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Xerox University Microfilms 300 North Zeeb Road Ann Arbor, Michigan 48106 77-2448

LYNCH, Patricia Louise, 1948- AN ANALYSIS OF THE RHETORICAL DIALOGUE OF CHARLES W. WHALEN, JR., IN OHIO’S THIRD CONGRESSIONAL DISTRICT.

The Ohio State University, Ph.D., 1976 Speech

Xerox University Microfilms,Ann Arbor, Michigan 48106

© 1976

PATRICIA LOUISE LYNCH

ALL RIGHTS RESERVED AN ANALYSIS OF THE RHETORICAL DIALOGUE OF

C11AVO.ES W. WHALEN, JR., IN OHIO'S

THIRD CONGRESSIONAL DISTRICT

DISSERTATION

Presented in Fartial Fulfillment of the Requirements for

the Degree Doctor ox Philosophy in the Graduate

School of The Ohio State University

By

Patricia L. Lynch, B.A., M.A.

*****

The Ohio State University

1976

Reading Committee: Approved By

Dr. John J. Makay Dr. James L. Golden Dr. George L. Lewis Adviser Department of Communication In Memory Of

My Father

William H. (Pat) Lynch

(1923-1974) ACKNOWLEDGMENTS

The completion of any project is never achieved by the author alone; the project is made possible by the aid and support of many other individuals. Understanding that this author wishes to sincerely thank the following people:

First, above all others, my thanks go out to my mother, Mrs. Ethel

Lynch Watson, without whose loving support I would have never had the strength to complete the painful experience of getting a Ph.D.

To Dr. John J. Makay, who served as my adviser, my special thanks are for sticking with me during the trying times of orals and the writing of the dissertation. I am particularly thankful for your empathy as we struggled through my writing of this dissertation.

I also wish to thank Dr. James L. Golden and Dr. George L. Lewis for their service on my dissertation committee. The time and effort you spent is deeply appreciated.

An especially appreciative thanks is extended to Third District

Congressman Charles W. Whalen, Jr., for without your cooperation, and your staff's, finding much of the primary source information used in this study would have been impossible. I appreciate the amount of time and effort spent on my behalf.

To George Lowry, Steve Blackistone, Wanda Wiedman, and Bill

Steponkus, and all the rest of Mr. Whalen's staff thanks for your sincere concern.

ii I also wish to thank Dr. Scott Chrisman and Dr. Charles Starks for their help during the difficult times.

And last I must express a deep appreciation and sincere thanks for the effort of Mrs. Imogene Hoffer. It was under her skilled hand that my papers became a dissertation.

iii VITA

January 1948 ...... Born - Dayton, Ohio

1970 ...... B.A., Butler University, Indianapolis, Indiana

1970-1971 ...... Teaching Assistant, Bowling Green State University, Bowling Green, Ohio

1971 ...... M.A., Bowling Green State University, Bowling Green, Ohio

1971-1972 ...... Instructor, Salisbury State College, Salisbury, Maryland

1972-1976 . . . Instructor, Wright State University, Dayton, Ohio

Fields of Study

Major Field: Communication

Studies in Rhetoric: Professor John J. Makay

Studies in Speech Pedagogy: Professor John Jr Makay CONTENTS

PAGE

ACKNOWLEDGMENTS...... ii

VITA ...... iv

CHAPTER

1 INTRODUCTION ...... 1

Historical Perspective ...... 1 Statement of Problem ...... 7 Survey of Literature ...... 9 Justification of Study ...... 15 Procedures and Methods of the Study...... 16

2 THE WHALSN STRATEGY...... 21

Strategy, Tactics and Political Communication...... 21 The Gem City— Dayton, O h i o ...... 22 A Daytonian’s Ideal ...... 26 Strategy of Identification ...... 28 Tactic: Feedback ...... 36 Tactic: Dealing with Differences ...... 44 Tactic: Admitting Error ...... 47 Tactic: Taking Responsibility , ...... 50 Summary...... 58

3 THE RHETORICAL SITUATION AND WHALEN'S RESPONSES . . . 60

. Whalen's Speaking ...... 60 Dayton— A Rhetorical Situation ...... 65 The Rhetorical Situation ...... 67 Dialogue and Public Speaking ...... 77 Sincerity and Honesty ...... 79 Issues and Values ...... 86 Positive Attitude ...... 92 Respect and Trust...... 97 Summary...... 101

v CONTENTS (cont’d)

CHAPTER PAGE

4 ETHICAL COMMUNICATION...... 103

Dialogue and Ethics...... 103 Dial o g u e ...... 105 Ethical Dimensions ...... 119 Summary...... 131

5 SUMMARY AND CONCLUSIONS ...... 133

Summary...... 133 Conclusions...... 138 Further Research ...... 147

APPENDIX A: PAID POLITICAL ANNOUNCEMENTS: 1966 150

APPENDIX B: POLL CARDS...... 167

APPENDIX C: CORRESPONDENCE ...... 185

APPENDIX D: PUBLIC SPEECHES ...... 197

BIBLIOGRAPHY ...... 249

vi CHAPTER ONE

INTRODUCTION

Historical Perspective

In the year of Watergate, 1974, only one Republican in the nation ran for the House of Representatives unopposed. Congressman Charles W.

Whalen, Jr., served the Third Congressional District of Ohio, a

district which includes the largest portion of the greater area of metropolitan Dayton, Ohio.1 In 1974 Mr. Whalen, who successfully ran

for his fifth term in the U. S. Congress, was the best known elected

official in the Dayton area, as well as the most successful national

Republican officeholder in a year of general Republican defeat.

Mr. Whalen was successfully elected to represent his native Ohio

district. Born in Dayton in 1920, he was also raised in Dayton, and

received his basic education there as well. Whalen graduated from

high school in 1938 and completed a B.S. degree at the University of

Dayton in 1942. Leaving Ohio he went to The Harvard School of Business

and completed work on an M.B.A. graduating in 1944. Following his

formal education were two years of military service. Eventually he

returned to Ohio and became active in business, educational, political

Michael Barone, Grant Ujifusa, and Douglas Matthews, The Almanac of American Politics— The Senators and Representatives: Their Records States and Districts (Boston: Gambit Press, 1974, pp. 777-79. and civic affairs. Whalen’s first long term position was as Vice-

President of the Dayton Dress Company, a family business. In 1952 the family sold the business, so Whalen entered a collegiate teaching career for the next fourteen years while consulting for the family investment company. During that fourteen year period he taught at the

University of Dayton where he was chairman of the Retailing Department

(1952-63) and became professor of economics and department chairman

(1963-66).2 Since January 1967, he served Ohio's Third Congressional

District as its representative while continuing to hold a nonteaching faculty position at the University of Dayton.3 i During his teaching career, Whalen became an elected Republican serving the Miami River Valley of Ohio. His first official capacity was as a member of the Ohio House where he served from 1954-60. In 1955,

1957 and 1959 he was honored as "One of the Top Ten Freshmen in the Ohio

House of Representatives," "One of the Top Twenty Ohio House Members" and "One of the Top Fifteen Ohio House Members." In 1960 he was elected to and served in the State Senate until 1966. In 1963 he was honored as the "Outstanding Member of the Ohio Senate." Additionally, during that period he was civically involved as a trustee of the Dayton Cerebral

Palsy Association, Dayton Child Guidance Center, Aviation Hall of Fame and Grandview Hospital. In 1957 those activities won him the recognition

2Who!s Who in America, 2 vols. (Chicago: Marguis Publishing, 1974), 2:3270.

3Charles W. Whalen, Jr., Interview with Ohio's Third District Congressman, Dayton, Ohio, June 1976. as the Dayton and Ohio Junior Chamber of Commerce "Outstanding Man of the Year Award."1*

In 1966 Whalen moved from local and state involvement to national involvement by being elected as a member of the U. S. House of

Representatives. His subsequent electorial successes were an upward spiral. For example, he defeated incumbent Rodney M. Love in 1966 by a solid 54 per cent after a rigorous campaign. A 78.5 per cent vote in

1968 was a dramatic leap for him as he defeated real estate investor

Paul Tipps. In 1970 and 1972 Mr. Whalen again won with 78 per cent of the vote over Demsick Kerr, and 75.5 per cent of the vote over John

Lelac.5 Thus, in his fifth election he ran unopposed. Certainly this man appeared to be highly effective with his audience of constituents.

The Congressman's success seems especially interesting in relation to the demographic background of the metropolitan area of Dayton, Ohio.

Dayton, Ohio is a medium size industrial city nestled in the slightly rolling farm terrain of Southwestern Ohio. Until the debilitating flood of 1913, World War I, World War II, and the Korean Conflict, Dayton was distinctively a city of rural interest. After the flood, a series of dams were built reducing any risk of major flooding and excessive damage. That prepared Dayton for industrialization. Between 1910 and

1950 the city became highly industrial. Industrialization became dominant in this town due to John H. Patterson, Charles F. Kettering

**Who's Who in America, 2:3270.

5Interview with Montgomery County Board of Elections, Dayton, Ohio, May 1975. and the Wright Brothers. Those men were inventors and businessmen who were directly responsible for the development of the cash register industry, auto industry and aviation industry both locally and nationally. The influence of these men laid the foundation of an industrial city. U. S. involvement in war assured the city's change to an industrialized environment. Industrialization caused agrarianism in the Eastern portion of Montgomery County to be reduced, and with the changing economy went much of the conservative Republicanism character­ istic of all Southwestern Ohio. The metropolitan area was now primarily inhabited by unskilled and semi-skilled laborers who worked in the city's factories.6 Dayton became the home for large manufacturers such as

National Cash Register, Frigidaire Corporation, Delco Products, Inland

Products and Chrysler Airtemp Corporation.

A majority of employees in Dayton worked at these large corporations, so Whalen's district appeared to be a Democratic "blue collar" area.7 in accordance with typical union and Democratic party affiliation

Dayton's unions rarely varied. Whalen, who originally ran with the backing of conservative Republicans, soon was questioned by his conservative supporters for his liberal voting record. The conservative

6Allen W. Eckert, The Great Dayton Flood (Boston: Little, Brown and Company, 1965); Thomas O'Keefe, O'Keefe's Dayton Area Community Guide 1968 (Westerville: Thomas G. O'Keefe and Associates, Inc., 1968); and Thomas O'Keefe, O'Keefe's Dayton Area Community Guide 1972 (Westerville: Thomas G. O'Keefe and Associates, Inc., 1972).

7Ibid. 5

Republicans also disapproved of the labor endorsements he received from

1968 through 1974.8 Thus, conservative Republicans, who first backed his candidacy, became frustrated and irritated. The enigma of

Congressman Whalen baffled officials ranging from Miami Valley party loyalist, state Republicans, ex-President Nixon and President Ford.

Throughout Whalen's terms in office he was considered one of the most liberal House Republicans."

Whalen, who did not hide his Republican affiliation, campaigned individually and with minimal ties to the local Republican organization and the Presidential election campaign.10 Indeed, individualism and independence within the Republican party seemed to characterize Whalen's style. His political approach displeased regular Republicans, but the liberal approach seemed to please district voters and Democrats enough that he was allowed to run unopposed in 1974, the year of the Watergate

Affair, when Republicans were under considerable strain. Whalen, who appeared the embodiment of the established businessman, served his constituents in Congress on the Armed Services Committee

(1967-72), Foreign Affairs Committee (1972-75) and the Washington D. C.

8"Whalen Receives Endorsement of Mutual Assistance Committee," Labor Union, 23 August 1968, p. 1; "Whalen Gets Labors OK," Journal Herald, 26 August 1970, p. 1; "AFL-CIO Endorses Democrats, Whalen," Dayton Daily News, 25 September 1970, p. 35; and "Be Sure, Vote November 7; It's Our Country, Our Jobs," IUE News, September 1972, p. 7.

9Dave Allbaugh, "Whalen: Recession Ending," Dayton Daily News, 30 May 1975, p. 5.

10George Lowry, Interview with Special Assistant to Congressman Charles W. Whalen, Dayton, Ohio, July 1972; and Max Frankel, "Middle America Finds Campaign Boring," New York Times, 15 September 1972, p. 1. Committee (1975).11 Two of the three major appointments were on what were considered powerful Congressional committees. Congressman Whalen developed some national visibility during this period because of his work and commitment to dealing with the issues of compromise on arms sales to Turkey, guaranteed annual income and strong shield laws.

As mentioned earlier, conservative Republicans who originally backed Whalen, were surprised when he emerged more liberal than expected. That was because of his stance on several prominent issues: his early opposition to the Vietnam war, his support of school busing, his vote against strip mining legislation and his support of political campaign expense disclosure.12 In these cases he aligned himself with

Democratic liberals. Thus to some, Congressman Charles W. Whalen, Jr., appeared a Republican maverick, but his stance found support among the voters.13

Charles Whalen, in his initial terms, mailed numerous newsletters and questionnaires to constituents concerning Congressional activities.114

Moreover, he visited the district almost every other week, bi-yearly ran a walking campaign and visited voters in every precinct. He also participated monthly in "Conversation Piece," a radio call-in show on

Dayton's CBS affiliate WHIO, and he attended countless special occasions

11Lowry.

^2Andrew Mollison, "Whalen Examines Cuba's Model," Dayton Daily News, 1 July 1975, pp. 1-2.

13Barone, Ujifusa, and Matthews.

^Ibid. as a main speaker. Whalen's rhetorical activity occurred in a variety of situations. Whalen's behavior contrasted with that of his predecessor, Rodney M. Love.

Statement of Problem

Communication with the public is of significance to a congressman if he wishes to retain his office. Rhetorical decisions as to what and how a congressman speaks to his public are vital. Consequently, one of the first tasks Whalen and his staff undertook upon his election was the mapping of rhetorical strategies for communication with the electorate.

The mapped plan included how news releases, correspondence, dialogue with staff and public and personal appearances were to be handled; included with the plan was an option for updating. In rhetorically evaluating Whalen, one must question his plan, and his performance in office over the past years. This study is a rhetorical criticism of the rhetorical dialogue of Charles W. Whalen, Jr., with his constituents in Ohio. Rhetorical dialogue indicates an open, honest, supportive and nonmanipulated communication attitude in an oral, written or nonverbal rhetorical interaction.15 To aid in the critical process the following research questions are posed:

I. Did Congressman Charles W. Whalen, Jr.'s communication with his Ohio Third Congressional District constituents, from 1966-75, demonstrate rhetorical dialogue?

15John J. Makay and Beverly A. Gaw, Personal and Interpersonal Communication Dialogue with the Self and with Others (Columbus: Charles E. Merrill Company, 1975), p. 123. 8

A. In relation to the messages developed and presented to the Congressman's constituents, what was the rhetorical strategy used for message development?

B. Did Whalen consistently seek and give feedback to constituents regarding their political interest and concerns?

C. Did the Congressman rhetorically strive to be aware of and deal with disagreement and differences he and his constituents had over political issues and policy?

D. On speaking occasions when the Congressman was in a situation to admit error, did he acknowledge this error to his audience?

E. Did Whalen take the responsibility to state, explain and defend his political actions in the face of opposition?

F. What was the rhetorical situation in which Whalen was participating at the time of his speaking effort?

G. In the speeches presented by the Congressman was there inherent in the message an at .itude of sincerity and honesty as demonstrated by consistency between message and behavior?

H. Did Whalen's speeches seriously deal with issues and values ?

I. In the messages presented, did Whalen reveal a positive attitude toward constituents, and toward what could be learned from them?

J. Were Whalen's messages characterized as rhetorically showing respect and trust for his constituents?

K. Did Whalen use the conditions of rhetorical dialogue consistently in the period from 1967-75?

L. If the attitude pervading Charles W. Whalen's message to his Ohio voters can be evaluated as rhetorical dialogue, 9

can this dialogue be judged ethical and believable in view of the strategies planned and the messages executed?16

Survey of Literature

Since there have been no previous biographical or academic studies done about Charles Whalen, no individual source existed giving an in depth discussion about him. There were several thorough and insightful media reports about Whalen which served as a biographical foundation to the development of this dissertation. Demographic newspaper information

t was found useful in doing this study and several methodological treatises provided the approach for the criticism of Whalen’s discourse.

These methodological sources will be discussed following the comments about the news articles.

The first of the useful news articles was published in the Wall

Street Journal in 1966 five weeks before Whalen took his seat as a House member. Joseph Sullivan in "Candidates to Unseat Democrats in the House

Show Youth and Vigor" featured Whalen and the campaign style he had used to gain election. Not only was Whalen discussed more thoroughly than any of the other congressmen-elect, his picture was attached to the article. In that very laudatory article of Whalen’s intelligence, training, and experience, the 1966 Republican elections results were

16John J. Makay and William R. Brown, The Rhetorical Dialogue: Contemporary Concepts and Cases (Dubuque: William C. Brown Company Publishers, 1972); Richard L. Johanessen, Ethics in Human Communication (Columbus: Charles E. Merrill Publishing Company, 1975), pp. 42-45; and Richard L. Johanessen, "Attitude of a Speaker Toward Audience: A Significant Concept for Contemporary Rhetorical Theory and Criticism," Central States Speech Journal (Spring 1974), 95-104. 10 discussed. That article gave a clearer description of the campaign run by Whalen in 1966 than any other printed source found.17

Controversy has constantly surrounded Whalen's liberal Republi­ canism since his election to the House. One of the earliest and clearest reports that Whalen's liberal style did not just occur after his election to the House was Jim Fain's editorial "Freshman Whalen

Draws Notice for Liberal Stance" on May 1, 1967. Fain's editorial was used as a foundation for checking the consistency of Whalen's politics.18

Several articles followed Fain's editorial viewpoint indicating the independent and liberal nature of Whalen. Altogether these articles formulated a profile of the Congressman. "A Portrait of Whalen:

Independent and Adept" explored two key aspects of Whalen's political style. The first aspect reviewed was the heavy importance Whalen placed on communication and public relations. The article reported that in the first few years in Washington Whalen had an executive assistant to direct the public relations portion of the office and an administrative assistant to direct the Congressional office. The information in Robert

Daley's article aided in establishing Whalen's attitude toward communication. The second aspect the article reviewed furthered the growing amount of information saying Whalen was politically an independent figure.19

17Joseph Sullivan, "Candidates to Unseat Democrats Show Youth and Vigor," Wall Street Journal, 10 December 1966, pp. 1 and 14. 18Jim Fain, "Freshman Whalen Draws Notice for Liberal Stance," Dayton Daily News, 1 May 1967, p. 14. 19Robert Daley, "A Portrait of Whalen: Independent and Adept," Journal Herald, 2 November 1967, pp. 1 and 3. 11 The first article located in a national paper which reported

Whalen's independence was the Washington Post's, "House GOP 'New Breed'

Voted Like the Old Guard." In 1966 the GOP had worked to win many

Congressional seats in preparation for the 1968 Presidential race.

