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Java programming from problem analysis to program
design 5th ed Edition D S Malik Digital Instant Download
Author(s): D S Malik
ISBN(s): 9781111577643, 1111577641
Edition: 5th ed
File Details: PDF, 7.00 MB
Year: 2012
Language: english
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Java Programming: From Problem Analysis ª 2012 Course Technology, Cengage Learning
to Program Design, Fifth Edition
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1 2 3 4 5 6 7 16 15 14 13 12 11 10
 JAVA PROGRAMMING
FROM PROBLEM ANALYSIS TO PROGRAM DESIGN

FIFTH EDITION

D.S. MALIK

Australia  Brazil  Japan  Korea  Mexico  Singapore  Spain  United Kingdom  United States
 TO

My Daughter

Shelly Malik
 B RIEF C ONTENTS

PREFACE xix
1. An Overview of Computers and Programming Languages 1

2. Basic Elements of Java 25

3. Introduction to Objects and Input/Output 113

4. Control Structures I: Selection 177

5. Control Structures II: Repetition 249

6. Graphical User Interface (GUI) and Object-Oriented Design (OOD) 327

7. User-Defined Methods 383

8. User-Defined Classes and ADTs 465

9. Arrays 551

10. Inheritance and Polymorphism 639

11. Handling Exceptions and Events 723

12. Advanced GUIs and Graphics 783

13. Recursion 873

14. Searching and Sorting 907

APPENDIX A Java Reserved Words 939

APPENDIX B Operator Precedence 941

APPENDIX C Character Sets 945

APPENDIX D Additional Java Topics 949

APPENDIX E Answers to Odd-Numbered Exercises 997

INDEX 1023
 TABLE OF C ONTENTS

Preface xix

AN OVERVIEW OF COMPUTERS AND

1 PROGRAMMING LANGUAGES 1
Introduction 2

An Overview of the History of Computers 2

Elements of a Computer System 4

Hardware 4
Software 6

Language of a Computer 6

Evolution of Programming Languages 8

Processing a Java Program 10

Internet, World Wide Web, Browser, and Java 13

Programming with the Problem

Analysis–Coding–Execution Cycle 13

Programming Methodologies 19
Structured Programming 19
Object-Oriented Programming 19

Quick Review 21

Exercises 23
 Table of Contents | vii

BASIC ELEMENTS OF JAVA 25

2 A Java Program 26

Basics of a Java Program 28

Comments 29
Special Symbols 30
Reserved Words (Keywords) 30
Identifiers 31

Data Types 32
Primitive Data Types 32

Arithmetic Operators and Operator Precedence 36

Order of Precedence 39

Expressions 40
Mixed Expressions 41

Type Conversion (Casting) 43

class String 45
Strings and the Operator + 46

Input 48
Allocating Memory with Named Constants and Variables 48
Putting Data into Variables 51
Declaring and Initializing Variables 55
Input (Read) Statement 56
Reading a Single Character 61

Increment and Decrement Operators 64

Output 66

Packages, Classes, Methods, and the import Statement 71

Creating a Java Application Program 72

Debugging: Understanding and Fixing Syntax Errors 77

Programming Style and Form 80

Syntax 80

Avoiding Bugs: Consistent, Proper Formatting and

Code Walk-Through 84
viii | Java Programming: From Problem Analysis to Program Design, Fifth Edition

More on Assignment Statements (Optional) 85

Quick Review 94

Exercises 97

Programming Exercises 106

INTRODUCTION TO OBJECTS AND INPUT/OUTPUT 113

3 Objects and Reference Variables 114

Using Predefined Classes and Methods in a Program 118

Dot Between Class (Object) Name and Class Member: A
Precaution 120

class String 121

Input/Output 129
Formatting Output with printf 129
Using Dialog Boxes for Input/Output 139
Formatting the Output Using the String Method format 146

File Input/Output 149

Storing (Writing) Output to a File 152

Debugging: Understanding Logic Errors and

Debugging with print or println Statements 163

Quick Review 165

Exercises 167

Programming Exercises 171

CONTROL STRUCTURES I: SELECTION 177

4 Control Structures 178

Relational Operators 180

Relational Operators and Primitive Data Types 181

Logical (Boolean) Operators and Logical Expressions 183

Order of Precedence 185

boolean Data Type and Logical (Boolean) Expressions 189
Other documents randomly have
different content
CHAPTER 6. STRING PROCESSING c Steven, Felix, Suhendry

’ADAM’ ! ’ADA’ (of length 3, delete ‘M’)

’MADAM’ ! ’MADAM’ (of length 5, delete nothing)
’NEVERODDOREVENING’ ! ’NEVERODDOREVEN’ (of length 14, delete ‘ING’)
’RACEF1CARFAST’ ! ’RACECAR’ (of length 7, delete ‘F1’ and ‘FAST’)
The DP solution: let len(l, r) be the length of the longest palindrome from string A[l..r].
Base cases:
If (l = r), then len(l, r) = 1. // odd-length palindrome
If (l + 1 = r), then len(l, r) = 2 if (A[l] = A[r]), or 1 otherwise. // even-length palindrome
Recurrences:
If (A[l] = A[r]), then len(l, r) = 2 + len(l + 1, r 1). // corner characters are the same
else len(l, r) = max(len(l, r 1), len(l + 1, r)). // increase/decrease left/right side
This DP solution has time complexity of O(n2 ).

Anadrome and Palinagram

We can combine the concept of Anagram and Palindrome into Anadrome or Palinagram.
Anadrome is a word that reads that have proper meaning when read forwards or backwards
(like the palindrome), but also a di↵erent word for the di↵erent order of letters (like the
anagram). For example, ‘BATS’ = ‘STAB’. Palinagram is a palindrome that is an anagram
with another word. For example, ‘DAAMM’ (not a proper English word) is an anagram of
‘MADAM’, which is also a palindrome. This version is asked in UVa 12770 - Palinagram.

Exercise [Link]*: Suppose that we are now interested to find the length of the longest
substring that is also a palindrome in a given string s with length up to n = 200 000
characters. For example, the Longest Palindromic Substring of “BANANA” is “ANANA” (of
length 5) and the Longest Palindromic Substring of “STEVEN” is “EVE” (of length 3). Note
that while the Longest Palindromic Substring(s) of a given string s is not necessarily unique,
the (longest) length is unique. Show how to solve this problem using either:

• O(n log n) Suffix Tree/Array as discussed in Section 6.5.

Hint: use the solution for Exercise [Link]* (LCE),

• O(n log n) String Hashing as discussed in Section 6.6,

• O(n) using Manacher’s algorithm [24].

