, and the level &
direction of political mobilization in the US at any point in time will be determined by the
composition and accessibility of the system's major patrons of political action.
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KOHLBERG'S STAGES OF MORAL DEVELOPMENT AND
CRITICISMS
James Mark Baldwin
Piaget studied many aspects of moral judgment, but most of his findings fit into a two-
stage theory. Children younger than 10 or 11 years think about moral dilemmas one way; older
children consider them differently. Younger children regard rules as fixed and absolute and
believe rules are handed down by adults or by God and that they cannot change them. The older
child's view is more relativistic. He or she understands that it is permissible to change rules if
everyone agrees. Rules are not sacred and absolute but are devices that humans use to get along
cooperatively.
At approximately the same time--10 or 11 years--children's moral thinking undergoes
other shifts. In particular, younger children base their moral judgments more on consequences,
whereas older children base their judgments on intentions. When, for example, the young child
hears about one boy who broke 15 cups trying to help his mother and another boy who broke
only one cup trying to steal cookies, the young child thinks that the first boy did worse. The child
primarily considers the amount of damage--the consequences--whereas the older child is more
likely to judge wrongness in terms of the motives underlying the act (Piaget, 1932, p. 137). There
are other aspects to Piaget's work on moral judgment, but he essentially found a series of changes
that occur between the ages of 10 and 12, just when the child begins to enter the general stage of
formal operations.
Kohlberg believed, and was able to demonstrate through studies, that people progressed
in their moral reasoning (i.e., in their foundations for ethical behavior) through a series of six
identifiable stages that could be more generally classified into three levels. Kohlberg’s six stages
might be viewed in this form:
Level 1 (Pre-Conventional) (up to age 9)
1. Obedience and punishment orientation
2. Self-interest orientation

Level 2 (Conventional) (10 years old to adolescence)
3. Interpersonal accord and conformity
(a.k.a. The good boy/good girl attitude)
4. Authority and social-order maintaining orientation
(a.k.a. Law and order morality)
Level 3 (Post-Conventional)(adulthood)
5. Social contract orientation
6. Universal ethical principles
(a.k.a. Principled conscience)
The first level of moral thinking is that generally found at the elementary school level. In
the first stage of this level, people behave according to socially acceptable norms because they
are told to do so by some authority figure (e.g., parent or teacher). This obedience is compelled
by the threat or application of punishment. The second stage of this level is characterized by a
view that right behavior means acting in one's own best interests. The second level of moral
thinking is that generally found in society, hence the name "conventional." The first stage of this
level (stage 3) is characterized by an attitude which seeks to do what will gain the approval of
others. The second stage is one oriented to abiding by the law and responding to the obligations
of duty. The third level of moral thinking is one that Kohlberg felt is not reached by the majority
of adults. Its first stage (stage 5) is an understanding of social mutuality and a genuine interest in
the welfare of others. The last stage (stage 6) is based on respect for universal principle and the
demands of individual conscience. While Kohlberg always believed in the existence of Stage 6
and had some nominees for it, he could never get enough subjects to define it, much less observe
their longitudinal movement to it.
Between the Stage 4 (“law and order”) and Stage 5, there is a transitional stage, maybe
Stage 4.5. . Many college-age students in the 1960s and early 1970s, for example, saw
conventional morality as relative and arbitrary, but had not yet discovered universal ethical
principles or their own adulthood and parenthood. This stage thus involved a hedonistic ethic of
"do your own thing." This was observed in the hippie culture of the l960s. Disrespect for
conventional morality was especially infuriating to the Stage 4 mentality (“We will have law and
order”), and indeed was calculated to be irritating to those over 30. Certainly this did not apply to
all Baby Boomers in the 1960s but it did apply to many. Kohlberg believed progression
through these stages was one stage at a time. That is, individuals could not skip stages. They
could not, for example, move from an orientation of selfishness to the law and order stage
without passing through the good boy/girl stage. They could only come to a comprehension of a
moral rationale one stage above their own. Thus, according to Kohlberg, it was important to

present them with moral dilemmas for discussion which would help them to see the
reasonableness of a "higher stage" morality and encourage their development in that direction.
The last comment refers to Kohlberg's moral discussion approach. He saw this as one of the
ways in which moral development can be promoted through formal education. Note that
Kohlberg believed, as did Piaget, that most moral development occurs through social interaction.
The discussion approach is based on the insight that individuals develop as a result of cognitive
conflicts at their current stage.
Another way to view the stages is as follows, taken primarily from Piaget (1932),
Kohlberg (1975), and Rosen (1980):
Stage 1: Respect for power and punishment.

A young child (age 1-5) decides what to do--what is right--according to what he/she wants to do
and can do without getting into trouble. To be right, you must be obedient to the people in power
and, thus, avoid punishment. Motto: "Might makes right."
Stage 2: Looking out for #1.

Children (age 5-10) tend to be self-serving. They lack respect for the rights of others but may
give to others on the assumption that they will get as much or more in return. It is more a matter
of "you scratch my back and I'll scratch yours," instead of loyalty, gratitude, or justice. Motto:
"What's in it for me?"
Stage 3: Being a "Good Boy" or "Nice Girl."

People at this stage (age 8-16) have shifted from pleasing themselves to pleasing important
others, often parents, teachers, or friends. They seek approval and conform to someone else's
expectations. When they are accused of doing something wrong, their behavior is likely to be
justified by saying "everyone else is doing it" or "I didn't intend to hurt anyone." Motto: "I want
to be nice."
Stage 4: Law and order thinking.

The majority of people 16 years old and older have internalized society's rules about how to
behave. They feel obligated to conform, not any longer to just family and friends, but also to
society's laws and customs. They see it as important to do one's duty to maintain social order.
Leaders are assumed to be right; individuals adopt social rules without considering the
underlying ethical principles involved. Social control is, therefore, exercised through guilt
associated with breaking a rule; the guilt in this case is an automatic emotional response, not a
rational reaction of conscience based on moral principles (as in stage 6). People at this stage

believe that anyone breaking the rules deserves to be punished and "pay their debt to society."
Motto: "I'll do my duty."
Stage 5: Justice through democracy.

People at this stage recognize the underlying moral purposes that are supposed to be served by
laws and social customs; thus, if a law ceases to serve a good purpose, they feel the people in a
democracy should get active and change the law. Thought of in this way, democracy becomes a
social contract whereby everyone tries continually to create a set of laws that best serves the
most people, while protecting the basic rights of everyone. There is respect for the law and a
sense of obligation to live by the rules, as long as they were established in a fair manner and
fulfill an ethical purpose. Only about 20-25% of today's adults ever reach this stage and most of
those that do supposedly only get there after their mid-twenties. Motto: "I'll live by the rules or
try to change them."
Stage 6: Deciding on basic moral principles by which you will live your life and
relate to everyone fairly.
These rather rare people have considered many values and have decided on a philosophy of life
that truly guides their life. They do not automatically conform to tradition or others' beliefs or
even to their own emotions, intuition, or impulsive notions about right and wrong. Stage 6 people
carefully choose basic principles to follow, such as caring for and respecting every living thing,
feeling that we are all equal and deserve equal opportunities, or, stated differently, the Golden
Rule. They are strong enough to act on their values even if others may think they are odd or if
their beliefs are against the law, such as refusing to fight in a war. Motto: "I'm true to my
values."
Example
Kohlberg used moral dilemmas to determine which stage of moral reasoning a person
uses. The dilemmas are short stories in which a person has to make a moral decision. The
participant is asked what this person should do. A dilemma that Kohlberg used in his original
research was the druggist's dilemma:
Heinz steals the drug
In Europe, a woman was near death from a special kind of cancer. There was one drug that the
doctors thought might save her. It was a form of radium that a druggist in the same town had
recently discovered. The drug was expensive to make, but the druggist was charging ten times

what the drug cost him to make. He paid $200 for the radium and charged $2,000 for a small
dose of the drug. The sick woman's husband, Heinz, went to everyone he knew to borrow the
money, but he could only get together about $ 1,000 which is half of what it cost. He told the
druggist that his wife was dying and asked him to sell it cheaper or let him pay later. But the
druggist said: "No, I discovered the drug and I'm going to make money from it." So Heinz got
desperate and broke into the man's store to steal the drug-for his wife. (Kohlberg, 1963, p. 19)
Should Heinz break into the laboratory to steal the drug for his wife? Why or why not?
From a theoretical point of view, it is not important what the participant thinks that Heinz
should do. The point of interest is the justification the participant offers. Below are examples of
possible arguments that belong to the six stages. It is important to keep in mind that these
arguments are only examples. It is possible that a participant reaches a completely different
conclusion using the same stage of reasoning:
Stage one (obedience): Heinz should not steal the medicine, because he will be put in jail.
Stage two (self-interest): Heinz should steal the medicine, because he will be much happier if he
saves his wife, even if he will have to serve a prison sentence.
Stage three (conformity): Heinz should steal the medicine, because his wife expects it.
Stage four (law-and-order): Heinz should not steal the medicine, because the law prohibits
stealing.
Stage five (human rights): Heinz should steal the medicine, because everyone has a right to live,
regardless of the law. Or: Heinz should not steal the medicine, because the scientist has a right to
fair compensation.
Stage six (universal human ethics): Heinz should steal the medicine, because saving a human
life is a more fundamental value than the property rights of another person. OR: Heinz should
not steal the medicine, because that violates the golden rule of honesty and respect. OR:
(transcendental morality) Heinz should choose to spend more time with his wife in their
remaining days, both acknowledging the cycle of life-and-death which is a part of the human
condition.
General criticisms of Kohlberg's Stages

Kohlberg's conception of moral development is based on thinking and logic, not on
feelings for others. Surely feelings can not be neglected. Likewise, Kohlberg believed that
morals were based on age and "wisdom," rather than real life experience and empathic
identification with others. But 3- and 4-year-olds can and do empathize with others and try to

help. Caring doesn't require a high level of education or advanced age. It requires feelings. Coles
(1986) describes some impressively moral children and teenagers. Some children have stood up
to mobs of unfair adults. Lastly, Kohlberg's focus is on the individual, not on what makes for a
moral community. Thus, he doesn't balance a self-orientation as opposed to a group-orientation.
He doesn't ask, as the Greeks did, the question "what would accomplish the greatest good for the
greatest number of people?" And, he doesn't question, as do the Quakers, the morality of settling
issues by voting (resulting in as few as 51% imposing--often with glee--their preferences on the
remaining 49%) rather than by consensus (everyone agreeing to a carefully considered
compromise). Yet, these stages can be a useful way to begin assessing one's own morals.
A second critique of Kohlberg's work was made by Carol Gilligan in her popular book,
"In a Different Voice: Psychological Theory and Women's Development" (1982). Kohlberg's
theory, Gilligan said, emphasizes justice to the exclusion of other values. As a consequence of
this, it may not adequately address the arguments of people who value other moral aspects of
actions. Gilligan argued that Kohlberg's theory is overly androcentric because it was the result of
empirical research using only male participants. Gilligan argued that Kohlberg's theory therefore
did not adequately describe the concerns of women. She developed an alternative theory of
moral reasoning that is based on the value of care. By listening to women's experiences, Gilligan
suggested that a morality of care can serve in the place of the morality of justice and rights
espoused by Kohlberg. In her view, the morality of caring and responsibility is premised in
nonviolence, while the morality of justice and rights is based on equality. Another way to look at
these differences is to view these two moralities as providing two distinct injunctions - the
injunction not to treat others unfairly (justice) and the injunction not to turn away from someone
in need (care). She presents these moralities as distinct, although potentially connected. Gilligan
argued that the morality of care emphasizes interconnectedness and presumably emerges to a
greater degree in girls owing to their early connection in identity formation with their mothers.
The morality of justice, on the other hand, emerges within the context of coordinating the
interactions of autonomous individuals. A moral orientation based on justice was proposed as
more prevalent among boys because their attachment relations with the mother, and subsequent
masculine identity formation entailed that boys separate from that relationship and individuate
from the mother. For boys, this separation also heightens their awareness of the difference in
power relations between themselves and the adult, and hence engenders an intense set of
concerns over inequalities. Girls, however, because of their continued attachment to their
mothers, are not as keenly aware of such inequalities, and are, hence, less concerned with
fairness as an issue.
Further research has suggested, however, that moral reasoning does not follow the
distinct gender lines which Gilligan originally reported. The preponderance of evidence is that
males and females reason based on both justice and care. While this gender debate is unsettled,
Gilligan's work has contributed to an increased awareness that care is an integral component of
moral reasoning. Educational approaches based on Gilligan's work have emphasized efforts to
foster empathy and care responses in students.

Kohlberg's Stages 5 & 6 specifically
Kohlberg's evaluation of moral decisions was based on the quality of the reasoning
behind a person's decision, rather than whether or not some specific behavioral decision was
made. The thinking process used by some in stage 6 to decide what is fair and reasonable in a
moral dilemma is called "second-order Golden Rule role taking" (Kohlberg, 1984). There are
two steps: (1) Understanding how each person involved sees the situation and (2) imagining how
each person would feel if placed in each other person's situation. The aim of this empathic
process is to find a "reversible" solution, one that would be seen as equally just from each
person's perspective and considered fair by a high percentage of rationally thinking people.
Example: (1) Imagine the situation of a poor dying patient, her husband, and a druggist who
wants $1,000 profit (10 times its cost) for an effective drug and (2) imagine how each would feel
in the other's shoes, e.g., how the patient would feel as the druggist, the druggist as the dying
patient, the patient as the husband thinking about stealing the drug, etc. A solution that might
result from this process would be for the druggist to give the patient the drug, and the couple, in
turn, would agree to pay for it by working part-time for the druggist after the patient gets well.
As we will see later, an 11-year-old girl in Gilligan's study (1982) arrived at a similar solution.
Current theorists believe it takes time for most people (40-50 years of age), experience with
different cultures and values, emotional maturity, self-control and self-esteem, considerable
thought about values, and/or moral development training to acquire this kind of moral reasoning.
I suspect stages 5 and 6 will be achieved at age 12 or 14, when we know enough to provide the
proper training and experience at that age. Good but extraordinary examples of stage 6 morality
are Jesus Christ (he spoke cogently of universal principles but he died at age 33!), St. Francis of
Assisi, Albert Schweitzer, Abraham Lincoln, Martin Luther King (he became a civil rights
activist at age 26!), and Sister Teresa of Calcutta. Don't let this awesome list of saintly people
scare you or discourage you. Try to become a stage 5 or 6 person by finding some good causes
you are willing to argue for, decide what lifestyle you most value, and start doing it.
As you understand these stages better, you might understand more about why you have made
certain moral decisions in the past. Also, you might realize you and others operate on several
levels at the same time. For example, you might avoid shoplifting for the fear of punishment
(stage 1), you might watch your little brother carefully to be sure he doesn't get more attention
than you (stage 2), you might want to impress your parents or a teacher (stage 3), you might
unthinkingly enforce school rules as a monitor (stage 4), and you might be active in the women's
movement or help support a child in India through CARE (stage 5 or 6). Furthermore, you might
find your moral reasoning on one level and your behavior on another: 20% of the people at stage
6 of moral reasoning still conformed (stage 3 or 4) when asked by an authority to hurt another

person (Kohlberg, 1984). Likewise, one’s value system might say to share most of one’s worldly
possessions, but often one doesn’t (partly because of what others might think or say).
Literature:
Psychological Self-Help Bibliography by Clay Tucker-Ladd (c2004)
Since the writing of this book has continued from the mid-sixties to now (2005), the references
span 50 years or so. In fact, the heyday of self- help in the 1970s followed and was partly
inspired by the revolutionary 1960s. Therefore, don’t discount some of the older references cited
here. The early self-help publications are the proud parents of our somewhat better science-
based self-control techniques being developed today
REFERENCES
Bleeke, Joel and David Ernst (1991). "The Way to Win in Cross Border Alliances," Harvard Business Review,
69 (November-December), 127-35.
Boyd, Harper W., Jr. and Orville C. Walker, Jr. (1990), Marketing Management: A Strategic Approach.
Homewood, IL: Richard D. Irwin, Inc.
Corey, E. Raymond (1978), Procurement Management: Strategy, organization, and Decision-Making. Boston:
CBI Publishing Co., Inc.
Davis, K. R. (1961), Marketing Management. New York: The Ronald Press Co.
Dwyer, F. Robert, Paul H. Schurr, and Sejo Oh (1987), "Developing Buyer-Seller Relationships," Journal of
Marketing, 51 (April), 11-27.
Fiol, C. Marlene (1991), "Managing Culture as a Competitive Resource: An Identity-Based View of Sustainable
Competitive Advantage," Journal of Management, 17 (1), 191
Grant, Robert M. (1991), "The Resource-Based Theory of Competitive Advantage: Implications for Strategy
Formulation," California Management Review, 33 (Spring), 114-35.
Handy, Charles (1990), The Age of Unreason. Boston: Harvard Business School Press.

McGarry, Edmund D. (1950), "Some Functions of Marketing Reconsidered," in Theory in Marketing, Reavis
Cox and Wroe Alderson, eds. Homewood, IL: Richard D. Irwin, Inc., 268.
McGee, Lynn W. and Rosann Spiro (1988), "The Marketing Concept in Perspective, " Business Horizons, 31
(May-June), 40-5.
Rathmell, John M. (1965), "The Marketing Function," Chapter I in Marketing Handbook, 2nd ed., Albert
Wesley Frey, ed. New York: The Ronald Press Co. 1-33.

THE CHANGING ROLE OF MARKETING IN THE CORPORATION
Frederick E. Webster, Jr.
For the past two decades, some subtle changes in the concept and practice of marketing
have been fundamentally reshaping the field. Many of these changes have been initiated by
industry, in the form of new organizational types, without explicit concern for their underlying
theoretical explanation or justification. On the academic side, prophetic voices have been
speaking (Arndt 1979, 1981, 1983; Thorelli 1986; Van de Ven 1976; Williamson 1975) but
seldom heard because, representing several different disciplines, they did not sing as a chorus.
More basically, perhaps, few listeners were ready to hear the message or to do the intellectual
work necessary to pull the several themes together. Like the Peruvian Indians who thought the
sails of the Spanish invaders on the horizon were some phenomenon of the weather and did
nothing to prepare themselves for attack (Handy 1990), marketers may ignore some important
information in their environment simply because it is not consistent with their past experience.
The purpose of this article is to outline both the intellectual and the pragmatic roots of
changes that are occurring in marketing, especially marketing management, as a body of
knowledge, theory, and practice and to suggest the need for a new paradigm of the marketing
function within the firm. First, the origins of the marketing management framework, the
generally accepted paradigm of the marketing discipline for the past three decades, are
considered. Then shifting managerial practice is examined, especially the dissolution of
hierarchical bureaucratic structures in favor of networks of buyer-seller relationships and
strategic alliances. Within those new forms of organization, the changing role of marketing is
discussed and a reconceptualization of marketing as a field of study and practice is outlined.
Marketing as a Social and Economic Process
It is sobering to recall that the study of marketing did not always have a managerial focus.
The early roots of marketing as an area of academic study can be found, beginning around 1910,
in Midwestern American land grant universities, where a strong involvement with the farm
sector created a concern for agricultural markets and the processes by which products were

brought to market and prices determined. The analysis was centered around commodities and the
institutions involved in moving them from farm, forest, sea, mine, and factory to industrial
processors, users, and consumers. Within this tradition, three separate schools evolved that
focused on the commodities themselves, on the marketing institutions through which products
were brought to market, especially brokers, wholesalers, and retailers in their many forms and
variations (Breyer 1934; Duddy and Revzan 1953), and finally on the functions performed by
these institutions (McGarry 1950; Weld 1917). All of these approaches tended to be descriptive
rather than normative, with the functional being the most analytical and leading to the
development of a conceptual framework for the marketing discipline (Barters 1962; Rathmell
1965).
These early approaches to the study of marketing are interesting because of the relative
absence of a managerial orientation. Marketing was seen as a set of social and economic
processes rather than as a set of managerial activities and responsibilities. The institutional and
functional emphasis began to change in 1948, when the American Marketing Association (1948,
p. 210) defined marketing as:
The performance of business activities directed toward, and incident to, the flow of goods
and services from producer to consumer or user.
This definition, modified only very slightly in 1960, represented an important shift of
emphasis. Though it grew out of the functional view, it defined marketing functions as business
activities rather than as social or economic processes. The managerial approach brought
relevance and realism to the study of marketing, with an emphasis on problem solving, planning,
implementation, and control in a competitive marketplace.
Marketing Management
The managerial approach to the study of marketing evolved in the 1950s and 1960s. Several
textbooks using a marketing management perspective appeared during this period (Alderson
1957; Davis 1961. Howard 1957; Kotler 1967; McCarthy 1960). These early managerial authors
defined marketing management as a decision-making or problem-solving process and relied on
analytical frameworks from economics, psychology, sociology, and statistics. The first marketing
casebook, incorporating a managerial framework by definition, had emerged from of the Harvard
Business School very early (Copeland 1920), but without any descriptive material or analytical
framework to accompany the cases. Marketing management became a widely accepted business
function, growing out of a more traditional sales management approach, with an emphasis on
product planning and development, pricing, promotion, and distribution. Marketing research
gained prominence in management practice as a vehicle for aligning the firm's productive

capabilities with the needs of the marketplace. The articulation of the marketing concept in the
mid to late 1950s posited that marketing was the principal function of the firm (along with
innovation) because the main purpose of any business was to create a satisfied customer
(Drucker 1954; Levitt 1960; McKitterick 1957). Profit was not the objective; it was the reward
for creating a satisfied customer.
The managerial focus was not readily accepted by everyone in academic circles, nor was
the marketing concept completely adopted by industry (McNamara 1972; McGee and Spiro
1988; Webster 1988). In academia, the functionalists and institutionalists held their ground well
into the 1960s, stressing the value of understanding marketing institutions and functions and
viewing marketing from a broader economic and societal perspective. Over the previous 50
years, a substantial body of theory and empirical knowledge had been developed and mature
marketing scholars felt compelled to defend and protect it. The argument against the managerial
point of view centered on its inability to consider the broader social and economic functions and
issues associated with marketing, beyond the level of the firm. For example, the Beckman and
Davidson (1962) text, built around a functionalist perspective, and the most widely used text in
the field at the time, was promoted as follows: "Balanced treatment of the development and the
present status of our marketing system; Conveys a broad understanding of the complete
marketing process, its essential economic functions, and the institutions performing them;
Strengthens the social and economic coverage of marketing in all its significant implications;
Proper emphasis accorded to the managerial viewpoint" (advertisement, Journal of Marketing,
April 1962, p. 130). It is the last phrase, "proper emphasis," that implies the criticism that the
managerial approach, by itself, is incomplete.
The analytical frameworks of the new managerial approach were drawn from economics,
behavioral science, and quantitative methods. The incorporation of the behavioral and
quantitative sciences gave important legitimacy to marketing as a separate academic discipline
Such frameworks were consistent with the very strong thrust of the 1960s toward more rigorous
approaches in management education, encouraged by two very influential foundation studies
(Gordon and Howell 1959; Pierson 1959). These studies advocated education based on a
rigorous, analytical approach to decision making as opposed to a descriptive, institutional
approach which, it was argued, should be held to "an irreducible minimum" (Gordon and Howell
1959, p. 187). The managerial perspective became the dominant point of view in marketing texts
and journals, supported by management science and the behavioral sciences.

Marketing as an Optimization Problem
Scholars on the leading edge of marketing responded with enthusiasm to the call for greater
analytical rigor. At the root of most of the new managerial texts and the evolving research
literature of marketing science was the basic microeconomic paradigm, with its emphasis on
profit maximization (Anderson 1982). The basic units of analysis were transactions in a
competitive market and fully integrated firms controlling virtually all of the factors of production
(Arndt 1979; Thorelli 1986). Market transactions connected the firm with its customers and with
other firms (Johnston and Lawrence 1988).
Analysis for marketing management focused on demand (revenues), costs, and profitability
and the use of traditional economic analysis to find the point at which marginal cost equals
marginal revenue and profit is maximized. Behavioral science models were used primarily to
structure problem definition, helping the market researcher to define the questions that are worth
asking and to identify important variables and the relationships among them (Messy and Webster
1964). Statistical analysis was used to manipulate the data to test the strength of the hypothesized
relationships or to look for relationships in the data that had not been hypothesized directly.
The application of formal, rigorous analytical techniques to marketing problems required

specialists of various kinds. Marketing departments typically included functional specialists in
sales, advertising and promotion, distribution, and marketing research, and perhaps managers of
customer service, marketing personnel, and pricing. Early organizational pioneers of professional
marketing departments included the consumer packaged goods companies with brand
management systems, such as Procter & Gamble, Colgate-Palmolive, General Foods, General
Mills, and Gillette. In other companies, the marketing professionals were concentrated at the
corporate staff level in departments of market research and operations research or management
science. Examples of the latter include General Electric, IBM, and RCA. Large, full-service
advertising agencies built strong research departments to support their national advertiser
account relationships. Other large firms, such as Anheuser-Busch and General Electric, also
entered into research partnerships with university-based consulting organizations.
Such specialized and sophisticated professional marketing expertise fit well into the
strategy, structure, and culture of large, divisionalized, hierarchical organizations.

