communiqué - harvard university 3 in early october, harvard kennedy school dean ellwood joined a...

IN THIS ISSUE

Strengthening Prospects forDemocracy in Myanmar

Innovations Award Finalists Announced

Doubling Shared Prosperity inIndonesia

Crisis Leadership in Japan and Boston

Innovation Landscape Series Published

Student Experiential Learning Projects

Center Welcomes Students & Fellows

CommuniquéAsh Center for Democratic Governance and Innovation Winter 2013 Volume 13

On October 3, 2013, in commemoration ofits tenth anniversary, the Ash Centerlaunched Challenges to Democracy, a pub-lic dialogue series on the issues testingdemocracy in the United States.

Ten years ago, a generous gift from Royand Lila Ash helped found the Ash Centerfor Democratic Governance and Innovation.The Ashes dedicated their lives to servingthe public good in both business and gov-ernment, as well as through extensive vol-unteer and philanthropic endeavors.Through these experiences, Roy Ash—founder of the modern US Office of Man-agement and Budget—came to viewdemocracy as “fragile and in need of realand constant hands-on care.”

Specifically, he and his wife wanted tosupport concentrated scholarly attention “tothe nature, principles, functioning, and con-

tinued innovation and adaptations essentialto a living and effective democracy.”

Today, our readers well know that demo-cratic governance in the United States isbeing strained. Economic inequality threat-ens to undermine the principle of politicalequality upon which our country is founded.American democracy is also being chal-lenged by the expansion of presidentialpower, immigration, threats to the principleof one-person/one-vote, political polariza-tion, the risks and opportunities created bydigital technologies, and by the decline ofpopular movements.

“Democratic governance in the UnitedStates is being tested on many fronts andthis public dialogue is intended to focus onthese very significant threats,” said CenterDirector Tony Saich, Daewoo Professor ofcontinued on next page

The Roy and Lila Ash Center for DemocraticGovernance and Innovation advances excel-lence and innovation in governance and pub-lic policy through research, education, andpublic discussion. Three major programs sup-port our mission: the Program on DemocraticGovernance; the Innovations in GovernmentProgram; and the Rajawali Foundation Insti-tute for Asia. The Ford Foundation is a found-ing donor of the Center.

Ash Center Launches Public Dialogue on Challenges to Democracy

Tom Ashbrook, host of NPR's On Point, leads a live taping of the show discussing “Inequality vs. Democracy”

with panelists Chrystia Freeland, Liberal Party Candidate for Canadian Parliament, Professor Martin Gilens, Princeton

University, and HKS Professor Alex Keyssar at the John F. Kennedy Jr. Forum at Harvard Kennedy School

2 Communiqué Winter 2013

International Affairs. “In the spirit of Roy andLila Ash, through Challenges to Democracywe will not simply name the greatest threatsour democracy faces today, but will put for-ward and give due attention to the promis-ing solutions we need.”

Saich and Ford Foundation Professor ofDemocracy and Citizenship Archon Fungwill lead the series of high profile eventsincluding lectures, panel discussions, andbook talks as well as film screenings, the-ater performances, and workshops. Chal-lenges to Democracy will assemble thenation’s leaders in thought and in practice,from scholars and policymakers to publicintellectuals, journalists, and artists, tobroaden and deepen public dialogue aroundhow we might preserve and adapt our dem-ocratic form of government.

The series will also seek to engage thepublic, inviting broad participation throughcommunity and cultural events, highlightingcomments and ideas from readers andevent participants, digital media, and otherplatforms for deliberation.

Challenges to Democracy was launchedwith a standing room-only JFK Jr. Forumevent featuring a panel discussion moderat-ed by radio host Tom Ashbrook on thethreat economic inequality poses to thehealth of American democracy. The eventwas broadcast the next day as part ofWBUR and NPR’s On Point radio program.Our guests were Chrystia Freeland, authorof Plutocrats; Princeton Professor MartinGilens; and Alex Keyssar, Matthew W. Stir-

ling Jr. Professor of History and Social Poli-cy at Harvard Kennedy School.

Upcoming events include partnering withthe American Repertory Theater (A.R.T.) ontwo theatrical performances. Following theOctober 12 performance of RobertSchenkkan’s “All The Way” was a discus-sion of the play, President Lyndon Johnson,and civil rights with Keyssar. JoiningKeyssar was acclaimed actor Michael McK-ean, who played the role of Jay EdgarHoover. In December, the Center will workwith A.R.T. to host a discussion after a per-formance of “The Heart of Robin Hood” byDavid Farr.

In addition, the Center is partnering withthe Harvard Film Archive to host a screeningof the 1949 classic All the King’s Men onDecember 6. Accompanying the film will bea discussion on how politics has or has notchanged in the last six decades and on thehealth of American democracy today. A ret-rospective film series is also in the works,tentatively featuring public discussions andscreenings of films such as Frank Capra’sMr. Smith Goes to Washington and State ofthe Union.

Challenges to Democracy will also fea-ture more traditional academic eventsincluding our ongoing Democracy Seminarseries led by Fung. Topics this fall included“Dollarocracy: How the Money and MediaElection Complex Is Destroying America”and “Leading a Nation of Devils: How to GetThings Done in a Democracy.”

A November panel discussion featuringHKS faculty Tom Patterson, David King, andFung addressed the executive’s relationshipwith the legislative branch in light of therecent federal government shutdown andnarrowly avoided default. The panel delvedinto the complex issue of the shifting natureof power between the two branches, andasked how have different presidents, in rela-tion to Congress, approached leadershipand authority, and negotiation and compro-mise? The panel considered whether parti-san brinkmanship is the new norm both inCongress and in the relationship betweenthe president and Congress, and askedwhat is driving the current gridlock andwhere is the greatest potential for change?

Throughout the series, a blog will capturethe best stories, ideas, and lessons of eachevent. The blog will also explore ways thatAmerican democracy is being tested, digdeeper into possible solutions, welcomeguest posts, and highlight the frontiers ofresearch on democratic governance fromthe Ash Center and beyond. The Challengesto Democracy website may be found athttp://bit.ly/1akua8s.