They succeeded. The Washington Post reported in 1967 the voting record

of the freshmen Republicans. They found that the freshmen, with four

exceptions, voted like old line Republicans. Whalen along with Hubert

Gude of Maryland, Margaret Heckler of Massachusetts and Daniel Button

of New York were the independent Republican exceptions.20

Max Frankel in the New York Times wrote about Whalen's district in

"Middle America Finds the Campaign Boring." For a newspaper treatise

Frankel did a very thorough job chronicling the attitude and demography

of the Dayton area. The article's focus was the Nixon-McGovern race as middle-America saw it, but in addition to chronicling Daytonians* views

toward the Presidential race, the article discussed what Daytonians were

demographically.rs 1

In the article "The Worldly Mr. Whalen Won't Forget the Homefolk"

Pat Ordovensky reported two Whalen characteristics, one of which was

commonly repeated, the second characteristic was rarely mentioned. The

first discussed the continuous communication effort Whalen undertook in

the district; the second reported Whalen's disgust with old-line

Montgomery County Republicans who were strongly confronting him about

20"House GOP 'New P-ead' Voted Like the Old Guard," Washington Post, 6 January 1968, p. A4.

21Frankel, "Middle America Finds Campaign Boring." his liberal tendencies. This article was the only case where comments

of disgust from Whalen were found. Everywhere else Whalen responded

to the differences in a dispassionate manner.22

Consistently the most thorough and useful information about Whalen

came from newspapers outside the city of Dayton. One such useful source was the Denver Rocky Mountain News. In "Liberal Ohio Republican Escapes

Democratic Challenge" Powell Lindsay discussed the Third Congressional

District of Ohio, Whalen’s political independence, and the risks Whalen

took with his independent course of action. The greater portion of the article related how dedicated Whalen was to do an informed job in

Congress and to serve the district and nation. The tone of the article was laudatory.23

Six books and three articles provided direction in the methodology used in this study of Whalen’s rhetorical dialogue. The source used as

the format for a rhetorical study of dialogue was John Makay and William

Brown's The Rhetorical Dialogue. This primer for the study of dialogue served to direct all other rhetorical tools used in the criticism. The

Makay and Brown source established, in rhetorical terms, what dialogue was, how to identify and how to criticize dialogue. o *j*

John Makay and Beverly Gaw in Personal and Interpersonal Communi­

cation Dialogue with the Self and with Others suggested useful

22Pat Ordovensky, "The Worldly Mr. Whalen Won't Forget Homefolk.," Journal Herald, 3 June 1972, pp. 21 and 23. 23Powell Lindsay, "Liberal Ohio Republican Escapes Democratic Challenge," Rocky Mountain News, 24 April 1974, p. 6. 2lfMakay and Brown, The Rhetorical Dialogue. 13

definitions of the various rhetorical conditions of dialogue. With the

aid of the findings of Makay and Gaw the dialogic principles were

explained in a manner allowing for easy recognition of the conditions when encountered.2 5

Two sources on rhetorical dialogue were drawn from the works of

Richard Johanessen. The first, "Attitude of Speaker Toward Audience," was an article about rhetorical dialogue. In the article dialogue was explained as a human and humane way of communicating while monologue was discussed as the opposite. The article suggested guidelines for making a critical evaluation of the dialogic nature of communication.

The critic should look at the communicator's attitude, philosophical outlook, purpose, strategies, and tone when making his evaluations.26

The second Johanessen source, Ethics in Human Communication, contained a chapter on dialogue. The book discussed the philosophical basis for studying dialogue, as well as discussing the similarities between dialogic and ethical behavior. Johanessen's book served as the methodological

foundation for the inferential leap allowing dialogic communication to also be termed ethical communication.2^

Kenneth Burke offered a useful methodological tool for evaluating

communication strategy when he discussed the concept of rhetorical

25Makay and Gaw.

26Johanessen, "Attitude of a Speaker Toward Audience," pp. 95-104.

27Johanessen, Ethics in Human Communication. 14

Identification. Burke, in both Rhetoric of Motives" and "Rhetoric—

Old and New,"29 explained that the one strategy for persuasion was identification of the speaker and audience as having similarities of feelings, attitudes, and thoughts. According to Burke such identifica­ tion allows for a meeting of substance (meaning) making persuasion possible. When persuasion occurs through identification, the parties are said to be consubstantial.

The methodological source relied upon for the analysis of Whalen’s rhetorical situation was Lloyd Bitzer's "The Rhetorical Situation."

Bitzer claimed that the rhetorical situation included the stimulant to discourse. Within the rhetorical response to a situation three component elements need to be viewed. The first concern of the critic is to establish what was the exigent pressure demanding a communication response. An exigency is a pressure within the social setting which may be mediated by a rhetorical response. The second concern deals with identifying the audience; the third concern questions what are the constraints the audience must face if they are to respond to the exigencies discussed by the speaker. What Bitzer gave was a means by which to study the calling into existence of rhetorical comment."

28Kenneth Burke, A Rhetoric of Motives (Cleveland: The World Publishing Company, 1962), pp. 543-53.

29Kenneth Burke, "Rhetoric— Old and New," Journal of General Education 5 (April 1951), pp. 202-09.

"Lloyd F. Biczer, "The Rhetorical Situation," Philosophy of Rhetoric 2 (Winter 1968):1-14. 15

The second criteria used to establish a sense of right and wrong in speech communication was Thomas Nilsen's Ethics of Speech Communication.

Nilsen served to show the corresponding similarities between ethics and fair treatment, and dialogue and fair treatment. The Nilsen discussion clearly illustrated the need and value of ethical consideration in speech-communication.31

The third source used in the study to discuss ethics was Robert

Oliver's The Psychology of Persuasive Speaking. Oliver presented a discussion of both ethical and persuasive concerns. The ethical discussion was the one used to establish an ethical criteria for the evaluation of ethical behavior. The criteria served to judge whether

Whalen's behavior was ethical.32

Justification of Study

An important part of the social and cultural life of a nation is the political life of that nation. The political orientation of the individual officials and the government as a whole both directly and indirectly affects the lives of the nation's citizens. Political action by the government and its officials directs the quality of life and communication that the citizens encounter in their daily lives and in their interaction with the government. For the government officials'

31Thomas R. Nilsen, Ethics of Speech Communication, 2d ed. (Indianapolis: Bobbs-Merrill Company Inc., 1974).

32Robert T. Oliver, The Psychology of Persuasive Speaking, 2d ed. (New York: Longmans Green, 1957), pp. 20-34. 16

.and branches' behavior significantly influences the making of normative standards of behavior by which a nation's citizens live. Understanding how the political behavior and communication affect the citizens is useful to gain an understanding of the rhetorical and political life of a nation and its people. For that reason this study proposes to add understanding of communication and politics in three ways:

1. There is a continued need for added knowledge about political communication.

2. There is a continued need to gain added knowledge about the use of rhetorical dialogue.

3. There is a need to gain knowledge about the rhetoric of ! unique congressional figures who have not previously been studied.

Rhetorical appreciation of the political arena allows citizens an insight into the political life affecting them; for that central reason, the study seems amply warranted.

Procedures and Methods of the Study

The purpose of this study is to criticize Congressman Whalen's rhetorical discourse with his constituents in the period 1966-75.

The scope of the rhetorical focus will be aimed at communication in the

Miami Valley, with the Congressman as participant. The major purpose is to argue that a rhetorical dialogue was used by the Congressman when communicating with his electorate. The research procedure will include the following:

1. A survey of all available speeches delivered in the Dayton area between 1966-75. 17

2. A survey of national newspapers and magazines (1966-75) for pertinent data about Whalen's political and rhetorical activity.

3. A survey of all existing non-election communication the Congressman has sent constituents from 1966-75.

4. An examination of information gained from listening to available tapes from WHIO's "Conversation Piece," and other available audio materials from 1966-75.

5. A review of all available articles about or by the Congressman in the Dayton Daily News, Journal Herald, and the Kettering- Oakwood Times.

6. Interview with Whalen, his staff, and other persons who appear to be key figures in this study.

7. The use of methodological procedures from current studies in rhetoric and rhetorical criticism.

The analysis of the rhetorical dialogue of Charles W. Whalen, Jr., in Ohio's Third Congressional District utilizes theory exploring norms characteristic of rhetorical dialogue. Specifically rhetorical dialogue is defined as:

. . . the process of communication in which all parties in a communicative situation identify the rhetorical purpose and work honestly, carefully, and dynamically to be meaningful in achieving mutual understanding and a solution to a rhetorical problem.33

The task is to establish norms for rhetorical dialogue, and then explore how fully the Congressman had met these norms. To facilitate the task and to ascertain whether the motivation and attitude behind Whalen's speaking was actually rhetorical dialogue the questions asked and material analyzed was carefully selected. Johanessen's guidelines for

33Makay and Brown, p. 27. 18 describing and interpreting the dialogic nature in communication will be used as a guide for the study.

1. The study identifies the characteristic attitudinal orienta­ tion pervading all or parts of the message and its presentation.

2. The study explores the ways the speaker's attitude toward audience seems to reflect his personal philosophical outlook.

3. The study probes how the speaker's attitude toward the audience related to the speaker's overt and covert purposes and motives.

4. The study isolates how the speaker's attitude orientation may be seen in his communicative choices, strategies, and techniques.

5. The study can assess the influence of the message. 31+

The dialogic characteristics represent more of a communication spirit or orientation than a specific rhetorical method, technique, or format.35 Since political communication is being dealt with, combining the goals of getting elected and serving constituents, the researcher must intensely apply the established criteria to Whalen's message. In the political arena where distortion of intent, distortion of reality, coercive manipulation of facts and unfair skewing of advantages are commonly possible, the study may find that this was or was not the case for Congressman Whalen.

This study has five chapters. Chapter two explores the rhetorical design and behavior of the Congressman and his staff from 1966-75 and looks at oral, written and nonverbal types of communication used by

31*Johanessen, "Attitude of a Speaker Toward Audience," pp. 99-104.

35Ibid. 1 9 Whalen, except for the analysis of speeches. The chapter will seek io answer five questions: (1) what was the rhetorical strategy used for message development; (2) was feedback constantly sought and given;

(3) were differences and disagreement over political issues and policy dealt with; (4) did the Congressman admitt error to the electorate; and

(5) was responsibility taken for rhetorical statements and behaviors.

This analysis will be made by rhetorically analyzing the gathered research information.

Where chapter two reviewed implementation of the message, chapter three looks at the oral message and attitude displayed in five speeches delivered in Dayton, Ohio ("Student Unrest," "Environmental Quality,"

"Metropolitan Dayton," "Foreign Trade and American Jobs," and "Special

Revenue Sharing"). Chapter three will study the public speaking messages prepared by the Congressman and his staff to see how they are characterized as dialogue. What was the rhetorical situation? Did the speeches demonstrate sincere and honest communication? Did the speeches deal with significant values and issues? Were the speeches an indication of positive regard? Did the speeches show respect and trust for the audience? These five questions about dialogue were used to evaluate the speeches of Charles W. Whalen, Jr.

Chapter four will study whether there was a rhetorical dialogue demonstrated by the Congressman toward his district over the years of his tenure. The questions to be answered are: (1) was rhetorical dialogue an ongoing attitude of the Congressman, and (2) may Charles

W. Whalen's communication be judged ethical? Those questions will be 20 explored to establish an ethical judgment of Whalen’s communication interaction with the public.

The final chapter summarizes the information in this study. In addition, conclusions and implications important to rhetorical theory and criticism are drawn. CHAPTER TWO

THE WHALEN STRATEGY

Strategy, Tactics and Political Communication

A strategic orientation toward a political situation is a tool a politician is expected to have for reaching his political goals. When facing a problem situation, an individual plots the means to meet and overcome or circumvent the obstacle. The general plan of attack is a strategy and is directed by considerations which may, for example, emphasize fear, personal gain, success, or some other means by which unification of speaker and audience may be established. The means of implementation are tactics for achieving the end goal. In politics strategies and tactics are used for getting elected, staying elected and creating an impression that the electorate is being served. They are vital, for a mistake in strategy formulation and tactical implementation may cost time, money and position. To operationalize a strategy a political figure must use rhetorical means by which symbolic behavior is given rational form and instrumental purpose. Such rhetorical behavior may occur in oral, written or nonverbal form, but it must be tactically useful in order to serve a strategic purpose.1

1John W. Bowers and Donovan J. Ochs, The Rhetoric of Agitation and Control (Reading: Addiston-Wesley Publishing Company, Inc., 1971), pp. 16-17.

21 The purpose of this chapter is to identify and analyze the strategy and tactics used by Whalen to gain election to the House. In doing that the chapter will seek answers to five questions: (1) what was the rhetorical strategy used for message development; (2) was feedback constantly sought and given; (3) were differences and disagreement over political issues and policy openly dealt with; (4) did the Congressman admit error to the electorate; and (5) did Whalen take responsibility to state, explain and defend his rhetorical actions? To answer these questions one must view them in the rhetorical situation. An important part of the rhetorical situation is Dayton, Ohio, and the prominent character in the communication is Whalen. For that reason a demographic discussion of Dayton and a biographical statement about

Whalen will precede the search for answers to the five questions.

The Gem City— Dayton, Ohio

Richard Scammons and Ben Wattenberg in The Real Majority stated:

So there you have it; Middle Voter. A metropolitan Quadicalian,2 middle-aged, middle income, middle educated, Protestant, in a family whose working members work more likely with hands than with head.

Think about this picture when you consider the American power structure. Middle voter is a forty-seven-year-old housewife from the outskirts of Dayton, Ohio, whose husband is a machinist. She very likely has a somewhat different view of life and politics from that of a twenty-four-year- old instructor of political science at Yale. Now the young

2Quadicali: California, Connecticut, Delaware, Illinois, Indiana, Maryland, Massachusetts, Michigan, New York, Ohio, Pennsylvania, Rhode Island, West Virginia, and Wisconsin. 23

man from Yale may feel that he knows more about politics than the machinist's wife does. But he does not know much about politics or psephology, unless he understands what is bothering the lady in Dayton and unless he understands that her circumstance in a large measure dictates her concern.3

Scammons and Wattenberg said Dayton is representative of the middle

America voter, and what would be politically successful in Dayton would have political significance elsewhere in the country. With that in mind the demographics of the Third Congressional District of Ohio will be reviewed.

Metropolitan Dayton contains nearly a half million people. In the

Congressman's district are Dayton, Oakwood, Kettering, Centerville-

Washington Township, Huber Heights and several small village and township areas. In Dayton, blacks inhabit the West side, Appalachians the East and a blend of blacks, Appalachians?, Germans, Polish and citizens of other ethnic backgrounds inhabit the rest of the city. In the city of Dayton most residents labor in factories in semi-skilled jobs. In Oakwood and Centerville reside the majority of professionals, while the white collar and professional workers reside in Kettering.

Huber Heights is a community of skilled and semi-skilled workers. The village and township residents have an interest in agriculture, but mofet make their living working in Dayton's offices and factories.4

3Richard M. Scammon and Ben J. Wattenberg, The Real Majority (New York: Coward McCann, 1970), pp. 59-70.

4Max Frankel, "Middle America Finds Campaign Boring," New York Times, 15 September 1972, p. 1. Dayton continued to be racially segregated into the mid-1970's, with most blacks occupying the West and lower Northwest side of Dayton. White residents predominated in all other sections of the city. Native white

Daytonians fled the West Side in the 1950's as the black population swelled with migration from the South.5 A black mayor from 1970-76 did not erase many of the racial difficulties the city faced. In the summers of 1966 and 1967 riots occurred in Dayton. Since then conditions have improved for blacks, but by financial and social indicators, blacks continue to fall behind white Daytonians.6 The tensions and fears between whites and blacks seem rooted in the fact that Dayton is only sixty miles North of the Mason-Dixon Line, and that large segments of the population migrated from Appalachia and the South to find a better life in the factories. They brought their racial prejudices with them.

Those who left the South to come to Dayton were the most energetic and perhaps mobile of the poor population living in the blighted areas.

The values of taking chances, hard work, success, family and "a good education for the children" seemed forceful in the attitudes of those migrating to the Miami River Valley.