361
6.7. ANAGRAM AND PALINDROME c Steven, Felix, Suhendry

Programming exercises related to Anagram and Palindrome:

• Anagram
1. Entry Level: UVa 00195 - Anagram * (use algorithm::next permutation)
2. UVa 00156 - Ananagram * (easier with algorithm::sort)
3. UVa 00642 - Word Amalgamation * (go through the given small dic-
tionary for the list of possible anagrams)
4. UVa 12641 - Reodrnreig Lteetrs ... * (anagram problem variation)
5. UVa 12770 - Palinagram * (count frequencies; print odd frequency char-
acters with except the last one – put it in the middle of a palindrome)
6. Kattis - multigram * (brute force lengths that is divisor of the original length
of the string; test)
7. Kattis - substringswitcheroo * (anagram; generate all signature frequencies
of all substrings of B; compare with all substrings of A; 9s TL)
Extra UVa: 00148, 00454, 00630, 10098.
• Palindrome (Checking)
1. Entry Level: UVa 00401 - Palindromes * (simple palindrome check)
2. UVa 10848 - Make Palindrome Checker * (related to UVa 10453; palin-
drome check, character frequency check, and a few others)
3. UVa 11584 - Partitioning by ... * (use two O(n2 ) DP string; one for
palindrome check and the other for partitioning)
4. UVa 11888 - Abnormal 89’s * (let ss = s+s; find reverse(s) in ss, but it
cannot match the first n chars or the last n chars of ss)
5. Kattis - kaleidoscopicpalindromes * (test all; when you try enlarging k, the
answers are actually ‘small’)
6. Kattis - palindromesubstring * (try all pairs of O(n2 ) substrings with at least
2 characters; keep the ones that are palindrome (use DP) in a sorted set)
7. Kattis - peragrams * (only one odd frequency character can be in the center
of palindrome once; the rest need to have even frequency)
Extra UVa: 00257, 00353, 10945, 11221, 11309, 12960.
• Palindrome (Generating)
1. Entry Level: UVa 10018 - Reverse and Add * (generating palindrome
with specific math simulation; very easy)
2. UVa 01239 - Greatest K-Palindrome ... * (LA 4144 - Jakarta08; as
S  1000, brute-force is enough; consider odd and even length palindromes)
3. UVa 11404 - Palindromic Subsequence * (similar to UVa 10453, 10739,
and 11151; print the solution in lexicographically smallest manner)
4. UVa 12718 - Dromicpalin Substrings * (LA 6659 - Dhaka13; try all
substrings; count character frequencies in them and analyze)
5. Kattis - evilstraw * (greedily match leftmost char s[0]/rightmost char s[n-1]
with rightmost/leftmost matching s[i], respectively)
6. Kattis - makingpalindromes * (s: (l, r, k); t: a bit challenging)
7. Kattis - names * (add a letter or change a letter; complete search)
Extra UVa: 10453, 10617, 10739, 11151.

362
CHAPTER 6. STRING PROCESSING c Steven, Felix, Suhendry

6.8 Solution to Non-Starred Exercises

Exercise [Link]: Di↵erent scoring schemes will yield di↵erent (global) alignments. If given
a string alignment problem, read the problem statement and see what is the required cost
for match, mismatch, insert, and delete. Adapt the algorithm accordingly.
Exercise [Link]: You have to save the predecessor information (the arrows) during the
DP computation. Then follow the arrows using recursive backtracking.
Exercise [Link]: The DP solution only needs to refer to the previous row so it can utilize
the ‘space saving technique’ by just using two rows, the current row and the previous row.
The new space complexity is just O(min(n, m)), that is, put the shorter string as string 2
so that each row has fewer columns (less memory). The time complexity of this solution is
still O(nm). The only drawback of this approach, as with any other space saving technique
is that we will not be able to reconstruct the optimal solution. So if the actual optimal
solution is needed, we cannot use this space saving technique.
Exercise [Link]: Simply concentrate along the main diagonal with width d. We can speed
up Needleman-Wunsch algorithm to O(dn) by doing this.
Exercise [Link]: It involves Kadane’s algorithm again (see maximum sum problem dis-
cussed in Book 1).
Exercise [Link]: “pple”.
Exercise [Link]: Set score for match = 0, mismatch = 1, insert and delete = negative
infinity and run the O(nm) Needleman-Wunsch DP algorithm. However, this solution is not
efficient and not natural, as we can simply use an O(n) algorithm to scan both string 1 and
string 2 and count how many characters are di↵erent.
Exercise [Link]: Reduced to LIS, O(n log k) solution. The reduction to LIS is not shown.
Draw it and see how to reduce this problem into LIS.
Exercise [Link]: The LCP of suffix 1 and suffix 5 in Figure 6.3—right is ‘A’. The LCP of
any 2 suffixes (that ends in a leaf vertex due to the usage of terminating symbol ‘$’) is the
Lowest Common Ancestor (LCA) between these 2 suffixes. It means that the path label of
this LCA is shared between these 2 suffixes and the longest. It has several applications in
Section 6.5.3.
Exercise [Link]: “C” is found (at index 6), “CAT” is not.
Exercise [Link]: “ACATTA”. PS: The no overlap version (see Exercise [Link]*) is “ACATT”
or “CATTA”.
Exercise [Link]: “EVEN”.
Exercise [Link]: Index out of bound will never happen because when the first equality
check holds, we always guarantee the first k characters of those two suffixes cannot contain
the terminating character ‘$’ thus checking +k more characters would still not exceed the
string length of T. Otherwise, the first equality check doesn’t hold and the second equality
check will be skipped.
Exercise [Link]: The given SA construction code uses terminating symbol ‘$’ (ASCII
36). Therefore, it will think that a space: ‘ ’ (ASCII 32) is another terminating symbol
and confuses the sorting process. One way to deal with this is to replace all spaces with
something higher than ASCII 36 (but still below ‘A’) or do not use space at all in T.
Exercise [Link]: “AAAAAAAAAAAAAAA$”.

363
6.9. CHAPTER NOTES c Steven, Felix, Suhendry

6.9 Chapter Notes

The material about String Alignment (Edit Distance), Longest Common Subsequence, and
Trie/Suffix Trie/Tree/Array are originally from A/P Sung Wing Kin, Ken [34], School of
Computing, National University of Singapore. The material has since evolved from a more
theoretical style into the current competitive programming style.
The section about the harder Ad Hoc string processing problems (Section 6.2) was born
from our experience with string-related problems and techniques. The number of program-
ming exercises mentioned there is about half of all other string processing problems discussed
in this chapter (the easier ones are in Book 1). These are not the typical ICPC problems/IOI
tasks, but they are still good exercises to improve your programming skills.
We have expanded the discussion of non classical DP problems involving string in Section
6.3. We feel that the classical ones will be rarely asked in modern programming contests.
In Section 6.4, we discuss the library solutions and one fast algorithm (Knuth-Morris-
Pratt (KMP) algorithm) for the String Matching problem. The KMP implementation will
be useful if you have to modify basic string matching requirement yet you still need fast
performance. We believe KMP is fast enough for finding pattern string in a long string for
typical contest problems. Through experimentation, we conclude that the KMP implemen-
tation shown in this book is slightly faster than the built-in C strstr, C++ [Link],
Java [Link], Python [Link], and OCaml search forward. If an even faster
string matching algorithm is needed during contest time for one longer string and much more
queries, we suggest using Suffix Array discussed in Section 6.5.4. In Section 6.6, we discuss
string hashing techniques inside Rabin-Karp algorithm for solving some string processing
problems including the String Matching algorithm. There are several other string match-
ing algorithms that are not discussed yet like Boyer-Moore, Z algorithm, Aho-Corasick,
Finite State Automata, etc. Interested readers are welcome to explore them.
The applications of Prefix Doubling algorithm of [21] for Suffix Array construction are
inspired from the article “Suffix arrays - a programming contest approach” by [37]. We have
integrated and synchronized many examples given there in this section. It is a good idea to
solve all the programming exercises listed in Section 6.5 although they are only a few.
Compared to the first three editions of this book, this chapter has grown even more—
similar case as with Chapter 5. However, there are more string topics that we have not
touched yet: the Shortest Common Superstring problem, Burrows-Wheeler trans-
formation algorithm, Suffix Automaton, Radix Tree, Manacher’s algorithm, etc.