Challenges to Democracy is intended tobe a public dialogue. To that end, we wel-come readers to submit ideas for futureevents, speakers, partners, and topics. Weare excited to include the entire Ash Centercommunity in commemorating our 10thanniversary, and in exploring a timely set ofissues with relevance to us all.

continued from cover

In the News

Tom Ashbrook, host of On Point Professor Martin GilensProfessor Alex Keyssar and Chrystia Freeland

www.ash.harvard.edu 3

In early October, Harvard Kennedy SchoolDean Ellwood joined a team from the AshCenter led by Director Saich on a trip toMyanmar to seek the views of policymakersand other stakeholders on how the Schoolcan continue to support Myanmar’s develop-ment and transition through research, train-ing, and dialogue. The Dean, Saich, and theCenter’s team—comprised of Senior AdvisorThomas Vallely, Vietnam Program DirectorBen Wilkinson, and Executive Director JulianChang—met with a number of prominentpolitical figures including the speaker of thehouse, the minister in charge of peace nego-tiations with ethnic factions in the country,and the former minister of industry who is

now a close advisor to the president ofMyanmar. In addition, the group met withAung San Suu Kyi, the leader of the NationalLeague for Democracy (NLD) who was rec-ognized in 1991 with the Nobel Peace Prizefor her nonviolent work to promote democ-racy and human rights in the country.

Since her visit to Harvard in September2012, during which she spoke at the John F.Kennedy Jr. Forum, Aung San Suu Kyi hascontinued her effort to work through theparliament to advance the NLD’s policy pri-orities. She is deeply concerned withstrengthening the rule of law in Myanmar,believes that Myanmar must transition to aform of federal government, and views the

development of more robust legal institu-tions, including an independent judiciary, ascritical to improving public governance.When asked how the Ash Center could bemost valuable to the country, Aung San SuuKyi discussed the need for agricultural mod-ernization and mechanization (as discussedin the Center’s reports) and weaknesses inthe area of human capital development,especially in education. Indeed, in the early1950s, Rangoon University was consideredthe best in Southeast Asia. More generally,Burma was seen as the bright hope fordevelopment in the region due to its humancapital infrastructure as well as its rich natu-ral resources. As Saich regretfully observes,it is an “extraordinary achievement by themilitary junta that they were able to holdback development for 60 years.”

In addition to meeting with the politicalelite, the Ash Center team felt it was imper-ative to also embark on field visits wherethey could meet with rural villagers and rep-resentatives from Myanmar’s ethnic groups.Indeed, the Center’s involvement in Myan-mar began with a focus on the rural agricul-tural economy. In 2008, the Center wasapproached by Proximity Designs—a socialenterprise organization based in Myanmarand founded by two HKS midcareer gradu-ates—to undertake a series of policy stud-ies. Proximity’s extensive network—theyhave a presence in 10,000 villages aroundthe country—has enabled the Center’sresearch team to infuse its work with sensi-tivity to local conditions and needs. Since2009, the team has produced over a dozenreports analyzing the political and economicconditions in Myanmar, and proposing spe-cific reforms. These reports, primarily fund-ed by the Royal Norwegian Government,may be accessed in their entirety by visitinghttp://bit.ly/177clZK.

The “Dry Zone” in central Myanmar cov-ers large parts of the Magway and Man-dalay divisions as well as the southernportion of Sagaing division. The zone coversan eighth of total area in Myanmar and aquarter of its population. It has long beenwell known for low rainfall, but recentdroughts and irregular rainfall have made

In the News

Strengthening Prospects for Democracy in Myanmar

A farmer stands on his oxcart in the Shan State, Myanmar

A man harvests vegetation on Inle Lake in Myanmar

Ash Center Director Saich meets with Aung San

Suu Kyi in Myanmar


farming even more difficult. In addition, manytraditional water storage practices haveproven to be inadequate and there are sea-sonal shortages of drinking water for peopleand livestock. After traveling by oxcart, theAsh Center team met with villagers in asmall town in the Dry Zone where there isno electricity and no clean water source.Proximity is currently working to dig a com-munal well to sustain the villagers througheach year’s dry period. In another village,Proximity has introduced low-cost footpumps for irrigation as well as solar lights.For those farmers that cannot afford to payfor a pump, Proximity is now developing amicroloan program. The villagers comment-ed to the Dean and Saich that their incomehad risen significantly after the introductionof these technologies.

In contrast, the Shan State in the north isan area is one of rolling hills and generallyample rainfall. The state covers a quarter ofthe area of Myanmar and has a populationestimated at nearly a tenth of the nationaltotal. Its main ethnic group is the Shan, butthere are 10 other major ethnic groups in thestate, some with semi-independent areasunder their ethnic control. Rice, tea, fruits,and vegetables are grown. In addition, thereare rich deposits of rubies, precious metals,lead, and zinc. In talks with the team from theAsh Center, ethnic leaders emphasized their

initiative’s website publishes numerous arti-cles on how data drives innovation in differ-ent policy areas and offers resources forinterested officials to begin data projects intheir own communities. It also hosts guestposts from many city leaders workingdirectly on data projects. Issue areas cov-ered include civic engagement, open data,public safety, and urban infrastructure.Recent posts include a video interviewabout New York City’s integrated socialservice data, an assessment of the emerg-ing role of the Chief Data Officer, and an analysis of how new technology enablesmore efficient, sensor-driven dynamic pricing for parking. The Data-Smart CitySolutions website may be found at datasmart.ash.harvard.edu.

Data-Smart City Solutions is funded byBloomberg Philanthropies and the John D.and Catherine T. MacArthur Foundation andis an initiative of the Ash Center’s Innova-tions in Government Program, which recog-nizes and promotes creative and effectiveproblem-solving by governments and citi-zens. Other initiatives of the Program includethe Innovations in American GovernmentAwards, which recognizes and promotesexcellence and creativity in the public sector,and Better, Faster, Cheaper, an onlineresource dedicated to presenting smartideas that deliver greater public value andlower the cost of government services pub-lished on Governing.com.

continued from previous page

In the News

One of the Ash Center’s newest programs isData-Smart City Solutions, an initiativeresearching all aspects of the use of data inlocal government, from open data to predic-tive analytics. Program Director StephenGoldsmith, Daniel Paul Professor of Govern-ment at Harvard Kennedy School and direc-tor of the Center’s Innovations inGovernment Program, hopes to catalyze theadoption of data-related projects in localgovernment, and has created a website toserve as a central resource for governmentofficials interested in this emerging field.Each week, the project highlights successfuluse cases and best practices on its websiteand social media presences.