There exists in the Dayton area another segment of the population with roots in the Miami Valley going back further than the 1940's and

1950's, when the heaviest Southern migration occurred. These residents reflect an ethic of hard work, education, sobriety, family and a sense

5Ibid. 6"Whose Safety in the Streets? Policeman Acquitted of Manslaughter of Unarmed Man," New Republic 158 (17 February 1968), 2. 25 of community ("Protestant Ethic"). This latter group, due to established position, time and hard work, are usually found in managerial or profes­ sional occupations. Commonly they inhabit the previously mentioned southern suburbs. In actuality the two disparate groups of migrants and long term residents have similar values stressing upward social mobility.7

Another characteristic reflecting Dayton's symbolization of America resides in the city’s industrialization and unionization. The area quickly reflects national economic trends. When inflation, recession or stagnation occur Dayton suffers economically. Dayton reflects twentieth century America in microcosm. Levine indicates primary values for all Americans are hard work, potential advancement, power, authority, and abundant resources.8

Daytonians typically validate these values by their behavior. What may be said about Dayton, may be said to be representative of the country.

Politics is no exception. The political office geographically repre­ senting the Dayton area is the Third Congressional District, and the best known official in this district, with ninety-six per cent name xecognition was Whalen.9

7Thomas O'Keefe, O'Keefe's Dayton Area Community Guide 1972 (Westerville: Thomas G. O'Keefe and Associates, Inc., 1972).

8Stuart Levine, "Art, Values, Institutions, and Culture: An Essay in American Studies Methodology and Relevance," American Quarterly 24 (April 1972), 131-65.

William Steponkus, "Remarks on Direct Mail and Newsletters," Lecture Communication Association Public Relations Seminar, 27 January 1973. 26

A Daytonian1s Ideal

Whalen was a Daytonian whose family belonged to the second group of

Dayton residents. His background gave him an image not far from what the

"American Ideal" would be for a Daytonian. His background and personal style embodied the upward social mobility that success represented in the Dayton value system of a majority of the population. After graduating from Oakwood, the University of Dayton, and Harvard University, Whalen returned to serve and be a part of his community. His life style demonstrated hard work and sobriety (he neither smokes or drinks). His image of a family man appealed to the values of the area (wife, four sons and two daughters).

Whalen was an economist by training and profession. Prior to becoming a member of the House, he served in the Ohio Legislature while teaching at the University of Dayton, and consulting with the family owned investment company. In the period when he served in the Ohio legistlature he blueprinted many Ohio laws supporting human rights and education. One of these bills which directly affected the area was the

State Community College Act, which allowed for the eventual growth of

Sinclair College.1® Whalen was also instrumental in passing the bill giving independent status to Wright State University, originally parented by The Ohio State University and Miami University.11 The significance of this legislation resided in the fact that higher education would not be

1®"An Issue or a Law," Toledo Blade, 18 June 1965, p. 16.

lll!State University for Dayton Draws Partisan Support," Dayton Daily News, 8 March 1965, p. 2. 27

financially feasible to many Daytonians without local and state

supported institutions. Many Daytonians used the educational system to gain the desired upward mobility. Whalen's personal style, values, services and background complemented the style and values of the district's population.

In November 1965 Whalen announced his intention to run for Congress against incumbent Rodney M. Love. Love was a member of the 1964

Congress who had been elected in the Lyndon Johnson landslide over

Senator Barry Goldwater. Because the Congress was so predominantly

Democratic, the press termed it a rubber stamp for Johnson's Great

Society legislation. Under these conditions, Whalen ran against freshman

Representative Love. The 1966 election was a toss up as to whom would win: State Senator Whalen or incumbent Congressman Love.^ The winner of the 1966 House election in the Third District would depend to a large extent on the success of each candidate's campaign. With this fact recognized, Whalen and his supporters formulated a campaign strategy to aid in his election to Congress. After careful planning and the spending of more than $95,000, the Whalen supporters saw that the strategy worked.13

12Robert Daley, "Love's Support of LBJ Brings Defeat," Journal Herald, 21 November 1966, p. 1; Doug Walker, "Love Whalen Voter Polls Get Different Answers," Dayton Daily News, 4 April 1966, p. 6; and Walter Gray, "Whalen-Love Race Rated a Toss Up: Lukens Favored," Journal Herald, 22 September 1966, p. 2.

13Robert Daley, "Whalen Expenses Record High," Journal Herald, 22 December 1966, p. 3. 28

Strategy of Identification

In the first campaign Whalen's major task was to establish visi­ bility with the electorate. He had successfully served in the Ohio legislature, but had failed to achieve the needed degree of recognition with the electorate. To meet Love's level of name recognition and gain voter support Whalen and his staff designed a strategy stressing his ability to handle concerns and issues he and Dayton voters shared. In the initial campaign for Congress, Whalen established the use of one dominant strategy out of which all subsequent constituents directed political and Congressional communication came. This one strategy was that of identification.

Identification as used in rhetorical theory today is often based upon Kenneth Burke's work. Burke wrote that a means by which persuasion could be facilitated was by identifying one person with the interest of another person. Once the identification occurred the first person could then persuade the second person to follow the first's desired course of action. Whalen wanted support for his Congressional bid.

Before the persuasion could be effected, the people had to believe that Whalen was similar to them in interest and desire. Common interest be joined. This striving to identify Whalen with the feelings, thoughts, concepts, images, ideas and attitudes similar to other

Daytonians would achieve what Burke termed consubstantiality.

JitBernard L. Brock, "Rhetorical Criticism: A Burkean Approach," in Methods of Rhetorical Criticism a Twentieth Century Perspective (New York: Harper and Row, Publisher, 1972), 315-26; Kenneth Burke, "Rhetoric— Old and New," Journal of General Education 5 (April 1951), 29 In a political campaign a candidate hopes to achieve identification by establishing a desirable image of himself with the electorate. This image, which may be identified with by the voters, must be achieved without the luxury of getting to know well or be known well by the constituents. The best chance for building such an image was to repeti­ tively use a simple, clear and succinct message stressing Whalen's encompassing of value qualities Daytonians approved of and thought they themselves lived by. Whalen stressed in his communication his wisdom, virtue and goodwill. In a classical perspective this would have been termed building high ethics. The qualities were not termed classical ethics; they were termed Whalen qualities with which the public could identify.15 Whalen, the candidate, was identified as an intelligent man (economist University of Dayton professor), a virtuous man (family man, hard working) and a man showing goodwill (willing to meet people in their area, serving to bring better education to Ohio). The strategy was directed at building enough identification for people to reason that

Whalen was the man to work for them in Washington. One of his television commercials from the first campaign illustrated the application of the

Identification premise.

202-9; Kenneth Burke, A Rhetoric of Motive (Cleveland: The World Publishing Company, 1972), 543-51; and Dennis G. Day, "Persuasion and the Concept of Identification," Quarterly Journal of Speech 46 (Fall 1960), 270-73.

15Aristotle, The Rhetorical of Aristotle, trans. Lane Cooper (New York: Appleton-Century-Croft, 1932), pp. 226-41. 30

Video Audio

KITCHEN SET: FOUR BOYS Hello, I'm Chuck Whalen ... I'd SEATED AROUND TABLE ... like you to meet my own personal YOUNGEST IN HIGH CHAIR consumers ... my sons ...... CHUCK STANDING Chip BEHIND TABLE Joe Dan PUTS HANDS ON CHIPS Ted SHOULDERS, PATS JOEY ON HEAD GOES TO BACK OF ... and ... this is the average CHAIR HAND ON SHOULDER amount of milk my family of six consumes each week— 6 gallons! CLOSE SHOW OF CHUCK'S HAND GESTURING TO 6 Now as a father, as well as a EMPTY GLASS MILK GALLONS businessman and professor of IN CENTER OF TABLE OR Economics ... I'm extremely COUNTER BEHIND HIM concerned about the constant increases in food, clothing, steel! CAMERA IN CLOSE ON And just as important! I don't like CHUCK'S HEAD AND the excessive Congressional spending SHOULDERS behind it all! Government spending has forced our cost of living to CAMERA TAKES IN SHOT OF rise faster than ... Joe ... or MILK BOTTLES AND BOYS your son, or daughter can grow!

CHUCK PICKS UP MILK BOTTLE This is just one of the many serious problems I intend to tackle if I'm elected to Congress! Irresponsible government spending! The spiraling costs of living! This entire stockpile of excessive financial demands on ujs the consumers!

It didn't begin ... nor will it end with a gallon of milk, unless some­ one ... somehow ... takes a f irm stand in Congress. SUPPORT CHARLES W. WHALEN, JR., FOR CONGRESS I hope you'll remember me ... Chuck Whalen, when you cast your LEGAL COMMITTEE CREDITS vote election day.16

1Advertisement for Charles W. Whalen, Jr., "Cost of Living," WHIO-TV, WLW-D-TV, and WKEF-TV, Dayton, Ohio, September 1966. In the commercial Whalen worked to be identified as a Daytonian with concerns not unlike those of his constituents to be. In this commercial he tried to demonstrate his holding of values the Dayton public identified with. He acknowledged his virtue as a family man, an intelligent man as a businessman and professor and a man of goodwill who would work to halt soaring prices for Daytonians. Whalen sold himself as a man whom the electorate could relate. (See Appendix A for additional sample advertisements.) He was a Daytonian with the same interests as the population; consequently, he would work for ends which would be mutually valued. If the identification strategy worked in the campaign, the Whalen people felt the voters would be persuaded to send Whalen to Congress.

The presentation of information which stressed identification was consistently used in Whalen's campaign advertisements.

This job of developing the strategy of identification was under­ taken with care; a step-by-step carefully outlined campaign plan providing for personal appearances in virtually every precinct was drawn up.

Whalen would be in parades, at picnics, the Montgomery County Fair, and any other place that organized groups of voters gathered. Whalen, or one of the staff, appeared at these occasions to indicate his caring and belonging, as a Daytonian. The Whalen staff worked to appear interested and involved. The document of tactics specifically established how this would be done.17 According to Whalen:

17Charles W. Whalen, Jr., "Campaigning in Big City Urban America," Speech Delivered Midwest Republican Women's Regional Conference, Chicago, Illinois, 22 September 1967. 32

This document included a recap of every activity we could project, together with specific dates exact requirements of the particular project, the individuals who would handle its key aspect.

A listing of the candidate's step-by-step responsibilities and finally, a cross-reference which was a check list of all the responsibilities of key people in the campgian.

We had to seek opportunities for publicity and contact with the public so as to achieve name recognition. Right behind this, we had to develop the issues. What this boils down to, simply, is that the candidate not only has to be known, he has to give the voters a reason to choose him over his opponent.18

Opportunities to gain name and face identification as well as identifi­ cation of Whalen as a reasonable responsive reflection of the people was undertaken. Whalen stated:

The activity listing was laid out chronologically. It included speeches; appearances at picnics, church and community gatherings; parades; fairs; festivals, direct mail pieces; a specific day for bumper stickers to appear simultaneously; radio, television and newspaper advertising; key press releases; position papers; door-to-door campaign of candidate; car-top signs; yard signs; billboards; factory gate appearance; the opening of various campaign head­ quarters; a "Whalen Day" at a local amusement park; and scheduling of a "flying squad" in areas where we lacked a full complement of volunteers.19

Activities of this sort were used to create an impression of Whalen visibly involved in Dayton. This visibility was used to build the feeling of identification.

18Ibid.

19Ibid. 33

Direct Mail. Included in the correspondence was a Whalen campaign newspaper and personal letters. Old line Republicans, teachers, physicians, Air Force retirees and businessmen received letters signed by a well known local person of the same profession. Identified in the letter were the reasons why the writer thought Whalen the best man for the job of serving Daytonians in Washington D. C. All campaign materials directely and carefully identified Whalen as the man for the job. The incumbent was not attacked, Whalen was presented as the man for the job.

A 1966 campaign letter illustrates how the identification strategy was furthered.

Fellow Educator and Voter:

As an educator himself as well as a legislator, Chuck Whalen is probably more concerned with the need for and financing of higher education than most of his contemporaries.

He's proved it by his sponsorship of Ohio's Community College Act. And it was Chuck's thinking that pointed the way to the establishment of Ohio's branch campuses ... their management and their financing.

Chuck has been active, too, in his support of other legislation meant to improve opportunities for higher education in Ohio. The Ohio Education Association, in more than one instance, has thanked Chuck "for his continuing interest in and efforts to improve public education."

With the federal government's growing involvement in the educational process, I believe it's to our benefit to have this kind of prac­ tical representation in Washington. Certainly, Chuck Whalen's experience qualifies him extremely well for the office of Congressman.

I hope you share my enthusiasm for Chuck Whalen and will add your vote for him to mine on November 8. Sincerely, William E. Goodwin Chairman, Teachers Committee Whalen for Congress As the letter indicated Whalen was characterized with caring and working for educational advancement educators are assumed to value. He identi­ fied what he had done and why their support was important to allow him to do more of the same. He built mutuality around their assumed similar concerns.

Radio and Television. Next Whalen utilized radio and television spot announcements stressing name, face, qualification, character, and values pertinent to Daytonians. Stressed in the advertisements was the responsibility Whalen would fulfill or had fulfilled for the Gem City area. An example television spot illustrated how Whalen tried to use the strategy of identification throughout the campaign.

Video

CHUCK TO CAMERA Chuck: Yes, I am deeply involved ... and concerned about you— about everyone in the greater Dayton area. As many of you know, my name appeared on the Wright State University bill ... the Community College Act ... the $500-million Highway Bond Issue ... and many efforts which must be put forth in Congress if our community ... our nation ... is to survive its present state of extravagent government spending and eroding inflation!

NAME DISSOLVES ON (Anncer:) Record ... Experience ... Imagination ... Leadership ... NAME ENLARGED Spell Chuck Whalen.

SUPEROVER: VOTE FOR The name we hope you'll take another CHARLES W. WHALEN, JR. look for November 8! Vote for FOR CONGRESS Chuck Whalen for Congress.20

2Advertisement for Charles W. Whalen, Jr., "Service to Ohio," WHIO-TV, WLW-D-TV, and WKZF-TV, Dayton, Ohio, September 1966. 35

Again Whalen built his advertisement around the strategy of identifi­ cation. He openly stated his concern for greater Dayton, as well as how he had succeeded in recognizing a need in the Dayton area for more educational opportunities. He stressed what he did to fulfill the educational need. This type of communication aided in identifying him as a man of and for Dayton.

Cookbook. The third direct campaign tool used in the first and every subsequent campaign was Barbara Whalen's Cookbook. This small collection of Mrs. Whalen’s receipes was a campaign gift. Name recogni­ tion and re-enforcement were greatly enhanced by this cookbook as it was seen and used in the kitchen. By inference the cookbook said the

Whalens were just a typical Dayton family. This sought-after gimmick turned into one of the most useful pieces of campaign materials.

Walking Campaign. Finally the campaign touch which was the most successful for the Congressman in every campaign was the door-to-door walking campaign. In Dayton a common sense of belonging is important to a candidate's election. When visiting virtually every precinct,

Whalen and two or three volunteers actually knocked on doors. The

Congressman gave a cookbook and a written statement about himself to each household while shaking hands and saying: "Hi, I'm Chuck Whalen and I just stopped to say hello and that I would appreciate your vote on election day." Door-to-door campaigning was enjoyable for the

Congressman while removing doubts from the electorate's mind that

"ChucU' was willing to come to the people because he cared genuinely about them. The campaign committee carefully made sure that all actions created an identity of Chuck relating as a member of the Dayton community. 36

Whalen's strategic playbook for election detailed exactly what tactics were used and a timetable for the total campaign period, and told how Whalen's image as a man belonging to the concerns of Dayton was to be implemented.

An identification strategy, when successful, impresses others to willingly believe as the others wish. With belief comes the ability to move the audience to mental or physical action which supports the candidate. Four tactics were used by Whalen to put in action his strategy of identification. Each tactic served to further re-enforce

Whalen’s interest as consubstantial with Third District interest.

Tactic: Feedback

Feedback is the responding back to the communicator that each party in the communication knows the others views, feelings, and attitude.

Feedback aids communication by allowing a flowing of information between the parties. Without his flow, communication stops and neither side feels there are grounds by which to identify each with the other.21

Using feedback as a tactic to meet the strategy of identification allows the politician knowledge of the public's concerns and the public aware­ ness of the politician's concerns. From this awareness a checking may be undertaken by both parties to find if their feelings, attitudes and ideas match. If ideas appear to match, then the strategy of

21John J. Makay and Beverly A. Gaw, Personal and Interpersonal Communication Dialogue with the Self and with Others (Columbus: Charles E. Merrill, 1975), p. 143. 37 identification has been aided. The manner in which a politician gives or receives feedback is often used by constituents for judging the officeholder's representation of them.

Whalen saw his main function as serving as ombudsman to voters who otherwise lacked a political voice.22 This helped direct the guidelines which both of Whalen's offices followed when handling constituent interactions. Whether a lost relative was found, a social security check located, or serious queries made about Whalen's Congressional record, voter concerns were to be recognized. In terms of middle-American in the late 1960's Whalen's accessibility helped overcome many middle

American's feeling of political impotency. Students fought for rights, minorities made gains and Vietnam went on into the seventies. The average voter had little understanding or input into the governmental handling of these problems. The middle American felt, due to the clamor of the various movements, that he, the taxpayer, was having his views ignored. Complicating the frustration of the middle American was his general inability to do much about the situation. He lacked the power, money, and connections to be able to present, in an articulate manner, his views to the government. The middle voter felt isolated.23 To overcome some of these feelings, Whalen gave his middle voter an approachable source who could forward the voter's concern on to the governmental bureaucracy. Whalen asked questions, sent poll cards, and

22Andrew Mollison, "Service Counts Most, 'Representative Whalen,"' Dayton Daily News, 29 June 1974, p. 8.

23Eric Hoffer, First Things, Last Things (New York: Harper and Row, 1971). 38 helped deal with bureaucratic confusion for constituents. He listened and helped. Accessibility to aid, plus respectful communication drew his voters closer to him.

