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C LLABORATIVE
RESEARCH
IN ECON MICS
The Wisdom of Working Together

Edited by
Michael Szenberg & Lall B. Ramrattan
Collaborative Research in Economics
 Michael Szenberg • Lall B. Ramrattan
Editors

Collaborative
Research in
Economics
The Wisdom of Working Together
Editors
Michael Szenberg Lall B. Ramrattan
Touro College University of California Berkeley
Brooklyn, NY, USA Extension, Berkeley, California, USA

ISBN 978-3-319-52799-4    ISBN 978-3-319-52800-7 (eBook)

DOI 10.1007/978-3-319-52800-7

Library of Congress Control Number: 2017934521

© The Editor(s) (if applicable) and The Author(s) 2017

This work is subject to copyright. All rights are solely and exclusively licensed by the
Publisher, whether the whole or part of the material is concerned, specifically the rights of
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electronic adaptation, computer software, or by similar or dissimilar methodology now
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The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are
exempt from the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information
in this book are believed to be true and accurate at the date of publication. Neither the pub-
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tional affiliations.

Printed on acid-free paper

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The registered company is Springer International Publishing AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
 B”H
To the memory of my sister, Esther, for bringing
me to these shores;
to the memory of my parents, Henoch for his wisdom
and my mother, Sara, for giving birth to me—twice;
to my children, Avi and Tova,
and Marc and Naomi;
to my grandchildren,
Chaim and Elki Herzog, Moshe and Batya Shain, Nachum and Devorah
Wolmark, Chanoch, Ephraim, Ayala, and Yaakov Nosson,
and to my great-grandchildren,
Chanoch, Faigala, Moshe, Avigail, and Chaim Boruch
And to my wife, Miriam;
And to the righteous German-Austrian officer who took my immediate
family to a hiding place just days before the last transport to
Auschwitz, where most of my family perished.
—M.S.
To my late mother and father-in-law, Sundermonie and
Munisamy Munian from Bath Settlement, West Coast
Berbice, Guyana. I thank them for their love, enthusiastic
encouragement and generous support in words and deeds
in my search for knowledge. I wish their souls eternal
peace and happiness.
To my wife Noreena, my children Devi, Shanti and Raj, Hari, Rani and
Jonathan, and my grandchildren Brian, Sabrina, and Aditi.
—L.R.
 Foreword

The great figures in economics from Adam Smith to Leon Walras to John
Maynard Keynes were lone thinkers, contributors and writers. All of us
who were in graduate school in the middle of the last century emerged
thoroughly imbued with that role model of scholarship whatever our par-
ticular research and education interests.
The authors of this incisive volume have assembled a candid assessment
and testimonials by leading modern economists of where and how that
role model has been modified in the intellectual development of twentieth-­
century professional economics. The main theme is that co-authorship is
pleasurable, and for some of us, it was essential to the work we did.
In spite of the rhetoric and sincerity of intentions expressed in the image
of science as a commitment to hypothesis testing, and the advancement of
knowledge based on evidence, the reality is that science is the product of
a conversation in the science community. Go to a conference paper pre-
sentation at a professional association attended by specialists in the topic
presented. The questions afterward probe what could be wrong with the
experiment; how the data might mis-measure what is needed; where the
interpretation of the model or the data might invalidate the whole proce-
dure and so on. In a mature science, all the action is in that conversation.
And that conversation begins early in collaborations, teams and dreams.
Every science has a host of bases to be covered—methodological,
cross-­disciplinary, techniques of execution and person-machine systems,
hence, the many-authored reports, articles and books. Collaboration
enables conversation before the theory is ready, the hypotheses derived,

vii
viii FOREWORD

the ­experiment designed and the data generated, and sometimes resets the
path where things have gone awry.
None of these developments, however, has eliminated single-author
entries.
Reflective compositions by single authors are not obsolete and in fact
command even more interest and attention. Significantly, although this
book is appropriately co-authored, almost none of its contributed papers
are. Most of the case for collaboration is articulated in gratitude by a key
beneficiary of her collaborations, one who can reflect from the inside on
the insights and inspiration that grew out of the collaboration.
I enjoyed and learned from this collection and so, I believe, will you.

Vernon L. Smith
Argyros School of Business and Economics and School of Law
Chapman University
Orange, CA, USA
 Preface and Acknowledgments

Observers of the scientific enterprise note that joint authorship is increas-

ing. This is what I had to say about the collaboration at a seminar held at
the Centre Detudes Interdisciplinaires Walras-Pareto, the University of
Lausanne:
Einstein used to say, "I am a horse for a single harness." I touch upon
two examples. The first involves the intellectual partnership of Samuelson
and Solow that is considered among the most fruitful of such relation-
ships in the history of economics. As the story goes, Solow was appointed
Assistant Professor of Statistics in 1950. His room was located between
that of Harold Freeman, Professor of Statistics and that of Paul Samuelson,
Professor of Economics. Under Samuelson’s influence, his interest, how-
ever, began to shift to economics. In 1954 he was promoted to Associate
Professor of Statistics, in 1958 to Professor of Economics and in 1973,
Institute Professor.
Perusal of their bibliographies and the volumes of collected papers
reveal only four articles and one book with a third co-author. This is
intriguing. Clearly, even though each provided a testing ground for the
ideas of the other, from the creative standpoint, there is a need for fur-
ther research regarding the collaborators’ division of labor on and, more
importantly, off the publication stage. Moreover, the scholars’ conversa-
tions that encompass the thought sequences of their co-authored research
projects are almost never recorded and thus our understanding of the cre-
ative process by which new knowledge is gained is impaired. The econom-
ics discipline is no different from other professions in focusing solely on
the results, not the processes. It was James Watson who first indicated

ix
x PREFACE AND ACKNOWLEDGMENTS

how most of the steps toward DNA’s structure discovery were commu-
nicated informally among the team of research members. E.R. Weintraub
went one step further. He published his conversations with co-author,
D.A. Graham, which were held prior to reaching their conclusions that
first appeared in the Review of Economic Studies. The second example of
comradeship centers around Arrow who co-authored books and articles
with 50 different individuals.
In Candide, Voltaire expressed the wise words, “Il faut cultivar notre
jardin—We must cultivate our garden.” Our interest in learning and ana-
lyzing the various paths the contributors have taken is to discover the
wellspring of creative impulses in order to cultivate our own garden. When
the Danish architect Arne Jacobson designed St. Catherine’s College in
Oxford in the 1960s, he also designed the school’s chairs, the dishes and
cups used in its cafeterias and even the gardens. When questioned about
this, he responded “God is in the details.” The contributors to this volume
provide a wide variety of details about collaborative research and the wis-
dom of working together. To paraphrase Dylan Thomas, the pieces sing
their own song and, we hope, will evoke applause.
In the several years that have elapsed between the conception of this
book and its publication, we have amassed an enormous volume of debt.
My first vote of thanks must go to Vernon L. Smith, who, despite being
ferociously engaged in writing and speaking projects, agreed to pen the
foreword.
We are deeply indebted to Sarah Lawrence and Allison Neuburger, our
editors from Palgrave Macmillan, for shepherding the volume through the
anonymous referees.
We would like to acknowledge the cooperativeness of the contributors
to this volume. We thank them deeply for their congenial partnership.
Deep gratitude and thanks are owed to the members of the Executive
Board of Omicron Delta Epsilon, the Honor Society in Economics,
for being a source of support: Alan Grant, Stacey Jones, Ihsuan Li, Ali
H.M. Zadeh, Subarna Samanta and Farhang Niroomand. A special thanks
to the Editor-in-Chief of The American Economist, Paul Grimes for his
constant support. We are profoundly grateful to Mary Ellen Benedict,
Chair and Distinguished Teaching Professor Emeritus at Bowling Green
State University, for her impeccable wisdom, big heart and wit. Thank you
to Evan Dennis for his warmth, attention to detail and friendship and to
Professor Edna Davis for her continuous support.
 PREFACE AND ACKNOWLEDGMENTS xi