The Large, Bureaucratic, Hierarchical Organization
When we think of marketing management, we think of large, divisionalized, functional

organizations--the kind depicted by the boxes and lines of an organization chart. The large,
bureaucratic, hierarchical organization, almost always a corporation in legal terms, was the
engine of economic activity in this country for more than a century (Miles and Snow 1984). It
was characterized by multiple layers of management, functional specialization, integrated
operations, and clear distinctions between line and staff responsibilities. It had a pyramid shape
with increasingly fewer and more highly paid people from the bottom to the top.
The larger the firm, the more activities it could undertake by itself and the fewer it needed
to obtain by contracting with firms and individuals outside the organization. The logic of
economies of scale equated efficiency with size. The epitome of the fully integrated firm was the
Ford Motor Company, and most notably its River Rouge plant, which produced a single,
standardized product, the Model A. Ford-owned lake steamships docked at one end of the plant
with coal and iron ore (from Ford's own mines) and complete automobiles and tractors came out
at the other end. Molten iron from the blast furnaces was carried by ladles directly to molds for
parts, bypassing the costly pig iron step. Waste gases from the blast furnaces became fuel for the
power plant boilers, as did the sawdust and shavings from the body plant. Gases from the coking
ovens provided process heat for heat-treatment and paint ovens (Ford 1922, p. 151-153).
Elsewhere, Ford owned sheep farms for producing wool, a rubber plantation in Brazil, and its
own railroad to connect its facilities in the Detroit region (Womack, Jones, and Roos 1991, p.
39). Integration required large size. Large size begat low cost.
Large, hierarchical, integrated corporate structures were the dominant organization form as
the managerial approach to marketing developed in the 1950s and 1960s, and firms created
marketing departments, often as extensions of the old sales department. Such large organizations
moved deliberately, which is to say slowly, and only after careful analysis of all available data
and options for action. The standard microeconomic profit maximization paradigm of marketing
management fit well in this analytical culture. Responsible marketing management called for
careful problem definition, followed by the development and evaluation of multiple decision
alternatives, from which a course of action would ultimately be chosen that had the highest
probability, based on the analysis, of maximizing profitability.
When the world was changing more slowly than it is today, such caution was wise in terms
of preserving valuable assets that had been committed to clearly defined tasks, especially when
those assets were huge production facilities designed for maximum economies of scale in the
manufacture of highly standardized products. The task of the marketing function was first to
develop a thorough understanding of the marketplace to ensure that the firm was producing
goods and services required and desired by the consumer. With an optimal product mix in place,
the marketing function (through its sales, advertising, promotion, and distribution subfunctions)
was responsible for generating demand for these standardized products, for creating consumer

preference through mass and personal communications, and for managing the channel of
distribution through which products flowed to the consumer. Sound marketing research and
analysis provided support for conducting these activities most efficiently and effectively, for
testing alternative courses of action in each and every area.
Marketing as a management function tended to be centralized at the corporate level well
into the 1970s. Marketing organizations were often multitiered, with more experienced senior
managers reviewing and coordinating the work of junior staff and relating marketing to other
functions of the business, especially through the budgeting and financial reporting process.
Corporate centralization allowed the development of specialized expertise and afforded
economies of scale in the purchase of marketing services such as market research, advertising,
and sales promotion. It also permitted tighter control of marketing efforts for individual brands
and of sales efforts across the entire national market. This arrangement began to change in the
late 1970s and into the 1980s as the concept of the strategic business unit (SBU) gained
widespread favor and corporate managements pushed operating decisions, and profit and loss
responsibility, out to the operating business units. Though marketing became a more
decentralized function in many large companies, it is not clear that the result was always
heightened marketing effectiveness.
The larger the organization, the larger the number of managers, analysts, and planners who
were not directly involved in making or selling products. The burden of administrative costs,
mostly in the form of salaries for these middle layers of management, became an increasing
handicap in the competitive races that shaped up in the global marketplace of the 1970s and
1980s. More and more organizations found it necessary to downsize and delayer, some through
their own initiative and many more through threatened or actual acquisition and restructuring by
new owners whose vision was not clouded by the continuity of experience. Global competition
resulted in increasingly better product performance at lower cost to the customer. Rapid
advances in telecommunications, transportation, and information processing broadened the
choice set of both industrial buyers and consumers to the point that a product's country of origin
was relatively unimportant and geographic distance was seldom a barrier, especially in areas
where non-American producers had superior reputations for quality, service, and value. In most
American industries, companies had little choice but to reduce costs through reorganization and
restructuring of assets, as well as through technological improvements in products and
manufacturing processes.
The Organizational Response
During the 1980s, new forms of business organization became prominent features of the
economic landscape. Even before the forces of global competition became clearly visible, there
was a trend toward more flexible organization forms, forms that are difficult to capture with a
traditional organization chart (Miles and Snow 1984, 1986; Powell 1990; Thorelli 1986). The

new organizations emphasized partnerships between firms; multiple types of ownership and
partnering within the organization (divisions, wholly owned subsidiaries, licensees, franchisees,
joint ventures, etc.); teamwork among members of the organization, often with team members
from two or more cooperating firms; sharing of responsibility for developing converging and
overlapping technologies; and often less emphasis on formal contracting and managerial
reporting, evaluation, and control systems. The best visual image of these organizations may be a
wheel instead of a pyramid, where the spokes are "knowledge links" between a core organization
at the hub and strategic partners around the rim (Badaracco 1991). These forms were pioneered
in such industries as heavy construction, fashion, weapon systems contracting, and computers,
where markets often span geographic boundaries, technology is complex, products change
quickly, and doing everything yourself is impossible. Such organizations today are found in
businesses as diverse as glass, chemicals, hospital supplies, book publishing, and tourism.
These confederations of specialists are called by many names including "networks" (Miles
and Snow 1986; Thorelli 1986), "value-adding partnerships" (Johnston and Lawrence 1988),
"alliances" (Ohmae 1989), and "shamrocks" (Handy 1990). All are characterized by flexibility,
specialization, and an emphasis on relationship management instead of market transactions. They
depend on administrative processes but they are not hierarchies (Thorelli 1986); they engage in
transactions within ongoing relationships and they depend on negotiation, rather than market-
based processes, as a principal basis for conducting business and determining prices, though
market forces almost always influence and shape negotiation. The purpose of these new
organization forms is to respond quickly and flexibly to accelerating change in technology,
competition, and customer preferences.
Types of Relationships and Alliances
There is no strong consensus at the present time about the terminology and typology for
describing the new organization forms. However, some important distinctions among types of
relationships and alliances are necessary before we can consider the role of marketing within
them. We can think of a continuum from pure transactions at one end to fully integrated
hierarchical firms at the other end (Figure 1). As we move along this continuum, we see that
firms use more administrative and bureaucratic control and less market control in the pursuit of
economic efficiency. One step away from pure transactions is repeated transactions between
buyer and seller. The next step is a long-term relationship that is still adversarial and depends
heavily on market control. Then comes a real partnership, in which each partner approaches total
dependence on the other in a particular area of activity and mutual trust replaces the adversarial
assumptions. Prices are now determined by negotiation, subject to some market pressures, rather
than by the market itself. The next step is strategic alliances, which are defined by the formation
of a new entity such as a product development team, a research project, or a manufacturing
facility, to which both parties commit resources and which serves clear strategic purposes for

both. Joint ventures, resulting in the formation of a new firm, are the epitome of strategic
alliances. Like their parents, joint ventures are fully integrated firms with their own capital
structures, something that other forms of strategic alliance lack. Network organizations are the
corporate structures that result from multiple relationships, partnerships, and strategic alliances.
We can now consider how the role of the marketing function changes in the focal firm as
we move along the continuum from transactions to network organizations.
Markets and Transactions
The starting point of this analysis is a transaction between two economic actors in the
competitive marketplace. In a pure market form of economic organization, all activity is
conducted as a set of discrete, market-based transactions and virtually all necessary information
is contained in the price of the product that is exchanged. The marketing job is simply to find
buyers.
In the traditional microeconomic profit-maximization paradigm, the firm engages in market
transactions as necessary to secure the resources (labor, capital, raw materials, etc.) it requires for
the production of the goods and services it sells in the competitive marketplace. Each transaction
is essentially independent of all other transactions, guided solely by the price mechanism of the
free, competitive market as the firm seeks to buy at the lowest available price.
In addition to the costs associated with the price paid, however, there are costs associated
with the transaction itself, what Coase (1937,p. 390) called the "cost of using the price
mechanism." These costs include the costs of discovering what the relevant prices are, of
negotiating and contracting, and of monitoring supplier performance, including quality and
quantity of goods delivered. For Coase, the problem was to explain why, given these "marketing
costs" (as he called them, p. 394, not "transactions costs," the phrase we use today), the firm did
not internalize virtually all exchanges of value rather than depending on the competitive market.
Coase proposed that the reason is that costs are also associated with internal performance of
value-creation activities, including decreasing returns to the entrepreneurial function and
misallocation of resources to activities in which the firm is incapable of creating value to the
same extent as a specialist. It is worth noting that this suggestion, stated in an article published in
1937, is very similar to the notion of "distinctive competency" that appeared in the strategy
literature more than 50 years later (Prahalad and Hamel 1990).
Pure transactions are rare, though they mark the beginning of the continuum for thinking
about types of relationships and alliances and provide a useful starting point for theoretical
analysis. In fact, throughout the 1970s, the marketing literature emphasized transactions as a
central construct and the basic unit of analysis for the marketing discipline (Bagozzi 1975).
Some authors even advocated a definition of a transaction that included any exchange of value

between two parties, thus broadening the concept of marketing to include virtually all human
interaction (Kotler and Levy 1969). A pure transaction is a one-time exchange of value between
two parties with no prior or subsequent interaction. Price, established in the competitive
marketplace, contains all of the information necessary for both parties to conclude the exchange.
In a pure transaction, there is no brand name, no recognition of the customer by the seller, no
credit extension, no preference, no loyalty, and no differentiation of one producer's output from
that of another.
Most transactions in fact take place in the context of ongoing relationships between
marketers and customers. Nonetheless, there has been a long-standing and clear tendency for
marketing practice and theory to focus on the sale, the single event of a transaction, as the
objective of marketing activity and the dependent variable for analysis. This emphasis on single
transactions fits well with the profit-maximization paradigm and the related analytical techniques
of optimization. There is no need to consider people or social processes when the units of
analysis are products, prices, costs, firms, and transactions.
Repeated Transactions -- The Precursors of a Relationship
One step along the continuum from a pure transaction is the repeated, frequent purchase of
branded consumer packaged goods and some industrial components, maintenance, and operating
supplies. In the marketing of such products, advertising and sales promotion are key activities
and each brand spends aggressively to try to win the customer's preference, loyalty, and repeat
purchase. Marketing's role is to guide product differentiation and to create preference and loyalty
that will earn higher prices and profits. Direct contact between customers and the marketer is
unlikely. The sale is the end result of the marketing process and, though repeat purchases are
important to the economics of advertising and sales promotion activity, there is no meaningful,
ongoing relationship between company and customer. Even here, however, the presence of brand
loyalty and repeat purchase means we have moved beyond a pure transaction. The rudiments of
trust and credibility are present, which can be the foundations of a relationship. Consumers
simply find it easier and more convenient to shop in the same store and to buy a familiar brand,
thus minimizing the time and effort needed to obtain and process information about different
alternatives. Consumers can negotiate more favorable terms of sale from a vendor who is
attracted to the possibility of future transactions with them. Relationships make transactions
more cost efficient.
The importance of relationships in marketing is more clearly seen in industrial markets,
though it is now also better understood in consumer markets as resellers have gained increased
power and as information technology has put individual consumers in more direct contact with
resellers and manufacturers. Interactive databases are making relational marketing a reality for
consumer goods. For products such as consumer durable goods, whose benefits are derived over
a long period of time rather than being consumed in a single use and for which after-sale service

is often required, there is an ongoing relationship with the customer, though responsibility for the
relationship is often an issue and a source of conflict between customer, reseller, and
manufacturer.
As an historical footnote, Henry Ford never had any doubt on this question. He wrote,
"When one of my cars breaks down I know I am to blame" (Ford 1922, p. 67) and "A
manufacturer is not through with his customer when a sale is completed. He has then only started
with his customer. In the case of an automobile the sale of the machine is only something in the
nature of an introduction" (p. 41). Likewise, L. L. Bean's original promise to his customers 80
years ago, what he called his Golden Rule, is now held up as a standard for others to follow:
Everything we sell is backed by a 100% guarantee. We do not want you to have anything
from L. L. Bean that is not completely satisfactory. Return anything you buy from us at any time
for any reason if it proves otherwise.
These quotations help to underscore the fact that relationship marketing is not new in
management thinking. However, there appears to have been a fairly long period of time when it
was not a top priority for most companies, and it was not part of the basic conceptual structure of
the field as an academic discipline.
Long-Term Relationships
In industrial markets, buyer-seller relationships have typically involved relatively long-term

contractual commitments, but even here the relationship was often arm's-length and adversarial,
pitting the customer against the vendor in a battle focused on low price. It was common practice
for a buyer to maintain a list of qualified vendors who would be invited to submit bids for a
particular procurement on a product with specifications drawn in a way to attract maximum
competition (Corey 1978; Spekman 1988).
The importance of managing these buyer-seller relationships as strategic assets began to be
recognized in the marketing literature of the 1980s (Jackson 1985; Webster 1984). Jackson
proposed that industrial marketers characterize firms as either transaction or relationship
customers and scale the commitment of resources accordingly. In these longer term buyer-seller
relationships, prices are an outcome of a negotiation process based on mutual dependence, not
determined solely by market forces, and quality, delivery, and technical support become more
important. Competitive forces in the global marketplace of the 1980s forced many firms to move
significantly along the continuum from arm's-length relationships with vendors and customers to
much stronger partnerships characterized by much greater interdependence. In traditional
manufacturing businesses such as those in the automobile industry, the world was changing so
fast that the standard ways of doing business were passé.
In the 1980s, the automobile industry became the bellwether for new forms of relationship
with industrial suppliers (Womack, Jones, and Roos 1991), and it is instructive to look briefly at

the auto business specifically. Ford's River Rouge plant was an exception to the way the industry
organized production. Ford got into trouble soon after the plant was opened as Alfred Sloan's
General Motors began to offer consumers a much wider range of models, colors, and features,
and the Model A fell from favor with customers. GM depended heavily on other vendors,
including its own wholly owned but independent subsidiaries such as Harrison Radiator, AC
Spark Plug, and Saginaw Steering (Womack, Jones, and Roos 1991, p. 138-139), for almost 70%
of the value of production. The automobile manufacturers for decades had depended on
thousands of vendors, with many vendors for each item, in a system that was fundamentally and
intentionally adversarial. Relationships were short-term. Suppliers were adversaries for their
customers, competing for an "unfair" share of the economic value created by the use of their
products in the customer's manufacturing process. They fought over price. Competition among
vendors, through systems of competitive bidding around extremely tight product specifications,
was the method by which vendor greed and opportunism were controlled. The largest share of
the business usually went to the vendor with the lowest price, though several others were given
smaller shares to keep them involved, to keep pressure on the low price supplier, and to provide
alternative sources of supply in the event of delivery or quality problems. Incoming inspection
was the key step in quality control and reject rates tended to be high.
Mutual, Total-Dependence Buyer-Seller Partnerships
Global competitors saw an opportunity in all of this. The Japanese manufacturers, in

particular, striving to compete in the North American market thousands of miles from home, had
learned a valuable lesson: quality does not just sell better, it also costs less. Designing products
for manufacturability as well as performance and doing it right the first time costs less than
detecting and removing defects later. Quality and low cost depend heavily on a system of
strategic partnerships with a small number of vendors that are incorporated in the early stages of
product development, a pattern of cooperation virtually unknown in the adversarial sourcing
systems of the U.S. manufacturers (Womack, Jones, and Roos 1991). Japanese kanban or just-in-
time systems provided a new model for American manufacturers: reliance on one or a few
vendors for a particular part who promise to deliver 100% usable product, usually in quantities
just sufficient for one eight-hour production shift, on an incredibly tight schedule whereby trucks
must arrive within a very few minutes of the programmed time. Higher quality and lower
inventory costs and other related costs resulted from total reliance on a network of sole-source
vendors in a system of total interdependence (Frazier, Spekman, and O'Neal 1988).
Firms in the American automobile industry studied their Japanese competitors and
attempted to incorporate the lessons learned in their management of procurement and
relationships with vendors. The rest of America began to learn from what was happening in the
automobile industry, as well as in telecommunications, computers, office equipment, and other
fields. American marketers began to see the necessity of moving away from a focus on the

individual sale, the transaction as a conquest, and toward an understanding of the need to
develop long-term, mutually supportive relationships with their customers. Many of America's
premier industrial firms such as GE, IBM, DuPont, Monsanto, and Honeywell restructured
themselves around the fundamental concept of strategic customer partnerships with customers
such as American Airlines, Ford, Milliken, Procter & Gamble, and the federal government.
Another Japanese institution, the keiretsu, provides yet another model that is shaping the
new American organizational landscape (Gerlach 1987). Kanban systems depend on the close
relationship of suppliers and subcontractors within the keiretsu. In many respects, the keiretsu
are the predecessors of the networks and alliances now emerging in the Western world (not to
mention the obvious fact that many alliance partners are, in fact, Japanese firms). The keiretsu
are complex groupings of firms with interlinked ownership and trading relationships. They are
neither formal organizations with clearly defined hierarchical structures nor impersonal,
decentralized markets. They are bound together in long-term relationships based on reciprocity.
The trading partners may hold small ownership positions in one another, but primarily to
symbolize the long-term commitment of the relationship rather than strictly for financial gain. A
key outcome of this arrangement is great stability in these long-term relationships. Such stability
contributes to a sharing of information among the companies and promotes aggressive, long-term
growth policies (Gerlach 1987). The experience of Japanese managers with keiretsu and similar
forms of interfirm cooperation is a major reason for their greater skill and comfort level in the
management of strategic alliances in comparison with American managers (Montgomery and
Weiss 1991).
Strategic Alliances
In some cases, the partnership between a supplier and its customer takes the form of an
entirely new venture, a true strategic alliance. One of the essential features of a true strategic
alliance is that it is intended to move each of the partners toward the achievement of some long-
term, strategic, goal. This strategic objective is one distinguishing feature that separates strategic
alliances from previous forms of interfirm cooperation. According to Devlin and Bleakley
(1988,p. 18), "Strategic alliances take place in the context of a company's long-term strategic
plan and seek to improve or dramatically change a company's competitive position." This
definition of strategic alliances, with its emphasis on improving a firm's competitive position,
supports the notion that they are an important marketing phenomenon. Another important
characteristic of strategic alliances is shared objectives and a commitment of resources by both
parties.
There are multiple types of strategic alliances; virtually all are within the theoretical domain
of marketing as they involve partnerships with customers or resellers or with real or potential
competitors for the development of new technology, new products, and new markets. Some are
new ventures formed between vendors and customers to ensure a smooth flow of raw materials,

components, or services into the customers' manufacturing operations. Others are formed
between potential competitors in order to cooperate in the development of related or convergent
technologies, in the development of a new product or class of products, or in the development of
a new market. Some alliances are formed between manufacturers and resellers. All strategic
alliances are collaborations among partners involving the commitment of capital and
management resources with the objective of enhancing the partners' competitive positions.
Strategic alliances are much closer to the hierarchy end of the transactions (market)-hierarchy
continuum, but they stop short of internalizing the functions within the firm itself. Instead, they
create a separate entity to be managed by bureaucratic and administrative controls.
Joint Ventures
Joint ventures, as the term is used here, are only one kind of strategic alliance, though the
terms are often used interchangeably. The unique feature of a joint venture is that a new firm is
created, with its own capital structure, as well as the sharing of other resources. Joint ventures
are typically established to exist in perpetuity, though the founding partners may subsequently
change their ownership participation. other types of strategic alliances, such as a product
development project, have a finite life by definition. In fact, this finiteness with its inherent
flexibility is one of the advantages of strategic alliances in comparison with more traditional
organization forms. Interestingly, the joint venture soon faces all of the problems of its parent
firms in terms of creating multiple partnerships and alliances and determining its core
competence and its unique positioning in the value chain between vendors and customers.
Networks
Networks are the complex, multifaceted organization structures that result from multiple
strategic alliances, usually combined with other forms of organization including divisions,
subsidiaries, and value-added resellers. (Some authors have mistakenly used the terms "strategic
alliances" and "networks" interchangeably.) The alliances are the individual agreements and
collaborations between partners, such as Ford and Mazda in the creation of the new Escort and
Explorer automobiles or General Motors and Toyota in the formation of the NUMMI joint
venture. General Motors, though still a classic example of a traditional, hierarchical,
bureaucratic, multidivisional organization and currently in the throes of a major downsizing
(Taylor 1992), is evolving toward a network organization with multiple joint-venture partners
including global competitors Toyota, Daewoo, Volvo, Suzuki, and Isuzu, as well as a host of
strategic partnerships with vendors. Ford likewise has a large number of partnerships and
alliances and is evolving into a network organization.

The basic characteristic of a network organization is confederation, a loose and flexible
coalition guided from a hub where the key functions include development and management of
the alliances themselves, coordination of financial resources and technology, definition and
management of core competence and strategy, developing relationships with customers, and
managing information resources that bind the network. In the context of the network
organization, marketing is the function responsible for keeping all of the partners focused on the
customer and informed about competitor product offerings and changing customer needs and
expectations.
James Houghton, Chairman of Corning, Incorporated, for example, describes his company
as a network with alliances as a key part of its structure (Houghton 1989). At the hub of the
wheel (Figure 2) is a set of functional specialties such as contract negotiation, legal services, and
financial coordination that provide the linkages that bind together technology, shared values, and
shared resources. The center is also responsible for establishing priorities and managing the
linkages that define the network; information management is a central strategic function and
information technology has been a key facilitator of these new organizational forms. Another key
responsibility of the center is to define, develop, and maintain the core competencies that are at
the heart of the firm's ability to compete successfully in the global marketplace (Prahalad and
Hamel 1990). In fact, one of the key core competencies of a network organization may be the
ability to design, manage, and control strategic partnerships with customers, vendors,
distributors, and others.