“Cities need and now can secure newtechnologies that will allow public employ-ees to find and solve problems, often beforethey even occur,” said Goldsmith. “Big data,crowdsourcing, and other innovative tech-nological solutions offer city officials awealth of new resources for improvingeffectiveness, but the sheer volume of newtools available can be daunting. We havedesigned Data-Smart City Solutions to be ago-to resource as cities embrace all thattechnological innovation has to offer.”

Data-Smart City Solutions highlights bestpractices, curates resources, and supportscities embarking on new data projects. The

Data-Smart City Solutions

desire for a revenue sharing plan with thecentral government to allow them to invest inroads, electricity, and better education. Cur-rently, the government extracts much of thearea’s wealth with little direct benefit to theShan State. There have been clashes overthis and other issues for decades, althoughsome ceasefire agreements are under varyingstages of development.

To promote mutual understanding, theDean and the Center have been asked todevelop trainings that bring together Myan-mar’s various factions. While discussions

are still nascent, it is hoped that by trainingboth leaders from the central governmentand the ethnic states in the concept of federalism and its demands, peace anddemocracy can be advanced in the country.

Research Brief

HKS Dean Ellwood operates an irrigation pump

in Myanmar


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In the News

In November, the Ash Center announced the finalists for this year’sInnovations in American Government Award. These five programsrepresent innovations at the city, county, state, and federal levels ofgovernment and were selected from a pool of over 600 initial appli-cants after rigorous rounds of evaluation. The Innovations Awardwinner will be announced in late 2013.

Funded by the Ford Foundation, the Innovations in AmericanGovernment Award Program identifies and promotes excellence inthe public sector. Winners are chosen based on novelty, effective-ness, significance, and the degree to which their innovations caninspire replication in other government entities. Past winners offerunique solutions to a range of issues including economic opportuni-ty, public health, education, juvenile justice, and environmental man-agement. Many programs act as harbingers for reform, and ofteninform research and academic study around key policy areas both atHarvard Kennedy School and academic institutions worldwide.

“These finalists demonstrate the many ways innovative leadersbuild engaged, healthy, and safe communities through public-sectorinnovation,” said Stephen Goldsmith, a past winner of the Innova-tions Award and current director of the Innovations in AmericanGovernment Program. “We are pleased to recognize these innova-tive initiatives, and encourage other government entities to replicatetheir effective solutions to public problems.”

This year’s finalists are:

Challenge.govGeneral Services AdministrationChallenge.gov is the federal government’s online portal for runningchallenge and prize competitions. Challenges allow the governmentto crowdsource solutions to problems in a contest format, bringingdiversity in solutions and contributors. This is a pay-for performancemodel that saves money on key initiatives and broadly drives inno-vation within and beyond government.

Healthy IncentivesKing County, WAKing County moderated its healthcare costs through incentivizingimproved employee health and the use of higher quality health care.A benefit plan rewards employees with lower out-of-pocket expens-es for choosing quality health care and participating in wellnessactivities, while work through a regional collaborative drives healthcare quality improvements.

Mayor’s Office of New Urban MechanicsCity of Boston, MAThe Mayor’s Office of New Urban Mechanics (MONUM) offers anapproach to civic innovation focused on delivering transformativecity services to residents. MONUM focuses on a broad range ofareas from increasing civic participation and improving city streetsto boosting educational outcomes.

Neighborhood Revitalization InitiativeDepartments of Education, Justice, Health and Human Services, Housing andUrban Development, and TreasuryThe Neighborhood Revitalization Initiative (NRI) is a federal strategythat aligns and targets efforts of the Departments of Education, Jus-tice, Health and Human Services, Housing and Urban Development,and Treasury to revitalize the nation’s most distressed neighbor-hoods. Through interventions addressing persistent crime, failingschools, crumbling housing, and health disparities, NRI tackles theinterconnected causes of neighborhood distress.

Smart Roadside Inspection SystemState of New MexicoThe Smart Roadside Inspection System identifies high-risk truckswithout interfering with the flow of commerce by integrating special-ized roadside imaging systems with multiple back-end data net-works that instantaneously synthesize disparate pools of data intovaluable information.

The Innovations in American Government Awards was createdby the Ford Foundation in 1985 in response to widespread pes-simism and distrust in government’s effectiveness. Since its incep-tion, nearly 500 government innovations across all jurisdiction levelshave been recognized and have collectively received more than $20million in grants to support dissemination efforts.

Innovations in American Government AwardFinalists Announced

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cross-section of academics, policymakers,research institutions, and the media, andwas reported in media outlets including twoof Indonesia’s leading newspapers, theJakarta Globe and Kompas. The report’sauthors hope when the Indonesian transla-tion is published later this year its reach willextend to those outside the central govern-ment in Jakarta.

Constraints on Indonesia’s FutureThe binding constraint to accelerating

sustainable, inclusive growth is that Indone-sia exploits neither the benefits of being alarge country nor its international dynamiccomparative advantage. Indonesia is besetby local economic fragmentation and globaleconomic marginalization. The reportobserves that growth in the country is fueledby mostly raw material exports and naturalresource extractions, which provide no sig-nificant added value. This results in joblessgrowth because most jobs are currently tiedto variable commodity prices as opposed tomore stable and expandable industries suchas manufacturing. Further, strengthening themanufacturing industry would allow thecountry to become more competitive byplugging into the global supply chain.

So, at present, “the sum is worth less thanthe parts.” And, instead of just measuringIndonesia’s growth by quantifying it, theauthors further ask “What is the quality ofIndonesia’s growth; is it sustainable and equi-table?” In measuring growth not just by look-ing at GDP, but also by looking at GDP percapita, it becomes clear that the gap betweenrich and poor in the country is growing. Thereport also assesses inequality by comparingincomes and societal well-being for urbanand rural populations, for Java and the outerislands, and for men and women. In all ofthese areas, the gaps are widening.