Our heartfelt gratitude goes out to our Editorial Assistant Stephanie

Miodus for her exceptional overall skills, cheerful disposition, meticulous
attention to detail, hard work ethic, deep insight and most importantly her
warmth and friendship. We could not have done it without her assistance.
She assisted the publication of the book to see the light of day. She stepped
in and finished the job—“Make Bepatish Av Lakol Gomrei Mlacha.”
I owe an awesome debt of gratitude to Iuliana Ismailescu and Oscar
Camargo for their goodness of heart, enduring support, positive attitude,
gracious good cheer and deep friendship. In the same category, I would
like to include Anna Geller, who is an outstanding marketing professor.
They are a constant source of affection. I also want to recognize Elki and
Chaim Herzog; Batya and Moshe Shain; Chanoch and Ephraim Kunin;
Devorah and Nachum Wolmark; and Ayala Szenberg. They work with
diligence, character, good humor, exactitude and patience. They have all
lightened many a task. Their assistance was incalculable and I am grateful
to them.
My heart still warms with gratitude toward Ester Budek, Lisa Ferraro,
Laura Garcia, Yelena Glantz, Janet Lieben-Ulman, Jennifer Loftus, Sadia
Nabi, Andrea Pascarelli, Sandra Shpilberg, Marina Slavina, Janet Ulman,
Aleena Wee and Lisa Youel—my past talented and devoted graduate
research assistants who have helped directly and indirectly in more ways
than I can list. They all lead successful, productive lives. Their input lives
on in these pages.
In addition, a number of former students deserve thanks for their
invaluable input and assistance—Tamar Gomez, Lorene Hiris, Richard
LaRocca, Esther Levy, Luba Sagui, Cathyann Tully and Alan Zimmerman.
Once more, thanks to my wife, Miriam, and to Naomi, my daughter,
an ophthalmologist, and to my son, Avi, a lawyer, and their spouses, Marc
and Tova, as well. They are my fortitude; I can always count on them
when I need someone to lean on.
Touro’s library is a superbly run unit by the Director of Libraries, Mrs.
Bashe Simon, where efficiency and kindness dwell together. Special thanks
to Touro’s Vice Presidents Stanley Boylan and Robert Goldschmidt and
Deans Henry M. Abramson, Barry Bressler, Sandra Brock, Moshe Sokol
and Marian Stoltz-Loike—for their ongoing support and commitment to
scholarly endeavors and helping me navigate Touro’s waters. And to Dr.
Mark Hasten, the chairman of Touro College’s Board of Trustees and
Board of Overseers, for his friendship and support.
xii PREFACE AND ACKNOWLEDGMENTS

My deepest gratitude goes to Dr. Alan Kadish, President of Touro

College and University System, for his extraordinary leadership, dedica-
tion to excellence, kindness, cheerfulness and inspiration. He holds the
wheel and steers Touro’s ship in the right direction.
Thanks also to my most important champion, hero and mentor, Dr.
Victor R. Fuchs, Past President of the American Economic Association
and Henry J. Kaiser, Jr. Professor Emeritus at Stanford University. I know
that my life would have been less without him.
 Contents

1 Introduction   1
Lall B. Ramrattan and Michael Szenberg

2 On Collaboration in General Economics  31

Paul Samuelson

3 Reflections on Our Collaboration in Industry Studies  41

Walter Adams and James W. Brock

4 The Productivity Impact of Collaborative Research

in the Economics of Risk and Uncertainty  51
W. Kip Viscusi

5 Age, Cohort and Co-authorship: The Statistics

of Collaboration  65
Daniel S. Hamermesh

6 Collaborative Choices in Econometrics  95

Charles F. Manski

xiii
xiv CONTENTS

7 On the Pleasures and Gains of Collaboration

in Microeconomics 109
William J. Baumol

8 A Serial Collaborator 123
David Colander

9 Collaboration With and Without Coauthorship:

Rocket Science Versus Economic Science 137
William A. Barnett

10 Why We Collaborate in Mathematical Ways 153

Graciela Chichilnisky

11 Collaborative is Superadditive in Political Economics 163

Richard Zeckhauser

12 “Heinz” Harcourt’s Collaborations: Over 57 Varieties 183

G.C. Harcourt

13 Coauthors and Collaborations in Labor Economics 227

Ronald G. Ehrenberg

14 Two Heads are Better than One, and Three is a

Magic Number in Economics 251
Mary Ellen Benedict

15 Why Collaborate in International Finance? 257

Rachel McCulloch

16 My Collaborations in Game Theory 275

L.G. Telser
 CONTENTS xv

17 Co-authors in History 289
Stanley Engerman

18 Collaboration: Making Eclecticism Possible in

Economic Law and Politics 295
Susan Rose-Ackerman

19 Collaboration and the Development of Experimental

Economics: A Personal Perspective 305
Vernon L. Smith

Index 321
 List of Contributors

Walter Adams Emeritus, Michigan State University.

William A. Barnett Oswald Distinguished Professor of Macroeconomics,
Department of Economics, The University of Kansas and Director of Center for
Financial Stability, New York City.
William J. Baumol Harold Price Professor of Entrepreneurship and Academic
Director of the Berkley Center for Entrepreneurship and Innovation in the Stern
School of Business at New York University; Professor Emeritus, Princeton
University.
Mary Ellen Benedict Professor Emeritus of Economics, Bowling Green State
University.
James W. Brock Moeckel Professor, Department of Economics, Miami University.
Graciela Chichilnisky Professor of Economics, Columbia University.
David Colander Christian A. Johnson Distinguished Professor of Economics at
Middlebury College.
Ronald G. Ehrenberg Irving M. Ives Professor of Industrial and Labor Relations
and Economics at Cornell University and a Stephen H. Weiss Presidential Fellow.
Stanley Engerman Department of Economics, University of Rochester.
Daniel S. Hamermesh Professor in Economics, Royal Holloway University of
London and Sue Killam Professor Emeritus in the Foundation of Economics at the
University of Texas at Austin.

xvii
xviii List of Contributors

Geoffrey Harcourt UNSW Australia and Emeritus, Cambridge University.

Charles F. Manski Professor of Economics, Northwestern University.
Rachel McCulloch Emerita, Rosen Family Professor of International Finance,
Brandeis University.
Susan Rose-Ackerman Henry R. Luce Professor of Jurisprudence and is co-
director of the Center for Law, Economics, and Public Policy at Yale Law School.
Paul Samuelson Emeritus, MIT.
Vernon L. Smith Professor of Economics at Chapman University’s Argyros
School of Business and Economics and School of Law.
L.G. Telser Professor Emeritus in Economics at the University of Chicago.
W. Kip Viscusi University Distinguished Professor, Vanderbilt University Law
School.
Richard Zeckhauser Frank P. Ramsey Professor of Political Economy at the
Kennedy School of Government at Harvard University.
 List of Figures

Fig. 4.1 Annual number of authored and coauthored articles 61

Fig. 5.1 Relation between birth year and co-authorship, N = 7971
Fig. 5.2 Relation between birth year and average number of authors,
N = 7972
Fig. 5.3 Novelty of co-authors by birth year of author, N = 7982
Fig. 10.1 Logistic Curve of Increasing Returns157
Fig. 11.1 Collaborations on Nobel Prize Winners’ Most Cited Work 165
Fig. 11.2 Number of collaborations Within Nobel Prize Winners’
Ten Most Cited Works 165
Fig. 11.3 Collaborations on John Bates Clark Award Winners’
Most Cited Work 166
Fig. 11.4 Number of collaborations Within John Bates Clark Award
Winners’ Ten Most Cited Works 166

xix
 List of Tables

Table 4.1 W. Kip Viscusi coauthors by number of publications 56

Table 4.2 Distribution of annual number of articles and coauthored
articles60
Table 5.1 Distribution of full-length refereed articles by co-authorship
status, AER, JPE and QJE, 1963–2011 66
Table 5.2 Percent distributions of age of authors, top three general
economics journals, 1963–2011 67
Table 5.3 Distribution of Journal Articles by Co-authorship Status,
79 Labor Economists, 1964–2014, and Descriptive
Statistics—Means, Standard Deviations and Ranges 69
Table 5.4 Descriptive statistics of articles, 79 labor economists,
3968 articles, by date published and author’s
Ph.D. Cohort73
Table 5.5 Estimates of the determinants of the number of authors
of Journal Articles, 79 labor economists, 3968 articles,
1964–201474
Table 5.6 Poisson estimates of the determinants of elapsed time
between publications, 1966–2014 (N = 3889)77
Table 5.7 Absolute average age difference between authors of
two-authored articles, top three general Economics
Journals, 1963–2011, means, standard deviations and
number of articles 79
Table 5.8 Regression estimates of relation of birth cohort to lifetime
variation in co-authoring patterns (dep. var. is the coefficient
of variation) 80
Table 5.9 Determinants of the novelty index of co-authors (2701
co-authored articles) 82