There is an interesting paradox here: in the move toward strategic alliances, even the largest
firms become more focused and specialized in their core activities. They realize that there is an
increasingly smaller set of activities that represent true distinctive competence on their part. The
trick is to avoid trying to do everything, especially the things they cannot do well, and to find
other firms that also need a partner that can do the things the large firm does best. Strategic
alliances become a primary tool in developing the firm's core competence and competitive
advantage.
Instead of vertical integration being the preferred model, the network paradigm is built
around the assumption that small is better, that each part or process or function should be the
responsibility of a specialized, independent entity, efficiently organized and managed, that has
world class competence. Across the board--for all factors of production including parts and
subassemblies, services such as transportation and maintenance, and professional marketing
services such as marketing research, some selling functions, and most distribution functions--the
bias has shifted from "make" to "buy," from ownership to partnership, from fixed cost to variable
cost, but in the context of stable, long-term relationships. A firm must define ever more narrowly
those core competencies to which it will devote scarce resources in order to develop new
knowledge and skills. For all other areas, it must depend on strategic partners who have placed
their own focused bets in the game of becoming world class competitors.
To sum up, there is a clear evolution away from arm's-length transactions and traditional
hierarchical, bureaucratic forms of organization toward more flexible types of partnerships,
alliances, and networks. Within these new types of organizations, traditional ways of organizing
the marketing function and of thinking about the purpose of marketing activity must be
reexamined, with focus on long-term customer relationships, partnerships, and strategic
alliances.
At the Business (SBU) Level: Market Segmentation and Targeting, Positioning the
Product, and Deciding When and How to Partner
At the business unit or SBU level, the key strategy question is how to compete in the firm's
chosen businesses. This level of competitive strategy is developed by managers in the individual
business units. Business strategy is based on a more detailed and careful analysis of customers
and competitors and of the firm's resources and skills for competing in specific market segments
(Day and Wensley 1988). The key outcomes of this planning process are market segmentation,
market targeting, and positioning in the target segments. A trend of the last decade was to
delegate more of the strategic planning process from corporate headquarters out to the individual
business units, helping to clarify the distinction between corporate and business-level strategy.
These planning activities were historically associated with marketing strategy at the corporate
level in hierarchical organizations. Clearly, in network organizations, these responsibilities
devolve to the business unit level. In fact, at the SBU level, the distinction between marketing

and strategic planning can become blurred; in some firms these functions are likely to be
performed by the same people.
In network organizations, marketing managers at the business unit level also have a new
responsibility for deciding which marketing functions and activities are to be purchased in the
market, which are to be performed by strategic partners, and which are to be performed
internally. This responsibility applies to the whole range of professional services (marketing
research, telemarketing, advertising, sales promotion, package design, etc.) as well as to
suppliers of raw materials, components, and subassemblies and to resellers. When is a vendor
merely a vendor and when is it a strategic partner committed to a mutually dependent long-term
relationship in delivering solutions to customer problems? Similar questions must be asked about
channel members. In a customer-oriented company, committed to the marketing concept at the
corporate level, marketing management at the business unit level has a critical role in guiding the
analysis that leads to answers to these questions. In all cases, the answer will be that which
enables the business to deliver superior value to customers in comparison with its competitors. It
is the unique characteristic of network organizations that these questions are asked and that the
organization form--transaction versus relationships versus hierarchy--remains flexible,
depending on what the market requires. In this sense, network work organizations are by
definition "market-driven" and represent a maturation of the marketing concept.
Conclusion
Marketing is responsible for more than the sale, and its responsibilities differ depending on
the level of organization and strategy. It is the management function responsible for making sure
that every aspect of the business is focused on delivering superior value to customers in the
competitive marketplace. The business is increasingly likely to be a network of strategic
partnerships among designers, technology providers, manufacturers, distributors, and
information specialists. The business will be defined by its customers, not its products or
factories or offices. This is a critical point: in network organizations, it is the ongoing
relationship with a set of customers that represents the most important business asset. Marketing
as a distinct management function will be responsible for being expert on the customer and
keeping the rest of the network organization informed about the customer. At the corporate and
business unit levels, marketing may merge with strategic planning or, more generally, the
strategy development function, with shared responsibility for information management,
environmental scanning, and coordination of the network activities.
There has been a shift from a transactions to a relationship focus. Customers become
partners and the firm must make long-term commitments to maintaining those relationships with
quality, service, and innovation (Anderson and Narus 1991). Given the increased importance of
long-term, strategic relationships with both customers and vendors, organizations must place
increased emphasis on relationship management skills. As these skills reside in people, rather

than organization structures or roles or tasks, key marketing personnel who have these skills will
become increasingly valuable as business assets (Thorelli 1986). These skills may define the core
competence of some organizations as links between their vendors and customers in the value
chain. This common focus on customer value and relationship management may result in much
stronger coordination of the procurement, sales, and marketing functions in a manner analogous
to the merchandising function in retailing firms. Such coordination would be consistent with the
two major trends of elimination of boundaries between management functions within
organizations and a blurring of the boundaries between the firm and its market environment. In a
world of strategic partnerships, it is not uncommon for a partner to be simultaneously customer,
competitor, and vendor, as well as partner. Consequently, it is difficult to keep the traditional
management functions distinct in dealing with strategic partners.
Impersonal, mass communications, especially media advertising, are becoming less
effective, whereas personal, targeted, special purpose communications have become more
important. This change is reflected in the decline of the traditional advertising business--
independent advertising agencies developing ads and placing them in broadcast and print media.
In their place have emerged global communication companies, international networks of
specialists and integrated marketing communications mega-agencies working with their
multinational clients on specific projects.
Distributors must be treated as strategic partners (Anderson and Narus 1990), linked to the
manufacturing firm with sophisticated telecommunications and data-processing systems that
afford seamless integration of manufacturing, distribution, and marketing activities throughout
the network. Consumer marketers continue to shift resources toward the trade and away from the
consumer per se, and traditional selling functions for the field sales organization are evolving
toward a broader definition of responsibilities for relationship management, assisted by
interactive information management capability.
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POCKET SCHOOL: EXPLORING MOBILE TECHNOLOGY AS A
SUSTAINABLE LITERACY EDUCATION OPTION FOR
UNDERSERVED INDIGENOUS CHILDREN IN LATIN AMERICA
Paul Kim
Stanford University, USA
Talia Miranda
UNESCO
Claudia Olaciregui
Ellis Elementary, Colombia
Abstract
Literacy is a human right unequally distributed among the world’s population. Despite
global efforts to fight illiteracy, high illiteracy rates continue to jeopardize access for many to
basic schooling, life-long learning, health, and environment safety. Illiteracy also hinders the
economic prosperity of the poorest societies in this digital age. Among the underserved
population in Latin America, many of the indigenous children are the poorest of the poor who
hardly have access to formal and stable schooling. This paper reviews the literature addressing
education inequality issues in Latina America, opportunities with mobile learning technology,
and various language education projects involving mobile devices. This paper also suggests
technology design considerations to meet the learning needs of the extremely underserved
indigenous children in Latin America.

Pocket School: Exploring Mobile Technology as a Sustainable Literacy Education Option
for Underserved Indigenous Children in Latin America
Despite global attention and efforts to eradicate illiteracy, deep inequalities persist. In the highly
unequal societies of Latin America, children of different social backgrounds do not have equal
opportunities to learn and reap its benefits (Reimers, 2000). Many are still denied their right to an
education and find themselves unable to break from the cycle of poverty. Inequality is
particularly acute for indigenous populations. Wherever they live, many indigenous people are
among the poorest of the poor in that country (Psacharopoulos and Patrinos 1994; Tomei 2005;
Hall & Patrinos, 2006). In Latin America, there are approximately 50 to 60 million underserved
indigenous people residing mostly in Mexico, Peru, Bolivia, Guatemala, and Ecuador (UNDP,
2004).
Significant differences exist in literacy rates and access to formal education for non-indigenous
and indigenous populations (UNESCO/OREALC, 2004). For instance, in Ecuador, 18% of the
people benefit from a full-time education while the figure for indigenous people is a mere 1%
(Gradstein & Schiff, 2006). In Bolivia, indigenous children receive 4 years less schooling than
their non-indigenous classmates (Hall &Patrinos, 2005). Schmelkes (2000) recounts the situation
of indigenous children in Mexico. She reports that many indigenous children live in communities
so small that no school is provided, and another group, consisting of about 400,000 to 700,000
school-age children, travel with their parents every year for the harvest, never staying in one
place long enough to be enrolled.
Neither do conditions remarkably improve for indigenous children attending school. “Poor and
indigenous children often attend the worst schools, are served by the least educated teachers,
have the least amount of didactic resources, and are more likely to arrive to school hungry and
ill” (Hall & Patrinos, 2005, p.11-12). Evidence of the poor quality of education is depicted by a
study that surveyed indigenous schools in Mexico, Bolivia, Ecuador, Guatemala, and Peru. It
found that indigenous schools have the highest drop-out, repetition, and failure rates, and their
students scored significantly lower in reading and math tests (Hall &Patrinos, 2005). Parker et al.
(2003) concurs that indigenous children fare worse than their non-indigenous counterparts,
adding that it holds true even when relatively homogenous samples of rural, marginalized
communities are used. McEwan & Trowbridge (2007) describes the three major reasons for
indigenous children’s poor performance: parents' lack of schooling experience, fewer and
inferior quality instructional materials and infrastructure, and linguistic diversity of the
indigenous children. Often times, indigenous children are asked to learn in a language they do
not know, which poses a formidable barrier to their advancement. Bilingual schools that use the
children’s native language for instruction reach only a fraction of the population but still suffer
from an inferior and deficient quality.
In this digital age characterized by the rapid development of information and communication
technologies, the illiterate are at a greater risk than ever before. Those with the least amount of
schooling will find it increasingly more difficult to participate in the evolving knowledge-based
societies, deepening the social divide (Reimers, 2000). Without an innovative intervention to

counter the effects of globalization and technological advancements the gap will only increase,
further excluding the uneducated from society and leaving the extremely poor without the
necessary skills to secure their well-being.
The potential of mobile learning technology
Recent innovations in mobile technology offer promising opportunities to combat the deep-
seated chasm of inequality entrenched in Latin America. Mobile learning devices now have the
potential to achieve a large-scale impact due to their portability, low cost, and versatile features
(Roschelle, 2003). A convergence of rapid advancements in information and communication
technology (ICT) have made this possible; the increase in processing power, storage memory,
and connectivity have resulted in an explosive growth in media richness, ubiquitous access and
highly personalized learning solutions (Pea & Maldonado, 2006). Today’s conventional mobile
device can store and deliver a vast amount of information, including an entire K-12 curriculum,
and is capable of reaching even the hardest and most disadvantaged audiences (Attewell, 2004).
To date, mobile learning technology has emerged at the forefront of discussions in the context of
well-developed support infrastructure and technology enriched learning environments. Its
prospective role in reducing global inequalities is less discussed and hardly considered for
millions of illiterate children. We argue that mobile learning technology can play a significant
role in addressing the learning needs of indigenous children, through either multilingual or
monolingual learning methods. We acknowledge the multidimensional complexity surrounding
issues of learning and believe that mobile learning technology is uniquely positioned to
overcome many of them. In the following sections, emerging opportunities for literacy
development with mobile technology are explored. Then, a series of considerations addressing
issues including culture, learning theories, usability, and sustainability to meet the learning needs
of this marginalized indigenous population is discussed.
Opportunities with mobile learning
Learning is hardly a discrete episode; rather it is an experience interwoven in our daily lives
made up of the numerous tasks and stimulants we encounter. When we are faced with problems
in various contexts, we often try to understand and respond with the cognitive and physical
resources available within and around ourselves. Mobile learning provides the learner with
frequent engagement opportunities in a non time-intensive way, increasing the learning chances
by allowing the learner to chip away at a large task once motivated (Beaudin et al. 2006) or work
on incidental tasks requiring the right mood and occasion in everyday life. At a rapid speed, the
practice of mobile learning is expected to increase among learners of all ages, irrespective of
ethnic group, class, or gender (Oloruntoba, 2006).
As it stands, mobile learning technology makes sense for children living in rural areas or places
that lack various resources including electricity. A mobile learning device that can be mass-
produced at an affordable price, along with a solar cell charger, can be of great use even without
current ability to connect to the internet. However, given that many developing countries are
bypassing landlines to directly install cell phone networks in rural areas, in the future we can

expect that more and more underserved people, in both rural and urban areas, will gain this
advantage of mobile network services and information superhighway (Sharples et al. 2005) and
benefit increasingly from mobile learning technology.
Mobile learning in language education

The development of mobile and wireless technologies has opened up a huge array of possibilities
for the domain of language learning (Joseph & Uther, 2006). In recent years, there have been
numerous studies and projects using the relevant mobile technologies for both formal and
informal language learning (see Brown, 2001; Cabrere, 2002; Chinnery, 2006; Kadyte, 2003;
Kiernan & Aizawa, 2004; Levy and Kennedy, 2005; Norbrook and Scott, 2003; Paredes et al.,
2005; Thornton and House, 2005; Ogata & Yano, 2004; Joseph, Brinsted, & Uther, 2005).
Current use of mobile devices in language learning ranges from vocabulary or grammar learning
to story reading and pronunciation practices. Nonetheless, there is no formal theory of mobile
language learning developed to date (Joseph & Uther, 2006), but still emerging mobile
technologies increasingly suggest potential language learning solutions and environments that
will be highly interactive, ubiquitous, and convenient.
Design considerations
A mobile learning model that is appropriate for indigenous children in Latin America will
require a deep understanding of this diverse population of learners, their learning conditions and
needs, and must factor relevant environmental, cultural, and political dimensions. Perhaps
addressing and overcoming all the challenges in the design is a naive thought, seeing that experts
have yet to disentangle the circumstances leading to such poor learning outcomes in this group.
Nonetheless, a few realistic considerations must be taken into account if the learning design
framework is going to be useful. Innovative technologies need to be fully interpreted and applied
according to the environment in which they will operate, being well aware of its limitations and
challenges, bearing in mind their potential impact on transforming current cultures and practices
(Cobcroft et al. 2006) in both intended or inadvertent directions. In this section, we expound
upon these concerns.
Situation specificity and cultural sensitivity
Mobile learning solutions cannot be formulated according to pre-existing disciplinary matrices
and learning design principles, but must be done in relation to the practical problems specific to
the location and situation of the learner (Nyrid, 2002). Considering the learning environment
available to indigenous children, even the latest mobile learning principles validated through
empirical studies in the developed countries may be inapplicable for this population. Indigenous
children living in remote areas may only have access to a very poor school facility with little or
no electricity, and an insufficient number of untrained teachers to guide them in their learning.
Where there are no teachers for the yoing children, adopting learning activities, even if they are
educationaly sound, may be very difficult. For other children moving about seasonally with
parents or working in the farm, a sleeping ground, farm, or playing field may have to substitute

for classroom space. Therefore, a mobile learning device which can be carried in a pocket (e.g.,
therefore it is “Pocket School”) may make a tremendous sense for places where there is no
substitute for a formal school.
Furthermore, it is common to find large families living together in a crowded or temporary
housing facility, occupying an area no bigger than 500 square feet for 8 or more people, where
conventional appliances are non-existant and no single book is found. In such situations,
educational programs using flash card words like microwave and compact disc may be
completely out of context. Murphy (2006) also emphasizes the need to consider cultural and
societal factors when designing mobile learning scenarios. Concepts of marriage, family, work,
life, and identity are just a few in a long list to be seriously considered when devising appropriate
learning content.
Overall, one thing is universal and quite clear. Learning should be fun, satisfying, and rewarding.
Playfulness is a key feature that needs to be incorportated, in the right balance, into these
applications for young children (Papanikolaou & Mavromoustakos, 2006). A “Pcoket School”
protype as shown in Figure 2 can be a fun and joyful schooling experience for the indigenous
children who may otherwise play with metal scrapes or trash shown in the background.
Practical usability
Careful considerations must be taken into account in designing a mobile learning device that can
have a long life in remote area. Given that there will be nobody to service the device should it
become inoperable; the device must be highly shock, water, dust, and scratch resistant. For
example, a design using fewer buttons sealed with rubber casing materials would be ideal, unlike
a touch screen button that would be easily dirtied and scratched. The device must also render
itself accessible to children by having easy to comprehend features and uncomplicated
functioning (Papanikolaou & Mavromoustakos, 2006). The user-interface and buttons must
provide the learning content as quickly and with as few operations as possible (Low &
O’Connell, 2006) without unnecessary complexity (Parsons & Ryu, 2006) 1. For this regard, a
keyboard like input device may not be appropriate because it would limit the usability of the
device to older children with basic literacy skills or at least 3rd or higher grade education
experience (See Bartholome, 1996; Fleming, 2002).
The content design for mobile learning device screens requires repetitive testing to see what
scheme would maximize readability while maintaining appealing aesthetics of the content.
Pocket School devices loaded with literacy program such as the one shown in Figure 3 will
require a large memory space to maximize the content it can hold, since updating content may
occur infrequently, and would include material for various levels. At the same time, content must
be easily retrievable with a few key operations and delivered in granular fashion to avoid
overwhelming the user. Instead of using directories and subdirectories that may be complicated
for children, the use of colored or icon-based categories to navigate through the lessons can be

often preferred. As choices are made and buttons are pressed, voice guidance could further assist
users.
In sum, the learning experience must remain fun and accessible for the children; technology
should not obtrude upon it (Sharples, Corlett, & Westmancott, 2002; Parsons & Ryu, 2006)2
Theoretical applicability
No matter how sophisticated and appealing a mobile learning device or its content may be, the
learner will embrace mobile learning only if it meets his/her individual learning needs (Parsons
& Ryu, 2006) and stimulates his/her particular intellectual curiosities.
A learning solution necessitates in-depth learner assessment to develop appropriate content
material and should be guided by relevant theories pertaining to the learners’ needs. Children’s
prior knowledge and literacy skills need to be studied in order to develop effective reading
content that can provide them with a meaningful and successful reading experience. Positive
reading experiences lie at the foundations of instilling a love of reading in a child. In following,
relevant studies addressing learning theories applicable to Pocket School concept will be
reviewed in depth.
Researchers in the field of reading development have unveiled some of the mysteries of how a
child learns to read and offer practicioners significant guidance for successful reading programs.
It is this knowledge that we turn to in order to create reading content that is pedagogically
effective and culturally appropriate for indigenous children. The goal of reading goes well
beyond decoding and recognizing words. Reading is about constructing meaning from a text
(Pressley, 2002). Also, reading is purposeful only when a child can build meaning from a text
and connect it to his or her everyday life. A lack of comprehension leads to negative attitudes
and a loss of motivation; therefore avoid engaging in futher reading opportunities (Graves et al.,
2003).
A child must attain several insights before s/he can make sense out of print, which can be
promoted through the use of a mobile learning device. One of the most important and most basic
understandings is that a printed word carries meaning. Children acquire this knowledge through
frequent exposure to print. Many indigenous children, however, live with illiterate parents and do
not have access to reading material in their homes. The rural environments in which they live in
are also devoid of printed letters. A mobile learning device that displays and reads words out
loud would provide children ample opportunities reach this understanding.
Phoenomic awareness. Other vital insights for learning to read are phonemic awareness and the
alphabetic principle (Snow et al., 1998, Juel, 1988, 1991, Adams 1990, Stanovich, 1986).
Phonemic awareness is the understanding that spoken words are made up of a sequence of
somewhat separable sounds. It is purely an auditory ability but fundamental to mapping speech
to print. Examples of phonemic awareness include the ability to blend a series of sounds
(“mmm” “aaa” “mmm” "aaa" makes the word “mama”), to identify the first sound in a spoken
word (“Gato” begins with /g/), and to recognize words that rhyme (“gato” and “pato”). There are
many degrees of phonemic awareness; the most advanced forms being the best predictor of

reading achievement (Juel, 1988). To foster it, rhymes and texts with alliteration can be used,
which draw attention to the sound of words and their similar parts. Due to their large capacity to
store content, Pocket School devices such as the one shown in Figure 4 can house hundreds of
multimedia-basd words, songs, poems, and nursery rhymes, which could be replayed again and
again, exposing the child to the kind of language s/he needs to hear to develop phonemic
awareness.
Alphabetic principle. The alphabetic principle refers to the correspondence between sounds
(phonemes) and letters. This knowledge is a prerequisite for the identification of words as we
read (Juel, 1991) and can be taught through a mobile device. It requires that a child first have
knowledge of the alphabet and the individual letters. Content to learn the alphabet can be easily
programmed into a device, preparing a child to receive phonics instruction. Simple multimedia
scenarios that feature the letter-sound association of only a few letters can also be developed. For
example, it is possible to write a multiple-page coherent book, one phrase per page, using only
the letter “m” and the five vowels. For example, the phrase “mi mamá me ama” (my mother
loves me) is commonly encountered in instructional materials in Latin America. Repeated
readings of simple stories that use only a few letters will allow children to discover these letter-
sound relationships and give them practice blending two sounds together to form a word.
In Latin America, the sequence for teaching letter-sound correspondences varies (Ferreiro,
1998). A typical program first covers the five vowels, followed by the easier consonants that
appear most frequently in the Spanish language. The content of any of these phonics books can
be placed inside a mobile learning device, where a child could further benefit from the audio that
would accompany the text. Children need considerable practice to master the skill of decoding
and know which letters correspond to which sounds. They can only practice if material is easily
available for them. Mobile learning devices have the potential to make this happen.
Reading fluency. Fluency is another important component children need to become successful
readers. It is the ability to read through a text quickly and efficiently without conscious effort,
freeing up their mental capacities to attend to the meaning of the text (Graves et al, 2003).
Fluency requires the automatic recognition of words, a feat that can be achieved only by repeated
readings and recurrent practices. Predictable texts and repeated readings of a book previously
memorized also foster fluency (Kuhn & Stahl, 2000). Vocabulary is another indispensable
competency linked to comprehension (Anderson R.C. & Freebody, 1981, cited in Pressley,
2002). For a child to understand what s/he reads, he must be able to match the sound to a concept
already established in children’s mental schema. Research has documented that children living in
impoverished environments have smaller vocabularies, which puts them at risk for reading
difficulties (Graves et al., 2003, Hart & Risley, 1995). Indigenous children, especially those
whose mother tongue is not Spanish, will need considerable exposure to new words. Multimedia
dictionaries and stories tailored to build vocabularies would be a significant asset for these
children, who may have no other chance to encounter such words in the environment they live.

Literacy development progams and many other educational tools and contents can be developed
to specifically fit the medium of a mobile learning device.
Economic scalability
Beside various benefits discussed by many researchers, mobile learning technology may make
sense to the indigenous children because: advanced mobile learning technology can integrate and
present educationaly sound contents; there is rarely or no formal learning facility or support in
many of the places the children are found; there is more chance of getting a future wireless
communication signal than wired network in the region the children are located; and also there is
possibly an economy of scale that can be realized from mass production of mobile devices. As
discussed earlier, with mass production, the price of a mobile device with a large storage can be
dramatically lowered. Many underserved families located in poor regions of development
countries live on less than $2 a day (UNICEF, 2003). If establishing a well resourced school
facility with a well trained teacher would cost $X, providing a Pocket School with sound
educational programs would cost much less than $X. Thus, what is $38 today may one day
become less than $10 if there was to be a production effort with an economy of scale in mind.
Obviously, governmental or international programs could be integrated to partially, if not
entirely subsidize, the cost of mobile learning programs.
Viable sustainability
Developing an effective mobile learning solution for illiterate indigenous children is in itself a
challenge. Implementing and sustaining such a solution at a substantial scale would be quite
another. Technology innovations in education can become futile and obsolete very quickly if
there is no committed plan for adequate support and maintenance. Obviously, deploying a
mobile learning technology involves various costs in the repetitive cycles of assessment, design,
production, distribution, observation, and enhancement. Therefore, seeking and devising plans to
sustain a project of a mass scale such as Pocket School discussed here requires strategic alliances
with relevant technology industry leaders and socially responsible entrepreneurs.Although
academic research on social entrepreneurship is still in its infancy (Dorado, 2006), increasingly
more entrepreneurs and ventures are bridging profit and service goals in new and creative ways
(Eakin, 2003). A variety of social innovation and entrepreneurship studies have emerged rapidly
through business school programs such as the Research Initiative on Social Entrepreneurship at
Columbia, the Social Enterprise Initiative at Harvard, the Center for Social Innovation at
Stanford, the Center for the Advancement of Social Entrepreneurship at Duke, the Berkley
Center for Entrepreneurial Studies at NYU or the Skoll Center for Social Entrepreneurship at
Oxford University. If any of these centers can combine their force with education experts and
allies in the industry sector, Pcket School may become more than just a concept on paper. It will
be important to examine, plan, develop, implement, and re-examine such an educational model
with experts in various domains to ensure its success and effectiveness.
Conclusion

A significant number of indigenous children in Latin America are denied their right to an
education. A well-planned and supported innovative intervention is needed to intervene on their
behalf. Without access to a quality education, many children will remain functionally illiterate
and will find themselves incapabable of participating in the information-based socities in which
they live. They will be unable to away from the cycle of poverty and the inequality that exists
today will only worsen.
Mobile learning technology, thanks to its portability, low production cost, versatile features, and
significant memory space, has the potential to provide indigenous children with learning material
that could possibly teach them to read. As discussed, many considerations, such as situation
specificity, cultural sensitivity, practical usability, theoretical applicability, economical
scalability, and viable sustainability along with various learning needs of the children must be
taken into account to develop a useable and effective personal learning space such as Pocket
School. This paper merely scratched the surface. We hope it generates constructive discussion on
the topic and challenges educators to think of innovative ways to use advanced technologies to
serve those who need its help the most.
References
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6th IEEE International Conference on Advanced Learning Technologies, Kerkrade, The Netherlands.

OVERVIEW OF ENVIRONMENTAL LAW
Lisa F. Brown,
Assistant Counsel for Enforcement

California Environmental Protection Agency
I. Introduction
There is a vast body of law encompassing the area of environmental protection. Environmental
laws, both federal and state, provide for such diverse activities as environmental review;
protection of air and water resources; regulation of the exposure of workers to environmental
hazards; control of the storage of hazardous materials in underground tanks; control of the use,
marketing, and manufacture of pesticides; and the warning of the risks of exposure to hazardous
substances. In many cases, state environmental statutes implement federal requirements; others
go beyond federal requirements and stand as independent state law. Because of the
interrelationship between federal and California law, this section will provide a brief overview of
the federal environmental statutes.
II. The Federal Approach to Environmental Regulation
Federal environmental statutes and programs provide much of the framework used to develop,
interpret, and enforce state environmental protection laws. For this reason, it is important to
acquire a general understanding of federal environmental protection laws as they relate to state
law. With the exception of National Environmental Policy and Endangered Species Act,
California law preceded and was the basis for the development of federal environmental laws.
A. The Federal Environmental Protection Agency (U.S. EPA)

There are numerous agencies of the federal government such as the Department of
Transportation, Department of Agriculture, Food and Drug Administration, and the Occupational
Safety and Health Administration that have tangential authority over the environment. But
primary responsibility for the nation’s environment rests with the Environmental Protection
Agency (U.S. EPA).
The U.S. EPA is the only major federal regulatory agency that was created not by an act of
Congress, but rather by a Presidential Executive Order. (President Nixon’s Reorganization Plan
No. 3 of 1970, 5 U.S.C. App. at 1132-1137 (1982).) As such, the U.S. EPA is not an independent
regulatory agency, but is purely a creature of the Executive Branch.
The U.S. EPA is among the most highly decentralized agencies in the federal government,
operating through 10 regional offices. The regional office for the western states is in San
Francisco. Generally, U.S. EPA headquarters in Washington, D.C. sets policy and promulgates
rules, while the regional offices implement U.S. EPA’s programs.
The regional offices pass on to the states the policies and requirements that are issued in
Washington, D.C. The regional offices enter formal agreements with each state that include
criteria for enforcement and for other conditions of financial assistance. Each regional office has
a great deal of autonomy, especially in enforcement and permitting decisions. Where state
programs do not meet federal standards or where the states have chosen not to assume
responsibility, U.S. EPA regional offices may assume enforcement authority. Where states have
implemented their own programs (as in California), U.S. EPA enforcement activity (at least as to
administrative and civil enforcement) is fairly limited. US EPA has peace officer investigators in
the Criminal Investigation Division .EPA CID one of only three of the 63 federal agencies with
peace officers who have jurisdiction beyond their regulatory program and therefore can
investigate and arrest for any federal crime.
B. U.S. EPA’s Statutory Authority
U.S. EPA has direct responsibility under the following federal statutes:
 The Federal Insecticide, Fungicide and Rodenticide Act (FIFRA), 7 U.S.C. §§ 136-136y,
which regulates sale and use of pesticides.