The two offices worked hard giving and receiving feedback. On the average, seven hundred calls and letters were received a week from constituents. Nearly all the time in the Dayton office, and a signifi­ cant portion of the Washington D. C., time was spent on constituent concerns. This totaled forty per cent of total staff working time.

Since 1967 the Whalen staff has answered approximately 330,000 queries of the office. In many of these cases the help offered was not available via any other means. The opportunity to have a problem acknowledged and dealt with significantly increases an individuals sense of potency in dealing with bureaucratic machinery he fears or does not understand.24

Whenever Whalen was asked to listen or deal with a constituent question, he would. If asked for his opinion or a justification of his opinion, he would give his opinion. Whalen by consistently giving feedback, soliciting feedback, and responding to feedback dealt with the interest of the public. This use of feedback identified where mutuality existed between Whalen and his electorate.

The manner of correspondence was important. According to William

Steponkus, Whalen's Executive Assistant, correspondence was handled in the following way:

2**George Lowry, Interview with Special Assistant to Congressman Charles W. Whalen, Jr., Washington D. C., March 1976. 39

Replies to constituent letters should be responsive to the points raised by the writer. A constituent thus impressed will tell his friends and neighbors, and word of mouth advertising is the best. Additionally, even if he disagrees with your position, a well-reasoned, dispassionate analysis of the factors leading to your position at least will earn his respect. Kiss-off letters which say no more than "thank you very much for letting me know your views. . . . I will keep them in mind." These can backfire and water down the Member's reputation.

When replying to petitions or form letters from constituents, we always have tried to send a personalized (DURA or MIST) letter to everyone signing a petition sent to our office. If the volume is too great, we sometimes will fall back on multilithed or mimeographed letters, expressing regret at using that format, etc. But the dividends are excellent. How many people signing a petition to a Congressman ever expect to hear anything? So the result is definitely a plus.25

Obviously Whalen could not personally answer all letters responding to constituents, but not a single letter went out of the office without

Whalen’s approval. The Congressman not only responded to voter input, he made needed information available if he knew it or could get it.

The Congressman, Steponkus, and the staff put together a weekly newspaper column for Dayton's local papers. These articles dealt with such major governmental issues as energy, ecology and education.

Topics of concern coming to public attention from the national scene were discussed by the Congressman. A column in 1975 offered Whalen's analysis of how Congressman Wilbur Mills losing of power would affect the running of the Ways and Means Committee. Whalen explained Mill's past power in the following manner:

2^William Steponkus, "Response on Direct Mail and Newsletters," Lecture to Republican Communications Association Public Relations Seminar, Washington D. C., 27 January 1973. 40

Rep. Mills acquired and maintained his influence in a variety of ways. He abolished subcommittees, thereby precluding any diffusion of power. He brought major bills to the House floor under a "closed rule," which meant that no amendments could be offered to change the legislation on the House floor. He had a thorough knowledge of the tax code and parliamentary procedure, and was able to master the complex issues the committee considered.

Since committee assignments for House Demoncrats were made by the Ways and Means Committee, Democratic congressmen had to think twice before opposing a Mills-approved bill, since his support might be needed for a desired committee assignment.26

Local papers were used by the Congressman to keep the electorate apprised

of Whalen's analysis of what was happening in Washington. These

columns served as a useful tool for giving and getting feedback.

Whalen's constant availability to the press added another dimension

in his feedback to the public. Comments in the Dayton Journal Herald

Indicated this accessibility when indicating Whalen's good relations

with the press.27 He answered questions and tried to answer all calls

from newsmen, when he was not immediately available. The technique for

media news making and comments from the office included written news

releases (written so they would not be edited), telegrams, tape recordings,

- phone calls, and personal interviews. The media was not ignored. This

fact served a purpose for the incumbent as well as the media.

As well as media information, constituents received direct mail

from the Congressman. Quarterly all constituents received a "Washington

26Charles W. Whalen, Jr., "Outlook for Tax Reform is Good," Kettering-Oakwood Times, 1 January 1975, p. la.

27"The Third District," Journal Herald, 26 October 1972, p. 4. 41

Report" indicating issues, records, and concerns of the Congressman.

An example excerpt from a "Washington Report" read:

During my energy fact-finding trip to Latin America in January with the Inter-American Affairs Subcommittee, I viewed an impressive Peace Corps operation in a remote area of Ecuador. I was very impressed by the really excellent work these American volunteers are doing in South America. In the photos, I am meeting with volunteers (and some of their livestock). The new structure will be a dormitory and cafeteria and is being financed by the Ecuadorian Ministry of Agriculture.2 8

Mailings such as "Washington Report" aided the Congressman in keeping in direct contact with the electorate. However, this one newsletter was not the only means used.

Every four weeks a "Capitol Comments" arrived to a select number of constituents. This gave more specific information on Whalen and the

Washington scene. Every six months "Chuck" met face-to-face in wards with constituents to personally deal with problems. And yearly all voters were sent poll cards similar to the 1971 poll card below.

POLL CARD 1971

HIS HERS

1. Which of the following Vietnam alternatives would you prefer (select ONE:

a. Maintain the present rate of withdrawal (with | | | | 284,000 troops remaining as of June 30, 1971).

b. Increase the rate of withdrawal to remove all |_J |_| U.S. troops by December 31, 1971.

28Charles W. Whalen, Jr., "Washington Report," March 1974, p. 2. 42

HIS HERS c. Halt the withdrawal and step up the level of |_| |_J U.S. military activity in Veitnam.

What is your position concerning the present draft law— which permits conscription— which will expire June 30, 1971?

a. It should be continued. |_| |_|

b. It should be terminated in favor of an all- |_| |__| volunteer military force.

3. What is your position regarding proposed plans (legislation) for a national health insurance program? HIS FOR AGAINST UNDECIDED HERS III 4. If Congress imposes campaign expenditure limitations, which of the following would you prefer (select ONE): HIS HERS a. A maximum dollar spending limitation I ll III b. Limit expenditures for radio and television □ III advertising only.

5. Should Communist China be admitted to the United Nations? HIS YES |“| NO |“| UNDECIDED |~| HERS HI HI HI 6. Which FIVE of the following would receive your highest priority for funding and federal action? HIS HERS HIS HERS Agriculture Education III Aide to Cities Foreign Aid III Air and Water Health Pollution Highways Anti-Crime Programs Housing Beautification Poverty Program Civil Rights Enforcement Public Works Defense III □ Space Exploration Supersonic Transport 43

(See Appendix B for all poll cards from 1967-75.) Everyone received a letter if he returned his poll card signed. If he commented on hispoll card it would be an individualized letter. Poll cards not only kept the official informed on relevant attitudes they also generated media attention. William Steponkus indicated:

Poll cards provide the vehicle for publicity: a news release announcing their mailing, a picture of the Member deluged by them on his desk, a news release announcing the results, a special mailing of results to those who put their names on the cards, a recap of the results in the next succeeding district-wide newsletter and a news release detailing the data. All or combinations of these can be used for effective impact. 3

Further comments by Steponkus add clarification about why Whalen worked so hard at communicating, and why correspondence was so important.

Name recognition is the first plateau on the road to political success and survivability. And it relates directly to the first principle of politics for incumbents— to get re-elected. Crude as it sounds, it's a very hard fact of life around here. So it is important for your constituents to know who your boss is. The next level then becomes a perception of some attribute. If they hear from him regularly, then they will have a feeling, justified or otherwise, that he is concerned and wants to keep his constituents informed. In that process, he may be able to convey that he stands for something and that his rationale is very reasonable indeed even if a constitutent might disagree with the position.30

Whalen’s consistant giving and receiving of feedback aided the flow of information between him and the public. The use of feedback by

Whalen seemed to gain greater recognition of him and what he was doing.

29Steponkus, "Response on Direct Mail and Newsletters."

30Ibid. 44

The extensive use of feedback with the public offered greater potential

for topics of agreement to arise between Whalen and the electorate. The

greater the chance for common agreement the greater the chance feedback

would build identification. Therefore, identification remained a

functional strategy as Whalen, the Congressman, dealt with feedback.

Tactis: Dealing with Differences

Politics does not differ from nonpolitical life where disagreement

is a common fact of daily existence. Disagreement may be approached in

several ways; the disagreement may be ignored, fought about or calmly

accepted as natural. With the last approach an opportunity exists for

the working out of a resolution of the conflict. As long as communica­

tion continues, agreement and identification are possible, without them

communication is impossible.31

Whalen’s staff expended much effort staying in contact with the

people. This did not preclude differences between Whalen and district

residents. Many disagreements and differences came from within the party

ranks of south suburban residents. Agreement over Whalen's moderately

progressive style as a Republican failed to consistently emerge.

-Comments by Whalen stating: The GOP needs to be more sensitive to

. minorities, welfare, unemployment, slum clearance and growing suburban

problems did not set well with conservative Republicans.32 Some of this

31Makay and Gaw, p. 141.

32Jim Talbert, "There Were No Great Surprises Here," Journal Herald, 18 December 1967, p. 30. 45 partisan disagreement occurred because Whalen served a mixed urban and suburban district and the party line came from the conservative

Republican tradition. Whalen's political behavior did rankle the party conservatives, and these philosophical differences must be acknowledged as causing friction within Montgomery County Republican party politics.

These difficulties emerged early in the Congressman's career. One month after taking office Whalen was questioned by conservative

Republican women about his maverick tendencies. By the end of 1967 he was one of only four freshmen not following party lines. His break with party voting directives did not go unnoticed.33 The following comments from the conservative Centerville-Washington Township Republican news­ letter indicated the root of the differences:

Many Republicans are increasingly alarmed by Mr. Whalen's tendency to support the Johnson administration. Even Issues which clearly reflect party policy, he has opposed the Republican leadership and the overwhelming majority of Republican Congressmen— much to the dismay of those Republicans who worked for him, helped finance his campaign, and voted for him. . . .

About a year ago, Representative Whalen told a group of Republican women that, if elected, he would vote his conscience no matter how much mail he received to the contrary. We hope that every now and then Mr. Whalen's conscience will remind him that he ran and was elected as a Republican.34

33Robert Daley, "A Portrait of Whalen: Independent and Adept," Journal Herald, 2 November 1967, p. 1; Jim Talbert, "Whalen Questioned Over Voting," Journal Herald, 13 February 1967, p. 2; and "House GOP 'New Breed' Voted Like Old Guard," Washington Post, 6 January 1968, p. A4. 3**"Washington Township Republican Club Newsletter," June 1967, p. 1. 46

Specific issues of disagreement were Whalen's support of welfare aid, education aid, defense department fiscal responsibility and a Vietnam disengagement. Taking the liberal stance indicated a progressive

Republican philosophy and the willingness to not avoid party conflict.

During the Nixon era he voted with the party about half the time, supporting the President on specific issues.35 Whalen called for impeachment procedures early after the firing of Special Prosecutor

Archibald Cox and the resignation of Eliot Richardson and William

Ruckleshaus in what was labeled by the press as the "Saturday Night

Massacre." Whalen thought there was ,a Watergate cover-up, for this reason, he felt an impartial investigation was necessary.36

When dealing with differences Whalen repetitively has used a similar interaction style. First, he entered the situation in a calm prepared manner. In the disagreement situation he sought a chance for intelligent deliberate discussion of the disagreement. Second, he shared a discussion of the disagreement, so that both parties understood each other. When the discussion was accomplished, some sense of mutual agreement was sought, if possible. When no agreement was possible,

Whalen would support his original course of action, if that remained in his eyes the most reasonable alternative. Often the last action occurred since Whalen tried to make his initial decision in a studied manner.37

35Powell Lindsay, "Liberal Ohio Republican Escapes Democratic Challenge," Rocky Mountain News, 24 June 1974, p. 6.

36News release, Charles W. Whalen, Jr., 26 October 1973.

37Charles W. Whalen, Jr., interview with Ohio's Third District Congressman, Dayton, Ohio, June 1967. 47

Seeing an issue differently rarely aids in identification between individuals, but difference does not wipe out all chance for identi­ fication. An open communication channel allows for controversy to be dealt with. Without communication no opportunity for a state of consubstantiality exists. For this reason Whalen followed the tactic of accepting and dealing with differences.

Tactic; Admitting Error

Admitting error demonstrates a willingness to acknowledge a mistake or change of view. In two ways this tactic served to allow for identification. If the people saw Whalen as capable of error, his possible aura of unapproachability was removed. However, the most useful product of admitting error is to demonstrate the person to be honest and free enough to say "I was wrong."38 The reasoning follows that if he could re-evaluate once and find himself mistaken, possibly that might be the case again. Under these circumstances the public felt they might approach him for discussion, and he might change. Admitting error also allowed potential for more communication, which allowed for more chance of identification occurring.

Whalen has publically changed his vote and admitted error in voting.

In 1968 the surtax was passed in Congress to help curb inflation.

Economist Whalen voted against the surtax feeling the tax would have the opposite effect. One year later he decided the situation had

3®Makay and Gaw, p. 143. changed, so he reversed his vote when the surcharge was up for renewal

Whalen stated:

One might reasonably ask: "How can you justify your recommendation that the surcharge be extended in the light of your vote against it last year?"

If one accepts the principle of compensatory fiscal policy, as I do, timing becomes a decisive factor in the decision-making process. The fiscal issue con­ fronting Congress now differs substantially from that with which we were concerned last summer. In 1968 we had to decide whether to increase taxes. This involved not only a consideration of the then existent economic conditions but, more important, required long-range projections into which a tax increase was programmed.

In 1969 the question is whether to reduce taxes. In this instance, the immediate effects are of more concern than long-run implications. 3Q 3

Such changes occurred rarely, for the Congressman formulated his views carefully and thoroughly after painstaking research. Carefully established factual foundations existed for his view. However, he was not locked into any one position if the situation changed.

Occasionally he changed his view, and in four instances he felt he erred in voting. The errors were acknowledged both in and out of the media. These four instances were recounted in the Dayton Journal

Herald. The first vote Whalen regretted was one to deny Adam Clayton

Powell of his Congressional seat. Whalen indicated to the media that although he still felt Powell's behavior was inappropriate, Powell was

39Charles W. Whalen, Jr., "Surtax and Investment Credit," Speech Delivered to United States House of Representative, Washington D. C., 9 May 1969. 49 a duly elected Congressman entitled to his seat. Whalen's analysis continued saying that to deny a man his Congressional seat was constitu­ tionally questionable.4® The second area of error he discussed with Ordovensky and Congress dealt with the war in Southeast Asia. Twice, early in his tenure, he voted for funding of troops in Vietnam. He stated about this in 1973:

First, the outcome of the ideological conflict in Vietnam has no bearing on our own national interest, security or otherwise.

Second, we simply do not know why we are in Vietnam.

Third, the costs of our military effort far outweigh any benefits which might have accrued therefrom.41

His efforts in opposing the war were taken openly and firmly in the Armed Services Committee, the House and the media. Whalen was an outspoken national figure working against the continuation of the

Vietemese conflict.

The final issue for which a vote would be different in retrospect was his vote for the no-knock policy in Washington D. C. As Ordovensky reported, this bill allowed District of Columbia police to enter and search residences without warning or legal jurisdication if they felt laws were being broken. The bill was intended primarily to stop drug

40Pat Ordovensky, "Whalen Has Few, But He'd Change Four Votes," Journal Herald, 22May 1975, p. 4; and David Rapoport, Inside the House (Chicago: Follett Publishing Company, 1975).

41Charles W. Whalen, Jr., "Vietnam Disengagement Act of 1973," Speech delivered to the United States House of Representatives, Washington D. C., 15 January 1973. 50

users and pushers. The no-knock policy made the search procedure quicker

and easier for the police. The majority of official obstacles to search

were removed by this law by taking the search decision from the courts

and giving it to the police. Without some judicial control the No-Knock

Bill had much potential for abuse. After further thought Whalen had

reservations about his original vote. Whalen later maintained that such

action underminds a person's constitutional right to privacy. For this

reason the original vote was later regretted.

The Congressman took the initiative of acknowledging his error when

he felt he erred. He identified himself in this manner as human and

fallible, but willing to be honest without hope of gain. This furthered

the chance of the electorate approaching him on the same level and made

discourse more possible. Anytime this occurs the chance for finding

agreement is heightened. When a chance for agreement is heightened,

identification is heightened.

Tactic: Taking Responsibility

Taking responsibility for communication demonstrates that a person will state his views for all to know, that he will explain those views,

and that he will defend his views in view of opposition. Taking

responsibility identifies the man, at the very least, as forceful. One may identify with this quality even if not with the stand. If the stand

is agreed to by the public, identification is easily achieved. The person is viewed as taking the "right" course of action.1+2 But even if

**2Makay and Gaw, pp. 137-38. 51 the person does not take the supposed "right" course of action he may be respected for answering to his true beliefs. This quality can be identified with by Daytonians. In cases of disagreement identification is still possible.

After five terms and stands on contraversial issues Whalen was not well known outside his Ohio district. The facts of interest here are whether he took the controversial stands openly and did not back away from the consequences of those stands.

One of the earliest issues he took a stand on was the National

Living Income Program. This issue commonly was called a guaranteed annual income program for dealing with poverty and welfare. Whalen’s work did not get the bill passed in 1967, but he did not give up, for several times he re-introduced the NLIP in subsequent sessions of the

House. The issue and stand had never been exceedingly popular in Dayton or the country, and the bill did not become law. The Congressman did not back away from the issue, because Whalen included in the bill:

First, the basic family allowance proposed for a family of four is $3,200, or twice the President's figure of $1,600 annually. This minimum allowance takes into consideration the realities of what it costs to live today and therefore is substantially more generous than the President's proposal.

Second, it provides for regional cost-of-living differ­ entials, which the Administration's plan does not.

Third, the NLIP provides that the Federal government match, on a 50-50 basis, supplementary allowances which individual states may decide to institute.