xxi
xxii List of Tables

Table 5.10 Co-author search and gender, descriptive statistics (means

and standard deviations) 84
Table 5.11 Publication counts and “full-time” equivalent publications,
econometric society fellows—means, standard deviations
and ranges 86
Table 5.12 Authors in the labor economists sample 87
Table 6.1 Authorship of articles in Econometrica97
Table 13.1 Numbers of publications with coauthors (share with
coauthors)229
Table 13.2 Does the pattern of publications change over time? 230
Table 13.3 Logit equations for the probability of a publication being
coauthored231
Table 13.4 Number of coauthors per coauthored paper 232
Table 13.5 Edited conference volumes and symposia 243
Table 13.6 Coauthors 245
 CHAPTER 1

Introduction

Lall B. Ramrattan and Michael Szenberg

The study of economics embraces a number of terms that are used in the
sense of collaboration. When two or more people work together on a pub-
lication, we refer to them as joint authors, coauthors, cooperators, or col-
laborators. The word “collaboration” can also be used in a broader sense.
Auguste Comte, the father of positivism, used three guiding principles for
collaboration (“Love, Order, Progress”) as a way to “generalize our scien-
tific conceptions, and to systematize the art of social life” (Comte, 1848,
3–5). For Thomas Kuhn, people collaborate within a paradigm where
they need not contact each other, but solve problems as if they are in an
invisible college (Kuhn, 1962). For Imre Lakatos, people collaborate on
research programs in the sense that they share hard-core beliefs and ­create
a protective belt around those beliefs in order to make their program pro-
gressive (Lakatos & Musgrave, 1970).
Philosophers have examined relationships between a collaborator on
the one hand, and the idea, form or universal concept of collaboration on
the other hand. Plato posited that a collaborator merely expresses ­opinions

L.B. Ramrattan (*)

University of California, Berkeley Extension, Berkeley, California, USA
M. Szenberg
Touro College, Brooklyn, NY, USA

© The Author(s) 2017 1

M. Szenberg, L.B. Ramrattan (eds.), Collaborative Research in
Economics, DOI 10.1007/978-3-319-52800-7_1
2 L.B. RAMRATTAN AND M. SZENBERG

about a true thing called collaboration. We find this view in Plato’s dia-
log “The Parmenides.” The philosopher Parmenides expresses skepticism
over whether a particular thing, such as a chair, exists because it is under
a point or under the whole of the universal concept of a collective name
say “chair-ness.” The collaborator is ego-centric, while collaboration is an
objective, real truth in which the collaborator participates.
Collaboration with coauthors was not popular among the big-name
orthodox economists such as Francois Quesnay, Adam Smith, David
Ricardo, Thomas Malthus, and John M. Keynes. Joseph Schumpeter
wrote that among the Physiocrats, “Mirabeau … may have been …
in collaboration or consultation with Quesnay” (Schumpeter, 1954,
p. 217). The orthodox writer Adam Smith, the equilibrating paradigm
of the Physiocratic school, and the self-interest ideas of the Scottish
Enlightenment philosopher David Hume formed the bed-rock research
program for the classical economists. The unorthodox writer Karl Marx
shared the class paradigm of the Physiocratic school and the dialectic idea
of the philosopher G. Hegel, which manifested themselves in a strong col-
laboration between Karl Marx and Friedrich Engels, and a fundamental
research program for Vladimir Lenin and others Marxists. John M. Keynes
shared the aggregate demand paradigm with Thomas Malthus to rescue
the capitalist system in crisis. While collaboration tends to proceed nomo-
logically or step by step under orthodox paradigm or research programs
in economics, it tends to proceed chaotically with spurts and jumps under
Marxian dialectic method and under modern wage-setting or price-setting
views.
The concept of combination for gain is associated with the idea that
under capitalism, the combination of firms in vertical, horizontal, and
conglomerate mergers leads to increased concentration in industries for
higher profits. As Adam Smith put it, “People of the same trade seldom
meet together, even for merriment and diversion, but the conservation
ends in a conspiracy against the public, or in some contrivance to raise
price” (Smith, 1976, V.1, p. 145). Smith made similar statements to the
effect that masters tend to make constant and uniform combinations
to keep wages at or below their actual level (ibid., p. 84). In general,
­economists are divided as to whether the purpose of such combinations
is productivity or profits in light of modern performances in the global
economy where profits are high but productivity is falling. The imperialist
position is that such combination “levels out the fluctuations of trade and
therefore assures to the combined enterprises a more stable rate of profit
 INTRODUCTION 3

… it has the effect of rendering possible technical improvements, and,

consequently, the acquisition of superprofits” (Hilferding, 1912; cited in
Lenin, 1917, p.15). This idea is still modern in that it underscores the
point that there is gain from collaboration. Of course, profits can dissipate
for a lack of coordination. As the economist E.A.G. Robinson puts it, “A
platoon may drill very well as a platoon, but it may not always cover itself
with equal glory in a battalion drill” (Robinson, 1953, p. 45). The loss
may be due to the “cost of the necessary co-ordination, or, as more often
happens, the loss of efficiency” (ibid.).
Both capitalism and socialism are concerned with individual coopera-
tion. On the one hand, the Communist motto expects full cooperation
according to each person’s ability in production. On the other hand,
Professor Hayek described capitalism as “the extended order of human
cooperation” (Hayek, 1988, p. 6). He thought that a “somewhat more
satisfactory name for the extended economic order of collaboration is the
term ‘market economy’” (ibid., p. 111). Such an order requires the rule of
law to guarantee freedom (ibid., p. 35). But Hayek allowed that “overlap-
ping sub-orders within which old instinctual responses, such as solidarity
and altruism” also have a role to play (ibid., p. 18). Paul Samuelson con-
sidered a mixed capitalist system where cooperation occurs between the
private sector and government. This system rests on the cooperation of
neoclassical and Keynesian economics, emphasizing “how the entire gross
national product is determined and how wages and prices and the rate
of unemployment are determined with it” (Samuelson, 1986, Collected
Papers, V. 5, p. 280).
In the physical sciences, individual collaboration is sometimes made
analogous to collaboration. In chemistry, for instance, atoms pair their
electrons, and the term co-valence applies. Wilfred Bion, a renowned psy-
chotherapist, has adapted the term valency from Sigmund Freud to explain
group dynamics. He uses it to mean “the capacity of the individual for
instantaneous combination with other individuals in an established pattern
of behavior” (Bion, 1961, p. 175). On matters of collaboration, the col-
laborators tend to be rational, honest, and open. But on matters of ­conflict,
they may exhibit fear and anxiety and may resort to basic assumptive cul-
tures, which are categorized as fight-flight, dependency, and pairing.
In Bion’s psychoanalytic paradigm, “the individual is, and always has
been, a member of a group” (Bion, 1961, p. 168). Collaboration allows
some observations of individual characteristics that cannot be known oth-
erwise (ibid., p. 340). Economic knowledge can be enhanced by studying
4 L.B. RAMRATTAN AND M. SZENBERG

these observations. The following are some observations we have made,

with thoughts on how they can enhance economic knowledge through
collaboration:

1. Factors that prevent a group from working productively. This is based

on the idea that some groups “work” and some do not. The work-­
group is concerned with reality. In work-group function, people are
constrained by time and must translate thought to action. Time is
not a binding constraint for basic assumptive activities, in that peo-
ple may make a “to-do list” and not act on it. But the two are not
clearly demarcated to say that the work-group is good, and basic
assumption group is bad—but only that there might be tension
between these two mentalities at play in collaboration (French and
Simpson, 2010, p. 1862–1866). These observations are important
inputs for the study of hidden information problems—adverse selec-
tion and moral hazard problems that are now the frontier of eco-
nomics research.
2. Members tend to free-ride. A collaborator might believe, “I do not
need to talk, because I know that I only have to come here long
enough and all my questions will be answered without having to do
anything” (Bion, 1961, p. 147). An example from economist and
philosopher David Hume is instructive in this regard: Two neigh-
bors may agree to drain a meadow, which they possess in common;
because ’tis easy for them to know each other’s mind; and each must
perceive, that the immediate consequence of his failing on his part,
is the abandoning the whole project. But ’tis very difficult, and
indeed impossible, that a thousand persons shou’d agree in any such
action; it being difficult for them to concert so complicated a design,
and still more difficult for them to execute it; while each seeks a
pretext to free himself of the trouble and expense, and wou’d lay the
whole burden on others (Hume, 1896, p. 275).
3. Dependence on the group leader for all the answers. Some collabora-
tors may want to fulfill emotional needs and avoid feared ­relationships.
Imitation problems in economics that follow the old motto of
“What is good for GM is good for the country” still have a strong-
hold in economic modeling.
4. Unions can handle unsettled questions. Unifying minds may bring a
certain power, which is called group rationality in game theory. It
has its own decisive logic apart from individual rationality.
 INTRODUCTION 5

1.1   Theories of Collaboration

One can imagine a space for collaboration, S, defined by the characteristics
of the collaborator, Cn−1, and an index of their performance, Cn. Such a
product in Cartesian space may be represented by the expression:

i=n
S = C1 ´ C2 ´  Cn = Õ Ci (1)
i =1

We find such models as Eq. (1) in the Case-Based literature (Gilboa and
Schmeidler, 2001, p. 153). This can be extended into a Collaboration-­
Based model (Sampaio et al., 2014). Operationally we expect the col-
laborators to set an objective or aspiration, such as getting a joint product
done; to act on it by each providing some or different tasks over time; and
to realize a payoff such as finishing a project or publishing a work. The
reward can be in the form of utility or money.
Theories of collaboration implicit in Eq. (1) can manifest themselves
in a variety of forms. The economic literature witnesses them in the form
of collusion, partnership, teamwork, and joint production. It should
not be forgotten that economists collaborate in project accomplishment
where a joint paper is not the goal. For example, dear to economists is the
allocation of resources to different tasks, where methods of networking,
dynamic programming, or other Operational Research are used to achieve
the optimal allocation.
Through reason, we recognize that division of labor is more produc-
tive than working alone. In society, cooperation arises because of “feelings
of sympathy and friendship and a sense of belonging together” (ibid.).
Collaboration may come easily to friends and relatives, who are them-
selves, as Ludwig Von Mises puts it, “fruits of social cooperation” (Mises,
1996, p. 144). He explains that “the human family is an outcome of think-
ing, planning, and acting” (ibid., p. 168). The TV program 60 Minutes
produced a show (aired on June 5, 2015) documenting how families can
now use DNA technology to plan the health of their offspring and elimi-
nate a battery of hereditary diseases. The unorthodox view is that “a soci-
ety cannot exist unless its members have common feelings about what is
the proper way of conducting its affairs, and these common feelings are
expressed in ideology” (Robinson, 1964, p. 4). When individuals have
conflicting interests, they are likely to seek methods on how to cooperate.
6 L.B. RAMRATTAN AND M. SZENBERG

Some natural areas of conflict of interest that are possible in this collection
of collaborators might be: who shall be the first author; how gains should
be divided; should each collaborator complete part of the work, or should
they approach all parts of the work uniformly in collaboration.
History provides some outstanding examples of collaboration among
friends and families. We have already noted the strong bond of friend-
ship between Karl Marx and Friedrich Engels, resulting in joint outputs
such as the Communist Manifesto, and the collaboration on some vol-
ume of Das Capital. This is a collaboration in which the distribution
of gains is posited in theories of value and distribution which depend
on the social relationship and uncertainties. For an example of family
collaboration, we note that Samuelson sourced collaborative statistical
work on the law of large number to the St. Petersburg paradox founded
by the Bournoulli family from James to Daniel Bournoulli (Samuelson,
1986, V5., p. 146).
John Maynard Keynes, who did not coauthor, nevertheless had a cir-
cle of trusted economic colleagues which included Richard Kahn, Joan
Robinson, and Piero Sraffa. We may ascribe the term “project collabo-
ration” to his case. We find that Kahn’s writing on the multiplier had
a significant role in Keynes’ General Theory (Keynes, 1936, V.VII, Ch.
10). Keynes encouraged Robinson to write Introduction to the Theory of
Employment (Robinson, 1969), referred to as a “told-to-the-children” ver-
sion of the General Theory (Keynes, 1973, V. XIV, p. 148). In 1930 Pierro
Sraffa formed the “Circus” in order to discuss Keynes’ A Treatise on Money
(Keynes 1971, V. V–VI). Members included Joan Robinson and Richard
Kahn. While Keynes did not attend the Circus, Kahn acted as a messenger
between him and the Circus (Keynes 1973, V. XIII, pp. 338–339).
Two’s company and three is a crowd: collaboration becomes more
complex when three or more authors are involved. One can analyze these
complexities by looking for causal connection. David Hume, a propo-
nent of causal analysis, divides human perception into impressions and
ideas. He explains that these can be surmised as simple or complex, and
proposes to study them through the lenses of cause and effect (Hume,
1896, p. 7–8). This mode of study can be applied to family relationships as
well, for “all the relations of blood depend upon cause and effect, and are
esteemed near or remote, according to the number of connecting causes
interpos’d betwixt the persons” (ibid., p. 13). In modern times, game
theory helps us to uncover the causal relationship for collaboration. We
will look to game theory to explain how collaborators come together, how
 INTRODUCTION 7

they work (inputs) and how gains (output) are divided, and why collabo-
rations succeed or fail.

1.1.1  Game Theory and Collaboration

In the non-cooperative form of game theory, a type of cooperation can
be reached in repeated games. For example, General Motors (GM) may
wish to follow a cooperate strategy with Ford Motor Company (FD) for
advertising expenditures. To get around the Antitrust Laws, GM may play
a signal game by not increasing its advertising budget one year and waiting
to see if FD will do the same in the next period. If FD gets the message,
it may cooperate by not increasing its own advertising budget. But if FD
ignores GM’s signal, then GM can come back with an advertising budget
that will punish FD.
A separate cooperative form of game theory is built on axioms about
the outcome. A game is cooperative if players are allowed to communi-
cate and make binding agreements about their strategy before they play
(Aumann 2000, V. 2, p. 31). Such axioms may include the following.

1. Feasibility: That a solution point is available to the players. Usually this

means that the paper will be acceptable for publication in a standard
journal. The journal is likely to be one that shares the paradigm upon
which the paper’s topic is based. It is possible in some situations for
one person, a teacher, to threaten a student, that if he does not cooper-
ate, then he may not graduate. In some cases this might be looked as a
side payment as well: if the teacher promises to see the student through,
then they will graduate and get good recommendation.
In addition to side payments, a game may also feature transfer of
utility. One collaborator may pay the other monetary compensation.
Utility is transferable if there is no diminishing return to the incre-
ment of money transferred. We run into this problem when a rich
person values an additional $1 less than a poor person. Threat and
side payment might be at issue with colleagues in an institution as
well in regard to tenure, research funding, or other benefits.
2. Individual and Group Rationality: A player expects more from
cooperation than he can achieve by working alone. A collaborator
may be too busy to finish the task in time, or may lack complemen-
tary skills. One reason why gains accrue to group rationality is
because members share knowledge with one another.
8 L.B. RAMRATTAN AND M. SZENBERG

3. Pareto Optimal Point: Neither player can increase his utility without
decreasing that of the other player. Each one may read or observe
the other’s input and have some reasoning why the finished choice
will enhance their joint utility.
4. Fairness: Equal credit for equal effort. For example, when two work-
ers are carrying a sack, they appear to be doing equal work; a 50:50
split of monetary reward may be considered a reward equal to their
marginal product of labor (MPL). This approach is what economists
take to be the equilibrium solution. A 50:50 split is an efficient way
to distribute the gains. The philosopher John Rawls proposed a con-
cept of justice as fairness. In his model, fairness requires that one
first find the minimum he can get, and then try to maximize that
minimum. John Nash proposed an alternative solution that maxi-
mizes the product of each individual utility function.
Results in experimental games find that a 50:50 split has nothing to do
with fairness or altruism. Some authors consider a win if their name
appears first on a publication. If it is possible to measure each per-
son’s effort, then the credits can be set equal to the marginal effort.