Statistics 1st 2nd 3rd 4th

Number of Pages 10 24 35 40 (+14%)
Written Exercises 4 24 33 15+16* = 30 (-9%)
Programming Exercises 54 129 164 245 (+49%)

The breakdown of the number of programming exercises from each section is shown below:

Section Title Appearance % in Chapter % in Book

6.2 Ad Hoc Strings (Harder) 123 ⇡ 50% ⇡ 3.6%
6.3 String Processing with DP 33 ⇡ 13% ⇡ 1.0%
6.4 String Matching 27 ⇡ 11% ⇡ 0.8%
6.5 Suffix Trie/Tree/Array 20 ⇡ 8% ⇡ 0.6%
6.6 String Hashing 7 ⇡ 3% ⇡ 0.2%
6.7 Anagram and Palindrome 35 ⇡ 14% ⇡ 1.0%
Total 245 ⇡ 7.1%

364
 82 S ession 50

to fullfill the law to the same end that Christ did: for he [did it] for our
justification.
Two things in the law: obedience & promise of life. ‘This thou shalt doe’
is an eternall command.
Potentis peccati1 is the power of sin in our members. Potestas2 the right of
sin to be there: Condemning sin in us speaks to the latter.
Mr Vines: We are for whole Christ for every use: but we are to distin­
guish upon respects. We are wholly for Christs active obed. but quaerimus3
upon what this obed. is terminated: We confesse we have all we have by
Christ & shall have 10 times more glory then Adams righteousn. was cap­
able of: but quaerimus whether this be founded upon the active obed.
After long discourse, he concluded that Justif. is opposed to condemna­
tion & so his quaere4 still remaineth, that active obed. is not properly
Heb. 7:26 called justification.
[vol. 1, fol. 34r] [. . . harm]lesse undefiled separate from sinners’.
Heb. 10:19 Mr Herle answered Heb. 10:19. in Antith. to law: High pr[iest] not [to]
enter without blood, but alway[s] cleane.
Gal. 3:14 Gal. 3:14. Ans. All sin is taken away,a & all want by the passive obedience
infallibiliter5 but not formaliter.6
All grace given for Christs sake <ergo glory>. Answ. True consequenter7
but not formaliter:8 it is for sanctif. rather the9 justification.
In the death of Chr. there is a value to redeeme, & power to purge. Totum
cui nihil deest & totum extra quod nihil est.10
The humane nature being a creature was in obligation: <Answ.> but
the obligation betweene God & the Creature is personall. Ergo it is to be
considered that the oblig[ation] betweene God & Christ was personal &
Christs person was God man.
Phil. 2:9 Mr Price: Phil. 2:9 was quoted to proove the pass. Obed. had the glory:
this we would proove the active from.
Mr Seaman: began to state the notion of justification: Crimination is
2f:11 in reference to the negat. and affirm. parts of the law: Justification
speaks to both.

a
‘away all sin’, ‘all sin’ deleted.

1
‘sin’s power’.
2
Here, ‘authority’ or ‘rule’.
3
‘we inquire’.
4
‘quiry’.
5
‘infallibly’.
6
‘formally’.
7
‘consequently’.
8
‘formally’.
9
Read ‘than’.
10
‘a thing is complete when it lacks nothing’ and ‘the whole is that outside of which there
is nothing’.
11
Read ‘twofold’.
 11 S e p te m ber 1643 83

Condemnation 2f: to & from a thing: Justification includes 1. Not

imputing of sin. 2. Imputation of righteous. 3. No Condemnation. 4.
Retitlinga to life. This prooved by this
[1.] because justif. by works would have caused all these.
2. Justification make[s] spiritually blessed. Rom. 4 but without all these Rom. 4:1–12
we cannot be soe.
3. Justification bringeth life. Rom. 4:17. [vol. 1, fol. 34v]
4. The justified may by virtue of justif. rejoyce under hope of glory. Rom. 4:17
Rom. 5:1. But none can do so but who hath interest in heaven. Rom. 5:2
5. We read of a righteousnesse which is of God & of which he is author,
& a righteousnesse <made>: Rom. 3:21–22; 9:30–31; 10:3, 6, 10, 14, 17; Rom. 3:21–2; 9:30–31;
Phil 3:9[,] therefore it is not onely remission of sin. 10:3, 6, 10, 14, 17;
Phil. 3:9
6. The active obed. of Christ doth merit, ergo must be imputed.
Joh. 17:14–15. Jn 17:14–15
7. The sufferings of Christs death do not exclude the sufferings of his
life. Ergo not obed. 2 Cor. 8:9. 2 Cor. 8:9
8. Christ hath redeemed us by his active obed. 1. Redemption by serv­ Gen. 43:8–9
ing: as Juda for Benjamin. So Chr. Gal. 4. 2. By price. 3. By conquest Gal. 4
captiving the captiver. 4. By intreaty[?] Christ by all. Mat. 20:28; Mar. Ps. 68:18; Eph. 4:8
10:45. ‘He gave his life a ransome’, i.e., in his <ministery> 1 Tim. 2:6. Eph. 4:8
9. All that Christ did & suffered make but one λοῦτρον & ἀντίλουτρον.1 Mt. 20:28; Mk 10:45;
10. The obed. of Chr. whereby we are justified must be the first act of it 1 Tim. 2:6
to the last. Now the first act was Phil. 2 ‘taking the forme of a servant’. Phil. 2:7
Mr Gibson. Phil. 2 saith not ἐν θανάτῳ2 but μέχρι θανάτου.3 Phil. 2:8
Rom. 4 ult. which shews that our justification should not be restrained Rom. 4:25
to Christs death. Rom. 8:33. Rom. 8:33
Now came it to the question whether these words ‘His whole obed. & [vol. 1, fol. 35r]
satisfaction’ should passe & here Mr Gower mooved that word
‘Righteousnesse’ should be put in instead of ‘obedience’: but that passed
over: but another great scruple started, namely about the word ‘imputed’
which also was to be joyned to the other & after much hot debate it was at
last resolved upon these words ‘his whole obed. and satisfaction being by
God imputed to us’.
Then Mr Calamy put it out, that it was worth questioning when this
obed. is imputed whether from eternity or as soone as we are.4 Also about
the word ‘imputation’, whether our sins to come are pardoned in justifica­
tion by Christs passive obedience: for o[f] all consequences are made the
Antinomians rayse upon misconstruction of this point: but he was taken

a
may be ‘rititling’.

1
Read λύτρον and ἀντίλυτρον. Both terms mean ‘ransom’.
2
‘in death’.
3
‘unto death’.
4
Sic.
 84 S essions 50 –53

off, his motion seeming to be against order & without our present warrant
& worke: so we adjounred till afternoone 2 a clocke.
Session 51 Being then met we fell about the businesse of the Committee to meet
Mon. 11 Sept. 1643 pm thee Scotch commiss[ioners], about the Coven[ant] & Mr White was
added to the 4 forenamed.1
Session 53 That being finished which was soone done, the next clause in the Artic.
Tue. 12 Sept. 1643 pm as the Committee brought it in was read viz. ‘And by faith alone laid
hold on’.
And first old Mr Wilkinson2 desired that the word applied [might be
[vol. 1, fol. 35v] used] for in faith there is notitia assensus & fiducia:3 now ‘applying’ implies
all, but cheifely that which is the maine viz. fiducia.
Acts 15:9 Act. 15:9 purificantur corda:4 because faith laith hold on the blood of
Christ which purifieth & applieth it to thea conscience.
Mr Bayly.5 Many mistakes about justifying faith. His owne opinion he
gave thus: Three sorts of faith: 1. Historicall or dogmaticall, he called
‘generall assenting’: beleeving the script. upon Gods test[imony]. 2. Faith
of adherence. 3. justifying faith.
Acts 24:23 [1.] Generall assent. Act. 24:23.
2. <Faith of adherence> He called a speciall resting whereby we put our
trust in Christ for all good things. the act of it is beleeving on or in.
Jn 14:1 Joh. 14:1 relying on Christ for all things needfull both for soule & body.
This knits us to Christ.
3. Justif. or particular applying faith, which applieth the promises in the
Gal. 2:20 scripture to the conscience. Gal. 2:20.
These differ: in object: for the object of the 1st is the whole script.: of the
2 Christs person clothed in his righteous. Christ is the neerer object:
nd

God the ultimate. Of the 3rd [is] the promises.