Three Paths ForwardSaich notes that while the findings are

discouraging, the Center’s analysis and recommendations reflect a cautiously opti-mistic view that the report’s recommenda-tions are achievable, even in Indonesia’scurrent challenging political landscape. Theauthors assert that the nation has a choiceof three future development paths: reactive,proactive, and transformative. Reactive bestdescribes the government’s currentapproach of “muddling through”; proactiverefers to policies pursued in response tomajor crises such as the widespread malnu-trition and rural poverty in the 1960s and the

Research Brief

Formerly an authoritarian state, Indonesiahas made impressive gains since PresidentSuharto’s resignation in 1998 as the world’sfirst majority Muslim, multiparty democracy.The country’s successes and challenges asa new democracy were the subject of theAsh Center’s 2010 report “From Reformasito Institutional Transformation: A StrategicAssessment of Indonesia’s Prospects forGrowth, Equity, and Democratic Gover-nance.” A new report, also from the Center’sHKS Indonesia Program, builds on the find-ings of the first to propose specific policiesto achieve transformation in Indonesia. “TheSum Is Greater Than the Parts: DoublingShared Prosperity in Indonesia ThroughLocal and Global Integration” addresses thegovernment of Indonesia’s primary develop-ment objective, which is to join the ranks ofupper middle-class income countries by2025. The report’s authors argue that cur-rent policies will keep this goal out of reachand that Indonesia will fall short in threefundamental dimensions: growth will be job-less, competitiveness will decline, andinequality will rise.

But there are reasons to be optimistic. AsJay Rosengard, faculty chair of the AshCenter’s HKS Indonesia Program, notes,under Reformasi there are now direct elec-tions of all levels of government, from thevillage chiefs up to the president—some-thing that still eludes citizens of the US.And, as Indonesia approaches a season ofpresidential and parliamentary elections in2014, it is hoped that the report’s sugges-tions will be debated among candidates andthat whoever is elected might find it a valu-able resource in planning Indonesia’s future.Harvard Kennedy School Dean Ellwood andCenter Director Saich traveled to Jakarta inSeptember to attend the report’s launchevent hosted by the Vice President’s Nation-al Team for Accelerating Poverty Reduction.In addition to remarks made by the Deanand Saich, Emil Salim, an eminent Indone-sian economist and former minister, andDeputy Trade Minister Bayu Krisnamurthycommented on the report’s timeliness andrelevance. The event was well attended by a

Second Ash Center Report onIndonesia

A security guard walks at the site of a groundbreaking ceremony for the construction of a railway in Jakarta, Indonesia


collapse of oil prices in the 1980s; andtransformative, or fundamental metamorpho-sis, characterizes the policies that enabledthe “Four Asian Tigers” (Hong Kong, Singa-pore, South Korea, and Taiwan) to becomehigh-income nations. In the report’s preface,Saich puts forth its primary recommenda-tions: “The key to both local and global inte-gration is the same: greater investment inenabling hard infrastructure such as roads,ports, and power; improved soft infrastruc-ture in the form of better government andgovernance; and development of humanresources through more effective educationand training.”

The report offers in-depth recommenda-tions for each element of this three-prongedapproach and includes a chapter thataddresses the political economy in Indone-sia, i.e., how to get things done. Finally, thereport concludes “None of the difficulties

the GOI [Govern-ment of Indonesia]will face in promot-ing and sustainingthe reforms neededto achieve rapidand inclusivegrowth is insur-mountable. The keychallenge will be toseriously pursuerobust, sustainedeconomic reform in

the interests of the whole population ratherthan particular individuals or select groups.”

While the report was written by theresearch team at the Ash Center, led byCenter Director Saich, it is important to notethat the research process was designed tobe consultative and included roundtablediscussions with leading policymakers andacademics in Indonesia, as well as field vis-its outside of Jakarta. This approach helpedinsure inclusivity when establishing the find-ings of the report and defining its recom-mendations. Please visit ash.harvard.edu toread the report.

This year, the Ash Center entered into apartnership with the China Research Centeron Comparative Politics and Economics(CRCCPE), a leading think tank in China,which also administers the China LocalInnovations Program, a sister program ofthe Center’s Innovations in American Gov-ernment (IAG) Awards. The goal over thenext five years is to cultivate talented youngChinese individuals in the field of govern-ment innovation and social innovation. Dur-ing this time, the CRCCPE will send two tothree scholars each year to study at theCenter and conduct research, utilizingresources from the Center, including itsInnovations in Government Program, andHarvard Kennedy School more broadly.Research activities will include attending rel-evant events, conducting interviews, andutilizing the database of the IAG program.

In September 2013, the Ash Center wel-comed the first three scholars from China.

The Ash Center and the Carnegie Corpora-tion of New York have established new fel-lowship program that will support Arabsocial scientists who are working on theregion’s most pressing public problems—particularly in the realms of education,health, social welfare, and political and eco-nomic reform. As Egypt, Libya, Tunisia,Yemen, and elsewhere strive to implementreforms, there is a heightened need for rig-orous social science in the Arab world. Ithas become apparent that the task ofunseating dictators is only the first step; itmust be followed by the arguably more difficult task of constructing and recon-structing public institutions that have beendeliberately weakened by decades ofauthoritarianism, corruption, neglect, andmismanagement. Establishing transparentgovernment, strengthening the capacity of the state, and promoting the develop-ment of human capital are all critical chal-lenges for the region.

In the News

Sino-US Training Program in Social Innovation

Carnegie Centennial Fellowships

Xuelian Chen is associate professor anddirector of the Social Survey Office at CRC-CPE. Her main research interests includelocal governance, government innovations,government accountability, and politicallegitimacy. During her time at the Center,Chen will be comparing policy innovationsand social accountability in the UnitedStates and China. Yu Junbo has been anassociate professor at China’s Jilin Universi-ty School of Administration since Septem-ber 2010 and a director of the Jilin’sE-Government Department since 2012. Hisresearch will look at political reformadvanced by Chinese local governmentinnovations. Liu Xuehua is a professor anddeputy dean of public administration at theJilin’s School of Administration. During histime at the Center, he will conduct a com-parative project on civic participation inpublic service in the US and China.

The Centennial Fellows program willenrich public policy research in and on theArab world by bringing Arab scholars to-gether with Kennedy School faculty workingin such areas as transparency, institutionaldesign, social policy, and the empirical eval-uations of policy impacts. The resulting col-laborations—that will range from sustainedacademic discussions to joint researchpapers and projects—will benefit from themarriage of deep local knowledge and cut-ting-edge social science research.

The first fellows will take up residence atthe Ash Center in the fall of 2014.


researchers are also diagnosing issues inthe law enforcement operations that leaveroom for further improvement.