5. Independence of Irrelevant Alternative [IIA]: The introduction of a

third alternative should not change the preference of the first two
alternatives. As there are bilateral and multilateral trades, some authors
may exclude the others to begin with and have no IIA problem. They
may agree not to work with the other unless they are both credited.

6. Invariance under Linear Transformation of Utility: If one were to

scale up or down the benefits of the collaborators, then ranking of
their benefits will not change. This is usually done by multiplying or
adding the utility function by a constant. Because those activities
make up a line, the transformation is called Linear Transformation.

7. Monotonicity: This is best explained by an example. If one is inside a

production possibility curve, one needs to be assured that further
action will move one toward the curve that shows the maximum
benefit. A monotonically increased move from the interior to the
surface guarantees that an improvement is made.

One kind of solution we find in game theory is where the authors share
the credit equally. For a simple intuitive illustration, suppose $100 is to be
 INTRODUCTION 9

divided by two persons. The Pareto Optimal points will lie on a line:
y = 100 − x. Following the method of John Nash, we want to maximize:
xy = 100 − x2. Setting the derivative 100 − 2x = 0, yields x share to be $50.
So, a 50:50 split is the Nash point for the game.
More generally, potential collaborators can have (1) A maximum payoff
function, u(u1,u2), (2) Nothing, if they fail to agree, (0, 0), or (3) Some
disagreement point, (d1,d2). By subtracting 2 from 1, we get the possible
utilities that can be gained if the players obtain maximum payoff. John
Nash proposed that the players should Maximize (u1 − 0)(u2 − 0).
One can imagine that some collaborations are ultimatum games. This
can be true for, say, a teacher and student collaboration. The teacher
makes an offer to the student to write about a particular topic, and the
student can accept or reject the offer. Also, collaborations are founded on
morals bases such as fairness, justice, equal treatment, and characteristics
such as efficiency.

1.1.2  Edgeworth Box and Collaboration

The Edgeworth box is sometimes considered as a precursor to collabora-
tion in game theory. It can illustrate two persons as well as n-persons col-
laboration. One can postulate a production function for two collaborators
based on their capital and labor as inputs. In an Edgeworth box with labor
and capital on the axes, we can create a contract curve that joins the points
at which the players’ isoquant curves are tangent. Then one can find core
points based on the players endowment, C(e), that are Pareto Optimal, and
proceed to find Walrasian like equilibria points, W(e) in the core, that is,
W(e) ⊂ C(e). For more than two persons, one can classify persons into types,
and study convergence to equilibrium in the core as the economy enlarges.
It might be worthwhile to characterize the situation in game theory
where the two collaborators’ share should be equal. Say the two authors
are Samuelson and Modigliani. They share the value of their article on
the Dual Pasinetti Theorem. Let that be v. Each collaborator has a utility
function defined in the domain of [0, v], which is usually characterized as
strictly increasing and concave. Since Samuelson said he did not do much
of the work, he will be willing to accept a share that is less than ds= 0.5.
Similarly, Modigliani will be willing to accept a share da> 0.5. Now, if the
sum of each contributor’s share equals less than the total value, that is, θS +
θM < 1, then positive gains, v − ds − dm, will be available for further sharing.
The maximum can therefore be found for their utilities.
10 L.B. RAMRATTAN AND M. SZENBERG

1.1.3  
Team Collaboration
People working in teams have been an old concern for economists.
Collaboration of teams may imply free-riders. If two people are carrying
a sack, their marginal product of the task may not be known. Basically
what we observe is that “The output is yielded by a team, by definition,
and it is not a sum of separable outputs of each of its members” (Alchian
& Demsetz, 1972, p. 779). Free-riding can be avoided if the specific skills
contributed by each collaborator are known, or because they help each
other (Brickley et al., 1997, p. 463). In general, if the expected team
output exceeds the sum of the expected individual output from working
alone, then teamwork is profitable.
We have settled on the term “collaboration” to describe the work of
the collaborators whose chapters appear in this volume. The term “coop-
eration” does not seem fitting for this collection, since in game theory
it is done in order to increase profit over the non-cooperative level.
Economists use the term “joint production” to provide another shade of
meaning, namely a double output that seems inevitable: from a sheep, we
get both wool and mutton. We have therefore chosen “collaboration” for
the economists whose work appears here, and use other synonyms only if
the contributors do so.

1.2   Hypothesis on Collaboration

In this section, we drill down from general terms to examine some popu-
lar hypotheses on collaboration. Moving toward hypothesis allows us to
do some arithmetic with the general, particular, and theoretical views
we have expressed above. In some cases we have added, in other cases
we have expanded, and for others we have repeated some ideas more
­formally. Without any attempt to be exhaustive, we present some of the
most frequent hypotheses that appear in the literature on collaboration.
Collaboration can embrace a single or multiple of these hypotheses.
John Maynard Keynes, the founder of macroeconomics, held that
even the explanation of simple ideas in economics may require collabora-
tion. He took a time and experience perspective of collaboration. These
concepts are inherent in his statement that “If the simple basic ideas can
become familiar and acceptable, time and experience and the collabora-
tion of a number of minds will discover the best way of expressing them”
(Keynes, 1937, p. 212). High-tech media help to facilitate such collabora-
Another random document with
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 Chapter XX.
THE ORDER OF THE LESSER SANCTIFICATION
OF WATER.