Fourth, the President's plan appears to be limited to families with children; the NLIP covers individuals, childless couples and couples with grown children. 52

Fifth, H.R. 13476 attempts to cope in detail with some of the very difficult interpretative questions which will arise. In addition, it specifies extensive procedural safeguards. The Administration's proposal leaves many of these questions to be answered by regulations determined by the Secretary of Health, Education, and Welfare.1*3

Whalen took a stand on this unpopular issue and worked for it. Even though a majority of Congress and constituents disagreed, he was openly willing to say that he felt the human and economic benefits from the legislation seemed too great for him to abandon his position.

A second issue he felt strongly about was the unfairness and inefficiencies in the military draft. So with four other congressmen he worked to end the draft. The book How to End the Draft was written to propose the elimination of need for draft calls in most instances.

The authors stated:

In other words, we do not propose abolition of the draft; we propose a system by which draft calls can be reduced to zero— and we believe that such a system is possible both in times of peace and in times of limited war.1+4

The book was written to further both the legislature's and public's awareness of the military draft and alternatives to it. The book explained possible approaches for modifying or removing the draft system.

lf3Charles W. Whalen, Jr., "The National Living Income Program Act of 1969," Speech Delivered before the United States House Ways and Means Committee, Washington D. C., 23 October 1969.

^Robert T. Stafford, Frank J. Horton, Richard S. Schweiker, Garner E. Shriver, and Charles W. Whalen, How to End the Draft: The Case for an All Volunteer Army (Washington D. C.: National Press, Inc., 1967), p. 4. 53

Another book which the Congressman wrote was Your Right to Know.

This book dealt with the state of shield laws in the nation. Shield laws allow newsmen to protect their sources and notes from subpoena in most courtroom situations. Whalen's book indicated:

First, a free press is the very foundation of our democratic institutions.

Second, a free press should be given "the broadest scope" that can be countenanced in an orderly society.

Third, information received from confidential sources is an integral part of modern news-gathering operations.

Fourth, without a legal privilege for journalists, public access to valuable information is imperiled.

A free press is the very foundation of our democratic institutions. The most reliable indicator in determining whether a society strives to be free or totalitarian is the extent to which the press is free— free to investigate, to criticize, to publish whatever it deems fit to publish.1,5

Whalen worked diligently in Congress, with his book, and in news articles to argue passage of the Free Flow of Information Act. Yearly he continued his support with no success. The bill, despite his effort, remained unpassed.

A fourth issue for which Whalen had been an active spokesman was free and open trade, including trade with communist countries. His arguments for this were economic.

**5Charles W. Whalen, Jr., Your Right to Know: How Free Flow of News Depends on the Journalist's Right to His Sources (New York: Random House, 1973), p. 111. 54

I would like to present for this subcommittee's considera­ tion three specific reasons why I consider our present foreign investment restrictions to be "unwise and harmful."

First, limiting the outflow of private capital abroad is misdirected— it does not go to the heart of our Balance of Payments problem.

Second, restricting private investment abroad, instead of solving our balance of payments problem will aggravate it further.

Third, restraining the flow of the private capital abroad raises serious doubts as to the credibility of United States foreign economic policy.^

Trade stimulates exports, and exports stimulate the economy is a simpli­ fication of the basis of Whalen's position. Whalen seemed to indicate economic gain should be a major concern in determining foreign policy.

This economic posture allowed for congruency between Secretary of State

Henry Kissinger's foreign policy and Whalen's views.^7

Whalen was the first Ohioan in many years to be appointed to the

Armed Services Committee. This appointment, however, backfired in the eyes of most Vietnam "hawks." Whalen, a Republican, with Wright-

Patterson Air Force Base in his district (1967-69), turned out to be one of the five "doves" on the committee. From 1967-72 Whalen was a strong spokesman for the Defense Department's fiscal responsibility.

While on the Armed Services Committee he challenged the funding of the

"^Charles W. Whalen, Jr., "Foreign Direct Investments House Concurrent Resolutions 85 and 86," Speech Delivered to the Subcommittee on Foreign Economic Policy, House Foreign Affairs Committee, Washington D. C., 24 April 1969. ^Stephen D. Blackistone, Interview held with Research Assistant to Congressman Charles W. Whalen, Jr., Washington D. C., March 1967. 55 war in Vietnam. In 1971, he along with Congressman Lucein Nedzi of

Michigan co-sponsored the Nedzi-Whalen bill in the House of Repre­ sentatives. The bill's purpose was to stop the war. Their bill paralleled the McGovern-Hatfield Bill in the Senate. Though neither of these bills passed, that was an outspoken and controversial stand to take, a position on which Whalen never publically faltered.1*8 Whalen remained adamant about his view on the Vietnam issue when the stand became a moot question two years later in 1973. The following bill was introduced the week before our direct military involvement in Southeast

Asia ended.

Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled. That this Act may be cited as the "Vietnam Disengagement Act of 1973."

Sec. 2. The foreign Assistance Act of 1961 is amended by adding at the end thereof the following new section:

Sec. 659. LIMITATION UPON USE OF FUNDS IN INDOCHINA. No further funds shall be authorized, appropriated or expended under this Act or any other law for United States' military combat operations in or over North Vietnam, South Vietnam, Laos, and Cambodia, and such operations shall be terminated immediately, subject only to arrangements for:

(1) the release of all American prisoners of war held by the government of North Vietnam and forces allied with such government;

1<8Sam Hanna, "Whalen Pushes Plan to Stop Arms Shipment to Indo­ china," Journal Herald, 13 May 1971, p. 23; Richard Lyons, "War Foes Lose in House Unit," Washington Post, 14 June 1971, pp. 1 and 11A; Ronald Sarro, "Vietnam Pullout Amendment Beaten 254-158," Washington D. C. Evening Star, 18 June 1971, p. 1; Dan Thomassen, "Anti War Amend­ ment Compromise Looms," Washington Daily News, 29 June 1971, p. 1; and "War Extended, Representative Whalen Says," Associated Press, 17 June 1971. 56

(2) an accounting of all Americans missing in action who have been held by or known to the government of North Vietnam and forces allied with such government; and

(3) the safe withdrawal from North Vietnam, South Vietnam, Laos, and Cambodia of all remaining United States' forces.1,9

Whalen did not commit himself lightly to an issue, but when he did commit himself, he held his position. Sometimes this degree of commit­ ment was potentially costly. Whalen's independence reflected well on his character, but not always on the district. His stand on defense

spending caused problems with L. Mendell Rivers, Armed Services Committee

chairman. The following was purported to have occurred:

Evidence is accumulating that a 1,750 man division at Wright-Patterson Air Force Base in Dayton, Ohio was to be removed to Florida to punish Representative Charles W. Whalen.50

Whalen's response was:

Congressman Rivers was unhappy with my independent course. We weren't at all close. He has a tendency to take personally my votes against his position. But it is not very conceivable to me that the military would undertake very costly efforts to punish Congressmen. If this is the way the military works it raises some questions the citizens ought to know about.51

^Charles W. Whalen, Jr., "Vietnam Disengagement Act of 1973," Speech Delivered to the United States House of Representatives, Washington D. C., 15 January 1973.

50Alan Holton, "Planned Air Force Base Move Seen as Retribution," Rocky Mountain News, 30 June 1971, p. 3.

51Ibid. 57

Whatever the case, Senator William Saxbe had to intervene with Nixon to stop the move of the Foreign Technology Division. Thus, Whalen took a position, held it and spoke for it when he thought he was right. In this case many civilian jobs, as well as military jobs, would have been lost to Dayton, and the city's economy would have suffered. The political stands taken by Whalen were followed through; the positions taken most firmly usually had an economic base which agreed with his ability and expertise. He had been equally responsible about sharing his views with voters. News releases, his own articles, and personal correspondence continually dealt with the major issues he took stands upon. So that this study will accurately represent how the Congressman took responsibility for his positions personally on a constituent- congressman level four letters to constituents are included in appendix C; these discuss common situs picketing, busing, New York City financial difficulties, and the 1975 tax cut extension. In each case

Whalen indicated the situation and his stand, whether the stand was in agreement with the writer or not. Whalen answered for his political and rhetorical statements.

In the cases of the NLIP, ending the draft, shield laws, free trade and Vietnam Whalen each time took responsibility for the risk his stand generated. The electorate quite often disagreed with his view, but they could identify with the demonstrated attitude of perseverance and hardwork. Due to his use of actions, which may be labeled responsible,

Whalen could still achieve identification in the face of disagreement. 58

Summary

Initially, chapter two discussed: what was the rhetorical strategy used for message development? In answering this, the researcher found

that only one superordinate strategy was used by Whalen between 1966-75.

This strategy of identification portrayed Whalen as a man who could relate to the electorate as an intelligent, virtuous and benevolent member of the population. Whalen's communication encounters consist­ ently stressed his ability in serving the district both in the Ohio and

United States legislatures. Since 1966, Whalen has continued relying on this one strategy of identification.

A strategy of identification seeks to portray the man to his audi­ ence with similarities between themselves and the communicator. These similarities may be in feelings, attitudes or ideas, but there was stressing of a likeness between parties. Identification stimulated support of the communicator by the audience. The identification strategy was designed to gain support for Whalen; his election successes indicated that the strategy worked.

Tactics for fulfilling the strategy of identification were then sought for analysis. The second question sought to evaluate the communi­ cation tactic of giving and receiving feedback. Continually while in the United States Congress Whalen gave and sought feedback. He used a direct approach (walking campaign and constituent meetings), media (news releases and taped comments) and mail (newsletters and poll cards).

With ninety-six per cent name and face recognition in the district he seemed to succeed in the giving and receiving of feedback. 59

The next question sought to find by what means Whalen dealt with political differences and disagreement. Whalen worked at respectfully listening to differences and disagreements, but unless the opposition could intellectually convince him he was wrong, he was committed to his view.

Question four asked whether the Congressman would admit error openly and change his view. On very few occasions did he change or admit error in the nine year period, but when Whalen did admit change or error he admitted the change without outside pressure being applied first.

The final question asked: did Whalen take responsibility for his statements and behavior as a Congressman? Whalen was found to openly state and explain his stand on issues to the population without expressing political platitudes and abstractions. The Congressman committed himself doggedly to working hard for the stands he took. CHAPTER THREE

THE RHETORICAL SITUATION AND WHALEN'S RESPONSES

Whalen's Speaking

• Little question exists that Congressman Charles W. Whalen's collegiate debating experience affected his speech preparation and style.1 Usually his speeches were characterized by two forensic features: (1) extensively researched factual information, and

(2) extemporaneous delivery. When speaking extemporaneously he spoke off-the-cuff or from previously studied notes. Sometimes he used a modification of a drafted speech. Even with the extemporaneous delivery

Whalen's thorough preparation and able mind won the admiration of both his staff and many of his colleagues.2 Because of his practice of speaking with few or no written notes, only five extant speeches delivered in Dayton were located. During the period covered in the study, approximately one hundred speeches were delivered annually in the Dayton area by Whalen. With the Congressman giving so many speeches a year a researcher would expect more extant speeches to be available.

However, the existence of five extant speeches caused little problem

^William Steponkus, Interview with Executive Assistant to Charles W. Whalen, Jr., Washington D. C., March 1976.

2Martin Rendon, Interview with Legislative Assistant to Charles W. Whalen, Jr., Washington D. C., March 1976.

60 61

since each was factual, detailed and intellectual in discussion. Facts,

details and serious discussion characterized Whalen when giving all

five speeches analyzed. The five extant speeches are being examined

to determine the existence and nonexistence of Whalen’s inclination to

respond positively to the audience.3 If he did show a positive inclina­

tion toward the audience, then the study would begin to indicate dialogic

communication. A dialogic attitude appeared in the ideas of the speaker

in terms of his sincerity and honesty with the audience, his intelligent

discussion of facts with the audience, his statement demonstrating

positive regard for the audience and his trust and respect in the

audience member's abilities.^ The purpose of this chapter is to focus on the questions: (1) what was the rhetorical situation faced by Whalen;

(2) did Whalen consistently appear to be sincere and honest; (3) did

the messages deal factually with issues and values; (4) did Whalen

appear positive in his evaluation of the audience; and (5) were the messages spoken characterized by a rhetorical display of respect and

trust?

The five speeches are being studied in relation to the rhetorical

situation in which each was given. Viewing a speech in the rhetorical

situation asks the critic to evaluate the exigencies, audience and

3John J. Makay and Beverly A. Gaw, Personnal and Interpersonal Communication Dialogue with the Self and with Others (Columbus: Charles E. Merrill Publishing Company, 1975), p. 23.

^Richard L. Johanessen, "Attitude of a Speaker Toward Audience: A Significant Concept for Contemporary Rhetorical Theory and Criticism," Central States Speech Journal 25 (Spring 1974), pp. 95-6. 62 constraints in the rhetorical occasion. Lloyd F. Bitzer explains the study of rhetorical situation in the following manner:

Rhetorical situation may be defined as a complex of persons, events, objects, and relations presenting an actual or potential exigence which can be completely or partially removed if discourse, introduced into the situation, can so constrain human decision or action as to bring about the significant modification of the exigence. Prior to the creation and presentation of discourse, there are three constituents of any rhetorical situation: the first is the exigence, the second and third are elements of the complex, namely the audience to be constrained in decision and action, and the constraints which influence the rhetoric and can be brought to bear upon the audience.5

Bitzer's definition indicates that many rhetorical statements occur as a response to an urgent problem needing attention. The speech endeavors to deal with the urgent pressure. According to Bitzer, useful rhetorical insights may be found by studying the rhetorical situation of a speech.

Exigencies compel the discourse to occur. Exigencies may occur suddenly with great intensity, or they may build and remain over long periods of time. When they do arise, there is a social demand to act.

The social conditions which exist cause negative tensions in the population and serve to establish a rhetorical situation where exigencies may be acknowledged and dealt with by a speaker. Discourse is the means by which these exigent pressures are identified and shared so that the audience is motivated to face and overcome the exigency. If discourse

5Lloyd F. Bitzer, "The Rhetorical Situation," Philosophy and Rhetoric 2 (Winter 1968), pp. 1-14. 63

is not demanded by the situation and would fail to aid in dealing with

the situation, then the situation would not be a rhetorical one.

The greater the pressure of the exigency the greater the push for

the speaker to deal with the topic currently in the minds and emotion of

the audience. A speaker may choose to pass over or ignore the exigency

demanding a certain topic be discussed, but if he does decide to respond

on something different, he should not expect to successfully move or

affect the audience. The audience’s attention would be focused some­ where or on something entirely different. Focusing on a non-exigent

topic by a speaker would tend to lower, even in the future, the speaker's ability to move the audience. Acknowledging the dealing with the

exigencies of a rhetorical situation directs the choice of the rhetorical

topic options available to the speaker. From the evaluation of the

exigencies, decisions may be made about what will be a fitting response

to the pressures stimulating the discussion. An urgent invitation to

respond forges the route to be followed when responding.

Exigencies are not manufactured reasons for giving a speech.

They are observable pressures existing in reality. The reality may

seem confused or unclear at the time, but there is pressuring occurring which calls for a response. Often the response serves to put order where confusion existed. With the speaker's clarification and crystal­

lization of the exigencies the audience may then decide how they wish to

deal with the constraints of the situation. At other times exigencies

already exist clearly and vividly; in those instance, speaking is used

for unification and solidification of the audience’s view and action. Dealing with exigencies is not always a simple task; many times

exigencies become complex since life situations are often complex.

Whether the situation is simple or complex the urgent need existing

demands a certain discoursive response.

The response does not occur in a vacuum, but is played forth in

front of an audience. An audience’s expectations contribute to the

formation of exigencies, but additionally, the make-up of an audience

helps direct the speaker's decisions about how he will operationally

respond to the exigencies. For this reason the audience's opinions and

demographic background ought to be considered when one prepares a message. A speech is prepared for a particular audience the speaker wishes to move toward an intended response to an exigency. The speaker

also ought to be aware of the audience's primary concerns, so that he may

find the best means by which to present discourse. Considering the second

component of the rhetorical situation, audience, enhances the possibility

of appealing to and moving the audience who will receive the message.

This variable must not be overlooked if the audience is going to be

moved to face the constraints.

The final component of interest in the rhetorical situation is

the constraints. Constraints are forces blocking the audience's ability

to act to overcome exigent pressures. If the constraints are viewed by

the audience as overwhelming, the audience will not be moved to

seriously listen or take action against an exigency. The fear of doing

so would be too great. Constraints block the end goal, and unless the audience is moved by the speaker to face the constraints, little has been

accomplished by the discourse.®

Viewing rhetoric from a situational perspective illustrates not

only the rhetorical statements, but the forces interacting to cause the

rhetorical action. This approach facilitates a different means of

critizing the rhetorical endeavor.

Dayton— A Rhetorical Siutation

Daytonians, similar to residents of other areas, seem to embody an

American value system. Chapter two, for example, discussed the values

of hard work, success, and achievement most Daytonians build their life

style around. Any discourse which confronts these values asks Daytonians

to overthrow their value system. To ever succeed in moving most

Daytonians to repudiate these values there would have to be an over­

whelming exigency. Exigencies for Daytonians would come from pressure

to uphold these values. A reasonable expectation for Whalen's speeches

would be to find he responded to exigencies caused by a serious threat

to the prevailing value system in Dayton.