The Great East Japan Earthquake: TheTriple Disaster of March 11, 2011Immediately following a 9.0 earthquake offits eastern coast, Japan suffered a cata-strophic tsunami—as high as 20 meters andpenetrating as far as 5 kilometers from theshore—along 650 kilometers of coastline. Atthe Fukushima Daiichi nuclear plant, thetsunami knocked out the reactor coolingsystem, which led to overheating of fuelrods and explosions, spewing radiation sig-nificant distances from the plant and intothe sea. Eventually, residents were evacuat-ed from their homes within a radius of 30kilometers of the plant—areas that remainunoccupied to date.

A PCL team comprised of Arn Howitt,Assistant Director David Giles, andResearch Fellow Hiromi Akiyami spent twomonths in Japan each of the past two sum-mers extensively interviewing officials in thenational government, the three most hard-hit prefectures, and several cities along thecoast that suffered from the tsunami. Theyhave been learning how the emergencyresponse was conducted in the harrowingdays and weeks after the disaster—howsurvivors were rescued, sheltered, andcared for, and how the 20,000 dead were

found and identified. In addition, theresearchers have been studying the meth-ods and effectiveness of the multilevel dis-aster recovery efforts in the stricken Tohokuregion.

PCL expects to follow the recoveryefforts in one more summer of research,ultimately writing a book that assesses theresponse and recovery process. Severalpapers are in preparation, as well as ateaching case study on the emergencyoperations.

Leonard and Howitt have published prelimi-nary results of the Marathon bombing studyin two papers: “Boston Marathon BombingResponse” and “The Medical Response tothe Boston Marathon Bombings.” Earlyresults of the Japan project are also avail-able in “An Incident Management Systemfor Japan?” and “Systems Failure.” These papers can be downloaded athttp://hvrd.me/1bfM7RV. In addition, Howittdelivered a seminar at the Harvard AsiaCenter on Japan’s emergency response tothe triple disaster, which is available athttp://vimeo.com/52488882.

Crisis Leadership in Action

Researchers from the Ash Center’s Programon Crisis Leadership (PCL) are intensivelyprobing two recent, major—but quite differ-ent—emergency events to develop lessonsabout preparedness, crisis operations, anddisaster recovery.

The Boston Marathon Bombing This past April, the running of Boston’siconic marathon was tragically interruptedby two bomb blasts at the finish line thatleft three people dead at the scene anddozens grievously injured.

With remarkable swiftness, the woundedwere stabilized and transported to areatrauma centers, where emergency medicalworkers saved the life of every victim. Thebombing also triggered a massive lawenforcement effort—involving local, state,and federal agencies over five days—to col-lect evidence and identify the suspects. Ashootout with the two suspects left onedead and the surviving one was apprehend-ed following an intensive manhunt, duringwhich about 1 million residents of theBoston area, at the request of Massachu-setts Governor Deval Patrick, were voluntar-ily “locked down” in their homes andbusinesses were closed.

Overall, the emergency medical responsewas highly effective; and, while there weredefinite rough edges around the policeresponse, the degree of cooperation amonglaw enforcement agencies—and betweenthem and the public—was unprecedented.

PCL co-directors Dutch Leonard and ArnHowitt, working with Christine Cole, execu-tive director of the HKS Program in CriminalJustice Policy and Management, attributethese results to dramatic improvementsover the past decade in the Boston region’spreparedness for emergencies at large-scale, fixed events such as the Marathon.Detailed planning, training, exercises, cross-organizational collaboration, and the experi-ence of regularly running major events suchas the Fourth of July celebration, nationalpolitical conventions, and professionalsports championships, all have fosteredskills and cooperative relationships that paidoff during the Marathon crisis. The

Research Brief

The gymnasium in Rikuzentakata, Japan, where hundreds had taken shelter, was destroyed by the tsunami

on March 11, 2011


On the Bookshelf

Research Brief

Center Publishes Papers on “Improving the Local Landscapefor Innovation”

The Ash Center has published a miniseries titled “Improving theLocal Landscape for Innovation” as part of its Occasional PapersSeries edited by Tony Saich, director of the Ash Center andDaewoo Professor of International Affairs. The three papers werewritten by Tim Glynn-Burke, research associate at the Center; GigiGeorges, former program director for the Ash Center’s InnovationStrategies Initiative; and HKS alumna Andrea McGrath ’05.

The authors note that some city leaders are reframing innovationfrom a value-based concept to a concrete goal with specific targetsin the same manner they have transformed their approach to valuessuch as efficiency and transparency. The authors also observe thatcities across the country are working to strengthen the civic, institu-tional, and political building blocks that are critical to developingnew solutions to public problems—or what the authors call the localinnovation landscape.

“An innovation team can look beyond formulating and incubatingnew technologies, service improvements, or policy innovations,”

says Glynn-Burke. “They can help build a robust pipeline of bothinnovators and ideas from across the city or help the most promisingideas to scale, including mobilizing the political will for measuredrisk-taking and change.”

The first paper in this series, “Mechanics, Partners, and Clusters,”presents three case studies exploring current efforts to drive innova-tion in Boston, Denver, and New York City. The paper also orients theminiseries within the robust discourse on government innovation.

In their second paper, “Framework for an Innovative Jurisdiction,”the authors introduce a framework to help cities improve the locallandscape for innovation, developed and refined through interviewswith dozens of city officials, online forums, first-person accounts,practitioner surveys, fieldwork, and a review of existing literature. Theframework proposes three primary strategies—building the city’s col-lective capacity for innovation, rethinking policy to open the space forinnovation, and developing a culture of innovation—with three com-ponents to each strategy.

The third paper, “Assessment and Implementation,” focuses onimplementation of these strategies and components. It introduces anassessment tool that includes objectives, key questions, and sampleindicators in support of the nine components of the framework. Theassessment tool differs from traditional performance managementsystems in that it focuses on the structural conditions that encourageinnovation. The authors further conduct a conceptual test of theframework and assessment tool using the Center for EconomicOpportunity in New York City, which won the 2012 Innovations inAmerican Government Award.

“I am happy to present this miniseries to practitioners and fellowscholars alike,” remarked Tony Saich. “As the authors make clear,this project is not a definitive statement on the most effective innova-tion strategies but rather is intended to stimulate a much needed,and what we think will be a welcomed discussion on how to driveinnovation in public problem-solving.” To that end, the papers havebeen made available on the Ash Center website and the GovernmentInnovators Network portal. The papers were also republished in theirentirety by the Philadelphia Social Innovations Journal for their fall2013 issue on government innovation. The papers may be down-loaded at http://bit.ly/Hm5NuL.