 The Marine Protection, Research and Sanctuaries Act (MPSRA, the “ocean-dumping”
statute), 33 U.S.C. §§ 1401-1445.
 The Safe Drinking Water Act (SDWA), 42 U.S.C. §§ 300f-300j.
 The Resource Conservation and Recovery Act (RCRA), 42 U.S.C. §§ 6901-6991i, which
regulates hazardous waste from “cradle to grave.”
 The Clean Air Act (CAA), 42 U.S.C. §§ 7401-7671q, regulating all emissions into the
air.
 The Comprehensive Environmental Response, Compensation, and Liability Act

(CERCLA), 42 U.S.C. §§ 9601-9627, for cleanup of sites where hazardous materials were
located in the past.
 The Clean Water Act (CWA), 33 U.S.C. §§ 1251-1387, which requires permits for all
discharges into “the waters of the United States.”
 The Toxic Substances Control Act (TSCA), 15 U.S.C. §§ 2601-2682, involves hazard
assessment, labeling, and use restrictions relating to toxics.
U.S. EPA also has secondary responsibility under these statutes:
 The National Environmental Policy Act (NEPA), 42 U.S.C. §§ 4321-4370f. While NEPA
is administered by the Council on Environmental Quality, U.S. EPA reviews Environmental
Impact Statements (EISs) prepared by other federal agencies under NEPA.
 The Surface Mining Control and Reclamation Act (SMCRA), 30 U.S.C. §§ 1201-1328.
While SMRCA is administered principally by the Department of the Interior, U.S. EPA also has
some regulatory authority.
 Under the Atomic Energy Act, 42 U.S.C. §§ 2014-2114, U.S. EPA has some authority to
respond to radiation in the environment.

 The Uranium Mill Tailings Radiation Control Act, 42 U.S.C. §§ 7901-7942 and Exec.
Order reprinted in 42 U.S.C. § 5201 at 837-839 (1982).
 U.S. Department of Transportation Regulations.
Under the Hazardous Materials Transportation Act (HMTA) (49 U.S.C. sections 5101-5127), the
Department of Transportation (DOT) has broad discretion to promulgate regulations regarding
the packaging, labeling, and transportation of hazardous substances. (49 C.F.R. pts. 171-180.)
DOT has issued those regulations in an extensive Table of Hazardous Materials published in the
Code of Federal Regulations. (See 49 C.F.R. § 172.101.) The table identifies hazardous
substances subject to regulation by chemical name, states their classification, and outlines their
basic transportation requirements.
California statutes and regulations refer to the federal Table of Hazardous Materials in defining
hazardous materials under California law. For example, the Table is expressly referenced in the
California Highway Patrol regulations. (See Cal. Code Regs. tit. 13, § 1160.5.)
III. The Federal-State Relationship
While federal statutes have established national standards for the transportation, emission,
discharge, and the disposal of harmful substances, implementation and enforcement of many of
the large programs has been delegated by the U.S. EPA to the states. In turn, the states apply
national standards to sources within their borders through permit programs that control the
release of pollutants into the environment. Thus, while most implementation and enforcement
occurs at the state or local level, the U.S. EPA maintains an overarching role with respect to the
states by establishing federal standards and approving state programs.
In a few exceptions, states can set stricter standards than those required by federal law. Some of
the programs that have been delegated (this term is used in a general sense, some of the programs
use other terms) by the U.S. EPA to the states are the emissions standards for hazardous air
pollutants (HAPs), Prevention of Significant Deterioration (PSD) Permits under the CAA, the
Water Quality Standards and the National Pollution Discharge Elimination System (NPDES)
Programs under the CWA, the Hazardous Waste Program under RCRA, and the Drinking Water
and Underground Injection Control (UIC) Programs under the SDWA.

IV. California Environmental Laws
A. Introduction
The summary that follows in the remainder of this chapter briefly describes many of California’s
environmental laws, including those that are analogous to the federal statutes and those that are
unique to California.
B. The California Environmental Quality Act (CEQA)
The California Environmental Quality Act (CEQA) (Public Resources Code sections 21000 et
seq.) is the California analog to NEPA. CEQA requires government projects and government-
approved projects to be planned to avoid significant adverse environmental effects.
CEQA requires that prior to approval by a state or local agency of a project, an Environmental
Impact Report (EIR) must be prepared to identify the significant effects of a project on the
environment, the alternatives to the project, and to indicate the manner in which those significant
effects can be mitigated or avoided. (Pub. Res. Code § 21002.1.) If no significant environmental
effects are foreseen, a “negative declaration” (Neg Dec) briefly describing the proposed project
and the reasons why an EIR should not be required may be submitted.
1. Designation of a Lead Agency
If two or more agencies are involved in implementing or approving a proposed project, one will
be designated the “lead” agency. The lead agency will normally be the one with general
governmental powers, such as a city or county, rather than an agency with a single limited
purpose, such as an air-pollution-control district. The lead agency has the primary responsibility
for approving or carrying out a project, decides whether an EIR or Negative Declaration will be
necessary, and prepares the document. Other involved agencies are designated either
“responsible” or “trustee” agencies. These agencies consult with and provide input for the
decisions of the lead agency.
2. Public Notice

The CEQA statute and its implementing regulations, title 22 of the California Administrative
Code sections 15000 et seq., provide detailed procedures for the environmental review. The
procedures include notice to the public and an opportunity for public comment. The agency is
required to respond to all public comments and to implement all feasible mitigation measures.
But the agency retains discretion to approve a project despite adverse environmental impacts that
cannot be mitigated or avoided if the agency finds that there are overriding considerations
justifying the project.
3. Enforcement
CEQA is enforced by private litigation and by the Attorney General’s Office. There is no
specific statutory authority for enforcement by district attorneys. Legal challenges to projects
alleging violations of CEQA must show that either the agency failed to follow the required
procedures in its environmental review or that the project approval constituted an abuse of
discretion. In general, the courts require strict adherence to CEQA’s procedures but defer to the
agency’s balancing of the benefits of a project against any adverse environmental impacts
disclosed by the EIR.
C. Air Pollution
The California Air Resources Act, Health and Safety Code sections 39000 et seq., contains
provisions required by the federal Clean Air Act as well as additional provisions to improve and
protect the state’s air quality. The Act provides for the establishment and enforcement of air
quality standards and emission limitations. directs the State Air Resources Board (ARB) to
divide the state into air basins of similar meteorological and geographical characteristics and to
adopt ambient air-quality standards for each basin considering human health, aesthetic value,
interference with visibility, and economic effects. (Health & Safety Code § 39606.) Investigation
and regulation of sources and types of pollution occur at both the state and local levels.
1. Responsibility at the State Level
The State Air Resources Board (ARB) is responsible for developing the state implementation
plan required by the federal CAA. (Health & Safety Code § 39602.) It also has general oversight
powers to ensure pollution control by establishing state ambient air quality standards and by
setting emission standards for mobile sources (vehicles). While primary responsibility for the
regulation of stationary sources rests with the local air pollution control districts, the state ARB
monitors air quality, adopts test procedures, conducts research, and regulates sandblasting

material, various types of engines, motor vehicle emissions (including fuels), and emissions of
various consumer products such as paint and hairspray. The ARB also enforces air related
asbestos regulations in certain counties that do not have their programs.
2. Responsibility at the Local Level
Local Air Pollution Control Districts (APCDs) usually encompass a single county. But several
county districts have merged into regional districts. These consolidated districts now cover the
San Francisco Bay Area, the South Coast Air Basin, and the San Joaquin Valley. The APCDs
have primary responsibility for the implementation of basin-wide plans by regulating stationary
sources within their boundaries, such as industrial facilities and fixed equipment. Each APCD
has a permit system for new and existing stationary sources to insure that emissions sources do
not prevent the attainment or maintenance of air quality standards.
3. Enforcement
See Chapter XXI Air-Pollution Law for these particular enforcement provisions.
D. Water Pollution
The Porter-Cologne Water Quality Control Act, California Water Code sections 13300-13999
and Title 23 of the California Administrative Code, is analogous to the federal Clean Water Act
(CWA) in that it regulates discharges that may affect the quality of the state’s waters. The
California Act is broader in scope than the federal CWA, however, in that it includes
groundwater, while the CWA regulates only surface waters. The Porter-Cologne Act is
implemented by the State Water Resources Control Board and nine Regional Water Quality
Control Boards (RWQCBs) that are responsible for planning, permitting, and enforcement. The
State Board formulates state policies for water-quality control and implements the permit system
required by the CWA.
The State and Regional Water Boards have broad authority to take a variety of enforcement
actions under the Porter-Cologne Water Quality Control Act; the Toxic Pits Cleanup Act of
1984; Chapters 6.67, 6.7, and 6.75 of Division 20 of the Health and Safety Code regarding
underground and aboveground tanks; Health and Safety Code section 25356.1; and Chapter 6 of
Division 3 of the Harbors and Navigation Code.

Examples of enforcement actions include:
 violation of an effluent limit, receiving water limit, or discharge prohibition contained in

an order or Water Quality Control Plan (Basin Plan) adopted by the State Water Board or a
Regional Water Board;
 an unauthorized spill, leak, fill, or other discharge;
 failure to perform an action required by the State Water Board or a Regional Water
Board, such as submittal of a self-monitoring or technical report or completion of a cleanup task
by a specified deadline.
1. State Water Resources Control Board
The State Water Resources Control Board (SWRCB) is responsible for developing and
implementing a statewide water-quality policy. (Water Code §§ 13140-13142.) The SWRCB
also oversees the activities of the Regional Water Quality Control Boards. The SWRCB also
licenses operators of local wastewater treatment plants, has an Underground Storage Tank
Enforcement Unit, and has an Office of Statewide Enforcement.
2. Regional Water Quality Control Boards
Under the Porter-Cologne Act, the Regional Water Quality Control Boards have primary
responsibility for the day-to-day administration of the laws and regulations protecting
California’s surface and groundwaters. Each Regional Board must develop a regional water-
quality plan that establishes water-quality objectives for the region and provides a framework for
all administrative actions taken by the board. (Water Code § 13241.) Each Regional Board has a
person assigned as the Enforcement Manager who coordinates enforcement issues for that
Regional Board.
3. The Permit System
National Pollution Discharge Elimination System (NPDES) permits are issued by the State or
Regional Boards and are required for all point source pollution discharges into California’s
surface waters. Point source discharges are defined as planned nonagricultural waste discharges
from man made conveyance systems.

The permit system in California is essentially the same as the federal permit system under the
NPDES. Before proceeding with any waste discharge that could affect the quality of the
groundwater or surface waters of the state, the potential discharger must first report to and
receive a permit from the local Regional Water Quality Control Board. (Water Code §§ 13260;
13263; see also Cal. Code Regs. tit. 23, §§ 648 et seq.) As of 2000, California has approximately
2,250 active NPDES permits protecting the state’s water resources from industrial and municipal
waste discharges.
For discharges onto land that may affect water quality, Waste Discharge Requirements (WDRs)
are issued by the State and Regional Boards to regulate waste-disposal impoundments and land
disposal for liquid and solid wastes. The permitting system addresses many types of waste
discharges, including municipal, industrial, and commercial sources. As of 2000, California has
approximately 3,670 active WDRs protecting its groundwater resources.
4. Storm Water Program
Discharges of storm water associated with industrial activities require compliance with the
General Industrial Activities Storm Water Permit (part of the NPDES system). Requirements
include submission of a Notice of Intent for coverage under the general permit, a Storm Water
Pollution Prevention Plan (SWPPP), implementation of the SWPPP, and annual reports.
5. Hazardous-Waste Facilities
In addition to administering the state’s discharge permit system, the Regional Boards participate
in the administration of the hazardous-waste-facility permit system. The Regional Boards are
responsible for classifying all current and proposed hazardous-waste facilities within their
regions in accordance with the classification system adopted by the State Board. (Water Code §§
13225-13226.)
6. Administrative Enforcement
Regional Water Quality Control Boards have authority to inspect any facility discharging or
proposing to discharge pollutants into the state waters and to require the owners of those
facilities to prepare technical or monitoring program reports. (Water Code §§ 13267; 13383.) If
the Regional Board discovers any discharge or proposed discharge in violation of the water-
quality laws and regulations, it may, after notice and a hearing, issue an administrative cease-

and-desist order directing the offending party to comply with the applicable titles and
regulations. (Water Code § 13301.) Where appropriate, the Board may also issue a cleanup and
abatement order. The Regional Board may itself undertake cleanup, abatement, and remedial
work if it deems such work necessary to prevent substantial pollution, nuisance, or injury to the
waters of the state. (Water Code § 13304.) The Board is authorized to seek reimbursement of any
costs incurred in such work from the responsible parties through suit in state court. (Id.) If the
Regional Board establishes that a party has failed to file a discharge report before discharging a
pollutant, or has failed to abide by any requirements or orders issued by the Board, or has caused
a discharge creating a condition of pollution or nuisance, the Board is authorized to
administratively impose civil fines up to specified maximums. (Water Code §§ 13323 et seq.;
13350.) Alternatively, the Regional Boards may request the attorney general to seek injunctive
relief in state court. (Water Code §§ 13340; 13350.) District attorneys are limited to bringing
criminal actions or civil actions for unfair competition. (Bus. & Prof. Code §§ 17200 et seq.)
7. Criminal Enforcement
a. Water Code Section 13387 Cases
 Constitutional Challenges: People v. Appel (1996) 51 Cal.App.4th 495, 503-505: No ex

post facto defense allowed where defendant’s actions took place prior to EPA’s formal
determination of jurisdiction over the waters on defendant’s property because the statute
regarding jurisdiction existed prior to defendant’s actions. Challenge based on vagueness refuted
as defendant refused to cooperate with the federal and state agencies’ investigations, so he may
not later complain that he did not know that he was in violation.
 Intent: People v. Ramsey (2000) 79 Cal.App.4th 621, 632-633: Knowledge that a

material discharged into navigable waters is a “pollutant” is not an element of the offense set
forth in section 13387. Mistake or lack of knowledge that the material was a pollutant is not a
defense as discharging a pollutant into navigable waters is not a specific-intent crime.
 Defense of Necessity: People v. Buena Vista Mines, Inc. (1998) 60 Cal.App.4th 1198,
1202-1203: Requirements of necessity defense not present because the holding pond was
inadequately sized to hold the contaminated water, and defendant did not exhaust all reasonable
alternatives prior to pumping the contaminated water into the creek.

 Felony: People v. Buena Vista Mines, Inc. (1996) 48 Cal.App.4th 1030, 1033-1034:
Violation of section 13387(c) is a felony (statute wording was unclear). Note the statute was
amended in 2002 to clarify that imprisonment is “in the state prison.”
 Preemption: Appel, 51 Cal.App.4th at 505: The Federal Water Pollution Control Act
does not preempt state criminal conviction under this section for violations of the Federal Act.
 Relationship to Federal Law: Buena Vista Mines, Inc., 48 Cal.App.4th at 1034: As the
Porter-Cologne Water Quality Act refers to the Federal Water Pollution Control Act, federal
authority is used to interpret the Act.
8. Penalties
a. Criminal -- Misdemeanors
The following violations are misdemeanors, i.e., fine of up to $1,000 for each day of violation
and up to six months in jail unless otherwise stated.
CAVEAT: Water Code Section 13271(d) provides use immunity for notification in all other
criminal prosecutions. The State Board may grant use immunity to anyone who is subpoenaed to
testify at its hearings. (See Water Code Sections 1105-1106.)
 Water Code Section 13265(a): Discharge without report or requirements (prior notice is
required).
 Water Code Section 13265(b): Discharge of hazardous waste without report or
requirements. Note: This may also be chargeable under Health and Safety Code section 25189.5.
 Water Code Section 13525.5: Recycling without requirements in violation of Water
Code section 13524.
 Water Code Section 13526: Recycling without required permit.
The following reporting violations are misdemeanors, i.e., fine of up to $500 and up to six
months in jail, except as otherwise stated. (Water Code Sections 13260; 13267; 13522.5.)

 Water Code Section 13261(a): Failure to file report of waste discharge after demand.
 Water Code Section 13261(b): Failure to file or falsification of report of discharge of

hazardous waste (up to $1,000 fine per day).
 Water Code Section 13268(a): Failure to furnish or falsification of technical or

monitoring reports (up to $1,000 fine per day).
 Water Code Section 13268(b): Failure to furnish or falsification of technical or

monitoring reports of hazardous waste (up to $1,000 fine per day).
 Water Code Section 13271(c): Failure to report discharge of hazardous substances in

greater than reportable quantities (fine up to $20,000 and up to one year in jail).
 Water Code Section 13272(c): Failure to report discharges of oil ($500-5,000 fine per
violation and up to one year in jail).
 Water Code Section 13387(b): Falsification of reports of discharge to waters of U.S. or

violation of any other discharge, dredge, or fill material permit requirements. (See also Water
Code § 13261 -- false report.)
 Water Code Section 13522.6: Failure to file recycling report.
b. Criminal -- Felonies
 Water Code Section 13387: Violation of Clean Water Act program requirements
($5,000 to $25,000 fine for each day of violation and up to one year in jail; $5,000 to $50,000
fine for each day of intentional violation and up to three years in jail).
 Health and Safety Code Section 25284.4 (i): Perjury provision for fraud by
underground tank testers.
c. Civil

Up to $6,000 fine per day (unless otherwise stated). No district attorney authority, but a district
attorney can charge violation as an unfair business practice pursuant to Business and Professions
Code Section 17200 and other provisions such as the Fish and Game Code.
 Water Code Section 13265(b): Discharge of hazardous waste without report or

requirements (up to $5,000 fine per day).
 Water Code Section 13385: Violation of Clean Water Act requirements (up to
$25,000 fine [in lieu of Water Code section 13350]).
 Water Code Section 13350(a)(3): Unpermitted discharge of oil (up to $15,000 fine
for each day of violation).
 Water Code Section 13350(b): Unpermitted discharge of hazardous waste that

causes or threatens to cause pollution or nuisance--strict liability (up to $15,000 fine for each day
of violation).
 Water Code Section 13261(b): Failure to file or falsification of a report of

hazardous-waste discharge (up to $25,000 fine per day).
 Water Code Section 13268(b): Failure to furnish or falsification of report of

technical or monitoring programs relating to hazardous waste (up to $25,000 fine per day).
 Water Code Section 13350(a)(1): Violation of cease-and-desist order (up to $15,000

fine per day).
 Water Code Section 13350(a)(2): Discharges in violation of waste discharge

requirements, orders, or prohibitions that create condition of pollution or nuisance (up to $15,000
fine per day).
 Water Code Section 13385: Violation of orders implementing Clean Water Act (up
to $15,000 fine per day, up to $25,000 fine per day [in lieu of Water Code section 13350]).

d. Injunctions
No district attorney authority (but remember Business and Professions Code section 17200).
 Water Code Section 13262: Enjoin discharge pending compliance with Water Code
sections 13260 and 13264(a).
 Water Code Section 13386: Compel compliance with Clean Water Act requirements.
 Water Code Section 13525: Enjoin recycling in violation of Water Code section 13524.
 Water Code Section 13262: To compel report of waste discharge.
 Water Code Section 13522.7: To compel recycling report.
 Water Code Section 13304: Enjoin violations of cleanup and abatement order.
 Water Code Section 13331: Enjoin violation of cease-and-desist order.
 Water Code Section 13340: Compel abatement of pollution or nuisance in emergency.
e. Reimbursement
Water Code section 13304(c)--Reimbursement of costs under cleanup and abatement authority.
Also, section 13305(f) provides for reimbursement of costs under cleanup and abatement
authority for nonoperating business or industrial facilities.
E. Proposition 65

This initiative is codified at Health and Safety Code sections 25249.5 et seq. There are two
separate parts to the act: one deals with requirements for warning labels to the public, the other
with discharges to drinking water. The act prohibits businesses from knowingly discharging into
water listed carcinogens or mutagens (substances that cause genetic alteration) without first
giving a warning. The specific carcinogens and mutagens are listed in the California Code of
Regulations Title 22, section 12000. Provision is made for civil penalties of up to $2,500 per day
for each violation. There is a significant amount of case law regarding Proposition 65. It is
suggested that prosecutors contact the Attorney General’s Office or the state Office of
Environmental Health Hazard Assessment for more information. There is a provision for a
private cause of action, but notice is required to be given to the local district attorney and the
Attorney General. This is why your office may receive “Notices of Intent to Sue” under the
provisions of Proposition 65 from private counsel.
F. Local Agencies--The Unified Program
The Unified Hazardous Waste and Hazardous Materials Management Regulatory Program
(Unified Program) provides for local implementation of the following six regulatory programs:
 The Spill Prevention Control and Countermeasure Plan of the Aboveground Storage
Tank program (SPCC)
 The Hazardous Materials Release Response Plan and Inventory program (HMRRP)
(Business Plan)
 The California Accidental Release Prevention program (CalARP)
 The Uniform Fire Code Hazardous Materials Management Plan and Inventory Statement
(HMMP/HMIS)
 The Underground Storage Tank program (UST)
 The Hazardous Waste Generator and Onsite Hazardous Waste Treatment program
The local implementing agencies are known as CUPAs (certified unified program agencies) or
PAs (participating agencies).
G. Aboveground Storage Tanks
According to current laws, The Aboveground Storage Tank (AST) program, is to be

implemented by the SWRCB and the RWQCBs. The program’s requirements are found in

Chapter 6.67 of Division 20 of the Health and Safety Code. “In general, the [AST program]
requires owners or operators of aboveground petroleum storage tanks to file a storage statement,
pay a fee ... and implement measures to prevent spills.” The owner or operator of an
aboveground storage tank facility that has a petroleum storage capacity of more than 660 gallons
in a single tank, or a total storage capacity of more than 1,320 gallons in more than one tank, is
generally required by Health and Safety Code Section 25270.5 to prepare a Spill Prevention
Control and Countermeasure Plan (SPCC) plan. The specific requirements for a SPCC are laid
out in the Code of Federal Regulations Title 40, Section 112.7. However, funding and positions
for this program were cut in 2002. There may be legislation to transfer this program to the
CUPAs but as of this writing (2007) that has not yet occurred.
The Attorney General’s Office may bring civil actions against violators of Chapter 6.67
(including violators of SPCC requirements). It may seek to enjoin violators and may seek civil
penalties of up to $5,000 per day for a first offense, up to $10,000 per day for repeat violations.
(Health & Safety Code Section 25270.12.)
H. Hazardous Materials Inventory and Reporting Requirements--Health and

Safety Code Chapter 6.95
Experience has shown that prevention mechanisms are the most cost effective methods of
reducing hazardous material incidents. Implementation of state and federal hazardous material
planning laws and regulations can be effective in minimizing releases of hazardous materials.
Proper enforcement is critical to the implementation of the hazardous material regulatory
program and to ensure appropriate protection of public health and safety and the environment.
Chapter 6.95 of the Health and Safety Code contains significant planning requirements for
control of hazardous materials.
Every “person” who “handles” (defined terms) more than a specified quantity of hazardous
materials must prepare a business plan, which includes a chemical inventory (including a site
map), an emergency response plan and procedures, and information on the business’s hazardous
materials training plan for employees. The requirements for business plans are found in Health
and Safety Code Sections 25500 et seq. These regulations are found in Chapter 4 of Division 2 of
Title 19 of the California Code of Regulations.
Chapter 6.95 has several unique elements that include:

 The most comprehensive statutory definition of “hazardous materials”:
“Hazardous material” means any material that, because of its quantity, concentration, or physical
or chemical characteristics, poses a significant present or potential hazard to human health and
safety if released into the workplace or environment.
“Hazardous materials” include, but are not limited to, hazardous substances, hazardous waste,
and any material which a handler or the administering agency has a reasonable basis for
believing would be injurious to the health and safety of persons or harmful if released into the
workplace or the environment. (Health & Safety Code § 25501(o).)
 A definition of “business” that includes “an employer” and government. (Health & Safety
Code § 25501(d) and 25501.4.)
 A definition of “handler” to assist in defining the businesses covered. (Health & Safety
Code § 25501(n).)
 A comprehensive definition of “release.” (Health & Safety Code § 25501(s).)
 Definition of “threatened release”--important for emergency-notification prosecution.