A table covered with brocade is placed in the middle of the church

in the customary place, and water in a stoup. And the priest, having
put on epitrachelion and phelonion, and holding in his hand the
honourable cross with an aspergillus, is preceded by the deacon with
the censer, and by two light-bearers with tapers. And having come
before the table, he layeth thereupon the cross, and, taking the
censer, he censeth the water crosswise, and beginneth as
customarily. And the priest having blessed, we begin psalm cxlii.
O Lord, hear my prayer....
Then, God is the Lord, and hath manifested himself unto us....
thrice, in tone iv.
And the present troparia, tone iv.
To the God-bearing one we now earnestly hie, we, sinful and lowly
ones, and bow down, crying in penitence from the depth of the soul,
Help us, O Queen, being pitiful unto us: make speed, we are undone
by the multitude of iniquities: turn not thy servants empty away; for
thee we hold indeed an only trust. Twice.
At no time, will we, unworthy ones, be silent, God-bearing one, to
tell of thy mighty acts; for, hadst thou not prevented with
intercession, who would have delivered us out of so many dangers?
and who would have kept us free until now? We will not turn away
from thee, O Queen; for thou ever savest thy servants from all ills.
Then, psalm l. Have mercy upon me, O God....
Then we sing these troparia, tone vi.
 Thou that didst receive the salutation of the Angel, and didst bring
forth thy Creator, save, O Virgin, them that magnify thee.
The first troparion is said twice.
We sing praises unto thy Son, God-bearing one, and cry, O most
pure Queen, deliver thy servants from every danger.
Thou art the boast of kings, of prophets and apostles, and of
martyrs, and the mediatress of the world, All-undefiled one.
Every tongue of the orthodox praiseth, and blesseth, and glorifieth
thy most pure childbirth, O god-wedded Mary.
Grant even unto me, an unworthy one, O my Christ, forgiveness of
trespasses, I beseech thee, through the prayers of her that bore
thee, as being compassionate.
I have put my trust in thee, God-bearing one: save me by thy
prayers, and grant me forgiveness of iniquities.
Quicken me, O thou that didst bring forth the life-giver and
Saviour: save me, by thy prayers, thou blessed trust of our souls.
All-undefiled Virgin, who didst conceive in thy womb the Creator of
all things, save our souls by thy prayers.
God-bearing one all-praised, who by word didst above word bring
forth the Word, pray him to save our souls.
Propitiate towards me the judge and thy Son, me, above every
man most iniquitous, effecting this by thy prayers, O thou Queen.
As it is meet we cry to thee, Hail, God-bearing one, pure ever-
virgin! entreating to be saved by thy prayers.
Deliver me from the everlasting fire and the torments that await
me, O parent of God, that I may bless thee.
Despise not the supplications of thy servants, O Queen all-
extolled, we beseech thee, that we may be delivered from every
besetment,
From ailments, and from all afflictions, and from dangers deliver
us, even us who fly to thy sacred protection.
 Strange is the wonder appertaining thee, God-conceiving one; for
the creator of all things, and our God, for our sake and like us, was
born of thee.
Thy temple, God-bearing one, is declared a free hospital for the
sick, and a place of consolation for afflicted souls.
Most holy God-bearing one, who didst bring forth the Saviour,
save thy servants from dangers, and from every other necessity.
Deliver thy servants from every approaching menace, O most pure
Queen, and from every spiritual and bodily harm.
By thy prayers, O God-bearing Virgin, save all them that betake
themselves to thee, and deliver them from every want and affliction.
Who hieth to thy temple, O most pure God-bearing one, and
receiveth not quickly a spiritual and also a bodily healing?
O Compassionate One, who art besought by all saints and by
hosts on high, cleanse me through her that bore thee.
Spare, O Saviour, the souls of our brethren, who have died in
hope of life, and pardon and forgive their iniquities.
Hail, Virgin, propitiation of the world! hail, vase of divine manna
and golden candlestick of light, O Bride of God!
We sing thee, one God in Trinity, uttering the thrice-holy voice, and
praying that we may obtain salvation.
Glory.
O Virgin, who didst bring forth the Saviour, and Master, and Lord
of the world! beseech him to save our souls.
Both now.
Hail, mountain! hail, bush! hail, gate! hail, ladder! hail, divine table!
hail, Queen, aid of all!
Through the prayers, O Gracious One, of thy most pure Mother,
and of all thy Saints, bestow thy mercies upon thy people.
Through the prayers of the glorious Archangels and Angels, and of
the hosts on high, safeguard thy servants, O Saviour.
 Through the prayers of thine honourable and glorious Baptist, the
prophet, the forerunner, O Christ, my Saviour, preserve thy servants.
Through the prayers of glorious apostles and martyrs, and of all
thy Saints, bestow thy mercies upon thy people.
Through the prayers of the glorious unmercenary ones, O God-
bearing one, preserve thy servants, as being the protection and
stablishing of the world.
Glory.
Let us glorify the Father, and the Son, and the Holy Ghost, saying,
O Holy Trinity, save our souls.
Both now.
Thou that unspeakably to the uttermost didst conceive and bring
forth thy Creator, save, O Virgin, them that magnify thee.
Then,
Open unto us the gates of mercy, O blessed God-bearing one, that
we perish not who put our trust in thee, but through thee may we be
delivered from dangers; for thou art the salvation of the christian
race.
Then, Let us pray to the Lord.
Priest. For holy art thou, O our God....
Choir. Amen.
Then the present troparia, tone vi.
Now present is the time that halloweth all, and the just Judge
awaiteth us. Then turn thyself to penitence, O soul, exclaiming, as
the harlot did, with tears, O Lord, be merciful to me.
Thou, who to-day the healing fountain in the Virgin’s all-revered
temple hast with waters shower’d, dost with the sprinkling of thy
blessing quell the ailments of the weak, O Christ, physician of our
bodies and our souls.
A virgin who no nuptials knew thou didst bring forth, and thou,
unwedded mother, virgin didst remain, God-bearing Mary: O pray
Christ our God that we be sav’d.
Most pure God-bearing Virgin, do thou direct our works, and pray
for pardon of our trespasses, as we the angelic song upraise,
Holy God, holy mighty one, holy immortal one, have mercy upon
us.
And it is sung as customarily, and, after the trisagion, the deacon
saith, Let us attend.
Priest. Peace to all.
Choir. And to thy spirit.
Reader, the prokimenon, tone iii.
The Lord is mine illumination and my Saviour, whom shall I fear?
Verse. The Lord is the defence of my life, of whom shall I be
afraid?
The epistle to the Hebrews, section cccvi.
Brethren, he that sanctifieth ... ending, them that are tempted[51]
Priest. Peace to thee.
Alleluia, tone vi.
Verse i. My heart uttereth a good word.
Verse ii. I speak of my works unto the King.
The gospel from John, section xiv.
At that time Jesus went up ..., ending, whatsoever disease he had.
[52]

Then the deacon the ectenia.