Event Snapshots

China Goes Global

The countries represented by the Global Public Innovation Network

China Goes Global ConferenceSeptember 25–27, 2013The 2013 China Goes Global conference held September 25–27 atJacobs University in Bremen, Germany, brought together almost100 scholars and researchers from 19 countries to discuss variousaspects of the globalization of China’s enterprises. One of onlythree German city-states, the historic town of Bremen has longbeen known as a center of German’s maritime trade and entrepre-neurship and is home to an increasing number of Chinese compa-nies. In conjunction with the academic presentations, a parallelgathering drew dozens of local business people interested in theimpact of China’s economic expansion on German businesses.

With keynotes by recognized academics in the field of interna-tional business as well as the Swiss chief negotiator for the Govern-ment Procurement Agreement of the World Trade Organization, theconference highlighted the ever-increasing presence of Chineseorganizations in many different arenas of political and economicactivity. The conference started with an opening gathering at thehistoric Bremen Rathaus with welcomes by the local senator andPresident Peitgen of Jacobs University. Six parallel sessions duringthe next two days examined policy issues such as shifting powerbalances between China and the United States, implications of Chi-nese currency internationalization, and government influence onChina’s “going out policy,” which encourages Chinese enterprisesto invest overseas. Firm-level studies looked at FDI (foreign directinvestment) location choice, strategic management issues, as wellas the impact of culture and language on globalization.

The conference was sponsored by the newly incorporated Chi-nese Globalization Association in conjunction with the Ash Center,Jacobs University, Rollins College’s China Study Center, and theScheller College of Business at Georgia Tech.

Global Public Innovation Network ConferenceOctober 3–4, 2013In early October, the Ash Center participated in the Global PublicInnovations Conference in Quezon City, the Philippines, a two-dayevent highlighting cutting-edge innovations in public management.The conference was organized by the Galing Pook Foundation incelebration of the 20th anniversary of the Galing Pook Awards. ThePhilippines’ Galing Pook Foundation is a member of the GlobalPublic Innovation Network, which also includes the Center’s Innova-tions in American Government Awards and eight other sister pro-grams from China, South Africa, Brazil, Chile, Peru, Mexico, and theAmerican Indian Tribes in the US. Good governance championsaround the world came together to share innovations and bestpractices, offer technical assistance to aspiring local governmentswilling to adopt proven initiatives, and forge new networks aroundpublic innovation.

Conference breakout panels focused on a number of themes,including climate change, disaster risk reduction, and environmentalprotection; conflict management and resolution; economic develop-ment and poverty reduction; service delivery; transparency and

Brazil

United States

Philippines Mexico

Peru

Chile

South Africa

China


Event Snapshots

accountability; and e-governance. The final plenary session includ-ed a roundtable of eight members of the Global Public InnovationNetwork, who discussed lessons learned from their respective inno-vation award programs around the world.

Through support from the Ford Foundation, the Global PublicInnovation Network was established in 2002 to enhance the collab-oration among innovations award programs for shared learning andglobal dissemination of individual and collective knowledge andexperiences. Network activities include workshops, research, andpublications that demonstrate the group’s fundamental belief thatgovernment can be improved through the identification and dissem-ination of examples of effective solutions to public-sector problems.

Ash Center Hosts Global Tax Policy Conference with Irish Tax InstituteOctober 17–18, 2013Two hundred and sixty delegates, representing 30 countries, attend-ed the Ash Center’s Global Tax Policy Conference in October.Cohosted with the Irish Tax Institute and convened at Dublin Castlein Ireland, the objective of the Conference was to provide expertperspectives on the challenges facing the world’s tax policymakersand administrators.

Pascal Saint-Amans, director of the Center for Tax Policy andAdministration at the OECD, opened the Conference. Pascal’s pres-entation focused on the OECD’s Base Erosion and Profit Shiftingproject, which became a recurring and influential theme throughoutthe event.

Two days prior to the Conference opening, Ireland’s FinanceMinister Michael Noonan presented the annual budget to the Parlia-ment. Minister Noonan delivered a keynote address about Ireland’sfiscal policy and its international corporation tax strategy at theConference’s gala dinner. Also that evening, Irish Tax Institute Presi-dent Helen O’Sullivan conferred an Honorary Fellowship of the Insti-tute on our own Jay Rosengard in recognition of his contribution toglobal tax research and education. This was only the fourth time theInstitute has bestowed this honor in its 46-year history.

The chairman of the Irish Revenue Authority, Josephine Feehily,who also currently chairs the OECD Forum on Tax Administrationand the World Customs Organization, gave a presentation on thelinks between tax policy design and implementation and what hap-pens when they work well and not so well. Her points were illustrat-ed by speakers presenting case studies from South Africa (ProfessorSharon Smulders), Singapore (Dennis Lui of the Inland RevenueAuthority), and Burundi (Commissioner General Kieran Holmes).

Another highlight was a co-presentation by Doug Shulman, sen-ior fellow at the School’s Mossavar-Rahmani Center for Businessand Government and former IRS Commissioner, and FeargalO’Rourke, Head of Tax & Legal Services PwC Ireland, on the casefor reform of the US tax system and the implications for Europe.

Many alumni of Rosengard’s Comparative Tax Policy and Admin-istration executive education program attended the conferenceincluding Irish Tax Institute CEO Mark Redmond, who was the lead

Lecturer Jay Rosengard presents at the Global Tax Policy Conference in Ireland

The Irish Tax Institute confers an Honorary Fellowship on Lecturer Jay Rosengard

Event Snapshots

Members of the Project on Municipal Innovation (PMI) Advisory Group


HKS Conference partner. With speakers from the IMF, the EU Com-mission, the UK Office for Tax Simplification, the Australian TaxOffice, and many other leading tax institutions from around theworld, this was indeed a global event.

Collaborative Problem Solving in the 21st CenturyAugust 1–3, 2013The Project on Municipal Innovation Advisory Group, formerlyreferred to as the Urban Policy Advisory Group, held its 10th con-vening in August at Harvard Kennedy School. The Project onMunicipal Innovation is a unique forum that enables city hallsacross the country to learn about and implement transformativepolicy ideas. Chiefs of staff and policy directors from 30 of thecountry’s largest cities meet twice annually here at the School. Thetheme of the August meeting was “Collaborative Problem Solving inthe 21st Century.”