(Health & Safety Code § 25501(v).) See the implementing regulations at California Code of
Regulations Title 19, section 2703, however, for further definitions that limit reporting
requirements to situations where the release or threatened release poses a hazard.
 Requirements to immediately report significant releases or potential releases of hazardous

materials to the State Office of Emergency Services and to the local CUPA.
1. Required Planning Elements
Each business that handles any one hazardous material in an amount that is equal to or greater
than 500 pounds, 55 gallons, or 200 cubic feet of gas must develop a business plan and submit it
to the local unified program agency. This plan must include an inventory of hazardous materials
and cover emergency response, preempt planning, training, and evacuation. (Health & Safety

Code § 25503.5.) Note: This plan may be the same document used to satisfy the contingency
plan requirement of the hazardous waste law. The Uniform Fire Code also requires a “plan.” The
business plans and inventories of hazardous materials are held by the administering agencies and
are available for review by the general public. (Health & Safety Code § 25503.)
Handlers of acutely hazardous materials (using U.S. EPA’s definition of extremely hazardous
substances found in 42 U.S.C. section 11002(a)(2)) may be required to develop Risk
Management and Prevention Programs (RMPPs) upon request from local CUPAs. These risk
prevention programs may be required following an evaluation of the potential hazard presented
by a specific facility to public health and safety or the environment. The quantities of extremely
hazardous materials, the methods and processes involved, and the results of a hazard analysis
will be used to determine the necessity for an RMPP. (Health & Safety Code §§ 25533-25534.)
See discussion below under California Accidental Release Prevention.
Trade secrets have minimal protection from emergency responders needing the data for
emergency response or medical personnel needing specific chemical data for specific medical
treatment of patients. (Health & Safety Code § 25511.)
2. Acutely Hazardous Materials
An owner or operator of a new or modified facility that will be used for the handling of acutely
hazardous materials must prepare an RMPP. (Health & Safety Code §§ 25531-25541.)
3. Reporting Requirements
Anyone required to file a plan is also required to report releases or threatened releases
of hazardous materials to the administering agency. (Health & Safety Code § 25507;
Cal. Code Regs. tit. 19, § 2703.)
4. Enforcement
a. Civil Liability

Businesses violating aspects of business plan development, review, or submission, or failing to
yield inspection authority, or failing to provide adequate and updated chemical inventory data are
civilly liable to the administering city or county for up to $2,000 per day of violation. Costs of
any necessary emergency response and the cost of cleanup and disposal may also be recovered.
(Health & Safety Code § 25514.) Following reasonable notice, a defendant that knowingly
violates the elements in Chapter 6.95 may be civilly liable for up to $5,000 per day of violation.
Civil actions may be brought by the district attorney, city attorney, or attorney general. (Health &
Safety Code § 25516.1.) Injunctions, restraining orders, and other appropriate orders shall be
issued without proof of irreparable damage or that the remedy at law is inadequate. (Health &
Safety Code § 25516.2.)
b. Criminal Liability
Failure to notify of a significant release of hazardous materials is a misdemeanor punishable by a

$25,000 fine for each day and one year in jail. (Health & Safety Code § 25515.) Second offenses
are wobblers. Full costs of the emergency response, cleanup, and disposal shall also be
recovered.
Knowing failure to file a business plan is a misdemeanor punishable by a $1,000 fine and one
year in jail. (Health & Safety Code § 25514.3.)
Interference with authorized representatives of an administering agency carries misdemeanor

liability. (Health & Safety Code § 25515.1.)
Health and Safety Code section 25515.2 deals with apportionment of criminal and civil penalties.
Prosecutors receive 50 percent of the penalties; $200 of every civil or criminal penalty must be
sent to a state training fund.
c. Rewards--Persons Providing Information
Health and Safety Code section 25517 allows for the payment of up to $5,000 for information
that materially contributes to the imposition of civil penalties or the conviction of a person or
business.
Pursuant to the Carpenter-Presley-Tanner Hazardous Substance Account Act (the State
Superfund), DTSC is responsible for formulating criteria for the selection and priority ranking of
hazardous-waste sites for remedial action. (Health & Safety Code § 25356.) For this purpose,

DTSC has adopted a modified version of U.S. EPA’s hazard ranking system. DTSC has prepared
a priority list of sites for cleanup that it updates monthly. In addition to this priority list, DTSC
prepares site-specific plans of expenditures for removal and remedial actions to be paid for from
the State Superfund. (Health & Safety Code § 25359.5.)
Whenever DTSC determines that a release of a hazardous waste has occurred or is about to
occur, it is authorized to investigate the nature of the release or potential release, to plan and
direct appropriate remedial action, and, if no other party has undertaken the appropriate remedial
action, to undertake that action itself. (Health & Safety Code § 25358.3(b).) It is also authorized
to require the property owner to secure the site. (Health & Safety Code § 25359.5.)
If DTSC determines that a site or release presents an imminent and substantial danger to the
public health or the environment, it may immediately order remedial action by the responsible
parties, request the attorney general to seek judicial relief, and/or take or contract for necessary
remedial actions. (Health & Safety Code §§ 25356.1(g); 25358.3(a).) The attorney general has
jurisdiction to recover all costs expended by the DTSC.
 Enforcement
If DTSC finds any violation of the HWCL or its rules or regulations, or if it finds that the owner
or operator of the facility has misrepresented or omitted any significant fact in its permit
application or in any other information submitted to the Department, it may suspend or revoke
the facility’s permit. (Health & Safety Code § 25186.)
Alternatively, if DTSC or the CUPA director finds a violation of HWCL or its regulations, he or
she may issue an administrative order against the owner or operator of the facility specifying a
schedule for compliance. (Health & Safety Code § 25187.) If corrective action is not taken or if
it is determined that immediate action is necessary to prevent an imminent and substantial danger
to the public health or environment, DTSC is authorized to take action itself. (Health & Safety
Code § 25187.5.)
If the director finds any violation of HWCL or its regulations, DTSC may request the local city
attorney, district attorney, or the attorney general to file suit for injunctive relief or civil
penalties. (Health & Safety Code §§ 25181-25182.) To the extent that criminal violations are
involved, the inherent prosecutorial authority of the district attorney allows for independent
criminal prosecution of any violations without regard to the above-listed requests from the
DTSC.
Legislation passed in 1990 creates dual criminal jurisdiction in both the district attorney and the
city attorney. (Health & Safety Code § 25191.2.) Coordination between district attorneys and
city attorneys is critical to avoid double-jeopardy problems.

Reference
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conference - Internet and multimedia systems and applications, Innsbruck, Austria.
Washington, DC: National Academy.
Stanovich, K. (1986). Matthew effects in reading: Some consequences of individual
differences in the acquisition of literacy. Reading Research Quarterly, XXI/4, pp. 360-398.
Thornton, P., & Houser, C. (2005). Using mobile phones in English Education in Japan.
Journal of Computer Assisted Learning, 21, 217- 228.
Tomei, M. (2005). Indigenous and Tribal Peoples: An Ethnic Audit of Selected Poverty
Reduction Strategy Papers, Geneva, International Labour Organization.
UNESCO-OREALC. (2004). Education for All in Latin America: A Goal within Our
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UNDP. (2004). Human Development Report 2004: Cultural Liberty in Today's World.
New York, UNDP.

THE IDEA OF RESTORATIVE JUSTICE
Gerry Johnstone14
In this lecture I will argue that, although it has led to ‘political success’, presenting
restorative justice as technique for preventing reoffending and generating victim satisfaction has
undermined the chances of the restorative justice movement achieving its more important and
interesting goals. I will show that restorative justice has the potential to disturb taken-for-granted
assumptions about crime and justice. What restorative justice has to say about the meaning of
crime and justice is of huge importance and interest, even though some of it is quite problematic.
However, what it has to say is likely to be unheard in public debate, which is revolving around a
very narrow understanding of restorative justice and an increasingly limited set of questions.
As groundwork for this argument, is it is necessary to provide a brief description of the most
common forms of restorative justice practice and an indication of their rationales.
Restorative Justice Practices and their Rationales
The three most common practices that have attracted the label ‘restorative justice’ are Victim-
Offender Mediation, Family Group Conferencing, and Circles.
Victim-Offender Mediation
The process of victim-offender mediation has been used in North America and Europe since the
1970s.15 It offers victims of crime an opportunity to meet in a safe setting with the person who
has harmed them. The meeting is organised and structured by one or two trained mediators.
Mediators allow and encourage victims to tell offenders about how the offence affected their
lives and to ask offenders questions which victims often have, such as why they were target of an
offence. Victims are also able to take part in developing a restitution or reparation plan, that is, a
plan of action which the offender should undertake to help repair the damage they have caused
and to reassure the victim that no further offences will be committed against them. Offenders are
given the opportunity to account for their behaviour, to tell their story and to contribute to the
construction of an action plan for repairing the harm they have caused.
According to its advocates, victim-offender mediation has numerous beneficial outcomes. In
particular, it helps victims recover from a traumatic experience. Victim recovery is fostered in a
number of ways.
14 th
Inaugural lecture, University of Hull, 11 October 2004.
15
For more detailed descriptions of these practices see Bazemore, G. And Umbreit, M., ‘A Comparison of Four
Restorative Conferencing Models’, pp. 225-43 in G. Johnstone (ed.) A Restorative Justice Reader: Texts, Sources,
Context (Cullompton, Devon: Willan Publishing, 2003).

 First, because victims directly participate in the decision about what will be done to
repair the harm resulting from the offence, there is a strong chance that the victim’s actual needs
for reparation will be met.
 Secondly, the very process of having a say in what happens about the offence promotes
victim recovery. The thinking behind this claim is that one of the reasons why being a crime
victim is so traumatic is that it robs them of their sense of autonomy and control over their own
lives; by being empowered in the process by which the offence is dealt with, victims can regain a
sense of autonomy and personal power.
 Third, meeting with the offender and being able to discuss the offence with them and
reach an agreement on what should be done about it brings a sense of closure to victims which
they do not obtain when their case is dealt with through more conventional criminal justice
procedures.
Advocates of this process argue that it also has benefits for offenders. It enables them to learn
about the real impact of their behaviour on fellow citizens, a learning process which can be
painful but is ultimately beneficial. Also, by giving offenders an opportunity to participate
actively in deciding what should be done to repair the harm they have caused, and to undertake
reparative acts voluntarily, the process enables offenders to redeem themselves. Additionally, it
enhances their chances of being accepted back into the community from which they have
become separated as a result of their criminal behaviour.
The process of victim-offender mediation can occur at any stage of a criminal justice process. It
is often triggered by cases being referred to it by agencies in the conventional criminal justice
process as part of some diversion scheme. For instance, the police might offer victims and
offenders the option of victim-offender mediation as an alternative to sending a person who has
admitted involvement in an offence to court. Alternatively, it can be integrated with conventional
forms of case ‘disposal’, e.g. a magistrate or judge might suggest that victim-offender mediation
occur as part of a probation order. Or, it can take place alongside and in addition to conventional
processes, e.g. offenders serving prison sentences might take part in victim-offender mediation
prior to being released.
Family Group Conferencing

A second form of restorative justice practice is family group conferencing. This was introduced
into the youth justice system in New Zealand in the 1980s as a form of pre-trial diversion from
the conventional criminal justice process. It is purportedly based upon the dispute resolution
traditions of the Maori. It was introduced, in a slightly different form, into the criminal justice
system in Australia in the early 1990s and from there spread to the United States, the United
Kingdom and elsewhere.

Conferencing is similar in many respects to victim offender mediation. In conferencing,
however the number of participants is extended to include family members or supporters of
victims, and family members and community contacts of offenders where they are interested in
supporting the offender’s reparative efforts. The term mediator tends to be replaced by
‘facilitator’. And, there is a greater emphasis in family group conferencing on construction of an
action plan which will help the offender – quite often a young offender – not only to repair the
damage caused by the crime but also change their way of life so that they have less chance of
reoffending.
In some places, family group conferencing is heavily influenced by John Braithwaite’s theory of
reintegrative shaming. Consequently, facilitators of family group conferences attempt to steer
the interaction between participants in such a way that strong disapproval of the offender’s
behaviour is expressed, but in a context of respect for the offender as a person and followed by
gestures of care and love for the offender. According to Braithwaite, who is amongst the most
theoretically sophisticated promoters of restorative justice, such a process works extremely well
as a form of social control. It puts crime off the ‘menu’ for most people, without subjecting them
to any of the harsh, exclusive, punitive measures we currently rely upon to deter would-be
offenders. Through this link with Braithwaite’s theory of reintegrative shaming, restorative
justice has also become associated with broader communitarian and republican theories of
justice.
Circles
A third form of restorative justice practice is the sentencing or peacemaking circle. Based upon
the traditional sanctioning and healing practices of aboriginal people in North America, they
were re-introduced in various aboriginal communities in the 1990s, usually at the sentencing
stage of the criminal justice process.
In circles, the number of participants tends to be much larger than in a family group
conference, as many community residents and justice and social service personnel also take part.
There is usually some way of ensuring that everybody who wishes to speak gets at least one
chance to do so. For example, participants sit in a circle and are encouraged to speak only when
they hold a ‘talking piece’, which is some object passed around the circle.

The process is often referred to as circle sentencing, since one of its functions is to enable the
community to recommend a sentence to the judge. However, circles have broader functions. For
instance, their role is often said to be that of teaching people – through respectful dialogue -
about the right way to behave, rather than punishing them for misbehaving. They are also
regarded as processes which promote healing, in the sense of reconnecting people with their
community and hence with their true selves. Accordingly, discussion tends to be about much
broader issues than what sentence the offender should receive. For instance, it often includes
discussion of matters such as: why people are engaging in the sort of behaviour (such as glue-
sniffing or sexual abuse) which the has led to the court case; what such behaviour is doing to the
community; and what the community can and should do to help solve these social problems. So,
as well as recommending a sentence, the circle will also come up with a broader plan of
community action to tackle some problem which is perceived as debilitating the community.
Circles, then, are often promoted, not simply as a better way of dealing with individual criminal
cases, but as a means of rebuilding a sense of community and using the community to resolve
conflicts and tackle underlying social problems. Hence, the notion of restorative justice becomes
linked with broader themes of community regeneration. The idea is that by tackling their own
problems, communities become stronger, and as they become stronger, their capacity to deal
with their own problems increases.
A related, but less well-known, form of restorative justice practice is the circle of support and
accountability. In these, community members form support groups around feared ex-prisoners, in
particular sex offenders. The circle both supports the ex-offender in their efforts to be law-
abiding and informally monitors their behaviour. The basic principle of this form of intervention
is that the ex-offenders should be allowed to live safely in the community, whilst the community
should also be allowed to live safely with the ex-offender in their midst.
Promoting ‘RJ’ in Public and Political Debate

As we have seen, the concept of restorative justice refers to a diverse range of practices, which
are underpinned by an even more diverse and complex blend of ideas, values, and theories.
However, when it comes to promoting restorative justice in public and political debate, there is a
tendency to present a rather simpler image of restorative justice and to sell it in terms of its
potential to achieve a small number of clear and measurable goals.
The simplification of restorative justice often begins, unconsciously, by replacing this
somewhat intriguing term with a compact acronym: restorative justice becomes RJ. RJ is often
presented as an intervention which brings victims and offenders together. This, it is pointed out,
enables victims to get answers to their questions and to tell offenders what the real impact of
their behaviour was. Hence, it is argued, offenders come to ‘really understand’ how their
behaviour has affected other people – people who are just like them. The process also gives
offenders the opportunity to make amends to their victims and to the wider community.

Such a process, it is claimed, achieves important goals. It is often a turning point for offenders
that puts them back on the straight and narrow.16 It also increases victim satisfaction with the
criminal justice service.
An important feature of such claims is that they can, in principle, be tested through empirical
research. Although the methodological problems involved in doing so are immense, with
sufficient research and methodological sophistication it should be possible to establish whether
restorative interventions do in fact outperform more conventional criminal justice interventions
in preventing reoffending and producing victim satisfaction.
Accordingly, RJ proponents have not only welcomed, but positively encouraged scientific
evaluations of the process, in order to determine whether it works, and if it does under what
conditions and in what types of case it works best. Of course, in reality, evaluating RJ is not so
straightforward. The results of any particular evaluation are always going to be provisional and
capable of being interpreted and explained in a number of ways. Hence, scientific evaluations
never definitively prove the case for or against RJ. However, they do provide enough evidence
for proponents to be able to claim that the results look promising. Hence, RJ proponents tend to
argue that there is scientific support for the claim that restorative justice seems to have lots of
beneficial effects and seldom performs worse than more conventional criminal justice
interventions.
But, of course, in the managerial politics of today, simple assertions will never do. Policy must
be evidence-based. Services which require public funding must be able to demonstrate that they
achieve clearly defined and measurable goals and that they represent value for money.
Proponents of restorative justice have been keenly aware of this and hence have succeeded, in a
very short period, in transforming a few scattered experimental projects into something which
governments are willing to invest in and consider seriously as a mainstream response to crime.
What it means to be a victim of crime
We have already seen that restorative justice challenges our assumptions about who or what is
the victim of crime. In conventional criminal justice the victim is an abstract entity: society, or
the state, or the people or the crown. Hence, criminal law books often state that one of the key
distinctive features of criminal law, compared with private or civil law, is that it redresses
wrongs committed against society, whereas private law redresses wrongs committed against
individuals. Restorative justice puts this platitude in question. It draws attention to the fact that
the victim of crime is the person – or persons - directly harmed by the offence, with members of
that person’s community being secondary victims. Whilst restorative justice proponents
acknowledge that the public at large does suffer as a result of crime, their practices draw
attention to the importance of the private wrongs of crime.
16
See Home Office, Restorative Justice: The Government’s Strategy, p. 4.

However, the practices of restorative justice also disturb our understanding of what it is
to be a victim of crime in deeper ways. Whilst we readily acknowledge that crime causes harm
and suffering to real people, we tend to have a very physical or material perception of the harm
that crime causes. What we see are people losing property, being injured or maimed, or even
killed as a result of crime.
Restorative justice practices, in encouraging victims to define the wrong that has been committed
against them in their own terms, and to talk about it in depth, often reveal aspects of
victimization which are hidden when victimization is handled through our conventional legal
processes. What often comes to light is that being a crime victim is deeply traumatic, less
because of the physical or material damage that is experienced, more because of the disturbance
it causes to our sense of order and meaning. As Howard Zehr puts it:
Crime is devastating because it upsets two fundamental assumptions on which we base our lives:
our belief that the world is an orderly, meaningful place, and our belief in personal autonomy.
Both assumptions are essential for wholeness.17
Of course, we need not accept the restorative view of victimhood as correct or progressive. In
other work which I am undertaking, I am looking at it quite critically. My point here is simply
that the practices of restorative justice do seem to reveal aspects of the victim experience which
challenge notions that we might have about what it means to be a crime victim, and these
challenges are of considerable interest.
What it means to do justice

We are accustomed to thinking that to achieve justice in the aftermath of a crime the perpetrators
must be subjected to adequate punishment. Of course, there are huge disputes over what
constitutes adequate punishment in general, or in any particular case. But these disputes take
place amongst those who assume that punishment of the offender is necessary and perhaps
sufficient to achieve justice in the aftermath of a crime.
The practices of restorative justice put this assumption in question. On the one hand, they seem
to imply that justice can often be achieved without punishment. Justice can be restored by
perpetrators of harm repairing the material and relational harm caused by their behaviour. On the
other hand, and this is very important, these practices seem to imply that punishment of
offenders can never be sufficient to deliver justice. Even if the perpetrator of a crime is subjected
to a penal sanction which everyone agree is perfectly adequate, most of the damage caused by
the crime will remain un-repaired. Hence, the restorative justice position seems to be that even if
we think we must subject an offender to some punishment, we should also persuade them to put
things right by making reparation to those they have harmed. Until right-relation has been
restored, through some reparative act, justice has not transpired.
17
Zehr, Changing Lenses, p. 24.

Another difference, which has been less noticed, is that restorative justice practices raise
questions about our assumption that justice exists as an external and objective state of affairs. To
get this complex point across in a few seconds, we might suppose that a decision is reached in a
case which neither the offender or the victim think is just. Perhaps the offender feels they have
been treated too harshly and the victim feels the offender has been treated too leniently. We
would not regard this as a problem if the decision stands up to some external and objective
standard (e.g. if the punishment was in line with some widely accepted notion of proportionality
between crime and punishment). In restorative justice, on the other hand, such an outcome would
be problematic since . neither the offender nor the victim had experienced justice. This suggests
that, in restorative justice, justice is conceived as something internal and subjective. The goal of
restorative practices are not so much to ensure that some objectively just outcome is reached,
more to bring about a subjective experience of justice amongst people who have experienced an
injustice.
Whose obligation is it to deliver justice?
We tend to assume that when a crime occurs it is the state’s duty to deliver justice. We would
certainly regard the state as failing to meet its responsibilities if it systematically failed to
dispense justice in the aftermath of a crime. And, it would seldom occur to us to hold others
responsible if a crime is not followed by the administration of justice.
The practice of restorative justice disturbs such assumptions in subtle yet fundamental ways. To
see how this is so, we need to think of what type of justice the state is able to dispense. State’s
seem reasonably well equipped to dispense retributive or punitive justice, since such justice
conceivably can emerge from the use of coercive force upon a passive or restrained subject – and
the state has the power to use such force. However, restorative justice cannot emerge from the
use of coercive force upon a passive or restrained subject. People can only experience restorative
justice if those caught up in conflict themselves decide to take part in a restorative process. If the
parties themselves do not actively cooperate, restorative justice cannot be brought about.
If this is the case, the state cannot have a duty to deliver restorative justice; it does not make
sense to charge an entity with a duty which it does not have the capacity to carry out. Perhaps the
most that the state can be charged with is the duty to facilitate and support people and
communities in their efforts to create restorative justice. To the extent that anybody has an
obligation to ensure that restorative justice occurs, the obligation seems to belong to people who
are locked in conflict – the victim and the offender – and perhaps to members of their
communities who can help bring the victim and offender together in order to resolve their
conflict. So, if restorative justice became the routine response to crime, this would bring with is
an important shift in our assumptions both about the role of the state and about where the
obligation to do justice lies.

Conclusion
To conclude, I have tried to show that what makes restorative justice interesting and important is
its potential to disturb deeply ingrained patterns of thinking about crime and justice.18 In
Changing Lenses, Howard Zehr drew upon paradigm theory to suggest that restorative justice
might be seen as a completely different way of constructing reality.19 The difference between
our current image of crime and justice and that implicit in the practice of restorative justice was
presented as akin to the difference between a Newtonian and an Einsteinian understanding of the
world, or to a scientists’ and an artist’s representation of reality. Perhaps this was overstating
things. However, it strikes me as preferable to think of restorative justice in these terms than to
regard it as a mere technique which might of use to us in our fight against crime. To understand
restorative justice in such limited terms is to fail to recognize or respond to the important
challenge which it presents to us – a challenge to our images of crime and justice and indeed to
our image of ourselves.
Reference
Bazemore, G. And Umbreit, M., ‘A Comparison of Four Restorative Conferencing Models’, pp. 225-43 in G.
Johnstone (ed.) A Restorative Justice Reader: Texts, Sources, Context (Cullompton, Devon: Willan Publishing, 2003).
Home Office, Restorative Justice: The Government’s Strategy, p. 4.
Zehr, Changing Lenses, p. 24.
Dennis Sullivan and Larry Tifft, Restorative Justice: Healing the Foundations of Our Everyday Lives (Monsey, NY:
Willow Tree Press, 2001).
D. Van Ness and K. Strong, Restoring Justice (2nd edn.) (Cincinnati, OH, Anderson Publishing, 2002), ch. 2.
Zehr, Changing Lenses, ch. 6; cf. R. Ross, Returning to the Teachings: Exploring Aboriginal Justice (Toronto:
Penguin, 1996).
18 nd
See also D. Van Ness and K. Strong, Restoring Justice (2 edn.) (Cincinnati, OH, Anderson Publishing, 2002), ch. 2.
19
Zehr, Changing Lenses, ch. 6; cf. R. Ross, Returning to the Teachings: Exploring Aboriginal Justice (Toronto:
Penguin, 1996).