The first of these is the cause of the 2nd & the 2nd of the 3rd. For generall
assent if it sinke downe into the practick understand[ing] causeth to betake
to Christ.
[vol. 1, fol. 36r] [2.] For the will[,] which is the seat of speciall resting Faith[,] takes at
the last dictate of the practick understanding.
3. The 2nd is the ground of the 3rd but not the cause. These faiths differ
in subject: for the subject or seat of generall assenting faith is the under­
standing: of the 2nd the will, of the 3rd the conscience.
The conscience is the soule reflecting upon it selfe.

a
‘the con’, ‘con’ deleted.

1
See LJ 6:212, CJ 3:236–7, 11 and 12 Sept. 1643. The assembly is to appoint a committee
to meet with the commissioners from the Church of Scotland and to receive correspondence
from them. Probably John White, assembly assessor.
2
Henry Wilkinson the elder, 1566–1647, assembly member.
3
‘knowledge, assent, and trust’.
4
‘hearts are cleansed’.
5
Thomas Baylie, 1581/2–1663, assembly member.
 11 S e p te m ber 1643 85

Quest. by which of these 3 are we saved. Ans. by the 2nd. For not by
generall assent, for that the Devills have. [By] this we are not saved but we Jas 2:19
cannot be saved without it. Particular applying faith doth assure & not
save. This is most comfortable, yet may one be saved without it.
Q. By which of the 3 justified? Ans. By the 2nd: & ita is but a branch of it:
for the faith relyes on Christ for all good things[;] this for one[,] particular
justification.
They are deceived that thinke that Gods speciall mercy in pardoning of
sin is the object of justifying faith.
He concluded with desire that in the margin might be set this, by faith
we understand justifying faith which is relying upon Christ for righteous­
nesse & remission of sin.
Mr Gattaker spake against the word ‘applied’ proposed by Mr Wilkinson
as a word ambiguous.
Steps to faith. 1. Notitia. Apprehension of some thing to be knowne
beleeved & rested on. Sometime put for faith. Esay 53:11. This an Atheist Isa. 53:11
may have.
2. Beleefe: Creditio1 or Assent, or assurance of the truth of what a man
hath apprehended. Joh. 6 ‘we know & beleeve’. An Atheist goes not thus Jn 6:69
far, but the Devill doe. Jas 2:19
3. Application but conditionall: whereby a man doth beleeve that this
doctrine may be salutifera2 if he performe the condition that it requires.
Balaams faith Num. 23:9. ‘Let us die the death’ &c. Num. 23:10
4. Fiducia a resting upon Christ: The act of justifying faith found Joh. 3: Jn 3:16
‘whosoever beleeves on him’ Rom. 3:23–24. Ἄλλο πιστεύειν περὶ τινὸς Rom. 3:23–4
ἄλλο δὲ εἰς τινά.3 Beleefe may be upon a threatening, but fiducia is upon a
promise.
5. Apprehension of ones owne faith. 2. Tim. 1:12. To know that he hath 2 Tim. 1:12
beleeved.
6. Speciall application or particular perswasion. ‘That ye may know ye 1 Jn 5:13
have life eternall’. This is not the justifying act of faith: but 2 degrees after it.
Mr Carter senior:4 The ‘laying hold’ brought in the Article seemes to
bind the justification to the act of faith whereas the habit doth [abide] in [vol. 1, fol. 37r]
children & madmen. The difference betweene the act and habit is but
graduall. Actus & actu esse5 are two things. By the working of the habit of
faith there is an union with Christ.

a
‘it Generall assent’, ‘Generall assent’ deleted.

1
‘belief ’.
2
‘health-giving’.
3
‘to believe [something] about someone is one thing, but to believe in someone is
another’.
4
Thomas Carter, b. c.1585, assembly member.
5
‘to be the act and to be by the act’.
A story about how it worked: Find a story about another company
(in the same industry, if possible) that has succeeded using the
strategy you recommend. Make sure to call out major revenue
successes when applicable.
Example: Here’s a story about how Xerox was struggling with two
important marketing problems in 2013:
Xerox couldn’t differentiate itself from their competitors.
Most marketers believe that a large company like Xerox
would have no problem standing out from the crowd, but in
today’s attention-grabbing marketplace, no one can be
complacent. The company needed to reset the conversation
with executives to focus on how it solved problems for real
customers, not just repeat the generic “We solve problems.”
Many of its competitors were making the same claims, and
buyers had a hard time investigating the differences.
Xerox also needed to bypass the gatekeepers who prevented
the company from reaching the C-level audience it was
targeting with its marketing collateral. The audience would
toss out anything that looked like an ad.
To solve these problems, Xerox partnered with Forbes to create a
magazine called “The Chief Optimist.” It contained information
about how Xerox was working with particular customers and solving
problems, and it had tips from executives. Because the companies
packaged this offering as a magazine, gatekeepers didn’t toss it when
sorting administrative mail. Also, they created a digital version that
included video, which they announced via email.
How did it work out? According to Jeannine Rossignol, VP-
marketing communications at Xerox, “The ‘Get Optimistic'
campaign has led to more than 1,500 sales appointments that have
generated more than $1 billion in a pipeline with a 12-to-18-month
sales cycle” ([Link]
magazine-past-admin-gatekeepers/290019/).
A slide with that quote on it would get any manager’s attention.
Obviously, not every company has the resources that Xerox does.
But the model holds. If you provide premium content to your
targeted market, you will get your customers’ attention.

Try to include more than one success story to indicate that

one example was not an anomaly.
Visuals: You need compelling images to add color and break up all
the text. In the upcoming example, I show you how to depict your
proof as graphics. You should also include any other visuals that tell
the story.
Example: How about supporting visuals in a well-designed
magazine? In Figure 4-1, you see the cover of the Xerox magazine.
A magazine with interesting visuals will help you make your point.
Time to listen: At the end of the presentation, stop and let your
audience know that you have slated time to listen to everyone’s
concerns and opinions. Make it clear that you expect to hear from
everyone before coming to any consensus on next steps.
Figure 4-1: Xerox’s Chief Optimist magazine.

By using the Five-Prong Approach, you share your most persuasive

information as well as uncover objections to the preliminary plans.

Engaging the Leadership Team and

Identifying Roles
Throughout your project, you want to focus on keeping upper
management engaged. You can make your plan easier to shepherd by
understanding how the best leaders approach change.
According to the Project Management Institute’s “In-depth Report on
Enabling Organizational Change through Strategic Initiatives”
([Link]
[Link]), highly effective leaders do the
following:
 Focus on well-defined milestones and metrics
Ensure that their senior managers are committed to the change
Take ownership and expect accountability
Use standardized project management practices
Expect that the executives who sponsor the project are actively
engaged

With these criteria in mind, read on to discover the kinds of questions

you need to answer as your quest for management buy-in continues.