The meeting opened with 311 directors, chief innovation officers,and other city IT leaders exploring the idea of call centers as plat-forms for innovation. Susan Crawford, a professor at Yeshiva Uni-versity’s Cardozo School of Law and codirector of HarvardUniversity’s Berkman Center, presented a case study of Boston’sMayor’s Office of New Urban Mechanics. This spurred a wide-rang-ing discussion, from the need for data standards to support collab-oration to the potential for social media and apps to meaningfullyengage citizens.

Harvard Kennedy School lecturer and author Nicco Mele, whodelivered the keynote, spoke to city government leaders about thechallenges and opportunities presented by our smartphone-drivenera of radical connectivity. His talk provided a bridge to the ses-sions on collaborative problem-solving that followed. In an intensiveall-day meeting, city leaders investigated new ways to both fostercollaboration through data-driven collective impact models andfinance large-scale innovations through promising models such as“Pay for Success” initiatives.

China’s Leaders in DevelopmentAugust 29–September 18, 2013Twenty-seven senior Chinese officials from the central government,provinces, and major cities focused intensively on the dilemmas ofrapid urban growth and development in the 11th iteration of theChina’s Leaders in Development (CLD) executive education programheld in Beijing in August and at the Kennedy School in September.

While in Cambridge, participants attended sessions with 23 Har-vard faculty over nearly three weeks. Topics included Americanurbanization in international perspective, urban design patterns,urban service delivery, and infrastructure finance. Participants alsomade a number of site visits in the Boston area to learn about air-port planning at Massport, performance management in Somervillecity government, elderly housing options, and Boston’s redevelop-ment planning process.

Ash Center Director Tony Saich was the program chair, ArnHowitt was co-chair, and Alan Altshuler guided the urban curriculum.

Nicco Mele delivers the keynote for the PMI Advisory Group meeting

Professor Stephen Goldsmith introduces Nicco Mele at the PMI Advisory Group meeting

Ash Center Director Saich and Edward Cunningham with this year’s Asia Energy

Leaders participants

Professor Edward Glaeser teaches a session of China’s Leaders in Development


To develop and sustain the program, the Center works closely withits academic partner, Tsinghua University’s School of Public Policyand Management, as well as with CLD’s government and party spon-sors, the Development Research Center of the State Council, and thecentral Organization Department. CLD has been generously support-ed since its inception in 2001 by Amway (China) Co.

Asia Energy Leaders Training ProgramMay 20–June 7, 2013The Asia Energy Leaders Program convenes premier faculty andsenior energy executives of the Asian region to analyze emergingtrends in energy governance, technology, and markets. In 2013, theProgram designed a tailored curriculum for senior executives of theChina Southern Grid Corporation, China’s second largest electricutility. This three-week training program—held both at the HarvardKennedy School and in New York—equipped executives with newframeworks and innovative approaches to understanding six keyissues: globalization, competitiveness, sustainable development,corporate strategy, low carbon technologies, and energy gover-nance and security. Lectures also sought to provide political contextto such challenges, extending beyond the energy sector to includeoverviews of US politics, institutions, and media, as well as modelsof leadership and persuasion. Visits to GE Crotonville’s LeadershipTraining School and West Point provided real-world comparisons ofpublic and private models of leadership, applying classroom con-cepts to business and government.

In addition to classroom lecture and discussion, participantsengaged in seminars with leading practitioners from establishedand start-up firms, including Duke Energy, Siemens Venture Capital,IBM, General Electric, General Compression, and First Fuel. Finally,classroom frameworks were integrated with on-the-ground experi-ences through site visits to demonstration projects of emerging utili-ty storage technologies, to the world’s largest competitivewholesale electricity market (PJM), and to the New York City FireDepartment’s Emergency Operations Center.

A small coal mine in Southern China represents the energy concerns addressed by the Asia

Energy Leaders Training Program


Research Brief

Ash Center Funds Experiential Learning Projects

The Ash Center is committed to encouraging careers in the publicsector, providing opportunities for students to explore in greaterdepth the topics and questions that interest them most, andstrengthening the connection between students and faculty affiliat-ed with the Center. This past summer, through three of its pro-grams, the Center supported 16 students with research andhands-on work opportunities.

Summer Fellows in Innovation Since 2008, the Center’s Innovations in Government Program hasbeen placing students in summer fellowships with some of the mostcreative and effective public officials and policy advisors in thecountry, not only to learn but to add value by sharing cutting-edgetrends and ideas explored at HKS. This summer, seven HKS stu-dents were hosted by public-sector partner agencies: Scott Hugo, JD/MPP ’15, with the Oakland City Administrator’s Officeand the Oakland Police Department.Dhruv Khullar, MD/MPP ‘14, with the White House Office of Manage-ment and Budget’s Health Division. Alexandra Lawrence, MPP ’14, with the Boston Mayor’s Office of NewUrban Mechanics.Sylvia Leung, MPP ’14, with the San Francisco Department of PublicHealth.Amelia Mann, MPP/MBA ’15, with the US Department of Labor’sChief Innovation Officer. Ben Weinryb Grohsgal, MUP/MMP ’14, with the San FranciscoMayor’s Office of Civic Innovation. Deloris Wilson, MPP ’14, with the Office of the Prime Minister of St.Martin (BVI).

Vietnam Program InternshipsThe Vietnam Program supported two HKS students (plus two stu-dents outside Harvard) with summer internships at the FulbrightSchool in Ho Chi Minh City. Mpumelelo Nxumalo and Rodrigo Sanchez,both MPA/ID students, contributed to the economic developmentresearch being conducted by local faculty.

HKS Indonesia Student Research GranteesThe HKS Indonesia Program awarded summer research grants tothree HKS students and four additional students from across Har-vard, including two doctoral students. The HKS students’ projects,conducted in partnership with local institutions, included social pro-tection and monitoring (Antara Lahiri with UNICEF), water and sanita-tion (Sandra Naranjo with World Bank), and poverty reduction (ClaraPava Torres with the Indonesian Vice President's Office of the Nation-al Team for Accelerating Poverty Reduction).