Industrial middle-class Dayton is a town dramatically reflecting

the economic upswings and downturns of the country. Since survival is a

basic human need and in contemporary terms survival translates into having

a job which provides enough money to buy the necessities of life,

economic exigencies could be expected to be particularly saliant to the

6Ibid. 66

Dayton population. A researcher could expect Whalen to speak in economic terms in Dayton, even if he were not an economist by training. While other exigencies come into existence in Dayton and then pass away of their own accord or because of action taken, the economic exigencies remain, to some degree, a constant concern and pressure even when the economy is reasonably stable. Most other exigencies would not be nearly so powerful in Dayton. The truth of this economic fact has been magnified in the past ten years as the United States has experienced inflation and recession. Because of inflation and recession, economic pressures have been thoroughly felt in Dayton where the economy relies primarily on the selling of large consumer goods. An economic downturn in the early

1970's severely affected the sales of Frigidaire appliances, Chrysler air conditioners and Delco batteries. This in turn severely affected the Dayton economy. When money is less plentiful, the first products not bought are large consumer goods. During the period when Whalen’s five speeches were delivered, Dayton's industrial stability and symbiotic economic stability was questionable.7

As the discussion in this section indicated, many various exigencies may well arise with significant impact on the Dayton population, but the primary exigency of concern, which will always be felt to some degree by a Dayton audience, would be an economic one. In view of the city's economic base and Whalen's economic training, Whalen's responses to rhetorical situations may be expected to typically respond to economic exigencies.

7Ibid. 67

The Rhetorical Situation

This section of the chapter explores those concerns which stimulated

Whalen’s discourse with his electorate. If pressures stimulating discus­ sion of these topics did not exist, then the speeches will be judged as not being a response to a rhetorical situation. The purpose of this section is to find which of the five speeches, if any, were a response to a rhetorical situation.

All five of Whalen’s speeches were responses to rhetorical situations.

Of these five speeches, three directly responded to an economic exigency.

In the late 1960's and the early 1970's a financial uncertainty in the city and its industry was a most pressing local issue. Whalen's speech "Metropolitan Dayton," spelled out specific financial problems facing Dayton. To share his concern about the economic situation in the economic situation in Dayton Whalen said:

Yes, it's gratifying to represent in Congress such a highly regarded district. Nevertheless, for sometime I have been disturbed about our areas future. In part this concern stems from our present economic malaise, only a portion of which is attributable to the nation-wide business downturn (U.S. unemployment, 5.6 percent; Ohio unemployment 5.9 percent; Metropolitan Dayton unemployment 7.2 percent).

Metropolitan Dayton’s deserved reputation is traceable to its most important resource - its people. Yet, as the last Mel Spayd often observed, "Dayton's greatest strength also is its greatest weakness." He was referring to the fact that our highly skilled labor force, with its concomitant high wage level, discouraged new industry from locating in the area. Unfortunately, Mel's prophecy has proven only too true.

Can the Metropolitan Dayton Area undergo a renaissance? I believe it can. There is no magic formula, however. 68

The key to rejuvenation is the same as that which elevated us to greatness during the past half century - namely, the people of our area.8

The audience for "Metropolitan Dayton" was comprised of officials

holding elected office in the Third District of Ohio. When the economy

sags, most politicians are likely to panic, and the Dayton politicians were not likely to be an exception to the rule. Dayton’s economy was

sagging, and the press reported this fact while chastising local

officeholders for their failure to help solve the economic situation.

NCR Corporation's moving of manufacturing to areas of lower labor cost worsened the situation. At this time, Frigidaire threatened to do the

same.9 Under these conditions officials felt compelled to do something.

For in all likelihood an unhappy unemployed electorate would vote for new faces, if progress was not started for dealing with economic woes.

A year prior to the 1972 election was an opportune time for these

officials to start action to help Dayton. The audience had the interest,

power and pressure to face the constraints of the situation. The local

and national constraints of inflation and recession were significant problems. Whalen did succeed in mobilizing the audience to plan action

to aid Dayton's situation. He responded to a real threat to Dayton's

economic stability, while enlisting the other officials' aid in planning

8Charles W. Whalen, Jr., "Metropolitan Dayton," Speech delivered Third District Elected Officials, Dayton, Ohio, 13 August 1971.

9Rex Smith, Interview with Director of Public Relations Frigidaire Division of General Motors, Dayton, Ohio, July 1976; 1973 Annual Report (Dayton: NCR Corporation, February 19, 1974); 1972 Annual Report (Dayton: NCR Corporation, February 19, 1975); and NCR Corporation 1975 Annual Report (Dayton: NCR Corporation, February 10, 1976). 69 steps for dealing with the economic ills of Dayton before the problems worsened. Whalen's speech was a response to the rhetorical situation; he responded to a pressing exigency; he adapted to the concerns of the audience; he presented a means by which to face the constraints.

The other two speeches Whalen delivered in Dayton about economic exigencies occurred with nearly the same economic pressures continuing to function in Dayton. The speech about "Metropolitan Dayton" indicated that due to the Dayton economic state Daytonians needed a plan to save the existing economic base and to gain an improved future base. Both

"Foreign Trade and American Jobs" and "Special Revenue Sharing" dealt with a similar economic exigency. In "Foreign Trade and American Jobs"

Whalen stated:

The ramifications of this revelation were made clear to me in a very personal way. In 1968, a Dayton firm (in my Congressional District) producing printing machinery employed 655 people. In that year its product was unchallenged in our country and had little competition abroad. Today two foreign-owned Italian-based companies have captured almost all of the European market formerly dominated by the Dayton organization. The Italian producers also have made inroads domestically, now accounting for fifty percent of the printing machinery sales in the United States. To combat the competition, the Dayton company has shifted much of its production abroad. As a result, by mid 1972 employment in the Dayton factory had dropped to 185, a loss of 470 jobs in four years. The remaining positions soon will disappear when the firm ceases its Dayton operation.i0

In "Foreign Trade and American Jobs" the audience was probably expected to feel an intense concern over how foreign trade was affecting Dayton

^Charles W. Whalen, Jr., "Foreign Trade and American Jobs, Speech delivered to Association for Systems Management, Dayton, Ohio, 16 March 1973. 70 and United States employment. The audience, comprised largely of systems management people, was probably quite concerned with production and manpower efficiency, and this perspective led to their concern about any information which would help the employment percentage both in

Dayton and the nation. Whalen tried to give them useful economic information. For example he said:

As already noted, imports do eliminate domestic jobs. Nevertheless, the question remains: Did imports contribute significantly to the 1970-72 level of unemployment? In the study to which I previously referred, Professor Lawrence Krause concluded that between the first Quarter, 1970, and the first quarter, 1971, very little of our unemployment was related to international trade. Professor Krause observed: "If unemployment had increased only because of trade dislocation, the unemployment rate would have risen from 4.16 to only 4.18 percent at the end, rather than to the actual 5.93 percent."

Recent employment statistics reinforce this conclusion. Our nation in 1971 and 1972 sustained, respectively, trade deficits of $2,014 billion and $6,347 billion. Yet during these same twenty-four months total civilian employment (seasonally adjusted) rose 3,782,000 from 83,485,000, as of December 31, 1972. Also, during this two-year period unemployment declined 571,000 (from 5,058,000 at the end of 1970 to 4,487,000 by December 1972.

If foreign trade is not the culprit, what caused rising joblessness during 1970 and 1971? Actually, it is attributable to the inflationary crunch of the late 1960's. As prices rose in 1966, 1967, 1968, and 1969, the buying power of a growing number of segments of the economy declined.1-1

What Whalen sought to accomplish in this speech was to explain how indirectly foreign trade stimulates the growth of the U.S. economy.

11Ibid. 71 Although he recognized some jobs would be lost in marginal manufacturing initially, he felt that in the long run more new jobs would be stimu­ lated by foreign trade. Since greater foreign trade seemed to help the economy, Whalen wanted the audience to know about and support his bill countering the then pending Burke-Hartke Bill. The Burke-Hartke Bill would have raised the cost of bringing foreign produced goods into the country. Whalen, feeling this bill was detrimental to Dayton and the nation, took this occasion to explain the trade and job situation to the Dayton businessmen. He seemed to demonstrate for them that foreign trade was a real immediate concern. The exigency was relevant to the audience, but most likely a new approach to thinking about foreign trade. Consequently, Whalen's appeal for support of his legislation countering the Burke-Hartke Bill stimulated minimal action, but the speech did serve to respond to the rhetorical situation.

"Special Revenue Sharing," the last of the three speeches which dealt with the economic difficulties of Dayton, responded to nearly the same pressures as the previous two speeches. In the time which had passed since the last speech Dayton's economic condition had changed little. Prior to this speech the details of how revenue sharing would negatively affect Dayton was relatively unknown to the audience. To establish the exigency Whalen took time to state the financial ramifi­ cations of Special Revenue Sharing to Dayton. He indicated:

Regrettably, I, as your Congressman, and our local officials may not have communicated with you as effec­ tively as we should have regarding the importance to our community of other federal programs. For example, it may not be known that 24 per cent of the City of 72

Dayton's $106.8 million annual budget is derived from federal funds. Often overlooked is the remarkable reshaping of the downtown perimeter's skyline is the fact that of 25 new buildings constructed (or under construction) since 1967, nine are federally-financed. Of the remaining 16 structures constructed with private and local government funds, eight were erected on land provided by the federal government.

. . . Moreover, the reduction in federal aid will cost the equivalent of 5,000 jobs (or 12,000 jobs if the "multiplier" is applied). This tragedy still can be averted.12

The losing of money and jobs your area assumed would exist indefinitely was a powerful exigency to Dayton businessmen. The problem may have previously been unrecognized, but once recognized the difficulty was a powerful exigency for activating interest. Unlike the response to

"Metropolitan Dayton," little action was taken by the audience. The minimal audience action did not seem to detract from the fact that this speech quite definitely responded to an existing exigency. "Special

Revenue Sharing" was a speech responding to the rhetorical situation.

Whalen's speech delivered in Dayton on ecology differed from the other three speeches which had responded primarily to an economically related rhetorical situation. The speech on ecology primarily responded to an environmental concern. The environment in 1970 had become a topic of prominent national and local interest. Pollution was a concern of most Amei'icans. Whalen demonstrated this concern in "Environmental

Quality" as a vital and continuous one. Whalen stated:

12Charles W. Whalen, Jr., "Special Revenue Sharing," Speech delivered to Chamber of Commerce National Affairs Committee, Dayton, Ohio, 22 October 1973. 73 In the last year or so, citizens have manifested growing concern over the quality of our environment. Voluminous studies and reports on every phase of our environment appear almost daily. In the spring, we even celebrated an Earth Day. Few private citizens realize, however, that Congressional interest preceded by many years these recent expressions of public concern. It should be noted that since 1899, Congress has enacted a sub­ stantial body of law designed to halt the destruction of our environment and to improve its quality. In the last two decades alone, at least 20 major bills have become law. These range in scope from the national trails, wildernesses, and scenic rivers programs to the 1948 Water Pollution Control Act and the 1955 Clean Air Act. Both of these latter laws, incidentally, have been amended and strengthened on numerous occasions.

But public concern is extremely important. As a result of the growing interest in the problems of pollution, the Federal government and other jurisdictions now will be in a stronger position to forge ahead in the longstanding objective of providing a better environment. As Senator Muskie, the author of several air and water pollution control bills, recently stated: "A great many of these measures were compromised during the legislative process because there wasn't the public support and the sense of urgency we now see. So we now have an opportunity to strengthen them in these respects, to eliminate the weaknesses and to strengthen them. . . .1,13

The environmental issue was a well recognized problem. Also gaining concern at this time regarding the environment, was the hidden cost to individual's physiological harm. The price was in resources, capital production and the cost of maintaining human health. The perspectives to the ecological crisis, pollution and economic cost, combined to formulate a fairly clear exigency for the public and government audience to which Whalen spoke. Under those pressures Whalen delivered his speech in Dayton to Ohio's Air Pollution Control Board's public hearing. The primary audience for the speech, the Control Board, was mandated to deal

^3Charles W. Whalen, Jr., "Environmental Quality," Speech delivered to Metropolitan Interstate Air Quality Control Region Board, Dayton, Ohio, 20 August 1970. 74 with the environmental question by the government's Department of Health,

Education and Welfare. Whalen realized the audience members were

individuals of intelligence and a disposition to work within the

bureaucratic system to do something about pollution. With that under­

standing, he did not endeavor to explain the problem, but rather, he

focused on how he felt pollution could be overcome in an ecologically and

economically defensible manner.

For Whalen and the Ohio Air Pollution Board, the awareness of the

constraints was implicit. Big business interests could cause obstacles

to implementing pollution control both in and out of the Federal bureaucracy. But Whalen and the Control Board realized this was the group mandated to face the situation of United States environmental destruction and that the crisis had to be faced. Thus, an economic exigency seemed to be the thrust Whalen used to communicate with the audience. An economic concern was most powerful in appealing to Whalen's audience in Dayton. Whalen, the economist, and Dayton, the economic microcosm of the nation both responded to rhetorical situations when economic exigencies were concerned.

The one speech which did not even indirectly deal with an economic exigency was "Student Unrest." "Student Unrest" was a commencement address delivered by Whalen to the 1969 Stiver's High School graduating class. Commencements traditionally have a speaker who delivers a ceremonial address aimed at those graduating. Tradition often is the prevailing reason for the commencement address, rather than the existence of some untenable situation. The audience at a commencement is usually a blend of citizens, most of whom are primarily in the 75

audience to see a particular son or daughter graduate. They are not usually at the occasion primarily to gain knowledge or take a forceful

course of action, but they are there to honor the students. Such an eulogistic occasion is not always used to respond to a rhetorical exigency.

However, a commencement speech does not have to be a speech only responding to the tradition of honoring graduates.

Whalen's speech did respond to a powerful national exigency. The commencement address given by Whalen was his analysis of student riots of

1969. He sought in this speech to explain to the audience his views of the student movement. To explain his views Whalen compared the current student movement to the labor movement of the late nineteenth and early twentieth centuries. He said:

Our forebearers created in our country, a government based on the precepts of "responsive authority." Responsibility is vested in our elected officials. The citizenry, in turn, is subject to the laws promulgated, and administered by these officials. Autocracy, however, is avoided by the requirement that public officials be subjected to a periodic "review" by the electorate. Hence, an appeals mechanism - the ballot box - exists at all levels of American government.

Unfortunately, many institutions operating within the frame­ work of our democracy have not always functioned in a manner compatible with our nation's guiding principles.

A prime example is in the area of management-labor relations. The eighty years between 1850 and 1930 saw our nation emerge as an industrial giant. However, the economic benefits wrought by this development were accompanied by mounting difficulties between employer and employee. Management exercised its authority arbi­ trarily. Rights of workers were ignored. There thus emerged during this period a degree of unrest which makes our present-day campus disorders look like a pink-tea party.

For instance, in 1892 twenty men were killed at the Homestead Works of the Carnegie Steel Company in a battle between locked- out workers and armed Pinkerton guards. According to Rexford G. Tugwell, in his recent book, "Grover Cleveland" . . . "This issue 76 was the recognition of the union and its right to bargain collectively. . . . But wages and conditions were far from reasonable. . . . The twelve-hour day with a swingshift of twenty-four hours once a week at the hardest labor; wages that would maintain a family only at the barest level of subsistence; and surroundings that were the familiar filthy slums of mine and factory towns - these were the intolerable conditions that caused rebellion."

In June, 1894, employees of the Pullman Company struck as a protest against a 25 percent wage cut. The strike resulted in property damage amounting to $80,000,000. On July 7 seven strikers were killed and many more were wounded by militia gunfire.

As late as 1937 employees occupied automobile plants in a series of sit-down strikes which paralyzed the State of Michigan for several months.

In each of these, and similar instances the public clamored for a return to law and order. Armed force was used to quell these disturbances. But, the cause of the unrest - "autocratic authority" - remained. Only the passage of a series of landmark federal statutes (National Railway Labor Act, the Norris-LaGuardia Act, the Wagner Act) gave workers the rights which heretofore they had been denied by employers. With these laws also came an end to the violence and death which had characterized many industrial disputes of the preceding half century.

Our nation’s universities now are the one non-government institution whose authoritarian structure has undergone little or no change. Relationships between administration and faculty, administration and student, faculty and student, are much the same today as they were two centuries ago.

On many campuses, for example, a faculty member can be dismissed, without cause, at the end of his contract period. In many instances promotion and tenure decisions are arbitrarily made and are not appealable.

Student needs frequently are subrogated by professors who must adhere to the doctrine of "publish or perish." The quality of undergraduate instruction sometimes is sacrificed on the altar of prestige-seeking graduate programs.

Curricula are developed with little consideration of the requirement of those whom courses of instruction are intended to benefit. A college education is the only commodity in the market place whose buyer pays $12,000 and has absolutely no voice in what he is to receive. 77

From the foregoing it can be concluded that "autocratic authority" still is the order of the day on many of our college campuses. From my own experience I realize that there is nothing malicious in this posture. For instance, as a department chairman it just never occurred to me that it might be productive to invite students to participate in departmental faculty meetings. Yet, today this is being done! What I am saying is that it is human to accept the status quo until circumstances dictate otherwise.14

The decision to draw this comparison seemed to be a wise one, for a large portion of the parents in the audience were blue collar workers, and many of their children could be expected to follow the same employ­ ment pattern. In the commencement address Whalen spoke on a current issue which was of significant national concern, but one alien to this particular audience's sympathy. In responding to the rhetorical situation, Whalen tried to put this pressing problem in a framework that the audience could both emotionally and intellectually understand.