In peace let us pray to the Lord.
For the peace that is from above....
For the peace of the whole world....
For this holy temple....
 For the Most Holy Governing Synod....
For our Most Pious....
That he would assist them and subdue under Their feet....
For this city.... (if it is a monastery)
For this holy habitation....
For healthiness of weather....
For them that voyage, that journey....
That this water may be hallowed by the might, and operation, and
visitation of the Holy Ghost.
That there may come down into this water the cleansing operation
of the supersubstantial Trinity.
That this water may be to the healing of soul and body, and to the
turning aside of every opposing might.
That the Lord God may send down the blessing of Jordan, and
hallow this water.
For all them that need help and assistance from God.
That we may be illuminated with the illumination of understanding
by the consubstantial Trinity.
That the Lord God may declare us sons and inheritors of his
kingdom, through partaking of this water, and through being
sprinkled therewith.
For our deliverance from every affliction....
Help us, save us, have mercy on us....
Commemorating our most holy, most pure....
Choir. To thee, O Lord.
Exclamation.
For to thee is due all glory....
Then this prayer.
O Lord our God, mighty in counsel, and wonderful in works, Maker of
all creation, who keepest thy covenant and thy mercy towards them
that love thee and that keep thy commandments, who acceptest the
piteous tears of all them that are in need; for for this cause thou didst
come in the form of a servant, not terrifying us with phantoms, but
vouchsafing true bodily healing, and saying, Behold, thou art made
whole, sin no more: yea, thou didst with clay restore the eyes of the
blind, and didst bid him wash, and by a word didst make him see, O
thou that breakest the waves of adverse passions, and driest up the
salt sea of this life, and quellest the billows of lusts that are hard to
be endured; do thou thyself, O man-loving King, who hast given unto
us to be invested with a snow-white robe by water and the Spirit, by
the partaking of this water, and by being sprinkled therewith, send
down upon us thy blessing, which taketh away the defilement of
passions. Yea, O Blessed One, we pray thee to visit our infirmities,
and to heal our spiritual and bodily weaknesses by thy mercy:
through the prayers of our altogether most pure, most blessed Lady,
the God-bearing ever-virgin Mary; through the might of the
honourable and life-effecting cross; through the intercessions of the
honourable heavenly bodiless hosts; of the honourable glorious
prophet, forerunner, and baptist, John; of the holy glorious and all-
praised apostles; of our venerable and god-bearing fathers; of our
fathers in the saints, the great hierarchs and ecumenical doctors,
Basil the great, Gregory the theologian, and John Chrysostom; of our
fathers in the saints, Athanasius and Cyril, patriarchs of Alexandria;
of our father in the saints, Spyridon, wonderworker of Trimythes; of
our father in the saints, archbishop Nicolas, wonderworker of
Myrlicia; of our fathers in the saints, Peter, Alexis, Jonas, and Philip,
wonderworkers of all Russia; of the holy and glorious great martyr,
George, the triumphant; of the holy and glorious great martyr,
Demetrius, the myrrh-emitter: of the holy and excellently victorious
martyrs; of the holy and righteous god-progenitors, Joakim and
Anna; of the holy glorious and unmercenary wonderworkers,
Cosmas and Damian, Cyrus and John, Pantelimon and Hermolaus,
Sampson and Diomed, Mocius and Anicetus, Thalaleus and
Tryphon; and of the holy, name, whose memory we keep, and of all
thy Saints.
 And preserve, O Lord, thy Servant, our Most Pious, Autocratic,
Great Lord, THE EMPEROR ALEXANDER ALEXANDROVITCH, of
all Russia. Thrice.
And His Consort, the Most Pious Lady, THE EMPRESS MARIA
THEODOROVNA.
And His Heir, the Right-believing Lord, the Cesarevitch and Grand
Duke, NICOLAUS ALEXANDROVITCH, and all the reigning House.
Save, O Lord, and have mercy upon the Most Holy Governing
Synod, give unto them spiritual and bodily health, and be gracious in
all things to this thy ministration of the christian polity. Remember, O
Lord, every episcopate of the right-believers, that rightly divide the
word of thy truth, and every priestly and monastic order, and their
salvation. Remember, O Lord, them that hate and them that love us,
our ministering brethren here present, and them that for a blessed
cause are absent and have desired us, unworthy ones, to pray for
them. Remember, O Lord, our brethren that are in bonds and
afflictions, and have mercy upon them according to thy great mercy,
delivering them from every need. For thou art the fountain of healing,
O Christ our God, and to thee we ascribe glory, with thine
unbeginning Father, and with thy most holy, and good, and life-
creating Spirit, now and ever, and to ages of ages.
Choir. Amen.
Priest. Peace to all.
Choir. And to thy spirit.
Deacon. Bow your heads to the Lord.
Choir. To thee, O Lord.
And the priest secretly the prayer.
Incline thine ear, O Lord, and hearken unto us, thou who didst
vouchsafe to be baptized in Jordan, and didst hallow the waters; and
do thou bless us all, who through the bending of our necks indicate
the representation of service; and count us worthy to be filled with
thy sanctification through the partaking of this water; and may it be
unto us, O Lord, for the healing of soul and body.
 Exclamation. For thou art our sanctification, and to thee we
ascribe glory, and thanksgiving, and worship, with thine unbeginning
Father, and with thine all-holy, and good, and life-creating Spirit, now
and ever, and to ages of ages.
Choir. Amen.
Then, taking the honourable cross, he blesseth the water thrice,
dipping it and raising it perpendicularly in the form of a cross, and
singing the present troparion in tone i thrice.
O Lord, save thy people, and bless thine inheritance, granting
victory to our Right-believing EMPEROR, name, over enemies, and
preserving thine estate by thy cross.
And after this they sing this troparion, tone ii.
Make us worthy of thy gifts, O God-bearing Virgin, overlooking our
iniquities, and vouchsafing cures unto them that in faith receive thy
blessing, O thou most pure.
Then the priest kisseth the honourable cross, as also do all the
people, and he sprinkleth all with the sanctified water, and the altar,
and the whole church. And the people sing the present troparia, tone
iv.
Having a fountain of remedies, O holy unmercenary ones, ye
bestow healings unto all that are in need, as being counted worthy of
mighty gifts from the ever-flowing fountain of our Saviour; for the
Lord hath said unto you, as unto co-emulators of the apostles,
Behold, I have given unto you power over unclean spirits so as to
cast them out, and to heal every sickness and every wound.
Therefore in his commandments having virtuously liv’d, freely ye
receiv’d, freely ye bestow, healing the sufferings of our souls and
bodies.
Attend unto the supplications of thy servants, thou altogether
undefiled one, quelling the uprisings of evils against us, and
releasing us from every affliction; for thee we have alone a sure and
certain confirmation, and we have gained thy mediation that we may
not be put to shame, O Queen, who call upon thee, Be instant in
supplication for them that faithfully exclaim to thee, Hail, Queen, thou
aid of all, the joy and safeguard, and salvation of our souls!
Accept the prayers of thy servants, O Queen, and deliver us from
every necessity and grief.
And, after the sprinkling, the ectenia.
Have mercy upon us, O God....
Furthermore let us pray for the preservation of this holy habitation,
and of every city and country, from famine, pestilence, earthquake,
flood, fire, sword, invasion of strangers, and civil war, that our good
and man-loving God may be gracious and favourably disposed to
turn away from us every rage that riseth against us, and to deliver us
from his impending and righteous threatening, and to have mercy
upon us.
Lord, have mercy, xl.
And the priest exclaimeth,
Hear us, O God our Saviour, thou hope of all the ends of the
earth.... and the rest.
Choir. Amen.
Priest. Peace to all.
Choir. And to thy spirit.
Deacon. Let us bow our heads to the Lord.
Choir. To thee, O Lord.
Priest, this prayer with a loud voice.
O most merciful Master, O Lord Jesus Christ our God, through the
prayers of our all-holy Lady, the God-bearing ever-virgin Mary;
through the might of the honourable and life-effecting cross; through
the intercession of the honourable heavenly bodiless hosts; of the
honourable glorious prophet, forerunner, and baptist, John; of the
holy glorious and all-praised apostles; of the holy glorious and
excellently victorious martyrs; of our venerable and god-bearing
fathers; of our fathers in the saints, the great ecumenical doctors and
divines, Basil the great, Gregory the theologian, and John
Chrysostom; of our father in the saints, archbishop Nicolas,
wonderworker of Myrlicia; of our fathers in the saints, Peter, Alexis,
Jonas, and Philip, wonderworkers of all Russia; of the holy and
righteous god-progenitors, Joakim and Anna, and of the holy, name,
whose is the temple, and of all thy Saints, make our prayer
acceptable unto thee; grant unto us forgiveness of our iniquities;
cover us with the shelter of thy wings; remove far from us every
enemy and adversary; give peace to our life; O Lord, have mercy
upon us, and upon thy world, and save our souls, as being good and
the lover of mankind.
Choir. Amen.
And the dismissal.
 Chapter XXI.
THE ORDER OF THE GREAT SANCTIFICATION
ON THE HOLY THEOPHANY.