Amelia Mann

Deloris WilsonScott Hugo


Student Focus2013–2014 New Fellows

Research Brief

Ford Foundation Mason FellowsThe Ford Foundation Mason Fellowships are awarded to meritori-ous midcareer students with financial need and a demonstratedinterest in the overarching issues of concern to the Ash Center tostudy at Harvard Kennedy School for an intensive, one-year mas-ter’s degree in public administration. The Center is sponsoring thefollowing students for this academic year:Gan, Li, Mason Fellow ’14, from China where she worked for SinoTech.com and helped local governments use social media.Jalloh, Gibrill, Mason Fellow ’14, from Sierra Leone where he mostrecently worked for the World Bank Justice for the Poor Program.Sevortian, Anna, Mason Fellow ’14, from Russia where she hasworked in human rights for 15 years.Zitha, Xolani, Mason Fellow ’14, from Zimbabwe where he mostrecently served as director of the Office of the Speaker of theHouse of Assembly at the Parliament.

Roy and Lila Ash FellowsThe Roy and Lila Ash Fellowship in Democracy supports studentswith a strong interest in the broad questions of democratic gover-nance, a capacity for leadership, a commitment to search and inquiry,and a dedication to advancements in social justice and service to citi-zens around the world. This year’s Roy and Lila Ash Fellow is EdgarMora Altamirano, MC/MPA ’14, from Costa Rica, is a former journalistand current serving his second term as mayor of Curridabat.

HKS Indonesia Program Fellows The HKS Indonesia Program offers fellowships to support Indone-sian students enrolled at Harvard Kennedy School. This year’s HKSIndonesia Program Fellows are:Dei Sudarmo, Pramoda, MPA/MBA ’15, from Indonesia where his experience and interests lie at the intersection of business and government.Tan, Jurst, MPA/ID ’15, from Indonesia who has worked to improveIndonesia's social protection programs through both the philan-thropic and public sectors.

Lee Kuan Yew FellowshipThe Lee Kuan Yew Fellows Program brings midcareer students toHKS for one semester each year. From every country in Asia, thesestudents are candidates for the Master in Public Managementdegree at the Lee Kuan Yew School of Public Policy at the NationalUniversity of Singapore. For a complete listing of this year’s LKY fel-lows, please visit http://bit.ly/1dhE0qk.

Democracy FellowshipsThe Ash Center’s Democracy Fellowships support predoctoral andpostdoctoral scholars as well as practitioners in research areasrelated to democratic governance. This year, the following 11Democracy Fellows joined the Center:

Anastasopoulos, Jason, PhD in Political Science, University of Califor-nia, BerkeleyBruno, Jonathan, Joint JD/PhD Candidate, Harvard Law School &Harvard Graduate School of Arts and SciencesCaluwaerts, Didier, PhD in Political Science, Vrije Universiteit BrusselGrajew, Oded, Founder, Sustainable Cities Program, BrazilJaklic, Klemen, Teaching Fellow, Harvard Kennedy SchoolLudsin, Hallie, Human Rights LawyerMacKenzie, Michael, PhD Candidate in Political Science, University ofBritish ColumbiaMcKinley, Maggie, Co-Principal Investigator, University of ChicagoPan, Jennifer, PhD Candidate in Government, Harvard UniversityPerry, Tomer, PhD Candidate in Political Science, Stanford UniversitySmith, Graham, Professor of Politics, University of Westminster

Indonesia Research FellowshipThe Ash Center’s Harvard Kennedy School Indonesia Program offersfellowships to support Indonesian students, scholars, and practition-ers conducting research on public policy issues related to Indonesia.The following six Indonesia Fellows joined the Center this fall:Ikhwan, Hakimul, Lecturer in Sociology, Gadjah Mada UniversityIrhamni, Milda, PhD Candidate in Applied Economics, University ofMinnesotaLattu, Izak, PhD Candidate in Interdisciplinary Studies, GraduateTheological UnionLubis, Todung Mulya, Founder & Senior Partner, Lubis, Santosa &Maramis Law FirmSusanti, Bivitri, Researcher, Indonesian Centre for Law & Policy StudiesWicaksono, Gunawan, PhD in Regional Science, Cornell University

New World FellowsThe New World Fellows Program encourages the next generation of prominent Chinese leaders to develop their professional skillsand interact with international leaders of similar seniority and expe-rience, as well as distinguished Harvard faculty, before returning to their positions of responsibility in the Chinese government. TheAsh Center welcomed the following government officials in the fall2013 semester:Jiao, Meiyan, Deputy Administrator, China Meteorological AdministrationZhang, Yujun, Assistant Chairman, China Securities Regulatory Commission

Rajawali FellowsThe Rajawali Fellows Program allows predoctoral and postdoctoralscholars as well as practitioners the freedom to pursue independentresearch projects on public policy issues related to Asia, with thehelp of the Ash Center’s Rajawali Foundation Institute for Asia andother Harvard resources. The Center welcomed 27 new RajawaliFellows this fall. For a complete listing of this year’s Rajawali Fel-lows, please visit http://bit.ly/Hm0zPL.

CommuniquéWinter 2013, Volume 13

Ash Center for Democratic Governance and InnovationHarvard Kennedy School 79 John F. Kennedy StreetCambridge, Massachusetts 02138

617-495-0557ash.harvard.edu

DirectorTony Saich

Director of the Innovations in GovernmentProgramStephen Goldsmith

Executive DirectorsJulian Chang, Arnold Howitt, Marty Mauzy

EditorJessica Engelman

Designforminform

PhotographyAP Images/Tatan Syuflana; Julien Behal,Maxwell Photography; Edward Cunningham;Galing Pook Foundation; Arn Howitt; TonySaich; Martha Stewart; Kristyn Ulanday

Ash Center

for Democratic Governance and Innovation

Harvard Kennedy School

79 John F. Kennedy Street

Cambridge, Massachusetts 02138

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In Focus: Challenges to Democracy

In September 2013, in honor of its tenth anniversary,the Ash Center for Democratic Governance andInnovation launched Challenges to Democracy, apublic dialogue on ten challenges to our democraticform of government. The goal of the two-year seriesis not simply to name the greatest challenges ourdemocracy faces today, but to put forward and givedue attention to the promising solutions we need.

communiqué - harvard university 3 in early october, harvard kennedy school dean ellwood joined a...

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