INTRODUCTION TO TAX POLICY DESIGN AND DEVELOPMENT
Richard M. Bird
Eric M. Zolt
I. Introduction
Taxes matter. People talk about them, complain about them, and try to dodge them when
they can. Businesses also react to taxes, both in how they organize their activities and, perhaps,
in where they carry them out. How people and businesses react in turn affects the level and
structure of taxation. The question we consider in this introductory module is how developing
countries may best design and develop tax policies to achieve whatever their policy objectives
might be, given the complex economic and political environments they face.
As the title of this course suggests, its focus is primarily on “practical” issues of tax policy in
developing countries. As John Maynard Keynes (1936, pp. 383-84) famously said, however,
“practical men, who believe themselves to be quite free from any intellectual influences, are
usually the slaves of some defunct economist…..soon or late, it is ideas, not vested interests,
which are dangerous for good or evil.” Practical tax policy is certainly not immune to the
influence of either ideas or vested interests. Several recent studies demonstrate the influence of
both these factors, as well as the specific political institutions that in turn reflect these factors, in
shaping tax policy in countries such as the United States and Sweden (e.g, Steinmo, 1993).
Developing countries are no different: ideas, interests, and institutions play a central role in
shaping tax policy. To set the stage for subsequent modules of this course, which address many
important, but narrower, aspects of tax policy, this introductory module therefore considers in
rather broad terms both some important theoretical and philosophical developments related to tax
policy and also some equally important ways in which circumstances in different developing
countries may call for different tax policy designs.
We proceed as follows. In Part II, we provide a short overview of what tax systems look like
around the world. There are some important similarities in the level and structure of taxation in
different countries, but also some differences reflecting both regional and economic factors, such

as the level of per capita income. Although there continues to be wide variations in the tax
structures among countries, countries, regardless of their income level, have generally adopted
taxes that are similar in character, such as personal and corporate income taxes, value-added
taxes, and excises taxes. We conclude this discussion by raising a question (to which we return at
the end of the module) about the implications of the phenomenon of “globalization” for tax
policy in developing countries: does still more harmonization, at least in the formal structure of
tax systems, lie in the future?
Against this background, we then discuss in Part III the principal policy objectives that different
countries may attempt to achieve through budgetary and especially tax policy -- such as the need
to raise revenue (usually for more than one level of government); the desire to raise such revenue
equitably or fairly; the desirability of minimizing the costs of raising taxes; the desire to
encourage economic growth and such related questions as the desire to encourage (or
discourage) particular types of activity or to help (or penalize) particular groups or regions; and
the wish to encourage and facilitate honest and responsive government.
Finally, in Part IV, we sketch briefly the broad political economy context within which tax
policy design and development issues must be considered by practical reformers. We do not
provide definitive answers to most of the questions raised in this introduction, many of which are
considered in more depth in later modules, and some of which cannot be definitively answered.
Our aim is rather simply to set out some of the basic issues facing tax policy designers in
developing countries and to suggest at least some of the key elements that must be considered in
designing the best feasible tax structure for a particular country at a particular time.
II. An Overview of the World of Taxes
No single tax structure can possibly meet the requirements of every country. The best
system for any country should be determined taking into account its economic structure, its
capacity to administer taxes, its public service needs, and many other factors. Nonetheless, one
way to get an idea of what matters in tax policy is to look at what taxes exist around the world.
The level and structure of taxes, and the way in which taxing patterns have changed in recent
years are reviewed here on the basis of data collected for some recent years for 168 countries,
representing every region of the world.
1. Tax levels

On average, the tax ratio -- taxes as a share of GDP -- was a bit less than one-fifth of GDP (18.8
percent) for the 168 countries in the sample.20 This is a simple average, treating each country as
a single observation, so that a small island such as St. Lucia receives the same weight as the
United States or China. In fact, tax ratios in the sample range from well under 10 percent in a
few countries, most of which are small and all of which are low income -- for example,
Myanmar, Chad, Guatemala, and Central African Republic -- to well over 40 percent in a few
high-income countries in western Europe such as France and Sweden. Surprisingly, however,
some lower-income countries, particularly transitional countries, also had high ratios, such as
Belarus, Ukraine, Algeria, and Sudan. Similarly, some higher-income countries, such as the
United States, had considerably lower tax ratios than others, with Hong Kong being the extreme
case in this respect.
Both opportunity and choice appear to affect tax levels. Countries with access to rich natural
resource revenues, such as Venezuela and Azerbaijan, tend to have higher tax ratios than
otherwise comparable countries, though such revenues may also be highly volatile, reflecting
commodity price changes. Tax ratios in higher income countries appear to reflect more choice
than chance. Some, such as Sweden and the Netherlands, have large and centralized governments
and others, such as the United States and Switzerland, have smaller and more decentralized
governments.
Broadly, however, tax ratios do vary by income levels. The countries in the sample for which
GDP data were available were divided into three groups based on per capita GDP. Eighty-nine
countries in which per capita GDP was less than USD1,000 in 1999 were classified as low-
income, 51 countries where per capita GDP was between USD1,000 and USD17,000 were
classified as medium-income, and the 24 countries with per capita GDP greater than USD17,000
were classified as high-income. As earlier studies (Tanzi, 1987) have shown, in general, taxes
tend to rise as per capita incomes rise. The tax ratio rises from about 17 percent in the low-
income group, to 22 percent in the medium-income group, and 27 percent in the high-income
group.
Several factors could explain this relationship. The demand for public services may rise faster
than income (the income elasticity for services is greater than one), particularly in lower-income
countries. For instance, urbanization tends to rise with income, and the demand for public
services is generally higher in urban areas. At the same time, however, it is usually easier to
collect taxes in urbanized areas. More generally, the capacity of countries to collect taxes appears
to rise as income levels increase.
More detailed analysis confirms the broad conclusion that, on average, tax ratios rise with per
capita income levels; however, the relationship between rising income levels and higher taxes is
20
If social insurance contributions are included, the average tax ratio rises to 21.7 percent. We shall not discuss
social insurance payments, however, in part because it is not always clear whether they are included in the tax
data for some countries.

significant only for the poorer countries.21 As incomes rise in poor countries, the size of the
public sector almost invariably becomes relatively larger. After some point, however, this
“income determinism” of the tax level declines and the relationship between income and tax
levels largely disappears. As already mentioned, the rich countries have more choices, and some
rich countries have chosen to levy much lower taxes than others. Perhaps the most important
conclusion that can be derived from these data, however, is that there is, at best, a weak
relationship between economic development and the level of taxation. Even the poorest
countries, while obviously more constrained than rich countries, appear to have considerable
discretion as to how much they raise in taxation.
2. Tax structure
The manner in which countries raise taxes differs as widely as do the amounts they raise.
The pattern of taxes found in any country depends upon many factors such as its economic
structure, its history, and the tax structures found in neighboring countries. Choice also plays a
part, as different countries may also attach different importance to such commonly accepted
characteristics of a good tax system as fairness, economic effects and collection costs.
Nonetheless, it is again useful to consider briefly average patterns as one approach to tax policy
in any one country.
For the sample as a whole, consumption taxes accounted for almost 40 percent of the total,
and income taxes (including special taxes levied on extractive industries) were almost equally
important. Within the consumption tax category, value-added taxes (VATs) account for about 40
percent of the total, with excises being almost equally important. Personal income taxes are a bit
more important than corporate taxes (including the extraction taxes) within the income tax
category. Most of the remaining tax revenues come from taxes on imports and exports.
A country’s revenue structure appears to depend to some extent upon its location and
economic structure. In small island countries such as Barbados, for instance, international trade
taxes may play an unusually important role. More generally, and not surprisingly, trade taxes
tend on the whole to be more important in the lower-income group, where they account for 24
percent of tax revenues, compared to only 1 percent in the higher-income group. Trade taxes
(mainly customs duties) appear to decline steadily as countries become more developed.22 An
interesting exception are the transitional countries which -- although many of them fall within the
21
A simple regression of per capita taxes on per capita GDP has an elasticity of only 0.61, indicating that taxes grow
more slowly than income, but a more appropriate quadratic regression on income shows that taxes tend to rise
with income, but more slowly as income rises. Indeed, after per capita income reaches about USD35,000, the tax
ratio actually declines. Linear regressions estimated separately for each income group yielded a significant
coefficient on per capita GDP only for the low-income countries.
22
The coefficient in a regression of per capita GDP on international trade taxes as a share of GDP is negative and
statistically significant.

low-income group as defined here -- have traditionally relied little on trade taxes (Martinez-
Vazquez and McNab, 2000). In general, however, trade taxes clearly decline in importance as
income rises.
The higher the level of per capita income, the more a country relies on direct taxes,
especially those on personal income. Similarly, although they rise more slowly, consumption
taxes too become relatively more important in more developed countries.23 These differences in
tax structure appear to reflect certain basic differences between low and high-income countries.
Low-income countries tend to raise more revenues at the border, where relatively few collection
points need to be controlled. For the same reason, they are more likely to rely more heavily on
excise taxes on tobacco, alcohol and so on. In contrast, direct taxes (and VAT) tend to require
both a more effective tax administration and taxpayers who are more sophisticated, conditions
more likely to exist in developed countries.
3. Recent trends
Over the short time period covered in the data (only five or six years for most countries in
the sample), tax burdens have increased only slightly on average, from 18.0 to 18.8 percent of
GDP. Indeed, taxes actually went down a bit in Asia in this period. Taking a longer perspective,
Tanzi (1987) reported for the late 1970s an average tax ratio of 17.8 percent of GDP for the 86
developing countries in his sample. The comparable ratio for the 75 countries for which
overlapping data are available was 18.6 percent, again suggesting a slight increase over time in
tax ratios.
One way to summarize revenue growth over time is in terms of “tax buoyancy,” that is, the
percent change in tax revenue divided by the percent change in GDP.24 Since, as noted above,
on average revenues have grown more quickly than GDP, the overall average buoyancy was
1.04. Moreover, buoyancies were roughly the same in all three income categories, although they
tended to be lower in Africa, and especially Asia, than elsewhere.
The relative importance of different taxes has changed in recent years. The most striking
feature has been the increase in the share of revenues generated by consumption taxes. One
reason has been the continued move to the adoption of broad-based VATs, which rose from 34 to
40 percent of all consumption taxes even in the short period considered in our sample. About 70
percent of the world’s population lives in the 123 or more countries that now levy a VAT (Ebrill
et al., 2001). On the other hand, there has also been some increase in the share of revenues raised
from direct taxes, especially personal income taxes. In contrast, although the change is small,
corporate taxes are relatively less important. Taxes on international trade have dropped
dramatically, decreasing by 4.3 percent of total collections in this short period -- a decline
approximately offset by the 4.1 percent rise in consumption taxes. The use of trade taxes has
23
The income elasticity of direct taxes is 0.80, for consumption taxes 0.61, and for trade taxes 0.09.
24
On the relation between “buoyancy” and “elasticity”, see the discussion at note 8 below.

dropped even more over the longer term. In 1981, for example, trade taxes accounted for 30.6
percent of developing country revenues (Tanzi, 1987), compared to only 24.3 percent for the
same countries in 1998.
4. Conclusion
This course focuses on developing countries, covering a wide variety of countries, with
very different tax levels and structures. Some countries may lack effective governance structures.
Such countries need to develop and implement effective and efficient tax systems if they are to
be able to provide for the needs of their people and to participate effectively in the world
economy. Another group of countries may have made substantial progress in meeting
development goals. There countries may still face significant problems in tax policy due to
globalization and other factors. Although even the less-developed countries may face fiscal
challenges due to heavy dependence on trade taxes, those countries with a developing economy
must also cope with potentially troublesome and important problems in the income tax area.
While globalization and other factors may lead to further convergence of tax systems, the
evidence to date suggests that the size and structure of taxation in most countries will continue to
be dominated largely by domestic rather than global factors.
References
Alm, James and Hugo López-Castaño, 2002. “Payroll Taxes in Colombia.” Report prepared for Misión de Finanzas
Públicas, Bogotá, Colombia, December.
Bernheim, Douglas B., 2002. “Taxation and Saving,” in Alan J. Auerbach and Martin Feldstein, eds., Handbook of
Public Economics, vol. 3 (Amsterdam: North-Holland).
Bird, Richard M. and Barbara D. Miller, 1989. “The Incidence of Indirect Taxation on Low-income Households in
Jamaica,” Economic Development and Cultural Change, 37 (January): 393-409.
Bird, Richard M. and Michael Smart, 2002. “Intergovernmental Fiscal Transfers: Lessons from International
Experience,” World Development,
Chattopadhyay, Sumen and Arindam Das Gupta, 2002. “The Compliance Cost of the Personal Income Tax and its
Determinants,” National Institute of Public Finance and Policy, New Delhi.
Chu, Ke-young, Hamid Davoodi, and Sanjeev Gupta, 2000. “Income Distribution and Tax and Government Spending
Policies in Developing Countries,” IMF Working Paper 00/62.
Easterly, William, 2002. The Elusive Quest for Growth (Cambridge, Massachusetts: MIT Press).
Ebrill, Liam et al., 2001. The Modern VAT (Washington: International Monetary Fund).

Hughes, Gordon, 1987. “The Incidence of Fuel Taxes: A Comparative Study of Three Countries,” in David Newbery
and Nicolas Stern, eds., The Theory of Taxation for Developing Countries (Published for the World Bank by Oxford
University Press).
Keynes, J.M., 1936. The General Theory of Employment, Interest, and Money (London: Macmillan).
Litvak, Jennie, Junaid Ahmad, and Richard M. Bird, 1998. Rethinking Decentralization (Washington: World Bank).
Lledo, Victor, Aaron Schneider, and Mick Moore, 2003. “Pro-poor Tax Reform in Latin America: A Critical Survey
and Policy Recommendations,” Institute of Development Studies, University of Sussex, March.
Mann, Arthur J., 2002. “Estimating the Administrative Costs of Taxation: A Methodology with Application to the
Case of Guatemala,” DevTech Systems, Arlington, VA, August.
Martinez-Vazquez, Jorge and Robert M. McNab, 2000. “The Tax Reform Experiment in Transitional Countries,”
National Tax Journal, 53: 273-98.
Sanford, Cedric, ed. 1995. Tax Compliance Costs: Measurement and Policy (Bath, UK: Fiscal Publications).
Shah, Anwar, ed.,1995. Fiscal Incentives for Investment and Innovation (Published for the World Bank by Oxford
University Press).
Shah, Anwar and John Whalley, 1990. “Tax Incidence Analysis of Developing Countries: An Alternative View,”
World Bank Economic Review, 5: 533-52.
Slemrod, Joel and Jon Bakija, 1996. Taxing Ourselves: A Citizen’s Guide to the Great Debate Over Tax Reform
(Cambridge, Massachusetts: MIT Press).
Steinmo, Sven, 1993. Taxation and Democracy: Swedish, British, and American Approaches to Financing the
Modern State (New Haven: Yale University Press).
Tanzi, Vito, 1987. “Quantitative Characteristics of the Tax Systems of Developing Countries,” in David Newbery and
Nicolas Stern, eds., The Theory of Taxation for Developing Countries (Published for the World Bank by Oxford
University Press).

INTELLECTUAL PROPERTY RIGHTS AND ECONOMIC
DEVELOPMENT
Keith E. Maskus
Professor of Economics
University of Colorado, Boulder
ABSTRACT:
This paper provides an analytical overview of how economic development may be promoted or
hindered by an effective system of intellectual property rights (IPRS). IPRS can play a positive
role in encouraging new business development, rationalization of inefficient industry, and
inducing technology acquisition and creation. They may harm development prospects by raising
the costs of imitation and permitting monopolistic behavior by owners of IPRS. The potential
gains and losses depend on the competitive structure of markets and the efficiency of related
business regulation, including aspects of competition policy and technology development policy.
The paper reviews available empirical evidence on these issues. The evidence supports the view
that product innovation is sensitive to IPRS in developing countries, while FDI and technology
transfer go up when patent rights are strengthened. Overall, there is a positive impact on growth,
but this impact depends on the competitive nature of the economy. The paper concludes by
putting forward suggestions for integrated policy reforms.
1. Introduction
The question of how intellectual property rights (IPRS) affect the processes of economic
development and growth is complex and based on multiple variables. The effectiveness of IPRS
in this regard depends considerably on particular circumstances in each country. While
economists are devoting more attention to this issue, evidence to date is fragmented and
somewhat contradictory, in part because many of the concepts involved are not readily
measured. As I discuss below, stronger systems for protecting intellectual property could either
enhance or limit economic growth, in theory. Nevertheless, evidence is emerging that stronger
and more certain IPRS could well increase economic growth and foster beneficial technical

change, thereby improving development prospects, if they are structured in a manner that
promotes effective and dynamic competition.25
As the global protection regime strengthens due to implementation of the Agreement on
Trade-Related Aspects of Intellectual Property Rights (TRIPS), concluded under auspices of the
World Trade Organization, numerous questions arise about impacts on prospects for economic
growth. For many reasons, it is impossible to claim confidently that the new regime will raise
growth and improve economic development processes. Two such reasons are paramount. First,
many other variables affect growth in ways that could dominate the impacts of IPRS. Such
elements include macroeconomic stability, market openness, policies for improving the
economy’s technological infrastructure, and the acquisition of human capital. Second, economic
theory points out that IPRS could have many effects on growth, some positive and some
negative. Further, the significance of these effects would be dependent on circumstances in each
country. However, in a broad setting of appropriate complementary policies and transparent
regulation, IPRS could play an important and positive role in promoting economic growth.
Indeed, the system of IPRS itself may be structured in particular ways to favor dynamic
competition within a system of rights and obligations.
With this background, the paper addresses two broad issues. In Section Two I discuss
theory and evidence regarding how IPRS may improve or retard economic development. The
primary finding is that development is a complex process and that IPRS could have a range of
impacts. The policy approach most conducive to expanding development is to implement an
integrated system of both IPRS and corollary policies that strike a balance of incentives in favor
of rigorous but fair dynamic competition. Thus, in Section Three I overview these broader policy
initiatives, suggesting methods by which developing countries might wish to complement their
emerging IPRS regimes. Section Four provides concluding remarks.
2. Intellectual Property Rights and Economic Development
Before considering how IPRS influence economic activity and growth, consider their
intended roles in the economy. Economic analysis of IPRS is utilitarian, asking whether the
benefits of any system outweigh its costs, both in static and dynamic terms. The anticipated
benefits and costs depend on characteristics of markets, products, and social institutions. Thus, a
“one size fits all” approach to harmonizing international IPRS makes little economic sense.
2a. The Purposes and Mechanisms of Intellectual Property Rights
25
For reviews see Evenson and Westphal (1995), Maskus (1998b), and Primo Braga, et al (1998).

There are two central economic objectives of any system of intellectual property
protection. The first is to promote investments in knowledge creation and business innovation by
establishing exclusive rights to use and sell newly developed technologies, goods, and services.
Absent such rights, economically valuable information could be appropriated without
compensation by competitive rivals. Firms would be less willing to incur the costs of investing in
research and commercialization activities. In economic terms, weak IPRS create a negative
dynamic externality. They fail to overcome the problems of uncertainty in R&D and risks in
competitive appropriation that are inherent in private markets for information.
The second goal is to promote widespread dissemination of new knowledge by encouraging

(or requiring) rights holders to place their inventions and ideas on the market. Information is a
form of public good in that it is inherently non-rival and, moreover, developers may find it
difficult to exclude others from using it. In economic terms it is socially efficient to provide wide
access to new technologies and products, once they are developed, at marginal production costs.
Such costs could be quite low for they may entail simply copying a blueprint or making another
copy of a compact disk or video.
There is a fundamental tradeoff between these objectives. An overly protective system of

IPRS could limit the social gains from invention by reducing incentives to disseminate its fruits.
However, an excessively weak system could reduce innovation by failing to provide an adequate
return on investment. Thus, a policy balance needs to be found that is appropriate to market
conditions and conducive to growth.
Different forms of IPRS operate in distinct fashions and it is misleading to group them
together. Therefore, it is helpful to mention briefly what the various mechanisms are. First,
patents provide the right to prevent for 20 years the unauthorized making, selling, importing, or
using of a product or technology that is recognized in the patent claim and that must demonstrate
novelty and industrial utility. Related devices are utility models, or petty patents, which provide
exclusive rights for a shorter period for incremental inventions, and industrial designs. In most
countries patent applications are made public after a prescribed time period. Thus, patents
establish a protected market advantage in return for revealing technical knowledge. Several
aspects of patent scope affect the effective strength of protection. A similar type of industrial
property is plant breeders’ rights, which have fixed terms, novelty requirements, and disclosure
rules. They are intended to encourage development and use of new seed varieties for agriculture.
Trademarks protect rights to market goods and services under identified names and
symbols. Trademarks and brand names must be sufficiently unique to avoid confusing
consumers, thereby playing the important role of reducing consumer search costs. These rights
encourage firms to invest in name recognition and product quality. They also induce licensees to
protect the value of assets by selling goods of guaranteed quality levels. If trademarks were not
protected, rival firms could pass off their lower-quality goods as legitimate versions of those

produced by recognized companies. This situation would diminish incentives for maintaining
quality and would raise consumer search costs. Economists generally believe that the danger of
market dominance through abuse of trademarks is slight in competitive economies but such
marks could be accompanied by significant market power in countries with other barriers to
entry.
Firms develop some technologies that might not be patentable, might not be worth the cost
of applying for a patent, or might be more valuable if kept undisclosed. They prefer to keep
knowledge of such processes proprietary as trade secrets, or undisclosed information. Trade
secrets are protected by legal rules against learning by rivals through dishonest means. Such
protection lapses if the technologies are discovered by fair means, such as independent invention
or reverse engineering. Protecting trade secrets is beneficial to the extent it encourages the
development and commercial use of sub-patentable inventions. Rules protecting trade secrets
thus promote adaptive innovation and encourage learning through legal means.
Literary and artistic creations and computer software are protected by copyrights, which
provide exclusive rights for some period to copy and sell particular expressions of ideas after
they are fixed in some medium. Related IPRS include neighboring rights of performers and
broadcasters, moral rights of original artists, and copyrights for derivative products. Like patents,
copyrights are limited in scope for various purposes of public policy. The most significant
limitation is the fair-use doctrine, under which it is lawful to make limited numbers of copies for
research and educational purposes.
Several technologies do not fit comfortably into these traditional categories of protection.
Because computer programs may contain elements of industrial utility in addition to their
expressive elements, some countries make programs eligible for patents. The designs of
integrated circuits typically are awarded exclusive rights for shorter time periods than patents,
recognizing that semiconductor designs often embody elements of expression and that
technology changes quickly in that industry. Electronic transmissions of internet materials,
broadcasts, and databases may not be adequately protected by standard copyrights and two recent
treaties reached in the World Intellectual Property Organization call for stronger protection in
certain dimensions (WTO, 1998).
Particularly controversial, especially in developing nations, are patents for biotechnological
inventions and plant breeders’ rights. It could be argued that patents generate strong and
unwarranted protection in the biotechnology industry, because such inventions may not embody
a truly inventive step. However, representatives of biotechnology firms claim that patents are
required to encourage investment in these risky technologies. There are significant concerns that
providing exclusive rights in seed varieties without significant limitations for farmers’ use and
competitive research could raise costs in agriculture and reduce biodiversity over time.
A final element of an intellectual property system is its enforcement. Such enforcement
entails two opposing tasks: punishing infringement by free riders and disciplining enterprises that

try to extend their rights beyond intended levels by acting in an anti-competitive manner. These
objectives require the development of extensive legal and scientific expertise.
2b. Endogenous IPRS
A first analytical point to recognize is that national regimes of intellectual-property

protection strongly depend on the level of economic development. Thus, the causation between
IPRS and development operates in both directions. Indeed, that governments strengthen their
IPRS systems as their economies become wealthier and attain a deeper basis of technological
sophistication is well established. The claim that strong IPRS promote technical change and
development is more debatable.
The determinants of intellectual property protection have been the subject of empirical
investigation. For example, consider the index of patent rights developed by by Ginarte and Park
(1997). They studied the patent laws of a comprehensive set of countries every fifth year from
1960 to 1990, considering five components of the laws: duration of protection, extent of
coverage, membership in international patent agreements, provisions for loss of protection, and
enforcement measures. Each of these components was broken down into characteristics
determining its effective strength. For example, patent coverage incorporated the eligibility for
patents of pharmaceutical and chemical products and the availability of utility models.
Enforcement measures included the availability of preliminary injunctions, contributory
infringement actions, and reversal of the burden of proof in process patent cases. These
classifications were based solely on the laws as written; the authors could not assess how
stringently the laws were actually enforced. Each sub-component was assigned a value of one if
present and zero if absent, with the component score being the sum of these values as a
percentage of the maximum value. Thus, the minimum possible national score was 0.0 and the
maximum was 5.0.
To illustrate the index, across all countries in 1985 it averaged 2.44, indicating that roughly
half the various sub-components in patent rights existed in the average nation. The developed
economies had indexes that were both considerably higher and less variable than those of the
middle-income and low-income developing economies. The increase in average protection from
poor countries to middle-income countries was considerably less than that from middle-income
countries to rich countries. Over time, there was a marked increase in the average index across
nations. However, there was not much evidence of convergence between developing and
developed countries until the 1990s, as shown in a follow-up study by Park and Ginarte (1997).
Ginarte and Park (1997) undertook an econometric study of the empirical determinants of
their index. They found that the strength of patent rights across countries and over time depended
positively on real GDP per capita, the share of R&D in GDP, openness to international trade, and
a measure of the freedom of markets from arbitrary and non-transparent government regulation.
Human capital, measured by the secondary school enrollment ratio in an earlier period, was a

positive and marginally significant contributor to patent rights. Their results therefore suggest
that the development of patent rights responds to rising demands for protection, because
countries with higher R&D intensities and human capital inputs have higher indexes. The
positive effect of trade openness is intriguing though subject to various interpretations. It could
be that people are willing to provide stronger protection in open economies because IPRS help
preserve access to greater consumer choice. It could also be that in open economies international
trade interacts positively with innovative effort, raising the demand for intellectual property
protection.
I extended this work through an extensive regression analysis of the determinants of the
patent index in 1985 and 1990 for 72 countries.26 The results were largely consistent but my
specification discovered two additional features. First, market size (aggregate GDP) had no
significant impact on patent rights. This finding is potentially important for understanding policy
evolution. It suggests that an economy’s absolute size itself is not a strong determinant of IPRS
reform, in contrast with per-capita income and economic development. Because U.S. trade
authorities are concerned with the strength of IPRS protection in large but poor economies, such
as India and China, they have mounted considerable pressure for change. This finding suggests
that, despite such pressure, effective patent rights may remain limited until incomes grow beyond
current levels.
Second, controlling for other influences, there is an inverted-U relationship between patent
strength and real per-capita income. In words, the apparent strength of patent rights first falls as
incomes rise above their lowest levels. After reaching a minimum at some intermediate income
level, patent laws are strengthened as development proceeds. Indeed, the strength of patents
seems to accelerate at high income levels. The computations suggested that the per-capita real
income at which patent protection becomes weakest is approximately $2,000 in 1985
international dollars. Moreover, the patent index consistent with the regression is the same for
economies with per-capita GDP of $500 and $7750. It follows that there is a significant range of
incomes before protection becomes stronger than its levels in the poorest countries.
These findings may be explained by the nature of technological development. Least-
developed countries devote virtually no resources to innovation and have little intellectual
property to protect. As incomes and technical capabilities grow to intermediate levels, some
adaptive innovation emerges but competition flows primarily from imitation. Thus, the majority
of economic and political interests at this stage prefer weak protection. As economies mature to
higher levels of technological capacity and demands shift toward higher-quality products,
domestic firms come to favor protective IPRS. Finally, the strength of IPRS shifts up sharply at
the highest income levels as these latter processes are cemented (Evenson and Westphal, 1995;
Lacroix, 1992).
Not only do legislated IPRS become stronger as economies develop, but enforcement and
compliance also rise with income levels. Weak enforcement in developing nations reflects both
26
See Maskus (2000a).

