An Integrated Approach to Oversight Assessment for Emerging Technologies

Analysis of oversight systems is often conducted from a single disciplinary perspective and by using a limited set of criteria for evaluation. In this article, we develop an approach that blends risk analysis, social science, public administration, legal, public policy, and ethical perspectives to develop a broad set of criteria for assessing oversight systems. Multiple methods, including historical analysis, expert elicitation, and behavioral consensus, were employed to develop multidisciplinary criteria for evaluating oversight of emerging technologies. Sixty‐six initial criteria were identified from extensive literature reviews and input from our Working Group. Criteria were placed in four categories reflecting the development, attributes, evolution, and outcomes of oversight systems. Expert elicitation, consensus methods, and multidisciplinary review of the literature were used to refine a condensed, operative set of criteria. Twenty‐eight criteria resulted spanning four categories: seven development criteria, 15 attribute criteria, five outcome criteria, and one evolution criterion. These criteria illuminate how oversight systems develop, operate, change, and affect society. We term our approach “integrated oversight assessment” and propose its use as a tool for analyzing relationships among features, outcomes, and tradeoffs of oversight systems. Comparisons among historical case studies of oversight using a consistent set of criteria should result in defensible and evidence‐supported lessons to guide the development of oversight systems for emerging technologies, such as nanotechnology.     

Naturally Occurring Preferences and Exogenous Laboratory Experiments: A Case Study of Risk Aversion

Does individual behavior in a laboratory setting provide a reliable indicator of behavior in a naturally occurring setting? We consider this general methodological question in the context of eliciting risk attitudes. The controls that are typically employed in laboratory settings, such as the use of abstract lotteries, could lead subjects to employ behavioral rules that differ from the ones they employ in the field. Because it is field behavior that we are interested in understanding, those controls might be a confound in themselves if they result in differences in behavior. We find that the use of artificial monetary prizes provides a reliable measure of risk attitudes when the natural counterpart outcome has minimal uncertainty, but that it can provide an unreliable measure when the natural counterpart outcome has background risk. Behavior tended to be moderately risk averse when artificial monetary prizes were used or when there was minimal uncertainty in the natural nonmonetary outcome, but subjects drawn from the same population were much more risk averse when their attitudes were elicited using the natural nonmonetary outcome that had some background risk. These results are consistent with conventional expected utility theory for the effects of background risk on attitudes to risk.     

Strategic planning in small and medium-sized companies

In analysing the characteristics of strategic planning applications in different types and sizes of companies, confusion often arises not because of the application but because of the definitions utilized. This paper analyses the use of strategic planning concepts in small and medium-sized companies in Holland. As the author points out, in this context the definition of small and medium-sized is determined by five strategically relevant criteria which are distinctive. The author points out, however, that whilst these criteria are distinctive of the category of small and medium-sized companies surveyed, they do not all have to occur at the same time; the higher the number that do occur, the more typical the company. Whilst this paper does not, as the author admits, represent the result of a systematic survey, the authors wide experience as a consultant is in itself a valuable background to his analysis. Indeed, the findings stated in this paper represent an analysis of the strategic planning practises of some 75–100 companies. Therefore, in view of the detailed criteria utilized and the number of companies analysed the results represent an important addition to our knowledge of the application of strategic planning.     

Appraisal of Individual Radiation Risk in the Context of Probabilistic Exposures

There exists a growing desire to base safety criteria in different fields on the same principles. The current approach by the international Commission on Radiological Protection (ICRP) to control radiation exposure touches many aspects such as social, psychological, or economic factors that are important for such principles. This paper attempts to further explore possible ways of defining a common basis for dealing with radiation risks and other safety problems. Specifically, it introduces the following issues: (1) different types of risk are judged differently. To account for this, the concept of risk categories is introduced. (2) The dimension of time may play an important role. There is a difference between an immediate death and a death occurring 20 years after exposure to radiation. Effects such as reduced quality of life after exposure and reduction of lifetime expectancy are discussed. The paper suggests to introduce an individual risk equivalent which allows to compare risks as defined in various fields. Furthermore, it suggests the use of risk acceptance criteria which depend on the different categories of risk.     