Understanding what leaders want to know

Be aware of the fact that the managers who have to sign off on your
initiative may be just as fearful about losing their status or their job as
everyone else on the project. For this reason, be proactive and answer
the questions that keep managers up at night:

How can you demonstrate that the plan will be successful?

Managers want to know that you have thought the project through
and are prepared to make it a success. If they feel that you are ill-
prepared to take the project to its conclusion, you will know that
immediately. You need to lay out the pros and cons and discuss how
to deal with possible failures. Of course, you can’t foresee
everything that will happen, but you can plan for the ups and downs
that go into a typical initiative. Your manager wants to know that you
are aware of things that could go wrong and have thought about how
to mitigate them.
What metrics will you use? It’s important for leaders to know that
you have consulted with IT and other departments about which
measures will be the most predictive of success. I go into the
selection of metrics in more detail in Chapter 15.
How long will it take before we see results? Managers hate risk.
Can you do an experimental project that takes a short time and
demonstrates positive results?
 AUTHORS’ NOTE

The Harvard Study of Adult Development has followed the lives of two
generations of individuals from the same families for more than eighty
years. Shepherding a study like this requires tremendous trust. Part of that
trust comes from a deep commitment to protecting the confidentiality of
participants. We have changed names and identifying details to protect
participants’ confidentiality. All quotes in the book, however, are either
verbatim or based on actual study interviews, audiotapes, observations, and
other data.
 1

WHAT MAKES A GOOD LIFE?

There isn’t time, so brief is life, for bickerings, apologies,

heartburnings, callings to account. There is only time for loving, and
but an instant, so to speak, for that.
Mark Twain

Let’s begin with a question:

If you had to make one life choice, right now, to set yourself on the path
to future health and happiness, what would it be?
Would you choose to put more money into savings each month? To
change careers? Would you decide to travel more? What single choice
could best ensure that when you reach your final days and look back, you’ll
feel that you’ve lived a good life?
In a 2007 survey, millennials were asked about their most important life
goals. Seventy-six percent said that becoming rich was their number one
goal. Fifty percent said a major goal was to become famous. More than a
decade later, after millennials had spent more time as adults, similar
questions were asked again in a pair of surveys. Fame was now lower on
the list, but the top goals again included things like making money, having a
successful career, and becoming debt-free.
These are common and practical goals that extend across generations and
borders. In many countries, from the time they are barely old enough to
speak, children are asked what they want to be when they grow up—that is,
what careers they intend to pursue. When adults meet new people, one of
the first questions asked is, “What do you do?” Success in life is often
measured by title, salary, and recognition of achievement, even though most
of us understand that these things do not necessarily make for a happy life
on their own. Those who manage to check off some or even all of the
desired boxes often find themselves on the other side feeling much the same
as before.
Meanwhile, all day long we’re bombarded with messages about what
will make us happy, about what we should want in our lives, about who is
doing life “right.” Ads tell us that eating this brand of yogurt will make us
healthy, buying that smartphone will bring new joy to our lives, and using a
special face cream will keep us young forever.
Other messages are less explicit, woven into the fabric of daily living. If
a friend buys a new car, we might wonder if a newer car would make our
own life better. As we scroll social media feeds seeing only pictures of
fantastic parties and sandy beaches, we might wonder if our own life is
lacking in parties, lacking in beaches. In our casual friendships, at work,
and especially on social media, we tend to show each other idealized
versions of ourselves. We present our game faces, and the comparison
between what we see of each other and how we feel about ourselves leaves
us with the sense that we’re missing out. As an old saying goes, We are
always comparing our insides to other people’s outsides.
Over time we develop the subtle but hard-to-shake feeling that our life is
here, now, and the things we need for a good life are over there, or in the
future. Always just out of reach.
Looking at life through this lens, it’s easy to believe that the good life
doesn’t really exist, or else that it’s only possible for others. Our own life,
after all, rarely matches the picture we’ve created in our heads of what a
good life should look like. Our own life is always too messy, too
complicated to be good.
Spoiler alert: The good life is a complicated life. For everybody.
The good life is joyful… and challenging. Full of love, but also pain.
And it never strictly happens; instead, the good life unfolds, through time. It
is a process. It includes turmoil, calm, lightness, burdens, struggles,
achievements, setbacks, leaps forward, and terrible falls. And of course, the
good life always ends in death.
A cheery sales pitch, we know.
But let’s not mince words. Life, even when it’s good, is not easy. There
is simply no way to make life perfect, and if there were, then it wouldn’t be
good.
Why? Because a rich life—a good life—is forged from precisely the
things that make it hard.
This book is built on a bedrock of scientific research. At its heart is the
Harvard Study of Adult Development, an extraordinary scientific endeavor
that began in 1938, and against all odds is still going strong today. Bob is
the fourth director of the Study, and Marc its associate director. Radical for
its time, the Study set out to understand human health by investigating not
what made people sick, but what made them thrive. It has recorded the
experience of its participants’ lives more or less as they were happening,
from childhood troubles, to first loves, to final days. Like the lives of its
participants, the Harvard Study’s road has itself been long and winding,
evolving in its methods over the decades and expanding to now include
three generations and more than 1,300 of the descendants of its original 724
participants. It continues to evolve and expand today, and is the longest in-
depth longitudinal study of human life ever done.
But no single study, no matter how rich, is enough to permit broad
claims about human life. So while this book stands directly on the
foundation of the Harvard Study, it is supported on all sides by hundreds of
other scientific studies involving many thousands of people from all over
the world. The book is also threaded with wisdom from the recent and
ancient past—enduring ideas that mirror and enrich modern scientific
understandings of the human experience. It is a book primarily about the
power of relationships, and it is deeply informed, appropriately, by the long
and fruitful friendship of its authors.
But the book would not exist without the human beings who took part in
the Harvard Study’s research—whose honesty and generosity made this
unlikely study possible in the first place.
People like Rosa and Henry Keane.

“What is your greatest fear?”