After the priest hath said the prayer behind the ambo, we all go to
the baptismal font, the taper-bearers going in front, and after them
the deacons and priests with the gospel and with incense, while the
brethren sing the present troparia.
Tone viii.
The voice of the Lord crieth upon the waters, saying, O come ye,
and all receive the spirit of wisdom, the spirit of understanding, the
spirit of the fear of God, even Christ, who is made manifest.
Thrice.
To-day the nature of the waters is sanctified, and the Jordan is
divided, and turneth back the flowing of its waters, beholding the
baptism of the Master.
Twice.
As a man thou didst come to the river, O Christ the King, desiring
to receive the baptism of a servant, O thou good one, at the hand of
the Forerunner, because of our sins, O lover of mankind.
Twice.
Glory. Both now. The same tone.
To the voice crying in the wilderness, Prepare ye the way of the
Lord, thou didst come, O Lord, taking the form of a servant, asking
for baptism, thou who knowest not sin. The waters beheld thee, and
were afraid. The Forerunner became trembling, and cried, saying,
How shall the lamp of light be lighted? how shall the servant lay
hands upon the Master? Sanctify thou me and the waters, O
Saviour, thou that takest away the sins of the world.
And straightway, standing by the baptismal font, the deacon saith,
Wisdom.
And the reader, the reading from the prophesy of
Esaias.
Chap. xxxv.
Thus saith the Lord, Let the thirsty desert be glad, let the wilderness
rejoice, and blossom as a rose, and let them bud forth and be
exceedingly glad. And let the desert of Jordan rejoice, and the glory
of Libanus shall be given unto it, and the honour of Carmel, and my
people shall behold the glory of the Lord, and the exaltedness of
God. Strengthen ye the weak hands, and comfort ye the feeble
knees; and say unto them that are faint-hearted in intention, Be ye
strong, and fear not, behold our God will render judgment, he will
come and save us. Then shall the eyes of the blind be opened, and
the ears of the deaf shall hear. Then shall the lame man leap as an
hart, and the tongue of the deaf be distinct; for in the wilderness shall
water break out, and a ravine in a thirsty land. And waterless places
shall become pools, and in a thirsty land shall be a spring of water:
there shall be joy of birds, abodes of syrens, and reeds and pools.
And there shall be a pure way, and it shall be called a holy way; and
the impure shall not pass there, neither shall an impure way be
there, and the dispersed shall walk therein, and shall not wander.
And no lion shall be there, nor of evil beasts shall one enter there,
nor be found there; but the redeemed and chosen of the Lord shall
walk therein. And they shall return and come to Sion with joy and
gladness, and everlasting joy shall be upon their heads: praise, and
gladness, and joy shall penetrate them, and pain, grief, and sighing
shall flee away.
The reading from the prophecy of Esaias.
Chap. lv.
Thus saith the Lord, O every one that thirsteth, come ye to the water,
and as many as have no money, come ye, buy, and eat and drink,
wine and fat, without money and without price. Wherefore do ye
spend money for that which is not bread, and labour for that which
satisfieth not? hearken ye to me, and eat that which is good, and let
your soul delight itself in good things. Incline your ears, and follow in
my ways; hearken unto me, and your soul shall live in good things;
and I will promise unto you an everlasting testament, even faithful
things befitting unto David. Behold, I have given him to be a
testimony among the nations, a prince and a commander among the
nations. Behold, nations that have not known thee shall call upon
thee, and people that have not recognised thee shall have recourse
unto thee, because of the Lord thy God and the holy one of Israel,
for I have glorified thee. Seek ye God, and, when ye have found him,
call upon him, if haply he may draw nigh unto you. Let the impious
forsake his ways, and the transgressing man his counsels; and turn
ye unto the Lord your God, and ye shall be pitied; for in much wise
he forgiveth your sins. For my counsels are not as your counsels,
neither as your ways are my ways, saith the Lord. For as the heaven
standeth far from the earth, so standeth my way from your ways, and
your contemplations from my thoughts. For as the rain or the snow
cometh down from heaven, and returneth not thither, until it soaketh
the earth, and generateth, and increaseth, and giveth seed to the
sower, and bread to the eater, so shall my word be which goeth out
of my lips, and returneth not unto me void, until it accomplisheth all
that I have wished, and furthereth my ways and my commandments.
For ye shall go forth with joy, and be taught with gladness: for the
mountains and the hills shall leap, expecting you with joy, and all the
trees of the field shall clap their hands. And instead of the thorn shall
come up the cypress, and instead of the nettle shall come up the
myrtle; and it shall be to the Lord for a name and for an everlasting
sign, and it shall not be cut off.
The reading from the prophecy of Esaias.
Chap. xii.
Thus saith the Lord, Ye shall draw water with joy out of wells of
salvation. And thou shalt say in that day, Confess ye unto the Lord,
and call upon his name, declare his glory unto the nations, make
mention that his name is exalted. Sing ye the name of the Lord, for
he hath wrought excellent things: declare ye these throughout all
lands. Rejoice and be glad, ye that dwell in Sion, for the holy one of
Israel is exalted in the midst thereof.
Deacon. Wisdom.
Reader, prokimenon, tone iii.
The Lord is mine illumination, and my Saviour, whom shall I fear?
Verse. The Lord is the defence of my life, of whom shall I be
afraid?
The epistle to the Corinthians, section cxliii, from
the paragraph, Chap. x.
Brethren, I would not that ye should be ignorant how that all our
fathers were under the cloud, and all passed through the sea; and
were all baptized unto Moses in the cloud and in the sea; and did all
eat the same spiritual meat, and did all drink the same spiritual drink;
for they drank of the spiritual rock that followed them, and the rock
was Christ.
Alleluia, tone iv.
Verse. The voice of the Lord is upon the waters, the God of glory
thundereth, the Lord is upon many waters.
The gospel from Mark, section ii. Chap. i.
At that time Jesus came from Nazareth of Galilee, and was baptized
of John in Jordan. And straightway coming up out of the water, he
saw the heavens opened, and the Spirit like a dove descending upon
him. And there was a voice from heaven, saying, Thou art my
beloved Son, in whom I am well pleased.
And the deacon saith the ectenia.
In peace let us pray to the Lord.
For the peace that is from above....
For the peace of the whole world....
For this holy temple....
 For the Most Holy Governing Synod....
For our Most Pious, Autocratic Great Lord, THE EMPEROR
ALEXANDER ALEXANDROVITCH of all Russia; and for His
Consort, the Most Pious Lady, THE EMPRESS MARIA
THEODOROVNA.
For His Heir, the Right-believing Lord, the Cesarevitch and Grand
Duke NICOLAUS ALEXANDROVITCH; and for all the Reigning
House.
That he would assist Them, and subdue....
For this city, (if it is a monastery, For this holy habitation)....
For healthiness of weather....
For them that voyage, that journey....
That this water may be hallowed by the might, and operation, and
descent of the Holy Ghost, let us pray to the Lord.
That there may come down into these waters the cleansing
operation of the supersubstantial Trinity, let us pray to the Lord.
That there may be bestowed upon them the grace of redemption,
the blessing of Jordan, through the might, and operation, and
descent of the holy Ghost, let us pray to the Lord.
That he would quickly beat down satan under our feet, and destroy
every evil counsel that he conceiveth against us, let us pray to the
Lord.
That the Lord our God may deliver us from every evil device, and
from the essay of the adversary, and may count us worthy of
promised blessings, let us pray to the Lord.
That we may be illuminated with the illumination of understanding
and piety through the descent of the Holy Ghost, let us pray to the
Lord.
That the Lord God would send down the blessing of Jordan, and
hallow these waters, let us pray to the Lord.
 That this water may be a gift of sanctification, a loosing of sins, for
the healing of soul and body, and for every befitting need, let us pray
to the Lord.
That this water may well up unto eternal life, let us pray to the
Lord.
That it may be manifested to the destruction of every counsel of
visible and invisible enemies, let us pray to the Lord.
For them that laid and draw thereof for the sanctification of
houses, let us pray to the Lord.
That it may be to the cleansing of soul and body of all that with
faith draw and partake of it, let us pray to the Lord.
That we may be counted worthy to be filled with sanctification
through the partaking of these waters, by the invisible manifestation
of the Holy Ghost, let us pray to the Lord.
That the Lord God may hearken unto the voice of the prayer of us
sinners, and have mercy upon us, let us pray to the Lord.
For our deliverance from every affliction....
Help us, save us, have mercy....
Commemorating our most holy, most pure, most blessed....
While these are being said, the priest saith this
prayer secretly.
Lord Jesus Christ, the only-begotten Son, that art in the bosom of
the Father, O thou true God, fountain of life and immortality, thou
light of light, that camest into the world to enlighten it; do thou dawn
upon our mind by thy Holy Ghost, and accept us offering magnifying
and thanksgiving unto thee for thy wonderful mighty works from
eternity, and for thy saving providence in these last ages, in which
thou hast assumed our impotent and poor substance, and,
condescending to the estate of a servant, who art King of all things,
didst furthermore endure to be baptized in Jordan by the hand of a
servant, that thou, the sinless one, having sanctified the nature of
water, mightest lead us unto regeneration by water and the spirit,
and stablish us in the aforetime liberty. And, celebrating the memory
of this divine mystery, we beseech thee, O man-loving Master,
Sprinkle thou also upon us, thine unworthy servants, according to thy
divine promise, pure water, the gift of thy tenderness, that the prayer
of us sinners over this water may be acceptable through thy grace,
and that thereby thy blessing may be bestowed upon us and upon all
thy faithful people, to the glory of thy holy and adorable name. For to
thee is due all glory, honour, and worship, with thine unbeginning
Father, and with thy most holy, and good, and life-creating Spirit,
now and ever, and to ages of ages.
And he saith to himself, Amen.
And when the deacon hath finished the ectenia, the priest
beginneth this prayer with a loud voice.
Great art thou, O Lord, and wonderful are thy works, and no word
shall be sufficient for the praise of thy wonders.
Thrice.
For thou by thy will hast from, nothingness brought all things into
being, and, by thy power, thou sustainest creation, and, by thy
foreknowledge, directest the world. Thou from four elements hast
formed creation, and hast crowned the circle of the year with four
seasons. All the spiritual powers tremble before thee, the sun
praiseth thee, the moon glorifieth thee, the stars make intercession
with thee, the light hearkeneth unto thee, the depths shudder at thy
presence, the springs of water serve thee. Thou hast stretched out
the heavens as a curtain, thou hast founded the earth upon the
waters, thou hast bounded the sea with sand, thou hast diffused the
air for breathing. The angelic powers minister unto thee, the choirs of
archangels worship thee, the many-eyed cherubim, and the six-
winged seraphim, standing and flying around, cover themselves with
fear of thine unapproachable glory. For thou, being the uninscribable,
unbeginning and unspeakable God, didst come down upon earth,
taking the form of a servant, being made in the likeness of men; for
thou, O Master, through the tenderness of thy mercy, didst not
endure to behold the race of men tormented by the devil, but thou
didst come and save us. We confess thy grace, we proclaim thy