„Ich lade Sie ein, in die Kloake zu springen“

Language users use their language experienced and automatically. They do not have to think about the meaning of what they have said, as the respective conversational context generally guarantees communication. This also applies—it seems—to the advisory context. The following article exemplifies single word analyses of the frequently used German verbs anbieten (en. offer) and einladen (en. invite), allowing a different perspective to advisory language. Very often, historical roots and the centuries-long development of word usage offer the key to the words’ use and function in the advisory context, thus inspiring a (more) conscious observation of language and a different language comprehension.     

Service quality in the legal profession: a review

Research into the management of professional service quality, other than in health care, has been very limited, despite being particularly problematical. This paper focuses on the interactive, highly customized and labour-intensive service offered by solicitors to their commercial and corporate clients. The intangible nature of legal services, the natures of the professionals themselves and the firms within which they operate, and the perceptions of risk brought to the service by the client create additional difficulties in managing the service and measuring client perceptions of it. Yet solicitors must understand the requirements of the group of clients they seek to serve in order to design their service to match those needs. Clients have to assume the technical competence of their solicitor. Moreover, they seek confidence when buying legal services. Our research, therefore, sought to gain an understanding of the process used by commercial and corporate clients when evaluating legal service, and of the factors that are key drivers in the creation of confidence.     

Elusive Critical Elements of Transformative Risk Assessment Practice and Interpretation: Is Alternatives Analysis the Next Step?

This article argues that “game‐changing” approaches to risk analysis must focus on “democratizing” risk analysis in the same way that information technologies have democratized access to, and production of, knowledge. This argument is motivated by the author's reading of Goble and Bier's analysis, “Risk Assessment Can Be a Game‐Changing Information Technology—But Too Often It Isn't” (Risk Analysis, 2013; 33: 1942–1951), in which living risk assessments are shown to be “game changing” in probabilistic risk analysis. In this author's opinion, Goble and Bier's article focuses on living risk assessment's potential for transforming risk analysis from the perspective of risk professionals—yet, the game‐changing nature of information technologies has typically achieved a much broader reach. Specifically, information technologies change who has access to, and who can produce, information. From this perspective, the author argues that risk assessment is not a game‐changing technology in the same way as the printing press or the Internet because transformative information technologies reduce the cost of production of, and access to, privileged knowledge bases. The author argues that risk analysis does not reduce these costs. The author applies Goble and Bier's metaphor to the chemical risk analysis context, and in doing so proposes key features that transformative risk analysis technology should possess. The author also discusses the challenges and opportunities facing risk analysis in this context. These key features include: clarity in information structure and problem representation, economical information dissemination, increased transparency to nonspecialists, democratized manufacture and transmission of knowledge, and democratic ownership, control, and interpretation of knowledge. The chemical safety decision‐making context illustrates the impact of changing the way information is produced and accessed in the risk context. Ultimately, the author concludes that although new chemical safety regulations do transform access to risk information, they do not transform the costs of producing this information—rather, they change the bearer of these costs. The need for further risk assessment transformation continues to motivate new practical and theoretical developments in risk analysis and management.     

Quantal Risk Assessment Database: A Database for Exploring Patterns in Quantal Dose‐Response Data in Risk Assessment and its Application to Develop Priors for Bayesian Dose‐Response Analysis

Quantitative risk assessments for physical, chemical, biological, occupational, or environmental agents rely on scientific studies to support their conclusions. These studies often include relatively few observations, and, as a result, models used to characterize the risk may include large amounts of uncertainty. The motivation, development, and assessment of new methods for risk assessment is facilitated by the availability of a set of experimental studies that span a range of dose‐response patterns that are observed in practice. We describe construction of such a historical database focusing on quantal data in chemical risk assessment, and we employ this database to develop priors in Bayesian analyses. The database is assembled from a variety of existing toxicological data sources and contains 733 separate quantal dose‐response data sets. As an illustration of the database's use, prior distributions for individual model parameters in Bayesian dose‐response analysis are constructed. Results indicate that including prior information based on curated historical data in quantitative risk assessments may help stabilize eventual point estimates, producing dose‐response functions that are more stable and precisely estimated. These in turn produce potency estimates that share the same benefit. We are confident that quantitative risk analysts will find many other applications and issues to explore using this database.     