an unwillingness to pay the high costs of administering an effective IPRS system and an inability
to manage the complex legal and technical issues such a system entails.
2c. Positive Impacts of IPRS on Economic Development
Consider now the opposite direction of causation. Economists recognize several channels
through which IPRS could stimulate economic development and growth. These processes are
interdependent and it is appropriate to adopt a comprehensive view of the incentives associated
with intellectual property protection.
Intellectual property rights could play a significant role in encouraging innovation, product
development, and technical change. Developing countries tend to have IPRS systems that favor
information diffusion through low-cost imitation of foreign products and technologies. This
policy stance suggests that prospects for domestic invention and innovation are insufficiently
developed to warrant protection. However, inadequate IPRS could stifle technical change even at
low levels of economic development. This is because much invention and product innovation are
aimed at local markets and could benefit from domestic protection of patents, utility models, and
trade secrets. In the vast majority of cases, invention involves minor adaptations of existing
technologies and products. The cumulative impacts of these small inventions can be critical for
growth in knowledge and productive activity. To become competitive, enterprises in developing
countries typically must adopt new management and organizational systems and techniques for
quality control, which can markedly raise productivity. Such investments are costly but tend to
have high social returns because they are crucial for raising productivity toward global norms
(Evenson and Westphal, 1995). They are more likely to be undertaken in an environment where
risks of unfair competition and trademark infringement are small. Moreover, IPRS could help
reward creativity and risk-taking among new enterprises and entrepreneurs. Countries that retain
weak standards could remain dependent on dynamically inefficient firms that rely on
counterfeiting and imitation.
An example of this process is that protection for utility models has been shown to improve
productivity in countries with lagging technologies. In Brazil, utility models helped domestic
producers gain a significant share of the farm-machinery market by encouraging adaptation of
foreign technologies to local conditions (Dahab, 1986). Utility models in the Philippines
encouraged successful adaptive invention of rice threshers (Mikkelsen, 1984).
Maskus and McDaniel (1999) considered how the Japanese patent system (JPS) affected
postwar Japanese technical progress, as measured by increases in total factor productivity (TFP).
The JPS in place over the estimation period 1960-1993 evidently was designed to encourage
incremental and adaptive innovation and diffusion of technical knowledge into the economy.
Mechanisms for promoting these processes included early disclosure of, and opposition
proceedings to, patent applications, an extensive system of utility models, and narrow claim
requirements in patent applications. The authors found that this system encouraged large

numbers of utility model applications for incremental inventions, which were based in part on
laid-open prior applications for invention patents. In turn, utility models had a strongly positive
impact on real TFP growth over the period, while patent applications had a weaker but still
positive effect. They concluded that utility models were an important source of technical change
and information diffusion in Japan, while patent applications provided both a direct and an
indirect stimulus to productivity. It is interesting to note that as Japan has become a global leader
in technology creation, its patent system has shifted away from encouraging diffusion and more
toward protecting fundamental technologies.
Recent studies suggest that innovation through product development and entry of new firms
is motivated in part by trademark protection, even in poor nations. A survey of trademark use in
Lebanon provided evidence on this point (Maskus, 1997). Lebanon has an extensive set of
intellectual-property laws but they are weakly enforced. Firms in the apparel industry claimed to
have a strong interest in designing apparel of high quality and style aimed at Middle Eastern
markets. Such efforts have been frustrated by trademark infringement in Lebanon and in
neighboring countries. This problem was yet larger in the food products sector, where legitimate
firms suffered from rivals passing off goods under their trademarks. The problem has seriously
hampered attempts to build markets for Lebanese foods in the Middle East and elsewhere.
Related difficulties plagued innovative producers in the cosmetics, pharmaceuticals, and metal
products sectors. Thus, local product development and establishment of new firms have been
stifled by trademark infringement targeted largely at domestic enterprises.
Similar problems exist in China, as found in a second survey (Maskus, et al, 1998). While
the information was anecdotal, it suggested that trademark infringement negatively affected
innovative Chinese enterprises. Many examples were cited of difficulties facing Chinese
producers of consumer goods, such as soft drinks, processed foods, and clothing. The
establishment of brand recognition in China requires costly investments in marketing and
distribution channels. Enterprises that achieved this status quickly found their trademarks applied
to counterfeit products. Such products were of lower quality and damaged the reputation of the
legitimate enterprise. Furthermore, this problem was difficult to overcome and, in some cases,
forced enterprises to close down or abandon their trademarks. According to survey respondents,
this situation had a deterrent effect on enterprise development and effectively prevented
interregional marketing. In turn, enterprises were less able to achieve economies of scale.
Chinese trademark infringement was concentrated on products with low capital requirements and
high labor intensity. These are sectors in which China has strong comparative advantages. On
this evidence, the authors concluded that trademark violations may be particularly damaging to
enterprise development in poor nations.
Similar comments apply to copyrights. Copyright industries, such as publishing,
entertainment, and software, are likely to be dominated by foreign enterprises (which can absorb
temporary losses and afford the costs of deterring infringement) and pirate firms in countries
with weak protection and enforcement. Thus, lower-quality copies would be widely available but
the economy’s domestic cultural and technological development would be hampered. This

situation was clear in the Lebanese survey. Lebanon has a small but vibrant film and television
industry that could successfully export to neighboring economies if those countries engineered
stronger copyright protection. In China, the domestic software industry has grown rapidly in the
area of particular business applications, which did not suffer extensive unauthorized copying, but
has faced obstacles in developing larger and more fundamental programs. Thus, domestic
commercial interests in stronger copyrights have emerged and are now playing a role in
promoting enforcement.
Intellectual property rights also could stimulate acquisition and dissemination of new
information. Patent claims are published, allowing rival firms to use the information in them to
develop further inventions. This learning process takes place in 10 to 12 months in the United
States (Mansfield, 1985). Knowledge formation is cumulative and as new inventions build on
past practices the process of technical change could accelerate (Scotchmer, 1991). Patents,
trademarks, and trade secrets also afford firms greater certainty that they face limited threats of
uncompensated appropriation. This certainty could induce them to trade and license their
technologies and products more readily, enhancing their diffusion into the economy.
In strengthening their IPRS regimes, either unilaterally or through adherence to TRIPS,
developing countries hope to attract greater inflows of technology. There are three
interdependent channels through which technology is transferred across borders. These channels
are international trade in goods, foreign direct investment (FDI) within multinational enterprises,
and contractual licensing of technologies and trademarks to unaffiliated firms, subsidiaries, and
joint ventures. Economic theory finds that technology transfers through each channel depend in
part on local protection of IPRS, albeit in complex and subtle ways.27
It is widely recognized by economists that imports of goods and services could transfer and
diffuse technology. Imports of capital goods and technical inputs could directly reduce
production costs and raise productivity. The extent of this benefit would depend on the
technological content of imports, suggesting that close trade linkages with innovative developed
economies could engender considerable productivity gains through trade flows. For example,
Coe, Helpman, and Hoffmaister (1997) found that a one-percent increase in imports of
machinery and equipment from OECD countries tended to raise total factor productivity in
developing countries by around 0.3 percentage points on average.
Thus, an important question is whether IPRS affect such trade flows. Maskus and Penubarti
(1995) pointed out that variable IPRs across countries could influence imports in a number of
ways. The essential tradeoff from strengthening patents would be between a contraction of trade
as protected firms exercise stronger market power and an expansion of trade because such firms
would experience higher demand for their products.
Thus, the issue is empirical and it is worthwhile to present key results here. The second and third
columns of results in Table 1report calculations of changes in imports that could be induced by
27
See Maskus (1998b).

stronger patent rights, updated from a general-equilibrium trade model estimated by Maskus and
Penubarti.28 The calculations in column 2 are for total manufacturing imports. These figures
apply elasticities of imports with respect to patent rights, computed from an econometric analysis
of bilateral 1984 trade data, to 1995 import volumes. The patent index used was a version of that
developed by Rapp and Rozek (1990). This index was increased in various amounts for different
countries, reflecting rough estimates of the extent of commitments in patent laws required by
TRIPS.
The anticipated impacts on trade volume depend on the extent of patent revisions, market size,
and the degree of the imitation threat that would be relaxed by adherence to TRIPS. Estimated
effects on trade range from small impacts in the United States and Switzerland, which are not
required to undertake much legal revision, to substantial increases in imports in China, Thailand,
Indonesia, and Mexico, which must adopt stronger rights.29 In the case of Mexico, it updated its
IPRS regime in an accelerated fashion because of commitments made under NAFTA. The result
here suggests that a substantial component of its increase in manufacturing imports in the 1990s
may be attributed, other things equal, to stronger patent protection. It is interesting that many of
the largest predicted impacts are in nations with strong imitation capacities, such as Argentina
and Brazil. In contrast, India and Bangladesh would experience relatively weak, though positive,
trade impacts.30
The third column reports similar computations for imports of high-technology manufactures,
defined as pharmaceuticals, electrical machinery, and professional instruments. The sectoral
regression estimates in the original study implied that stronger patent rights in developed
economies would actually reduce such trade because of a market-power effect and a diversion of
trade to developing countries. The latter nations had strongly positive import elasticities in these
goods.
Overall, the trade volume impacts estimated here are significant for developing economies that
undertake extensive patent revisions. For example, the anticipated increase in manufactured
imports for Mexico of $5.7 billion amounts to 9.4% of its manufactured imports in 1995. It is
important to note that this impact would take years to emerge because the patent obligations are
to be phased in over time. In that context, even if the trade impacts are overestimated the
evidence suggests the long-run impacts could be substantial. The estimated increase in China’s
high-technology imports of $2.6 billion amounts to just under two percent of its imports in 1995.
Applying the result from Coe, Helpman, and Hoffmaister (1997), this finding suggests that the
stronger patents required by TRIPS could raise Chinese TFP by perhaps 0.6 percentage points
per year. This would represent a significant bonus to productivity performance.
The second main channel of technology transfer is FDI. Such investment exists because
firms with ownership advantages employ them through internal organization of multinational
28
Table 1 was developed in Maskus (2000b).
29
China has largely met TRIPS requirements in its legislation in anticipation of joining the WTO.
30
Smith (1999) found a similar outcome.

activity, with the location of production depending on local market characteristics. Thus, IPRS
should have varying importance in different sectors with respect to encouraging FDI. Investment
in low-technology goods and services should depend relatively less on the strength of IPRS and
relatively more on input costs and market opportunities. Investors with products or technologies
that are costly to imitate would pay little attention to local IPRS in their decision making. Firms
with easily copied products and technologies, such as pharmaceuticals and software, would be
quite concerned about the ability of the local IPRS system to deter imitation. Firms considering
investing in a local R&D facility would pay particular attention to local patent and trade-secrets
protection.
This perspective was borne out by Mansfield (1994), who surveyed 100 U.S. firms with
international operations in 1991. Intellectual property executives in enterprises covering six
industries were asked their views of the importance of IPRS in their FDI and licensing decision
and their assessments of the adequacy of IPRS in 16 countries. Table 2 reproduces his results
regarding type of investment facility. In no industry was there much concern about IPRS
protecting the operation of sales and distribution outlets. In the chemical industry, which
includes pharmaceuticals, 46% of firms were concerned about protection for basic production
and assembly facilities, 71% for components manufacture, 87% for complete products
manufacture, and 100% for R&D facilities. This tendency to be more concerned with IPRS the
higher the stage of production carried over to all sectors. Overall, the chemical industry was the
most affected in its decisions to invest, while in all sectors there was a strong concern about local
IPRS in locating R&D operations. In a companion paper, Mansfield (1995) demonstrated that
these findings held also for Japanese and German firms considering foreign investments.
Table 3 presents additional results for selected countries with weak IPRS at the time of the
survey. India engendered the greatest concern about IPRS, as 80% of the chemical firms
surveyed indicated they could not engage in joint ventures or transfer new technologies to
subsidiaries or unrelated firms in that nation. Interestingly, in chemicals there was little
difference between joint ventures and subsidiaries in this regard. Both investments evidently
provided foreign firms with approximately the same level of security about their technologies.
However, across all countries licensing to unrelated firms was seen as riskier in the face of weak
IPRS. This situation seemed to hold also in the machinery industry. In other sectors, however,
there was little difference in the willingness to transfer technology through various channels
according to weakness in intellectual property rights.
The finding that licensing was viewed as insecure compared with FDI in the high-
technology sectors illustrates a subtle aspect of intellectual property protection. In theory, firms
are more likely to undertake FDI than licensing when they own a complex technology, produce
highly differentiated products, and face high licensing costs (Horstmann and Markusen, 1986).
Under these circumstances, it is efficient to internalize the costs of technology transfer through
direct investment in a majority-owned subsidiary. As IPRS are upgraded, licensing costs should
fall because it becomes easier to discipline licensees against revelation or misappropriation of
proprietary technology and against misuse of a trademark. Furthermore, international firms

should become more willing to develop vertically integrated relationships with input suppliers
and distribution networks.
From this analysis it is possible to conclude that the strength of IPRS and the ability to
enforce contracts should have important effects on decisions by multinational firms on where to
invest and whether to transfer advanced technologies. Returning to Table 1 I report the results of
econometric estimation of a model of FDI and IPRs (Maskus, 1998b). The figures in column 4
use coefficients developed in a four-equation simultaneous decision framework, which
incorporated the impacts of patent rights on patent applications, affiliate sales, exports, and
affiliate assets. The model was estimated with data over 1986-1994 for the foreign operations of
U.S. majority-owned manufacturing affiliates in several developed and developing countries.
The assets equation had a negative coefficient on patent rights, suggesting that on average across
countries stronger patents would diminish the local asset stock. However, there was a large
positive coefficient on patents interacted with an indicator variable for developing countries,
resulting in a net positive and significant impact in those nations. This result likely means that at
low protection levels internalization decisions encourage FDI as patents get stronger. However,
as protection exceeds some level there emerges a substitution effect favoring licensing over
investment. In brief, there was a negative elasticity of FDI with respect to patent rights in high-
income economies but a strongly positive elasticity among developing economies.
Applying these impacts to anticipated changes in patent rights engineered by TRIPS generates
the estimated impacts on asset stocks in Column 4. Reductions in asset stocks in Japan and
Canada would amount to over $2 billion each, though these impacts would be less than one
percent of 1994 U.S.-owned assets in those nations. However, FDI assets would rise significantly
in Brazil, Mexico, Thailand, and Indonesia as a result of stronger patents. Indeed, the increase in
the Mexican FDI asset stock would be 2.6% of 1994 U.S.-owned assets in that country and that
in Brazil would be 7.4%. On this evidence, it seems that FDI decisions are highly responsive to
decisions to strengthen intellectual property rights.
Technology licensing was the subject of one recent study (Yang and Maskus, 1999). The figures
in the fifth column of Table 1 update their results of estimating the impacts of international
variations in patent rights on the volume (in 1990 dollars) of unaffiliated royalties and licensing
fees (a measure of arm’s-length technology transfer) paid to U.S. firms. They used the Ginarte-
Park index in a panel of 26 countries in 1985, 1990, and 1995. In their preferred specification the
patent index had a significant and positive impact on licensing.31 The elasticity of licensing with
respect to patent rights was estimated to be 5.3, indicating a highly significant sensitivity of
technology trade to IPRs protection. Applying this elasticity to anticipated changes in patent
rights, using existing fees in 1995, generated the predicted changes in volume in the final
column. Japan had a large absolute response, reflecting the importance of licensing in the
31
They also detected a positive impact on licensing of industrial processes and a weaker but positive effect on
affiliated royalties and licensing fees. It is impossible to disentangle the extent to which this response entailed
higher licensing charges on given technologies, higher-quality technologies, or higher contract volumes. However,
the response was so elastic that there was a considerable amount of additional technology being transferred.

Japanese economy. However, large responses were also discovered in Korea, Mexico, Brazil,
and Indonesia. Indeed, the analysis suggested that licensing volumes in Mexico and India would
double and would go up by a factor of nearly five in Indonesia.
The findings discussed here are predictions of long-run impacts of patent reforms, as required by
the TRIPS agreement, on imports, FDI, and market-based technology transfer. The figures are
not definitive and additional analysis would be useful in refining the conclusions. However, they
are sufficiently robust to conclude that stronger IPRs could have potentially significant and
positive impacts on the transfer of technology to developing countries through each of these
channels. This result is especially pertinent in middle-income developing countries with
significant imitative capabilities. The results are less striking for the least developed economies,
where the impacts would be positive but small.
There are important practical implications of this analysis. First, countries with weak IPRS
could be isolated from modern technologies and would be forced to develop technological
knowledge from their own resources, a difficult and costly task. Second, those countries would
obtain fewer spillover benefits and demonstration effects of new technologies in their economies.
Third, technologies available to such nations would tend to be outdated. Finally, nations with
weak IPRS would experience both limited incentives for domestic innovation and relatively few
inward technology transfers.
Recent survey evidence from China supported these arguments (Maskus, et al, 1998). When
interviewed, managers of many foreign enterprises expressed reluctance to locate R&D facilities
in China, citing fear of misappropriation and patent infringement. Nearly all reported that their
enterprises transferred technologies that were at least five years behind global standards, unless
other means could be found to protect them, or brought in technologies that would be obsolete in
a short time. Note that the importation of lagging technologies is not necessarily inappropriate
for China’s cost conditions and such knowledge could help encourage follow-on innovation.
However, as China moves toward best practices in technology the problem could become more
restraining. Moreover, concerns about weak IPRS discouraged foreign enterprises from fully
integrating their Chinese operations. Instead they tended to divide production processes among
facilities in order to avoid revealing the full nature of their technologies in any one location.
Indeed, IPRS should encourage the development of interregional and international
distribution and marketing networks that are critical for achieving economies of scale. Weak
IPRS could limit incentives for such investments because rights owners would be unable to
prevent their marketing outlets from debasing the quality of their products, nor could they readily
deter counterfeiting of their trademarks. Thus, IPRS should permit effective monitoring and
enforcement of activities throughout supply and distribution chains, providing both innovators
and distributors an incentive to invest in marketing, service, and quality guarantees.
Quality assurance is important for safeguarding the interests of consumers. However,
widespread distribution of counterfeit products can ruin reputations achieved at considerable
cost, a problem that can be overcome only with additional investments. For example, in food

products, beverages, cosmetics, and medicines, counterfeit products can be hazardous for
consumers. Indeed, field research in China suggested that despite the benefits to poor consumers
of low-cost product knockoffs, they were becoming resentful that market saturation by
unauthorized goods diminished the available range of legitimate goods (Maskus, et al, 1998).
A further potential benefit of strengthened intellectual-property protection is that it could
induce greater R&D aimed at meeting the particular needs of developing countries. Inventive
firms in developed economies tend to orient their research programs toward products and
technologies for which they expect a large global demand and that may be protected through
IPRS and trade secrets. This means that a disproportionately small amount of global R&D is
focused on the needs of developing economies with low incomes and weak IPRS. For example,
the World Health Organization (1996) claims that of the $56 billion spent globally on medical
R&D in 1994, only 0.2% was aimed at pneumonia, diarrheal maladies, and tuberculosis, which
together account for 18% of global illness.
It is possible that the new patent regimes introduced by TRIPS could change this situation.
The total market size for pharmaceuticals of the countries that must upgrade their patent
protection over the medium term is sufficiently large that, even at current shares of drugs
patented elsewhere, the rise in demand could be as much as 25% of global spending (Lanjouw,
1997). Thus, the incentives generated for R&D focused on diseases of poor countries could be
significant. While this is a crude calculation, it suggests that pharmaceutical firms could
anticipate higher profits in developing nations, some portion of which could be devoted to
research on their endemic diseases.
Nonetheless, there is considerable uncertainty about this outcome and it is possible to doubt
its practical significance. Even with stronger patents (the enforcement of which would be
problematic), the ability of impoverished people to buy protected treatments would not rise much
for a long period of time. In this context, a strong argument for public promotion and
international procurement and distribution of new drugs may be made.32
2d. Negative Impacts of IPRS on Economic Development
While strengthening IPRS bears potential for enhancing growth and development in the
proper circumstances, it might also raise difficult economic and social costs. Indeed, developing
economies could experience net welfare losses in the short run because many of the costs of
protection could emerge earlier than the dynamic benefits discussed above. This situation
explains why it is often difficult to organize interests in favor of reform in developing countries.
In most developing economies there are significant amounts of labor employed in copying
unauthorized goods. As these nations upgrade their laws and enforcement activities, these
32
See Jeffrey Sachs, ““Helping the World’s Poorest,” The Economist, August 14, 1999.