Rosa read the question out loud and then looked across the kitchen table
at her husband, Henry. Now in their 70s, Rosa and Henry had lived in this
house and sat at this same table together on most mornings for more than
fifty years. Between them sat a pot of tea, an open pack of Oreos (half
eaten), and an audio recorder. In the corner of the room, a video camera.
Next to the video camera sat a young Harvard researcher named Charlotte,
quietly observing and taking notes.
“It’s quite the question,” Rosa said.
“My greatest fear?” Henry said to Charlotte. “Or our greatest fear?”
Rosa and Henry didn’t think of themselves as particularly interesting
subjects for a study. They’d both grown up poor, married in their 20s, and
raised five kids together. They’d lived through the Great Depression and
plenty of hard times, sure, but that was no different from anyone else they
knew. So they never understood why Harvard researchers were interested in
the first place, let alone why they were still interested, still calling, still
sending questionnaires, and occasionally still flying across the country to
visit.
Henry was only 14 years old and living in Boston’s West End, in a
tenement with no running water, when researchers from the Study first
knocked on his family’s door and asked his perplexed parents if they could
make a record of his life. The Study was in full swing when he married
Rosa in August of 1954—the records show that when she said yes to his
proposal, Henry couldn’t believe his luck—and now here they were in
October of 2004, two months after their fiftieth wedding anniversary. Rosa
had been asked to participate more directly in the Study in 2002. It’s about
time, she said. Harvard had been tracking Henry year after year since 1941.
Rosa often said she thought it was odd that he still agreed to be involved as
an older man, because he was so private otherwise. But Henry said he felt a
sense of duty to participate and had also developed an appreciation for the
process because it gave him perspective on things. So, for sixty-three years
he had opened his life to the research team. In fact, he’d told them so much
about himself, and for so long, that he couldn’t even remember what they
did and didn’t know. But he assumed they knew everything, including
certain things he’d never told anyone but Rosa, because whenever they
asked a question he did his best to tell them the truth.
And they asked a lot of questions.
“Mr. Keane was clearly flattered that I had come to Grand Rapids to
interview them,” Charlotte would write in her field notes, “and this set a
friendly atmosphere for the interview. I found him to be a cooperative and
interested person. He was thoughtful about each answer, and often paused
for a few moments before he responded. He was friendly though, and I felt
that he was like the stereotype of the quiet man from Michigan.”
 Charlotte was there for a two-day visit to interview the Keanes and
administer a survey—a very long survey—of questions about their health,
their individual lives, and their life together. Like most of our young
researchers embarking on new careers, Charlotte had her own questions
about what makes a good life and about how her current choices might
affect her future. Was it possible that insights about her own life could be
locked away in the lives of others? The only way to find out was to ask
questions, and to be deeply attentive to every person she interviewed. What
was important to this particular individual? What gave their days meaning?
What had they learned from their experiences? What did they regret? Every
interview presented Charlotte with new opportunities to connect with a
person whose life was further along than her own, and who came from
different circumstances and a different moment in history.
Today she would interview Henry and Rosa together, administer the
survey, and then videotape them talking together about their greatest fears.
She would also interview them separately in what we call “attachment
interviews.” Back in Boston the videotapes and interview transcripts would
be studied so that the way Henry and Rosa talked about each other, their
nonverbal cues, and many other bits of information could be coded into data
on the nature of their bond—data that would become part of their files and
one small but important piece of a giant dataset on what a lived life is
actually like.
What is your greatest fear? Charlotte had already recorded their
individual answers to this question in separate interviews, but now it was
time to discuss the question with each other.
The discussion went like this:
“I like the hard questions in a certain way,” Rosa said.
“Well good,” Henry said. “You go first.”
Rosa was quiet for a moment and then told Henry her greatest fear was
that he might develop a serious health condition, or that she would have
another stroke. Henry agreed that those were scary possibilities. But, he
said, they were getting to a point now where something like that was
probably inevitable. They spoke at length about how a serious illness might
affect their adult children’s lives, and each other. Eventually Rosa admitted
that there was only so much a person could anticipate, and there was no use
in getting upset before it happened.
“Is there another question?” Henry asked Charlotte.
 “What’s your greatest fear, Hank?” Rosa said.
“I was hoping you would forget to ask me,” Henry said, and they
laughed. Henry poured more tea for Rosa, took another Oreo for himself,
and then was quiet for some time.
“It’s not a hard one to answer,” he said. “It’s just not something I like to
think about, to be honest.”
“Well they sent this poor girl all the way from Boston, so you better
answer.”
“It’s ugly, I guess,” he said, his voice wavering.
“Go ahead.”
“That I won’t die first is my fear. That I’ll be left here without you.”

At the corner of Bulfinch Triangle in Boston’s West End, not far from
where Henry Keane lived as a child, the Lockhart Building overlooks the
noisy convergence of Merrimac and Causeway Streets. In the early
twentieth century this stubborn brick structure was a furniture factory, and
employed men and women from Henry’s neighborhood. Now it’s home to
medical offices, a local pizzeria, and a donut shop. It’s also home to the
researchers and the records of the Harvard Study of Adult Development, the
longest study of adult life ever conducted.
Nestled near the back of a file drawer labeled “KA–KE” are Henry’s and
Rosa’s files. Inside we find the yellowed pages, crumbling at the edges, of
Henry’s 1941 intake interview. It is written in longhand, in the interviewer’s
flowing, practiced cursive. We see that his family was among the poorest in
Boston, that at age 14 Henry was seen as a “stable, well-controlled”
adolescent, with “a logical regard for his future.” We can see that as a
young adult he was very close to his mother, but resented his father, whose
alcoholism forced Henry to be the primary breadwinner. In one particularly
damaging incident when Henry was in his 20s, his father told Henry’s new
fiancée that her $300 engagement ring had deprived the family of needed
money. Fearing she would never escape his family, his fiancée called off the
engagement.
In 1953 Henry broke free of his father when he got a job with General
Motors and moved to Willow Run, Michigan. There he met Rosa, a Danish
immigrant and one of nine children. One year later they were married and
would go on to have five children of their own. “Plenty, but not enough,” in
Rosa’s opinion.
Over the next decade Henry and Rosa would experience some difficult
times. In 1959 their five-year-old son, Robert, contracted polio, a challenge
that tested their marriage and caused a great deal of pain and worry in the
family. Henry began at GM on the factory floor as an assembler, but after
missing work due to Robert’s illness he was demoted, then laid off, and at
one point found himself unemployed with three children to care for. To
make ends meet, Rosa began working for the city of Willow Run, in the
payroll department. While the job was initially a stopgap for the family,
Rosa became much loved by her coworkers, and she worked full-time there
for the next thirty years, developing relationships with people she came to
think of as her second family. After being laid off Henry changed careers
three times, finally returning to GM in 1963, and working his way up to
floor supervisor. Shortly after, he reconnected with his father (who had
managed to overcome his addiction to alcohol) and forgave him.
Henry and Rosa’s daughter, Peggy, now in her 50s, is also a participant
in the Study. Peggy does not know what her parents have shared with the
Study because we do not want to bias her reports about her family life.
Having multiple perspectives on the same family environment and the same
events helps broaden and deepen the Study’s data. When we dig into
Peggy’s file, we learn that when she was growing up, she felt her parents
understood her problems, and that they helped cheer her up when she was
upset. In general, she saw her parents as “very affectionate.” And consistent
with Henry’s and Rosa’s own reports about their marriage, Peggy said that
her parents never considered separation or divorce.
In 1977, at age 50, Henry rated his life this way:

Enjoyment of marriage: EXCELLENT

Mood over the past year: EXCELLENT
Physical health over the past 2 years: EXCELLENT.

But we don’t determine Henry’s health and happiness, or anyone’s in the

Study, simply by asking them and their loved ones how they feel. Study
participants allow us to look at their well-being through many different
lenses, including everything from brain scans to blood tests to videotapes of
4 Setting the scene
towns and normalisation does not consider what will happen to homeowners if a
mine closes.