Dialogue and Public Speaking

The process of evaluating the rhetorical situation focuses on what brought forth a particular communication to a particular audience under particular pressures. While a study focusing on rhetorical dialogue is interested in the situational aspect of rhetoric, a primary aim is to deal with the attitude by which the speaker responded to the exigencies of the rhetorical situation. The speaker's attitude is important in establishing the quality of the interpersonal exchange. Richard

Johanessen explained this in the following manner:

JllCharles W. Whalen, Jr., "Student Unrest," Speech delivered to Stivers High School Commencement, Dayton, Ohio, 5 June 1969. 78 A speaker's attitude is reflected, for example, in word choice, level of abstraction, type of instances, emphasis given to items, vocal pitches and quality, facial expression, and directness of eye contact. In the speaker's attitude we see something not only of his intent and goals but also of the image he has of his audience.16

This study endeavored to find whether Whalen's speaking demonstrated an attitude of dialogue (postive regard, supportive, honest or respectful communication) or an attitude of monologue (manipulative, coercive, non- supportive and derogatory communication).-16 The central concern of the study is whether Whalen did demonstrate a dialogic communication attitude.

Evaluating dialogue in a public speaking situation is significant; the speaker role is a power position whereby he may monologically seek to manipulate the audience.*7 In the speaking situation, either implicitly or explicitly, both parties to the communication know the speaker is there to gain support from the audience for some goal.16 The simplest means to gain support is not always be the dialogic approach. Since a monologic attitude may well take less effort and thought than dialogic one; an asessment of the attitude the communicator brings to the speaking situation is important. The conveyance of a dialogic attitude

15Johanessen.

16Richard L. Johanessen, Ethics in Human Communication (Columbus: Charles E. Merrill Publishing Company, 1975), p. 48.

17Carroll C. Arnold, Criticism of Oral Rhetoric (Columbus: Charles E. Merrill Publishing Company, 1974), pp. 40-1.

18John J. Makay and William R. Brown, The Rhetoric of Dialogue: Concepts and Cases (Dubuque: William C. Brown Company Publishers, 1972), p. 1. 79 may be easier in an interpersonal or small group setting, than in a public speech because the communication situation allows for an immediate informal sharing of views. The formality of the public speaking situa­ tion reduces the immediate exchange of dialogue between parties. A public speaking situation does not stop the appropriateness of a dialogic attitude; dialogue is not defined by the situation or occasion in which it occurs. Dialogue is working for a communication sharing where all involved parties work honestly, carefully and dynamically together to achieve a mutual, meaningful understanding. The tone of the relationship is what is important, not what the situation is.19 The belief that public speaking may be characterized by a dialogic attitude directed the research into how well Whalen's speeches developing an attitude allowing for rhetorical dialogue.

Sincerity and Honesty

The apparent sincerity and honesty of a speaker contributes to keeping open the channels of communication between the speaker and audience. The attitude of being sincere and honest helps foster a dialogic exchange because a dialogic attitude consistently serves to demonstrate that the speaker is earnestly involved with the speaking and listening transaction taking place. Not only does the appearance of sincerity and honesty contribute to dialogue, but sincerity and honesty also appear to present the listeners a reflection of the speaker's value

19Ibid., p. 27. 80 system. Even if the speaker's value system varies from the listeners,

the listeners may still feel that they receive understanding, respect

and acceptance from the speaker. This feeling is possible since pur­

poseful hiding, disguising, inventing and manipulation have seemed to

be avoided. Whalen's speeches were viewed by this critic to see if they appeared sincere and honest within his value system.20

One means by which a speaker may show his sincere interest in an issue or to a person is to address that issue or person with a specific, well thought out and carefully articulated response. This type of response not only shows the speaker's intelligence but also shows the speaker's willingness to commit his views and himself to the communi­ cation. The speaker seems to place himself in the open for others to view and to evaluate. Whalen in all the speeches seemed to demonstrate his sincere involvement by the means of presenting messages which w^re specific, well thought out and carefully articulated. This involvement seemed to demonstrate Whalen as willing to extend the effort to explore, in detail, concerns of significance to the audience. In addition, his speeches seemed to demonstrate a commitment to detailed facts and explanations. To illustrate how consistently pervasive Whalen's use of specific detail was, three sections from different speeches are examined.

In "Metropolitan Dayton" Whalen indicated his commitment to specific development when he said:

20John J. Makay and Beverly A. Gaw, Personal and Interpersonal Communication Dialogue with the Self and with Others (Columbus: Charles E. Merrill Publishing Company, 1974), p. 144. 81

There exists another dimension to this expansion- deterance dilemma. Each year our existing facilities grow older and become less efficient. Frigidaire's initial Moraine City plant, for instance was constructed in 1926. The Taylor Street buildings were erected 1921. Wright aircraft were assembled in 1910 in Inland's West Third Street buildings. Delco's East First Street complex was begun in 1912 with later additions in 1916 and 1923. Chrysler Airtemp occupies units built in 1934.21

A similar idea appeared in "Foreign Trade and American Jobs" when Whalen said:

As already noted, imports do eliminate domestic jobs. Nevertheless, the question remains; Did imports contribute significantly to the 1970-72 level of unemployment? In the study to which I previously referred, Professor Lawrence Krause concluded that between the first Quarter, 1970, and the first quarter, 1971, very little of our unemployment was related to international trade. Professor Krause observed: "If unemployment had increased only because of trade dislocation, the unemployment rate would have risen from 4.16 to only 4.18 percent at the end, rather than to the actual 5.93 percent."

Recent employment statistics reinforce this conclusion. Our nation in 1971 and 1972 sustained, respectively, trade deficits of $2,014 billion and $6,347 billion. Yet during these same twenty-four months total civilian employment (seasonally adjusted rose 3,782,000) from 83,485,000 as of December 31, 1972). Also, during this two-year period unemployment declined 571,000 (from 5,058,000 at the end of 1970 to 4,487,000 by December 31, 1972).

If foreign trade is not the culprit, what caused rising joblessness during 1970 and 1971? Actually it is attributable to the inflationary crunch of the late 1960's. As prices rose in 1966, 1967, 1968, and 1969, the buying power of a growing number of segments of the economy declined.22

21Whalen, "Metropolitan Dayton."

22Whalen, "Foreign Trade and American Jobs." 82

ibid in the speech "Special Revenue Sharing" Whalen offered a similar

pattern of specificity.

How will impoundment and Special Revenue Sharing affect the Greater Dayton Area?

First, according to my analysis, political subdivisions dn the Third Congressional District stand to lose $35,993,424 in federal funds between now and June 30, 1974. If the 2.5 economic "multiplier" effect is also computed, the true loss to the District is approximately $89,983,560.

Second and more important, this monetary loss, if it materializes will result in the termination of mean­ ingful education, health, and housing, environmental, manpower training, and antipoverty projects in the Greater Dayton Area.23

If one judges as a major component of sincerity the presentation of

specific information for the sharing of serious ideas and earnest

discussion, then Whalen is viewed as seeming to have spoken with sincere involvement in the speeches reviewed in this study. The use of detailed,

serious and specific material in speeches comes only from committing

oneself, or one’s speech writing assistants, to careful research, analysis, and discussion of topics. Specificity does not occur without planned effort. When following the course of carefully researching, analyzing and discussing a topic, one commits himself to opening his views to public view for potential or real attack by those who disagree with the view. A commitment to the studied speech style that Whalen

-used entailed risks, as well as creating the impression that he

-seriously involved himself with significant concerns. Whether this effort

•23Whalen, "Special Revenue Sharing." 83

of Whalen's was totally altruistic in motivation or partially stimulated

by political expediency cannot be fully determined. The motivation may not be essential, if the information was an accurate reflection of his view, and if the audience did preceive his involvement as sincere.

Whalen's speeches behaviorally demonstrated sincere involvement.

Involved with showing sincerity is demonstrating honesty. A

speaker's sincerity will be questioned if his information appears

to be an inaccurate representation of his views and values. For if he does not show his views and values, he is dishonest. The statistical information in Whalen's speeches was accurately reported, and they seemed

to accurately reflect the economic interest held by Whalen. Whalen was an economist who thought in an economic perspective; the examples illutrated that. The statistical numbers were accurately reported, but the interpretation put on that information by others could easily have varied from Whalen's. Variance in interpretation does not indicate dishonesty. Difference in interpretation indicates difference of opinion. Those who interpret information differently from someone who communicates sincerely and honestly has the opportunity to approach the discussion of those differences. A listener to a speaker lacking such sincerity or honesty has less chance for discourse.

The speeches "Student Unrest" and "Environmental Quality" followed the same pattern of detailed development. The ideas in these speeches were not as centered in Whalen's expertise, but even though the informa­ tion was a bit less specific, the same manner of development existed.

In the first three speeches Whalen relied on demonstrating his sincerity and honesty with fairly unquestionable facts. In the other speeches he 84 relied largely on allowing his analysis to openly demonstrate his values.

In the last two mentioned speeches the emphasis for showing sincerity and honesty shifted to the sharing of Whalen's interpretation of details.

In the speech "Student Unrest" Whalen may be challenged on his analysis of the 1969 student movement as being trite, using the cliched explanations or being superficial when he made the following remarks:

Our nation's universities now are the one nongovernmental institution whose authoritarian structure has undergone little or no change. Relationships between administration and faculty, administration and student, faculty and student, are much the same today as they were two centuries ago.

Student's needs frequently are subrogated by professors who must adhere to the doctrine of "publish or perish." The quality of undergraduate instruction sometimes is sacrificed on the altar of prestige seeking graduate programs.

Curricula are developed with little consideration of the requirements of those whom courses of instruction are intended to benefit. A college education is the only commodity in the market place whose buyers pay $12,000 and has absolutely no voice in what he is to receive.24

He was giving his views as a former professor who had undoubtedly encountered some of the "autocratic rule" students were against.

Whalen's experience, interpretation and value bias were openly committed to the audience's awareness. Those who disagreed could easily challenge him, for he told them exactly what his views were.

"Environmental Quality" was a non-technical speech where Whalen argued for taking a national perspective when working for ecological

24Whalen, "Student Unrest." renewal. Whalen built the speech on the premise that accumulating information indicated a damaged environment and a damaged economy. He said:

It is what I term the "social cost." Herein lies the problem. The unmet "social cost" reflects the damage and destruction to our environment generated by the production and utilization of our nation's goods and services. The industrialization of our society has polluted our air, dirtied our water, and disrupted the ecological system of the nation and the world. Now that we recognize our negligence, we must begin to meet these past social costs and to prepare to accept the expenses we can anticipate in the future.25

Consistently in the speech Whalen stated his valuing of the environment. Even in Whalen's interpretation of the issue, which was shared by many others, there was a chance for difference in interpre­ tation. A difference in interpretation did not seem to detract from his sincerity and honesty. The open sharing of one's views with a definite sense of concern is often what directs sincerity and honesty. A comparison of Whalen's speeches with the criteria offered for rhetorical analysis of sincere and honest discourse strongly suggests that Whalen's speeches were both sincere and honest expressions to his audience.

Sincerity and honesty in the speaker's discourse includes involvement with the topic and audience. Whalen's speeches showed involvement with the topic and personal statements about his views of the topic. Whalen's speeches seemed to show Whalen meeting the criteria of sincerity and honesty. Being a sincere and honest speaker does not mean others will

25Whalen, "Environmental Quality." 86 share your opinions, but sincerity and honesty does seem to allow

discourse to occur when disagreement arises. With an insincere and

dishonest speaker this would be nearly impossible.

Issues and Values

A necessary part of a political figure’s job is the expectation

that he will deal with significant issues and values. If the politician fails to openly deal with issues and values, he can be thought, by his audience, to be shirking his responsibility. If he does risk openly communicating about and dealing with issues and values, he accepts the risk that his views and actions may well stimulate disagreement and controversy. When value interpretations vary, controversy may arise, but from a dialogic viewpoint, taking that risk is important. Communi­ cation may be open when the risk is taken to deal with issues and values.26 When speaking Whalen seemed to consistently be willing to take the risk to openly deal with issues and values.

Each of the five speeches dealt with a specific national interest at the time of the speech. None seemed light, humorous, or vague to this critic. Whalen's speaking confronted issues squarely, and there did not seem to be instances where issues were not taken seriously. In viewing any illustration about how Whalen approached the issues, one must remember Whalen was a former collegiate debater. Debate style generally is to immediately outline the position on the topic and the direction the analysis is to take. The first portion of his speech

26Makay and Gaw, p. 144. 87 "Student Unrest" showed the issue he dealt with. Whalen started the speech by saying:

If a national survey were conducted, I am certain that "campus unrest" would be identified as the theme most often used in 1969 Commencement addresses. This was President Nixon's topic as he addressed graduates of General Beadle State College this past Tuesday. Ohio Senator William Saxbe, Speaking last week at Capital University's commencement exercises also chose this subject.

The dilemma confronting university administrators and faculties throughout the United States is of special concern to me.

First, fourteen years of my life have been devoted to educating college student. In fact, I still retain ray affiliation with the University of Dayton, having been granted an official leave of absence as Professor of Economics while serving in my present position in Washington.

Second, as a Member of Congress, I am the recipient of many constituent letters urging federal action to halt campus disturbances.

In view of these circumstances, I would like to "join the crowd," as it were, and take this opportunity to share with you my views concerning the subject of student-scholastic relations.27

In the speech on pollution Whalen more succinctly indicated his interest in the topic and how he was going to deal with it. He said:

Since I am not a scientist or a chemist, I will not comment on the merits of the proposed regulation in front of you. Rather as an economist and legislator, I would like to take just a few moments to place the discussion which will follow in the context of the overall problem of pollution abatement.28

27Whalen, "Student Unrest."

28Whalen, "Environmental Quality." 88

When speaking to elected Dayton officials, Whalen more casually spent the early portion of the speech chatting about Dayton and its heritage, and he then turned his attention to dealing with suggestions he had for overcoming Dayton's economic malaise.

Can the Metropolitan Dayton Area undergo a renaissance? I believe that it can. There is no magic formula, however. The key to rejuvenation is the same as that which elevated us to greatness during the past half century - namely, the people of our area.

Revitalization must begin with an appraisal of Metropolitan Dayton’s assets - actual and potential - and its limitations. From this assessment realistic objectives can be established. Only in this way can we define and attain the kind of an area we want for ourselves and our families.zy

Once that issue was stated and the key concepts indicated, he moved ahead rapidly to develop an analysis of the problem.

The most specific and debate characteristic statements of how he would deal with the topic occurred in the speech on foreign trade.

Whalen forthrightly stated:

The following analysis will focus on the last issue: namely, what effect has the United States' foreign trade had on jobs? Specifically, has it created jobs? Has it cost jobs ? What is the overall result in terms of total jobs? 3 u

In the five speeches, Whalen seemed clearly predisposed to offering a specific statement of what his topic was and what about the topic he would be exploring in the speech. Specific initial summaries serve to

29Whalen, "Metropolitan Dayton."

3®Whalen, "Foreign Trade and American Jobs." 89 commit a speaker to speaking to the issues; initial summaries indicate

to all present what the speaker intends to do. Whalen took the task of

stating what he would speak about early in each speech. Indicating early

in a speech that an issue will be specifically dealt with, does not

suffice in giving that discussion. A critic seeks to find the analysis

following in the speech. Whalen's speeches must be evaluated to establish if he did follow through with specific analysis of the topics as stated he would do.

In all five speeches Whalen did seem to provide a detailed analysis of major issues. Since issue analysis demands a large portion of speech

content, only one example will be given to illustrate how Whalen typically presented his analysis of issues. The example came from the speech with

the most extensive development of issue discussion. In "Foreign Trade and American Jobs" Whalen followed up on his initial summary question about what cost America jobs by saying:

Macroeconomists (those who study aggregates) tend to ignore microeconomic considerations. Thus, many who argue that tariffs, quotas, and other protective measures harm the total economy, fail to consider the plight of those individuals who might be adversely affected by foreign imports or by investment of American capital abroad. In so doing, these scholars fail to provide a constructive alternative to protectionism.

Indeed, there is substantial evidence that certain individual jobs have been eliminated by imports and foreign investment. Recently a distinguished Brookings Institution economist, Lawrence Krause, undertook a detailed study to measure the effects of foreign trade upon our society. As noted in the November, 1971, issue of FORTUNE MAGAZINE, Professor Krause concluded that "... the rise in imports and the decline in certain categories of exports wiped out 182,200 jobs" between the first quarter, 1970, and the first quarter, 1971 (I will touch upon Mr. Krause's other observations later). 90 The ramifications of this revelation were made clear to me in a very personal way. In 1968, a Dayton firm (in my Congres­ sional District) producing printing machinery employed 655 persons. In that year its product was unchallenged in our country and had little competition abroad. Today two foreign- owned, Italian-based companies have captured almost all of the European market formerly dominated by the Dayton organization. The Italian producers also have made inroads domestically, now accounting for fifty percent of the printing machinery sales in the United States. To combat this competition, the Dayton company has shifted much of its production abroad. As a result, by mid-1972 employment in the Dayton factory had dropped to 185, a loss of 470 jobs in four years. The remaining positions soon will disappear when the firm ceases its Dayton operations.31

This speech, which dealt with trade and jobs, typifies all of Whalen's

speaking more thoroughly than the other four speeches delivered in

Dayton. What "Foreign Trade and American Jobs" indicated for Whalen's

speaking was that he seriously sought to deal with the issues, as evident

in his analysis. The evidence presented seems to show that Whalen did discuss issues in a specific manner characteristic of a dialogic speaker.

Characteristically, speeches by Whalen seem to consistently show thorough

issue analysis.

Whalen's speeches, similar to any speaker who clearly states his stand on issues, indicated his biases and values about the topic. That fact is acceptable as long as differing values or biases are not berated.

Without berating other's biases and values Whalen explained the views in his speeches. In the speech on students he used an ongoing analogy comparing the student movement to the labor movement. Whalen stated:

We may deplore the violence which sometimes accompanies student protests, much as labor union members were excoriated fifty years ago.

31Ibid. 91

Student action may be supressed by armed forces just as union members were clubbed into submission a half century ago.