workers must find alternative employment. This displacement problem should pose the initial
challenge for policymakers in introducing stronger IPRS.
Some evidence on this point is available from a recent survey of the Lebanese economy in
1996 (Maskus, 1997). Table 4 presents simple calculations of the potential static employment
and price impacts of stronger IPRS in several Lebanese industries. These calculations reflect the
total impacts of various aspects of IPRS. For example, copyrights in software were assumed to
reduce piracy by 50%, which would lower infringing employment by 717 workers. However, it
would shift demand toward products offered by legitimate producers and distributors, who
claimed that they did not anticipate any rise in licensing costs from foreign software firms. As a
result, legitimate employment would go up by 426 workers, leaving a net employment loss of
291 workers. However, workers in legitimate firms made far higher wages on average than those
involved in copying. Moreover, interview evidence suggested that many of the skilled and
partially skilled displaced workers would find employment in the non-infringing firms or would
start their own enterprises. The analysis also predicted a rise in software prices of 18.5% and in
personal computer prices of 17.8%. These were sizeable increases, reflecting rising markups to
legitimate producers as copyrights came to be enforced. However, they likely would be higher in
Lebanon than in many other nations because Lebanon had a small market (preventing scale
effects) and restrictive sole-distributorship laws. Thus, the additional market power generated in
Lebanon by copyrights could be considerably stronger than might be experienced generally. The
remaining copyright sectors may be read similarly. There would be net employment losses in
printing and publishing and in music, video, and film as illegal copying was reduced. Book
prices were predicted to rise only by 7.3% because the legitimate publishing sector was
competitive in Lebanon. However, copyright enforcement would be expected to raise video
prices by around 10%. The situation was different in food products, cosmetics, and
pharmaceuticals, which were subject both to trademark and patent infringement. The
pharmaceuticals sector, for example, was built on copying and marketing active ingredients that
could be patented elsewhere but were not patented in Lebanon. In the analysis new patents were
assumed to raise patent licensing fees by 50% and to eliminate imports and exports of infringing
products, while trademark enforcement was assumed to reduce counterfeiting by 50% and to
raise licensing fees by 20%. These impacts not only would reduce infringement but also would
raise costs for legitimate firms. Accordingly, employment would fall in both activities, with a
total employment loss of 550 workers and a price increase of 10%. Employment impacts in the
food products sector were bigger because it was a larger industry, but price impacts were small
because there were many competitive firms. Overall, these static calculations suggest that
employment in IPRS-sensitive Lebanese sectors could fall by some 5,459 workers, which was
0.5% of the formal labor force in Lebanon. In that sense the problem is small in relation to the
overall labor market. However, the adjustment problems would be concentrated in industries and
areas in which piracy was common. Thus, there could be difficulties in finding alternative
employment or cushioning adjustment costs. In general, such costs would be minimized in
economies with flexible labor markets and rapid economic growth, making it easier to shift
workers and firms into legitimate activities. A second major concern is the potential for IPRS to

support monopoly pricing. The provision of product patents in pharmaceuticals, agricultural
chemicals, and biotechnology, along with plant breeders’ rights, should confer greater market
power on rights holders. Such firms might then reduce sales to establish monopolistic prices in
key medical therapies and industrial and agricultural inputs. There is evidence that patents
generate considerably higher prices for protected drugs than for copied and generic drugs
(Lanjouw, 1997; Maskus 1998d). Watal (1996) computed that static price impacts of patent
coverage in India could raise average patentable drug prices by perhaps 50% from a 1994 base.
However, the extent to which such price increases would emerge depends on several
variables, such as the competitiveness of the local pharmaceutical market, the share of drug
production that is copied from patentable drugs, and the elasticity of demand for medicines.
Evidence from India suggests that pre-patent market structures are relatively competitive because
there are significant imitative capacities. Moreover, there could well be a significant degree of
market power engendered in the pharmaceutical industries in developing economies, after the
introduction of patents, through product differentiation and marketing. In this context, it seems
likely that the introduction of patents could place pronounced upward pressure on patented drug
prices. In one example, uncontrolled prices of protected drugs at small pharmacies in Beijing and
Shanghai may have risen by a factor of three or four on average since the introduction of
exclusive marketing rights in 1991 and patents in 1993.
There is little empirical information available on the economic impacts of plant breeders’
rights. One recent study was performed in Argentina, Chile, and Uruguay, which have
established such systems (Jaffe and van Wijk 1995; UNCTAD, 1996). The study looked only at
qualitative indicators of the effects on private investments in plant breeding, plant breeding
policies of public research institutes, international transfer of germplasm, and seed diffusion
among farmers. The systems of rights adopted have had mixed effects on these Latin American
economies. First, they have markedly improved the ability of private breeders to control local
seed markets and prevent unauthorized trade in protected varieties. The controlled share of seed
supply was above 55% in wheat and around 40% in soybeans, figures that compared favorably
with those in the United States. As a result, seed prices have risen, though the extent of these
increases was unreported. Second, these rights have increased access to privately developed
foreign seed varieties, because their developers became more willing to market their products
there. Third, the systems retained farmers’ privileges, or the right of farmers to keep sufficient
seeds from the harvest for replanting. In consequence, farmers have not been much
disadvantaged. However, unauthorized seed dealers have seen their costs rise and some have
been pushed out of the market. Over time this rising concentration of the market in the hands of
private seed dealers could result in further price increases.
There are no systematic studies of how computer software prices vary across countries with
differing levels of copyright protection. It is often claimed that program prices would be much
higher in light of comparisons between retail prices of legitimate and copied programs. For
example, in December 1997 it was possible in Hong Kong to purchase a pirated copy of
Microsoft Office 97 for approximately $6, while the retail price for a legitimate copy was around

$1,500. In the summer of 1998 the same product sold for approximately $1,000 in Beijing.33
Thus, if strong enforcement were to support the substantially higher price of legitimate
programs, the price impact on computer users would be severe.
However, it may be that software firms prefer to sell in countries like Hong Kong and
China at low volumes with substantial markups, reflecting inelastic demand from corporate and
government users. The markups would accrue partially to local distributors, who may be
protected also by restrictive distributorship laws. Thus, in a dynamic sense it is likely that as
markets develop under copyright protection, software firms would supply more legitimate copies
of programs at considerably lower prices. Indeed, prices of copyrighted software have fallen
sharply in Taiwan since the aggressive crackdown on counterfeiting in the mid-1990s, in part
because of additional competition from local developers.34
In summary, concerns about monopoly prices supported by IPRS could be valid. However,
if IPRS were introduced into competitive markets, such impacts should be limited. Indeed, it
makes little sense to protect market positions both with strong IPRS and barriers to competitive
entry.
A fundamental concern raised about IPRS is that their exploitation could result in
diminished access to technological information. As suggested above, pharmaceutical and
biotechnological patents could raise imitation costs and place considerable pressures on imitative
enterprises in developing economies. Improving trade-secrets protection should make it more
difficult to acquire technologies through misappropriation. Copyright protection would make it
more difficult to copy computer software.
Such potential costs explain the reluctance of many developing economies to strengthen
their regimes. However, they must be placed into broader perspective. First, these costs would be
counterbalanced by greater incentives for technology transfer through trade, FDI, and licensing
as discussed earlier. Indeed, it is likely that many local pharmaceutical firms would find it
advantageous to reach production and technology-sharing agreements with international
enterprises. Second, stronger IPRS would improve prospects for innovative enterprises in
developing nations to enter markets and develop new products. Third, rising imitation costs need
not be damaging if IPRS are introduced into a competitive economy in which firms have the
ability to choose among many potential suppliers of technology and products.
A paramount worry for developing countries is that protection for intellectual property could
result in higher costs for the use of new technologies, with the bulk of those costs being
transferred to foreign patent owners as economic rents (profits). Interesting evidence of this
possibility is provided in the first column of Table 1. These figures update the results of
McCalman (1999), who estimated the impacts of stronger patent rights required in TRIPS on the
value of patents in place in 1988. Firms own patent portfolios in various countries, the values of
33
Field research done by the author.
34
Inteviews in Taipei, December 1997.

which depend on the strength of local protection. McCalman worked out the required changes in
patent laws, as measured by the index developed by Ginarte and Park (1997), for 29 countries,
some of which appear in the table. He applied these changes to 1988 international patent
portfolios owned by each country in order to investigate the implied changes in rents if the
stronger laws had been in place. Thus, the analysis held patenting constant at its pre-TRIPS level
and did not account for any induced changes in innovation. The effects on rent transfers
depended on patent stocks in place and the extent of the legal changes required. I have updated
his calculations to millions of 1995 dollars through the use of national GDP deflators and
exchange rates. While this increased the magnitudes somewhat it did not affect the central
message. Overwhelmingly the United States would gain the most income in terms of static rent
transfers, with a net inflow of some $5.8 billion per year. This reflected the fact that U.S.-
headquartered firms owned numerous patents in many countries that were required by TRIPS to
upgrade their intellectual property protection, while U.S. law was subject to virtually no change.
Germany would earn an additional net income of $997 million on its patent portfolio. Most
countries would experience a rising net outflow of patent rents, both because of significant
changes in their laws and because they tended to be net technology importers. The largest net
outward transfer of some $1.3 billion accrued to Canada, in which many U.S.-owned patents
would receive stronger protection. Developing countries also would pay more on their patent
stocks, with Brazil experiencing a net outward transfer of around $1.2 billion per year.
These calculations are inherently zero-sum and static. They ask solely what the additional
income on existing patents would have been under TRIPS.35 In that sense, one might
characterize TRIPS as an outstanding example of “strategic trade policy” on behalf of the United
States, though it is equally possible to characterize weak IPRs as a mechanism employed by
other governments for appropriating rents from American inventors. The figures are interesting
because they suggest that TRIPS could have a significant impact on net incomes earned from
foreign patents. To put the result in perspective, net royalties and licensee fees earned by U.S.-
resident firms amounted to $20.9 billion in 1995.36
Finally, it should be noted that costs of administration and enforcement could be burdensome as
developing economies implement stronger IPRS systems. UNCTAD (1996) provided some
rough estimates of the administrative costs of complying with TRIPS in various developing
countries. In Chile, additional fixed costs from this upgrade were estimated at $718,000 and
annual recurrent costs at $837,000. An Egyptian expert thought the fixed costs would be perhaps
$800,000, with additional annual training costs of around $1 million. Bangladesh anticipated
one-time costs of administrative TRIPS compliance (drafting legislation) amounting to $250,000
and over $1.1 million in annual costs for judicial work, equipment, and enforcement efforts.
These estimates do not include training costs. Note that Egypt and Bangladesh have extreme
scarcities of trained professional administrators and judges, suggesting that these estimated costs
35
In principle the column should sum to zero but it does not because of the updating and because some countries
were excluded.
36
International Monetary Fund (1997).

could be low. In an economic sense, one of the largest costs of implementing an effective
administrative system is that it would divert scarce professional and technical resources into such
administration and out of other productive activities.
The existence of considerable fixed costs means that small and poor countries are unlikely to
develop a significant commitment to adequate institutional reform. Countering this problem are
three factors. First, intellectual property offices may charge fees for examination and registration
procedures to defray their costs. Second, poor countries may petition for technical and financial
assistance from industrial countries and WIPO and the WTO to help absorb the fixed costs of
implementing new administrative and enforcement procedures. Third, developing country
authorities may avail themselves of cooperative international agreements to help cut their costs.
Membership in the Patent Cooperation Treaty, for example, provides significant economies
because examiners may read the opinions made by major patent offices about novelty and
industrial applicability, rather than undertake such technical examinations themselves.
2e. Evidence on the Overall Impact of IPRS on Growth

The analysis reviewed here claims that strengthening IPRS systems could raise or lower
economic growth, though the relationships would be complex and dependent on circumstances.
Two recent studies have considered this question empirically. First, Gould and Gruben (1996)
related economic growth rates across many countries to a simple index of patent strength and
other variables. They found no strong direct effects of patents on growth, but there was a
significantly positive impact when patents were interacted with a measure of openness to trade.
That is, the impact of stronger patents in open economies was to raise growth rates by 0.66% on
average, suggesting that market liberalization in combination with stronger IPRS increases
growth.
Their argument was that open economies tend to experience greater competition, higher
amounts of competitive FDI, and enhanced needs to acquire advanced technologies for purposes
of raising product quality. Moreover, firms in such countries would be more likely to undertake
the costs of effective technology transfer and adaptation to local circumstances. However, such
innovation would be more prevalent in economies with adequate IPRS. This finding implies that
as countries strengthen their IPRs, pursuing market liberalization would procure a more
affirmative path to economic growth.
Park and Ginarte (1997) studied how IPRs affect growth and investment. They found no direct
correlation between patent strength and growth, but there was a strong and positive impact of
patents on physical investment and R&D spending, which in turn raised growth performance.
This result was consistent with that in Borensztein, De Gregorio, and Lee (1998), who found that
FDI had a significantly positive impact on growth, but only in countries that had attained a
threshold level of secondary education within their populations. In this sense, IPRs, openness,
FDI, and human capital accumulation work jointly in raising productivity and growth.

3. Benefiting from Intellectual Property Rights
The adoption of stronger IPRS in developing countries is often defended by claims that this
reform will attract significant new inward flows of technology, a blossoming of local innovation
and cultural industries, and a faster closing of the technology gap between themselves and
developed countries. It must be recognized, however, that improved IPRS by themselves are
highly unlikely to produce such benefits. Consider the differences between countries in sub-
Saharan Africa, with long-standing and relatively strong laws on the books (albeit a limited
ability to enforce them), and countries in East Asia, many of which have reformed their regimes
only quite recently. The prior group attracts little FDI and receives few patents at home or
abroad. The latter group attracts the bulk of FDI in the developing world and is experiencing
rising use of intellectual property protection (Maskus, 1998a, b). Expectations that stronger IPRS
alone will bring technical change and growth are likely to be frustrated.The evidence presented above suggested
impacts of IPRS should be stronger in countries with appropriate complementary endowments
and policies. Countries face the challenge of ensuring that their new policy regimes become pro-
active mechanisms for promoting beneficial technical change, innovation, and consumer gains.
3a. Implementing Procompetitive IPRS Standards

Developing nations are overwhelmingly importers of technology, suggesting that they
should establish standards that encourage learning and follow-on innovation within their IPRS
system. For example, patent examiners could follow the highest reasonable standards for non-
obviousness in invention patents, require early disclosure of technological information, limit
protection to narrow patent claims, and establish a narrow doctrine of equivalents. The last
approach, exemplified by an effective system of utility models, could be significant for
encouraging the development of local capacity to invent legitimately around patents. An
effective system of opposition to patent grants is important for interested parties to make
available information about prior art.
The construction of particular standards requires careful thought. For example, TRIPS
requires patents for biotechnological micro-organisms and special protection for plant varieties.
However, there is room to vary from U.S. standards in this regard. It is possible to erect strict
standards of novelty, non-obviousness, and disclosure in biotechnology in order to promote
dissemination and limit broad protection. However, the stricter are these standards the more they
discourage fundamental invention by the emerging local biotechnology industries. In protecting
plant varieties it is advisable to provide a breeders’ exemption, a farmers’ privilege, and
mechanisms for conserving biodiversity. Again, however, such limitations may deter
exploitation of plant rights by foreign enterprises and discourage invention in agricultural public
research institutes. Regarding the latter, it is important to ensure that mechanisms for moving
research results from the laboratory to farmers’ use are transparent and efficient.

In copyrights, countries could allow wide exceptions to protection under the fair-use
doctrine for research and educational purposes. Particularly significant would be a liberal stance
on reverse engineering of computer programs, with the intent of encouraging indigenous
software development. Thus, while wholesale copying must be prohibited, developers could use
functional components of protected programs in independently developed programs. The
extension of patents to computer programs is of dubious value in development terms and is not
required by international norms.
3b. Enhance Capacities to Develop and Use IPRS
The dynamic benefits countries accrue from IPRS depend on their abilities to develop
and absorb technologies and new products. In this context, three issues are critical for
development purposes. First, it is clear that the ability to adapt new technologies to local
industrial uses is improved by strong levels of educational attainment and sizeable endowments
of human capital (Coe, et al, 1995). Thus, there are important payoffs to providing access to
technical training and secondary or university education.
Second, productivity in absorbing foreign technologies depends critically on the R&D
performance of local enterprises (Dougherty, 1997). This observation points to the importance of
developing an effective technology policy for promoting technical change in domestic
enterprises. Such programs could include technology demonstration projects, information
sharing through conferences, the encouragement of research joint ventures, and improved
linkages between public research institutes and enterprises. Indeed, an important problem in
many countries is the inability of research institutes to bring their inventions to market in a useful
way, in part because property rights to those inventions are unclear. Stronger IPRS alone would
help in this context, but so also would development contracts between institutes and enterprises
with defined ownership shares and increased flexibility for researchers to form new business
concerns.
Third, it is also important for countries to encourage the development of financial markets
that are capable of managing the significant risks involved in technology development. Nations
could learn from the experience of American venture-capital firms.
3c. Promote Competitive Markets
Ultimately, perhaps the most important determinant of the success of an IPRS regime is the
competitive nature of the markets within which it operates. Put briefly, the dynamic gains from
IPRS are larger, and the costs of abuse are smaller, in economies with competitive market
structures. Thus, it is important for countries to liberalize their markets to the deepest extent
possible as they strengthen their protective systems. This observation calls for further opening to

international trade and investment, including relaxing restrictions against service providers.
Domestic deregulation initiatives to make enterprises more competitive are also important here.
Such reform needs to be accompanied by mechanisms to ensure that potential entry of new firms
is not blocked by public regulations. Evidence mentioned above showed that economies that are
more open to trade and FDI should experience a growth premium from strengthening their IPRS
in comparison with closed economies. Stronger property rights create market power, which is
more easily abused in economies that are closed to foreign competition. An important impact of
trade liberalization is to inject foreign goods and techniques, which compete with previously
protected oligopolies. These pro-competitive gains have been shown to be significant in a variety
of contexts and at different levels of development.37 In that regard, to strengthen IPRs, on the
one hand, but to maintain closed markets, on the other hand, is to work at cross-purposes. For
example, a patent takes on greater market power in the presence of an import quota on similar
goods, which limits consumer substitution choices. Competitive markets help limit the effective
scope of intellectual property rights to their intended function, which is to foster investments in
competition but not to prevent fair entry. There are additional reasons why IPRs and open
markets are complementary policies. First, a liberal stance on inward trade and FDI improves a
country’s access to available international technologies, intermediate inputs, and producer
services, all items that can raise domestic productivity. However, the evidence above
demonstrated that such flows are discouraged by weak patent rights and trade secrets. Second, a
critical purpose of IPRs is to encourage investments in improved product quality, which is often
a pre-condition for breaking into export markets. Similarly, IPRs can support investments in
marketing that raise product demand and permit economies of scale in production. These
processes pertain as much to domestic entrepreneurs as they do to incoming foreign competitors.
3d. Develop Competition Policies
Because intellectual property rights create market power, their use is potentially subject to
anticompetitive abuses. Such concerns are often overstated. Intellectual property rights define the
boundaries within which an inventor or creator has exclusive use rights. Such rights rarely create
strong monopoly positions unless they are combined with restrictions on competitive entry by
other firms. Indeed, IPRS are critical for promoting R&D that generates dynamic competition.
Nonetheless, the scope of IPRS is limited in order to promote access, dissemination, and
competition. Attempts by rights-holder to extend their use of IPRS beyond permitted limits are
abuses of the competitive system. It is useful to review the forms in which such abuse may
occur. For example, monopoly pricing represents one potential abuse, although in competitive
markets there are usually market substitutes that discipline the ability of IPRS to support
monopoly prices. Therefore, pricing decisions are rarely regulated by public authorities in
37
See Harris (1984) and Rodrik (1988), for example.

industrial countries except for purposes of limiting the costs of maintaining public health and
nutrition.
Perceived abuses of IPRS typically relate to strategic business decisions, including selling
practices and licensing restrictions. There is a large literature on the competitive effects of
market power created by patents, trademarks, and protected know-how.38 There are few
concrete guidelines in the area because of the complex nature of markets for information and
technology. Vertical licensing agreements, for example, could serve the purpose of ensuring
downstream product quality, which improves competition. However, tie-in sales of unrelated
products to technology purchasers may represent an attempt to extend the scope of a property
right, which damages competition.
Potential competitive problems raised by the exploitation of IPRS include the following.
First, horizontal cartels of competing firms may occur through licensing agreements that fix
prices, limit output, or divide markets. Actual and potential competitors could be both licensees
and licensors, either in the market for the product or technology itself or in extended markets.
For example, patent-pooling and cross-licensing agreements between competing licensors may
reduce competition in downstream product markets that use the licensed technologies as key
inputs, particularly where the agreements set prices or restrict territories, customers, and fields of
use.
In industrial countries competition authorities have found it difficult to set general rules
covering such licensing contracts. Instead, investigations are undertaken to determine whether an
agreement presents the potential for cartelization of a significant share of a particular market.
Concerns also arise over agreements requiring resale price maintenance of distributors’ prices,
which could result in vertical price-fixing unrelated to the need to monitor and enforce quality
assurance. Clearly such risks are greater the more regulated is entry into distribution contracts, a
common problem in developing countries.
Second, licensing agreements for intellectual property could anticompetitively exclude rival
firms from competing in particular markets by raising barriers to entry. This could be the case
with tie-in sales, in which a licensor gains a dominant position for the tied good. Potential
competitors would be forced to enter in both the markets for the protected technology and the
tied good, raising costs. Similar problems exist if licensees are required only to use the licensor’s
technology, which may also require use of future technologies. Such restrictions could result in a
dominant position for licensors in secondary markets and limit competitive entry by rival firms.
A related difficulty arises when licensors block the development of competing new technologies
through exclusive grant-back provisions and exclusivity arrangements in future technology
purchases. Competition policy must try to assess the potential anticompetitive impacts of
licensing arrangements before deciding whether and how to regulate them. Note that such
impacts depend crucially on the structure of the markets in which licensing contracts operate, the
share of markets they cover, and the difficulty of entry for rival enterprises.
38
OECD (1989) and UNCTAD (1996) provide reviews.

A third general class of problems relates to attempts to acquire excessive market power by
purchasing exclusive rights to competing technologies and products, with the intention of
preventing their commercial use. Such efforts effectively are horizontal mergers, which must be
analyzed in terms of their impact on market concentration. A final problem is non-price
predation, in which IPRS may be used to bring bad-faith litigation and opposition proceedings in
order to exclude and harass competitors. This may be particularly damaging in cases where
potential rivals are small and new and therefore lack the resources needed to defend themselves
in court. In turn, this problem could stifle the development and introduction of competing
technologies and products. The task for competition authorities is to distinguish predatory
behavior from legitimate enforcement of IRPS. For example, firms may refuse to license
technologies in particular markets or to particular firms, which could be interpreted either as
legitimate business practice or unfair competition.
The message is that there are complex relationships between IPRS and their potential
abuse. Property rights support market power, the exercise of which does not necessarily
constitute an abuse. Competition policy makers need to distinguish various forms of behavior in
terms of potential impacts on competition and consumer welfare. In this view, it is likely
advisable for countries developing competition rules to follow some form of the American “rule
of reason” approach, rather than attempting to codify rules covering specific actions, which is the
EU approach. More specifically, a rule of per se illegality might apply to attempts to monopolize
horizontal production and distribution channels, while the rule-of-reason standard might apply to
vertical arrangements and tied sales. Patent licensing and pooling arrangements, while not
necessarily anticompetitive, might warrant some scrutiny. Note further that the TRIPS agreement
permits use of non-exclusive compulsory licenses under prescribed circumstances to overcome
abusive practices, so long as adequate compensation is paid.
Thus, there is scope for nations to promote competition in the operation of patent and
trademark licensing. In this context, however, note that many foreign enterprises remain
frustrated by the intrusive examination procedures employed by licensing authorities in
approving technology contracts (Maskus, et al, 1998). Thus, some balance must be struck
between encouraging competition and discouraging entry.
Countries must also consider their position on the exhaustion of IPRS. Countries generally
observe a “first-sale doctrine” under which domestic sale of a protected good eliminates rights to
prevent its further sale, which helps promote competition. The issue is more controversial
internationally, where recognizing exhaustion implies allowing parallel imports or exports of
protected goods. There are again complicated tradeoffs here. Generally an exhaustion principle
promotes market integration and disciplines monopoly pricing, suggesting that it is
procompetitive. However, poor countries may benefit from market segmentation if it encourages
foreign firms to sell their goods at lower prices than in rich countries. Until further information is
developed on this score, governments might be advised to pursue a policy of international
exhaustion. Finally, public-health authorities might follow the lead of many developed
economies in establishing a regime of price regulation in patented pharmaceuticals for purposes

of limiting prices paid by patients and hospitals and restraining the costs of public provision of
health care. Evidence shows that such regulation significantly restrains prices but also
discourages pharmaceutical innovation in countries that follow them, so again a balance between
objectives needs to be struck (Danzon, 1997).
4. Conclusions
Economic theory demonstrates that IPRS could play either a positive or negative role in
fostering growth and development. The limited evidence available suggests that the relationship
is positive but dependent on other factors that help promote benefits from intellectual property
protection. In brief, IPRS could be effective and market-based mechanisms for overcoming
problems that exist in markets for information creation and dissemination. However, their
existence could pose problems in terms of their potential for costs and anticompetitive abuse.
Accordingly, modern IPRS systems are not sufficient by themselves to encourage effective
technology transition. Instead, they must form part of a coherent and broad set of complementary
policies that maximize the potential for IPRS to raise dynamic competition. Such policies include
strengthening human capital and skill acquisition, promoting flexibility in enterprise
organization, ensuring a strong degree of competition on domestic markets, and developing a
transparent, non-discriminatory, and effective competition regime.
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2018

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JEAR Executive Editor:

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Presentation Formats ................................................................................................................................... 3

Analysis and anticipation of stress factors in the workplace .................................................................... 15

What is Good Public Discourse? An Annotated Bibliography ..................................................................... 30

Kohlberg's stages of moral development and criticisms ............................................................................ 73

The changing role of marketing in the corporation .................................................................................... 82

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Overview of Environmental Law ............................................................................................................... 110

The Idea of Restorative Justice ................................................................................................................. 131

Introduction to Tax Policy Design and Development ............................................................................... 139

Intellectual property rights and economic development ......................................................................... 146

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HAVE HOSPITALIZED CHILDREN

Niman Bardhi, MA,

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Eglantina Kraja, MA,

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1.The concept of stress

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1.2 Stress and lack of interest in work

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2.1 Study Design

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2.3 Collection and data analysis

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Tab. The correlation between the degree to assess the "burnout"

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Lack of control over your work 8 5.5 200

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Barlw D. (1969). Clinical handbook of psychological disorders, fourth edition

Ferdinando Pellegrino. (2009). Sindromi i Burn-out , Torino, Centro Scientifico EDITORE.

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Llazarus, R. (1981). The stress and copying paradime. In C.Eisdorfer, D. Cohen, A.

Nushi, P. (2002). Psikologjia e përgjithshme 1. faqe 572-575: Libri shkollor

Osmani, Q. (2014). Metodologjia e hulumtimit shkencor në psikologji. Arberiadesigne: Tetovë.

Petttijohn, T.F. (1996). Psikologia.

Sadock’s Kaplan. (2007). Synopsis of Psychiatry, New York.

Sadock’s, K. (2007). Synopsis of Psychiatry, New York (Ramosaj 2002)