Conditional Uncertainty Analysis and Implications for Decision Making: The Case of WIPP

Uncertainty analyses and the reporting of their results can be misinterpreted when these analyses are conditional on a set of assumptions generally intended to bring some conservatism in the decisions. In this paper, two cases of conditional uncertainty analysis are examined. The first case includes studies that result, for instance, in a family of risk curves representing percentiles of the probability distribution of the future frequency of exceeding specified consequence levels conditional on a set of hypotheses. The second case involves analyses that result in an interval of outcomes estimated on the basis of conservative assumptions. Both types of results are difficult to use because they are sometimes misinterpreted as if they represented the output of a full uncertainty analysis. In the first case, the percentiles shown on each risk curve may be taken at face value when in reality (in marginal terms) they are lower if the chosen hypotheses are conservative. In the second case, the fact that some segments of the resulting interval are highly unlikely—or that some more benign segments outside the range of results are quite possible—does not appear. Also, these results are difficult to compare to those of analyses of other risks, possibly competing for the same risk management resources, and the decision criteria have to be adapted to the conservatism of the hypotheses. In this paper, the focus is on the first type (conditional risk curves) more than on the second and the discussion is illustrated by the case of the performance assessment of the Waste Isolation Pilot Plant in New Mexico. For policy-making purposes, however, the problems of interpretation, comparison, and use of the results are similar.     

Bureaucratic Autonomy in the U.S. Separation of Powers: Evidence from Cabinet Departments

Theories of delegation posit that politicians have the incentive to decrease discretion when ideological conflict with an administrative agency increases. Yet agencies can use their expertise to appropriate informational benefits from delegation helping to increase bureaucratic autonomy. Such theories only indirectly address the impact of ideological conflict on bureaucrats’ perceptions about the extent of the discretion they are afforded on the job. Does the perception of discretion by bureaucrats depend on ideological conflicts between the legislative and executive branches? Statistical results from dynamic panel models provide evidence that that closer ideological alignment with the U.S. Congress than the president increases perceived discretion; that a negative relationship emerges between confirmation times and perceived discretion, but a small and opposite relationship exists among supervisory levels; that variance in the ideological portfolio of cabinet secretaries decreases perceived discretion overall, but has no effect on supervisory cadres; and that divergence between the goals and legal context of an agency and the president’s policy orientation are associated with lower perceived discretion.     

"Down and Dirty:" The Use and Abuse of Public Trust in Risk Communication

Many recent contributions to risk communication research stress the importance of the element of "trust" in the process of successful communication. This paper uses that theme in considering risk communication within the context of seeking consensus on matters of health and environmental risk controversies through stakeholder negotiation. It suggests that there are very good reasons, based on historical experience, for the parties to mistrust each other deeply in such settings. For example there is abundant evidence involving episodes in which risk promoters have concealed or ignored relevant risk data or simply have sought to advance their own interests by selective use of such data. These well-established practices compound the difficulties other stakeholders face, in all such negotiation, by virtue of the inescapable uncertainties (as well as absence of needed data) inherent in risk assessments. These factors encourage the participants to treat such negotiations as poker games in which bluffing, raising the ante, and calling the perceived bluffs of others are matters of survival. In the end we should recognize the genuine dilemmas that citizens face in trying to figure out who and what to believe in making sensible decisions among the range of risks, benefits, and tradeoffs that confront us.     

Use of Risk Assessment Methods in the Certification of Decontaminated Buildings

Accidental events such as fires, explosions, and leaks often result in large-scale contaminations of buildings with toxic chemicals. After decontamination, the certification for original use requires testing for residual contamination. The two basic kinds of sampling plans in use up to recently both fall short of the required performance. Their deficiencies are analyzed in terms of the scientific questions implicit in both the sampling plan and the subsequent statistical evaluation. A sampling strategy of a new kind is proposed and discussed in the same context. It is motivated by concern for the long-term safety of the building's occupants and is, therefore, based on factors important in risk assessment. Three different sampling plans are derived in the framework of this methodology, two of which have already been used in actual certification proceedings.     

How Business Interests and Government Inaction Led to the Humidifier Disinfectant Disaster in South Korea: Implications for Better Risk Governance

Humidifier sterilizers were regarded as innovative and health-promoting products; they were widespread in South Korea until 2011. However, hospitals reported mysterious deaths, and a legal investigation in April 2016 found that hundreds of people have died due to use of the sterilizing disinfectant. This article takes up that topic, discussing the government's role in dealing with the risk regarding the humidifier disinfectant. We pay particular attention to the unequal nature of the uncertainty produced by the distorted socioeconomic structure. Through in-depth interviews with key informants and an examination of relevant documents from the government, civic groups, and newspapers, we find that the government had increasingly acknowledged the risk, yet their inaction failed to stop the high number of casualties, and they have only recently responded proactively. The uncertainty of the risk was unevenly distributed between companies, the government, experts, and citizens. We argue that the proactive and transparent role of the government with the precautionary principle could fix the unequal structure of knowledge production and preserve public health.     