1.1.3 Mine closure

Like death and taxes, mine closure is certain. But predicting which mines will
close and when is not easy. The predictions would have to be based on the quan-
tities of resources remaining and market volatility. In 2002, the World Bank esti-
mated that 25 large mines in the developing world would close in the next decade.
Nobody verified these predictions and further predictions have not been forth-
coming. Much information is available on resource reserves but little on mine
closure. In particular, the body of research on the social effects of mine closure
remains small compared with the extensive work that has been done on the en-
vironmental and legal aspects.
I was able to find only three books on mine closure, one single-authored
(Chaloping-March, 2017) and two edited collections (Neil et al., 1992; Keeling
& Sandlos, 2015). But there has been an upsurge in a variety of other literature
(Strongman, 1992; Warhurst et al., 1999; Jackson, 2002; Laurence, 2002; Haney &
Shkaratan, 2003; McGuire, 2003; Rao & Pathak, 2009; Digby, 2012; Manjunath
et al., 2016; Bainton & Holcombe, 2018; World Bank, 2018; Vivoda et al., 2019).
The research profile in South Africa is similar. Macmillan (2012, p. 547) found
it strange that ‘such dramatic changes in the nature of South Africa’s gold-min-
ing industry, and patterns of employment in an area like the Free State, have
attracted so little academic, or journalistic, attention’. Since Macmillan’s observa-
tion, more studies on mine closure have been published in this country (Marais,
2013a, 2013b; Marais & Cloete, 2013; Siyongwana, 2018; Marais & De Lange,
2021; Sesele et al., 2021). Watson and Olalade (2019) and Crous et al. (2021) have
investigated the possibility and likely scale of mine closures in South Africa, with
the former highlighting the government’s slow processes in enabling mine clo-
sure. A recent edited collection on the likelihood of mine closure in Emalahleni
has broadened the debate (Marais et al., 2022a).

1.2 Mine housing policy in South Africa

Three features of mine housing under apartheid were migrant labour, single-sex
hostels for black workers and company houses for white workers. Post-apartheid
policy, supported by the unions, aimed to change all this. The mines had to de-
molish the single-sex hostels, dismantle institutionalised migrant labour and create
parity between black and white mineworkers. The three main policy directions
were homeownership, open towns (or normalisation of existing company towns)
and the elimination of racial discrimination in housing policies and practices. An
‘open town’ is one that hosts both mineworkers and non-mineworkers. ‘Normalisa-
tion’ means opening a company town to other residents. In practice, it means the
mining company hands over the management of the town to public governance.
 Setting the scene 5
In some cases, it means closing a company town and requiring residents to move
to an open town (Van der Watt & Marais, 2019). Homeownership became avail-
able for black mineworkers from the mid-1980s and the mines started to sell their
housing stock to their mineworkers and on the open market. Ownership became
the dominant form of housing tenure advocated in the mining industry for three
reasons: to counter the migrant labour system, as an alternative to the single-sex
hostel, and to contribute to mining areas’ local economic development. Making
homeownership available would mean that migration trends would subside. The
International Council of Mining and Metals (ICMM) propagated ownership and
open towns from the 1980s and recommended collaborative planning to counter
the dominant approach by mining companies (IIED, 2002). In South Africa, col-
laborative planning suited the democratic dispensation’s promotion of developmen-
tal local government. Mining policies and guidelines emphasise integrating mining
and non-mining households and using mining as a tool to foster local economic
development. Living-out allowances would create parity between black and white
workers. They would allow thousands of mineworkers to make their own housing
choices rather than have decisions made by for them by the mining companies or
the government.
Beyond the changes discussed above, post-apartheid housing policy entrenched
two ideas: place attachment and social stability based on assets.2 By institution-
alising migrant labour, apartheid policy for mine housing prevented people from
becoming emotionally attached to a town. Homeownership, a house of one’s own
choice and open towns where mining becomes a local economic development
tool were attempts to increase place attachment and social stability through asset
creation.
This seems a logical alternative to apartheid policy. It is generally a good thing
to foster place attachment and social stability. But the new policies have not been
assessed critically in post-apartheid research. Several criticisms can be made. It
has not been sufficiently taken into account that homeownership is a good thing
only where there is long-term economic prosperity. It is difficult to guarantee
long-term economic prosperity in a town dependent on mining. The focus on
homeownership distracts people from other tenure options. The success of open
towns and normalisation depends on several factors. It assumes adequate local
capacity to deal with the impact of mining and possible mine closure. Collabo-
rative planning can be difficult, given the unequal power relationships between
the mines and the municipalities (Van der Watt & Marais, 2021). Local economic
development assisted by the mines is a good thing, but little thought has been
given to how municipalities can benefit from mining. Most seriously, the con-
siderable risks associated with mine closure do not receive much attention when
government, mines and unions consider the new policies. The closing of a mine
can be socially and economically disruptive when mining has created long-term
dependencies for mining communities and households. Insufficient thought has
been given to planning for this disruption or finding ways to avoid dependencies
developing when mining is growing.
6 Setting the scene
This book challenges the simple assumptions in post-apartheid housing policy
by asking some pertinent questions, such as: How much place attachment and sta-
bility have the new policies created in towns where mines are very likely to close?
What dependencies have contributed to post-apartheid housing and settlement
policies in mining areas and have these policies created new dependencies? What
are the implications of mining and mine closure for housing policy and settlement
development near mines?

1.3 The scope of this book

This book investigates the long-term implications of South Africa’s policies for
mine housing, especially in towns threatened by mine closure. The presence of a
mine gives a town a false sense of security, leading governors and planners to as-
sume that the prevailing economic prosperity will continue. I refer to this failure
to imagine a different future as ‘dependency’, a term I borrow from new institu-
tional economics (North, 1990, 2005) and evolutionary governance theory (Van
Assche et al., 2014, 2016).
I examine a wide range of issues: apartheid and post-apartheid policies and
the dependencies associated with current and future policies; the attributes and
inequalities of housing in mining areas; the growth of informal settlements in
mining areas; housing and migration responses from mining companies and
households in mining towns; the role of place attachment and asset-generation
in housing policies for mining communities; the concept of mine closure and its
link to social disruption; and the implications of mine closure for housing policy.
I create a conceptual framework for thinking about housing, mining and closure
which will contribute to dependency theories. Finally, I present a set of policy
proposals for mine housing in South Africa.