Some Criteria for Evaluating Risk Messages

Seven criteria are presented for use in evaluating communications designed to explain the magnitude of a risk. The criteria are: (1) comprehension (Does the audience understand the content of the communication?); (2) agreement (Does the audience agree with the recommendation or interpretation contained in the message?); (3) dose-response consistency (Do people facing a higher dose of a hazard perceive the risk as greater and/or show a greater readiness to take action than people exposed to a lower dose of this hazard?); (4) hazard-response consistency (Do people facing a hazard that is higher in risk perceive the risk as greater and/or show a greater readiness to take action than people exposed to a hazard that is lower in risk?); (5) uniformity (Do audience members exposed to the same level of risk tend to have the same responses to this risk?); (6) audience evaluation (Does the audience judge the message to have been helpful, accurate, clear, etc.?); and (7) types of communication failures (When different types of failures are possible, are the failures that occur generally of the more acceptable variety?). Each of these criteria is illustrated with data collected in a test of message formats designed to explain the risk presented by radon gas in a home.     

Using the Biological Two-Stage Model to Assess Risk from Short-Term Exposures

Two assumptions used in risk assessment are investigated: (1) the assumption of fraction of lifetime dose rate assumes that the risk from a fractional lifetime exposure at a given dose rate is equal to the risk from full lifetime exposure at that same fraction of the given dose rate; (2) the assumption of fraction of lifetime risk assumes that the risk from a fractional lifetime exposure at a given dose rate is equal to that same fraction of the risk from full lifetime exposure at the same dose rate. These two assumptions are equivalent when risk is a linear function of dose. Thus both can be thought of as generalizations of the assumption that cancer risk is proportional to the total accumulated lifetime dose (or average daily dose), which is often made to assess the risk from short-term exposures. In this paper, the age-specific cumulative hazard functions are derived using the two-stage model developed by Moolgavkar, Venzon, and Knudson for situations when the exposure occurs during a single period or a single instant. The two assumptions described above are examined for three types of carcinogens, initiator, completer, and promoter, in the context of the model. For initiator and completer, these two assumptions are equivalent in the low-dose region; for a promoter, using the fraction of lifetime risk assumption is generally more conservative than that of the fraction of lifetime dose rate assumption. Tables are constructed to show that the use of either the fraction of lifetime dose rate assumption or the fraction lifetime risk assumption can both underestimate and overestimate the true risk for the three types of carcinogens.     

Science-Based Trade Disputes: A New Challenge in Harmonizing the Evidentiary Systems of Law and Science

In November 2001, the University of Michigan hosted one of the first dialogues among international trade law scholars and scientists in the field of risk assessment with the goal of identifying critical areas of misunderstanding between the two fields. This article discusses key issues that need to be addressed in order to better harmonize the scientific and legal systems of evidence within the context of trade disputes and trade law and presents the recommendations that emerged from the Michigan meeting.     

Work and occupational profile of Eastern African immigrants in the United States: a historical overview

This paper discusses the trends and patterns of emigration from Eastern Africa, otherwise known as the Horn of Africa. In particular, the paper focuses on the countries that collectively account for most African immigrants to the United States (US), namely Eritrea, Ethiopia, Sudan, and Somalia. Using a review of literature, the paper provides some explanation of the history of immigration from East Africa to the US, and an examination and discussion of the root causes, the trends, and patterns resulting in refugees and immigration to the country. An explanation of the causes for this is offered by drawing connections to the work and occupational profiles of these immigrants, once they are in the US, within a historical context. This historical perspective analysis paves the way for more research on immigration and HRD.     

制度文明的发展与中国行政公开制度的建立

制度文明是人类社会的不懈追求。本文认为 ,从政府权力与公民权利二者发展的脉络进行历史性考察 ,可以将制度文明划分为以权力制约权利、以权力制约权力、以权利制约权力3个重要阶段。行政公开制度的建立 ,使人类社会真正开始步入以权利制约权力的历史新阶段 ,从而使制度文明出现了历史性飞跃和跨越式发展。为提高政府综合治理能力 ,建设社会主义政治文明 ,中国政府应制订行政公开发展纲要 ,将行政公开法律制度的建立纳入议事日程。