1.4 Conceptual background

1.4.1 Theory
My discussion draws on two strands of theory: new institutional economics and
evolutionary governance theory.
New institutional economics developed as a response to classical and neo-
classical economics, which emphasised capital and efficiencies. Coase’s origi-
nal works, The Nature of the Firm (1937) and the Problem of Social Costs (1960),
laid the foundation. Williamson used the term ‘new institutional economics’
for the first time in 1975 (Williamson, 1975). New institutional economics
focuses mainly on ‘the rules of the game’ and how the rules change, leading to
institutional change (North, 1990). North (2005) says change is often slow or
path-dependent. This theory’s concept of dependence, and particularly path
dependence, has been useful for my analysis of policy and governance.
 Setting the scene 7
Evolutionary governance theory draws on other theories, such as biological
evolutionary theory, social systems theory, actor-network theory, post-struc-
turalism and new institutional economics (Van Assche et al., 2014). A con-
tribution from the field of biology is the concept of autopoiesis (self-creation)
(Maturana & Varela, 1972; King, 1993; Von Krogh & Roos, 1995). Transferred
from the natural to the social sciences, this concept has proven useful for stud-
ying social systems, such as informal settlements in mining areas (Marais et al.,
2022b). Evolutionary governance theory also draws on Foucault’s ideas about
discourse analysis and power (Foucault, 1982), seeing the evolution of policies as
an effect of power relations. Evolutionary governance theory resembles more re-
cent theories on network governance and has become a dominant approach to
governance studies (Klijn, 2008). Many of its ideas are relevant to the topics in
this book, such as its view of governance as changing or evolving, its emphasis
on non-linearity between cause and effect or between two elements in a system
and its focus on the co-evolution of governance (policy seen as resulting from
the interaction between the actors in the decision-making process). Evolution-
ary governance theory occupies the middle ground between theories of social
engineering and theories of free market economies. It provides a direct link
between governance and politics.
The analysis in this book owes much to the three dependencies distinguished
by evolutionary governance theory and new institutional economics: path de-
pendency, goal dependency and interdependency.
The concept of path dependency emphasises the fact that history matters. The
term is connected with the term ‘historical institutionalism’, first used by po-
litical scientists in the mid-1980s (Krasner, 1984). New institutional economics
made path dependency a central concept to explain economic and technolog-
ical change (North, 1990). Van Assche et al. (2016) use it as one of the build-
ing blocks of evolutionary governance theory. It is important to understand that
path dependency does not predict the future but shows that recent decisions have
historical roots. The focus in path dependency is on the evolving nature of de-
cision-making. Policy decisions can become governance paths and these paths
depend on specific cultural and historical contexts (Ubels et al., 2019). Previous
policies create preconditions for the reproduction of existing governance paths.
In this way, past decisions transfer elements of historical decision-making into
the future. The focus on history helps to explain and compare alternatives. The
concept of autopoiesis helps to explain how policy decisions spring from history
reproducing and maintaining itself. A new path usually begins at a critical junc-
ture. It could lead to many different destinations. The result might not be linear
or aligned with the intent of the original decision. North (2005) coined the term
‘lock-in’ to describe slow change (or inability to change) and people’s inability to
escape history and rigidities. He distinguishes between institutional changes (rule
changes) and technological changes and points out that institutional change is
usually more difficult to achieve than technological change.
8 Setting the scene
Goal dependency refers to the negative implications of a shared vision of the fu-
ture that could affect present decision-making (Van Assche et al., 2014). Few peo-
ple would argue that a shared vision is a bad thing, but evolutionary governance
theory emphasises the unintended consequences. A shared vision can lead to in-
ability to change and inflexibility in policy and planning. The world’s alignment
to the UN Sustainable Development Goals is an example of goal dependency on
a global scale. Many countries might implement the goals differently from the
original intention because of self-interest or inflexibility, or the domination of
power groups.
Various theories, such as social systems theory (Luhman, 1995) and new in-
stitutional economics (North, 2005; Greiff, 2006), recognise the reality of inter-
dependency. Evolutionary governance theory sees interdependency as stemming
from the historical relationships between actors and institutions. These rela-
tionships can create rigidities because of path dependency or they can create re-
sources, expertise and flexibility. Central elements of interdependency include an
interrelationship between trust, co-operation, power and conflict (Van Dijk &
Vermunt, 2000; De Vries & Nemec, 2013).

1.4.2 The policy debate

Mining has generated extensive policy debates in South Africa, particularly about
mine ownership and how to achieve a more equitable shareholding structure
while remaining internationally competitive. These debates are necessary but
they are not the focus of this book. There has been little debate about the link
between mine housing and South African housing policy. Post-apartheid policy
demanded the dismantling of single-sex hostels and no one would call this move
inappropriate.
However, two interrelated aspects of post-apartheid mining policy have gone
unchallenged: the drive for homeownership and open towns, which assumes col-
laborative planning, and the drive to link mining to local development. It is in
this specific policy space that I would like to contribute with this book. Perma-
nency through homeownership ceases to be a good idea when mine decline sets
in. It is the path dependency that new growth brings to a mining town that later
makes it difficult to change direction. And it is the goal dependency created by
the policy for redressing historical ills that lies at the heart of the problem.
In this book, I attempt to answer some questions about the current policy, such
as: Why has homeownership become such a dominant policy approach in mining
areas? What are the alternative tenure options? How should mining companies
and government think about mine housing when a town is threatened by poten-
tial mine closure?
Apartheid policy did not consider it important for mineworkers to develop
place attachment; rather, the reverse: place aversion would be the more likely
effect of living in the hostels. Similarly, workers were not encouraged, or even
allowed, to accumulate housing assets in the mining towns. Post-apartheid policy
 Setting the scene 9
has swung to the opposite pole. The question of whether this is good policy in the
context of mine decline and closure is central to this book.
Path and goal dependencies continue into the post-apartheid era. Migrant
labour, a path that began under colonial and then apartheid rule, has become a
dependency today. The policies for homeownership, mining linked to develop-
ment, the dismantling of the hostels and the normalisation of towns all create
place attachment and housing assets. These policies are an example of a new
goal dependency that will eventually create new path dependencies because
they do not consider the disruption that mine closure will cause. The new
path dependencies could lock households into locations with very little long-
term economic viability. Under apartheid, government and mining companies
were the primary decision-makers. The government’s policies were centrally
controlled. Today, the relationships have changed. Unions were legal in the
latter days of apartheid but gained power only after 1994. The decision-making
power has changed. Under apartheid the government decided where people
were allowed to live; under the post-apartheid dispensation, many government
regulations have been relaxed and in most cases mineworkers can now make
their own housing decisions.
Figure 1.1 shows a framework for the book based on the discussion above. The
diagram integrates two theoretical constructs (place attachment, and housing
assets for creating social stability), the three dependencies borrowed from evolu-
tionary governance theory and new institutional economics, and housing policy
for mining towns in South Africa.

Figure 1.1 Conceptual framework for the book.

10 Setting the scene
1.5 The research that went into this book
The research team conducted case studies to compare three mining towns in
South Africa: Tsantsabane, Emalahleni and Rustenburg. The book builds on the
three edited collections that resulted from these studies (Marais et al., 2018a,
2021, 2022a). The consequences of mine closure were central to all three studies.
Some chapters in these books investigate mine housing and housing policy. In
this book, I expand the debates and further investigate the link between mine
housing policy and mine decline.
In addition to the case studies, I use four main sources of secondary data. I
make extensive use of the household surveys that were conducted by the Uni-
versity of the Free State in the main urban areas of the case study cities: in 2015
for Tsantsabane, 2017 for Emalahleni and 2018 for Rustenburg. Some of the pa-
pers that originated from these surveys used inferential statistics, but although I
refer to some of this work, I use only the descriptive statistics. I use the 80 key
informant interviews that various team members conducted in the three case
study areas, which focused on mine-community relationships but also made some
reference to mine closure and housing policy. I use Statistics South Africa’s census
data and community survey data extensively. And I use Global Insight, a valuable
source of data to understand economic processes.

1.6 The case study areas

Most mining town research focuses on a single sector of the industry. This book
compares towns involved in three different sectors: iron ore (Tsantsabane), coal
(Emalahleni) and platinum (Rustenburg). The section on Emalahleni is more
detailed, because that study included the important issues of energy from coal,
renewable energy sources and what is known as a just transition. Figure 1.2 shows
the locations of these towns and Table 1.1 gives their details.

1.6.1 Tsantsabane
The subject of this case study was Postmasburg, a small town in a remote part
of the Northern Cape Province, which together with several small surround-
ing villages makes up the Tsantsabane Local Municipality. In 1892, Postmas-
burg was established as a regional service town for the surrounding farming
communities. Khoi- and Tswana-speaking people mined historically in the
area, and the first commercial manganese mining in the area started in 1929.
During the 1930s, manganese was the main resource mined in Postmasburg,
but these operations remained low-key. The development of the Beeshoek
iron ore mine about 20 km outside Postmasburg in 1960 was a step forward
for the town. Since 1999, the increasing demand from China for iron ore
has stimulated new growth in Postmasburg. Needing to expand, the Beeshoek
closed its company town and resettled its workers in Postmasburg through
a housing programme providing homeownership. In 2011, Kumba Iron Ore
 Setting the scene
11

Figure 1.2 Location of case study areas.

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