Federal funds may be withheld from students just as several decades ago employees were fired without recourse, for their union activities.

In the face of all this, however, two facts stand out. First, suppression will not cure our college ills.

Second, campus peace will be restored only when attention is focused on the causes of current disorders rather than on the disorders themselves.32

Daytonians having a different philosophical view than Whalen could have felt his value analysis of the situation as wrong. The question was not whether he had agreement from the audience, but whether he took the initiative to openly discuss his analysis of the topic.

Whalen's comments may have deserved questioning about whether qualities of the protesting student movement did match the character­ istics of the labor movement. Whalen's commitment to discussing the issue and his interpretation was a clear value expression for others to decide if they wished to accept, reject or question his analysis.

A similar type of disagreement in interpretation could have been held toward statements made by Whalen about national pollution standards.

Whalen stated:

I believe the establishment of national standards is imperative. If they are not promulgated, pollution havens will be created throughout the country. By that I simply mean that if, for example, standards here in the Dayton area are more restrictive than those in Columbus, there would always be the inclination for industry to locate or

32Whalen, "Student Unrest." 92 move there where standards are lower. The only way to prevent this situation is standardization on a national scale.33

At the time of the speech most Americans would have agreed with Whalen

in his ecological stand; however, some could have held different eco­

logical values from him. Those who disagreed might have felt ecological

control too expensive or blocking of their expedient goals. With Whalen,

though, they could disagree, for he had stated where his value orienta­

tion was. Whalen responsibly showed his views on the issues. Clearly

stating a value orientation opens the gate to an opportunity for discourse between yourself and either those agreeing or disagreeing with you.

Whalen’s explaining and analyzing of issues demonstrated his meeting the criterion for dealing with issues and values openly.

Whalen used in the speeches a serious discussion of issues and the values; he established the issues and verified why he took the stand on the issues he chose to analyze. From the evidence presented, Whalen seemed to fully meet issues and deal with the values with which they were involved.

Positive Attitude

Presenting a positive attitude toward an audience places a great deal of responsibility on the speaker to meet his part of the task for establishing dialogic communication. By the verbal, nonverbal and written actions of the communicating parties, they demonstrate whether

33Whalen, "Environmental Quality." 93 they enjoy and benefit from the communication exchange between each other. When an attitude of positive regard occurs there is a willing­ ness to accept an exchange of views, so that greater understanding and learning may be achieved. A positive attitude toward the audience and speaking situation greatly aids in keeping the communication situation functioning in an intact form.34

As indicated in the previous section of this chapter, Whalen presented speeches which were serious, analytical, task directed and businesslike in speaking style. Consequently, due to the analytical nature of Whalen's speeches few instances explicitly stating positive regard occurred.

In the two speeches "Foreign Trade and American Jobs" and "Student

Unrest" only implicit comments indicated a positive value toward the audience. Whalen did not state any type of regard in these speeches, negative or positive. Neither the dialogic criteria for positive attitude was met, nor the monological criteria for negative attitude.

Whalen in no way attacked the worth of those in the audience. What seemed to be functioning for Whalen, was that he expected the audience to take the impetus for figuring out that they were regarded positively.

The content indicated an implicit regard, but nothing was stated. The verbal statements in these two speeches seemed to indicate that the

Congressman felt the facts and issues were strong enough for an audience, which he perceived as intelligent, to follow to agreement with him. The audience seemed to be expected to figure out that they were regarded

31*Makay and Gaw, P. 143. 94

positively. These two speeches were dispassionate rather than in any

way showing negative or positive regard.

There was only a brief reference in "Environmental Quality" which

showed positive regard. Whalen stated:

I hope that my comments with respect to national standards will not discourage you or make your task here perhaps appear unnecessary. To the contrary, your meeting today fosters the citizen involvement which is so necessary to the solution of our pollution problem. Second, the standard formulated as a result of this and similar sessions will serve as the foundation upon which federal criteria can be established.35

Those comments failed to do much more than recognize the audience, but

the statements were a rather uncharacteristic moment for Whalen.

The critic's discussion so far is not intended to imply that Whalen never made explicit comments stating that he hoped to gain enjoyment and

benefits from the discoursive exchange. What was found was that comments

indicating a positive attitude did not characteristically typify Whalen's

speaking. Two of the speeches used extensive comments showing a positive

attitude toward Daytonians. Whalen partially diverged from the discus­

sion of the issues in these speeches to praise and build rapport with

the audience. Of the five speeches "Metropolitan Dayton" included the

greatest quantity of statements of positive regard. Whalen indicated:

If it is true that "a person is judged by the company he keeps," I am in good standing as a Member of Congress. I say this because the Dayton area is held in such high

35Whalen, "Environmental Quality." 95

esteem by my colleagues and by those in the Executive Branch with whom I deal. . . .

One of my good friends on ’’the other side of the aisle," Representative Edward Boland of Springfield, Massachusetts, ran unopposed in 1960. He therefore spent the fall of that year campaigning in Ohio for his fellow Bay Stater, John F. Kennedy. Of all of the Ohio cities he visited, Eddie was impressed most with Dayton. On numerous occasions he has mentioned to me that Dayton's many visible assets could have sprung only from effective, long-range planning. . . .

Before proceeding further, I want it understood that the foregoing thoughts do not represent a firm porposal, or a definite plan of action by Robert R. Nathan Associations, Inc. I present these ideas to you this afternoon merely as a starting point— a basis for further dialogue. . . .

As we commence our discussion, I suggest that we consider two questions.

First, is the development and implementation of a plan of action to assure the continuing viability of the Metropolitan Dayton Area worthy of further study?

Second, if so, would it be desirable for us, the elected officials of the area, to consitute ourselves an Ad Hoc Committee to investigate the feasibility of such an effort?35

The comments in this speech showed so much praise, valuing and a desire for sharing of ideas with the audience that there was little doubt of his feelings toward the audience. This type of development was not characteristic of Whalen speaking. Positive regard did exist in one of the other five speeches, but not as extensively as in the one about the Dayton metropolitan area. In "Special Revenue Sharing" Whalen stated explicitly his positive attitude to the audience:

Through the years the Chamber of Commerce, of which I am proud to be a member has achieved an admirable record

35Whalen, "Metropolitan Dayton." 96 in promoting a "better Dayton area." I was delighted to read the recent announcement that the Chamber intends to expand its efforts in this direction.37

Positive and complimentary statements of the above type serve to solidify the feelings of closeness between the speaker and audience. The solidification was a task Whalen tended to overlook.

Hr. Whalen was not disposed to making statements which demonstrated personal feeling and regard, especially with audiences he did not know.

He was not in any case monologic, using behavior to dazzle, manipulate, coerce or in any other way put his audience in an undesirable position, but he was at best dispassionate in attitude in many instances.

Interestingly the phenomenon of most note was the more he needed to establish a positive attitude by using explicit statements the less he did.

Whalen may have harmed his speaking rapport with his audience in the speeches when he failed to indicate the dialogic condition of a positive attitude. Without Whalen's expression of regard the audience was kept in a state of not knowing how they were accepted and perceived by. the speaker. The value in stating positive attitude toward the audience is that their own worth is validated and the fact that they may have some information to contribute to the communication discourse. If the audience members feel their input is not valued the opportunity for communication exchange is lessened. When the opportunity for communi­ cation is possibly lessened, communication is strained and possibly

37Whalen, "Special Revenue Sharing." 97 disrupted. Under conditions of strain neither party has a chance to maximize enjoyment or benefit from the communication situation.

Respect and Trust

Due to the formality of the situation, mutual respect and trust is not easily demonstrated in a public speaking setting. Respect implies a liking and an appreciative caring for another person, as well as the willingness to show the liking and appreciation through one's message.

Trust indicates a willingness to rely on the understanding and goodwill of another without fearing the other's taking unfair advantage. When respect and trust do not function mutually, one side of the communication begins to feel unsure and unsafe in their communication with the other party. Since the lack of respect and trust threatens the existence of communication, respect and trust are an important dialogic condition.38

All but one of the speeches being evaluated presented instances where respect and trust were explicitly stated. The speech which lacked an obvious explicit passage demonstrating respect and trust, "Foreign

Trade and American Jobs," showed respect for and trust of the audience implicitly the Congressman treated the audience to a long, involved and complicated analysis of the effect(s) of foreign production on domestic markets. However, there was not a personalized statement in the speech which overtly indicated respect and trust. In an unclear manner,

Whalen hinted at respect and trust.

38Makay and Gaw, P. 138-9. 98

Only one short part in the speeches on campus disorder and about pollution standards stated Whalen’s respect and trust for the audience.

In the short respectful and trusting part of Whalen's commencement address Whalen spoke to the seniors in the laudatory commencement style.

He said:

Successful completion of four years of high school indicates that you have learned to think, that you have acquired certain skills, that you have the ability to respond to test which periodically confront you. Therefore, to the college or university to which you apply, or to your respective employer, your diploma means that you are prepared to succeed. I underscore the word "prepared." Your diploma, of itself, does not guarantee success. Achievement in your life's endeavors comes only through diligent application of skills acquired and principles learned. What I am recommending, in other words is hard work— or, more precisely, hard work intelligently directed.39

The speech ended by wishing the graduates luck, success and a sense of hope for the future. This one portion was the only personalized portion of the speech; this one portion was done in the style expected of commencement oratory. Demonstrating consistent use of respect and trust is standard and expected procedure in commencment address. Whalen did state respect and trust, but to a very limited degree. Hardly did this allow enough time, early enough, to create feelings of mutual respect and trust.

The speech "Environmental Quality" also revealed feelings of respect and trust. But this demonstration of respect and trust, similar to the

39Whalen, "Student Unrest." 99 previous speech, did not materialize until near the end of the speech.

Whalen’s endeavor at stating respect and trust said:

I hope that my comments with respect to national standards will not discourage you or make your task here perhaps appear unnecesary. To the contrary, your meeting today fosters the citizen involvement which is so necessary to the solution of our pollution problem. Second, the standard formulated as a result of this and similar sessions will serve as the foundation upon which federal criteria can be established.^ ®

Even though specific statements of respect and trust were limited, Whalen positively indicated his belief in the Ohio Pollution Control Board’s ability to face pollution problems. There were statements used which

covertly led to feelings of a mutuality of regard and intent.

In the speech discussing the Dayton metropolitan area, Whalen presented comments openly showing respect for the abilities of

Daytonians. Whalen who belonged, cared, and knew about the city

indicated to Third District officials that:

My contacts in the Justic Department Law Enforcement Administration view the City of Dayton's police program as one of the nation’s best and most forward looking. Tangible evidence of this sentiment manifested itself in 1970. From among many applicant throughout the country, Dayton was one of three communities selected by the LEAA to serve as a "pilot city" for a comprehensive demonstration of law enforcement and criminal justice improvement.

The Department of Housing and Urban Development (HUD) in its official publications repeatedly points to Dayton’s Model Cities program as a shining example of community involvement. This attitude led HUD officials two weeks ago to designate Dayton as one of twenty participants in the administration’s new Model Cities Planned Variation undertaking.

^Whalen, "Environmental Quality." 100

Following The New York Times highly complimentary story concerning the housing plan developed by the Miami Valley Regional Planning Commission, I received numerous expressions of interest from fellow legislators. . . .

Fifty-eight years ago the Miami Valley experienced a disastrous flood. Rallying to the cry "Remember the Promises You Made in the Attic," our citizens responded to this challenge in a manner which brought great prosperity and national prominence to Metropolitan Dayton.

Today flood waters are not lapping at the second floor of Dayton Area residences. But cracks in the dike are discernible!

As I wrote you on August 3, a review of Metropolitan Dayton's future by elected area officials could prove extremely productive. It was for this reason I invited you for luncheon today. **1

These ideas point to abilities and attributes of Dayton and Daytonians which this audience of elected officials still supposedly demonstrated.

Whalen respected that fact, understood that fact and trusted in this to be their long term pattern of behavior when he commented on their abilities. The speech "Special Revenue Sharing" showed a similar willingness to indicate an appreciation of the qualities and abilities which Whalen perceived in members of the Dayton Chamber of Commerce. He indicated his respect and trust in the audience's ability in the following manner:

The officers and staff of the Dayton Area Chamber of Commerce for many years have been aware of the importance of Wright-Patterson Air Force Base and the Defense Electronic Supply Center to our local economy. . . .

^Whalen, "Metropolitan Dayton." 101

I have seen how effectively the Chamber operated in 1971 when the Foreign Technology Division at Wright- Patterson was threatened with a transfer to Florida. This move, which was forestalled through your efforts, would have reduced employment by 1,800.1+2

Those statements directed attention to a common concern, bond and relation which existed between Whalen and the audience. Statements showing respect and trust set the scene for open admiration. "Special

Revenue Sharing" and "Metropolitan Dayton" were the two speeches showing an effort to state respect and trust.

Summary

Whalen’s five speeches each responded to a rhetorical situation with an attitude characterized as being dialogic. Whalen's speeches demonstrated a sincere and honest involvement with the topic and audience. He stated his analysis and discussed the analysis in a manner showing interest and a commitment to forethought. This manner aided

Whalen in demonstrating a sincere and honest speaker involvement.

Also used by Whalen in his speaking, was a serious discussion of the issues and values involved in the topics. From the thoroughness of his issue discussion and value explanation in the speeches Whalen demonstrated that he did succeed in meeting the dialogic condition of issue and value involvement.

His meeting of the criteria asked for in the last two questions was less clear. In three of the speeches there were instances clearly

**2Whalen, "Special Revenue Sharing." 102 showing positive regard ("Environmental Quality," "Metropolitan Dayton," and "Special Revenue Sharing"), but in two there existed no specific statements indicating positive regard. In these same two speeches there was no indication at all of a dialogic attitude being replaced by a monologic attitude. Dispassionate seems the most appropriate labeling for Whalen’s non-dialogic speeches.

An attitude demonstrating respect and trust was found in four of

Whalen’s speeches. He did make comments to build a feeling of mutuality, of which respect and trust are a part, but the speech "Foreign Trade and

American Jobs," never explicitly stated respect and trust. He lacked in developing a relationship with the audience that could have further stimulated an attitude of dialogue.

Whalen's speaking was sincere, honest, and issue and value oriented without treating the audience monologically. But, although his speeches did not reveal monologic characteristics, he only occasionally used comments representing a positive regard and respect and trust for the audience. This lack of development detracted from Whalen's ability to facilitate a mutually friendly dialogic condition. The behavior did not block dialogue, but the behavior made the task at times more difficult, viewed as a whole, Whalen's speeches predominantly showed a dialogic attitude. CHAPTER FOUR

ETHICAL COMMUNICATION

Dialogue and Ethics

After the Watergate scandal ended in 1974, the country’s electorate developed a cynicism about the trustworthiness of their Washington political servants.1 In the minds of the electorate there is a general image that politicians are men out for their own gain, who use the most expedient means at the expense of the average voter they were elected to serve. This cynicism on the part of the populace seems to be based upon a negation of a fact that Thomas Nilsen claims as true. "Everyone of normal intelligence and personality structure has a sense of right and wrong for all their remembered life."2 Currently the electorate doubts this as being true of public officials. Watergate severely shook the nation’s trust in the ethics of government officials. Perhaps if officials had taken more time to show positive regard and serious effort for the electorate, the current disposition would not be clouding the image of most politicians.

lnShenanigans in Congress: Why There's No Crackdown," U.S. News and World Report, 24 May 1976, pp. 60-3; and "Keeping Politicians Straight: States Get Tough, Too," U.S. News and World Report, 24 May 1976, pp. 81-3.

2Thomas R. Nilsen, Ethics of Speech Communication, 2nd ed. (Indianapolis: Bobbs-Merrill Company, Inc., 1974), p. 11.

103 104

The image of a politician is aided, like any individual's image, by

treating his communication partner(s) with courtesy even when there is

disagreement between the parties. Nilsen further states that at the

root of ethical behavior is courtesy:

Most of our customs about courtesy, tactfulness, or good manners— what we generally call considerations— are based on respect for others, on a sense of their worth as individuals and their equality with us. Further, the fact that we expect similar courtesies in all human interaction emphasizes the fundamental dignity and equality we see in man.3

Since Nilsen claims courtesy as a value can serve as a root for ethical

behavior, when one speaks about ethical behavior, he can speak of the

operationalization of rhetorical dialogue. The similarity arises when

comparing the view of Makay and Gaw with Nilsen's explanation of ethical

behavior: Makay and Gaw indicate:

Dialogue is a process of communication which initially takes place within you and is eventually extended to another person. The communication is purposeful and truth-seeking, open and honest, but nonmanipulative and not imposing. The person with whom you are communi­ cating shares in this view of communication so that both reach out to join each other in a communion of meaning to bring about mutual understanding or a solution to a problem.^

Since dialogue stresses the purposeful, truthful seeking of communica­

tion between participants, as does Nilsen's explanation of ethical

3Ibid., p. 13.

\john J. Makay and Beverly A. Gaw, Personal and Interpersonal Communication Dialogue with the Self and with Others (Columbus: Charles E. Merrill Publishing Company, 1975), p. 123. 105 communication, a similarity exists between dialogic and ethical communication. The interdependence between dialogic and ethical communication established the need to answer the questions: (1) has the Congressman's communication in Dayton demonstrated a continuous dialogic attitude and (2) may Congressman Whalen's communication be judged ethical?

Dialogue

As indicated earlier, dialogue is a powerful aid in establishing mutuality between a speaker and listener. For this reason, a question about dialogue asks whether Congressman Whalen's speaking revealed a valuing of the inherent existing worth in the constituent audience. If that valuing existed, then the electorate was not viewed as instruments to be used or obstacles to be overcome. The continuous dialogic attitude, when found, builds mutual understanding in the rhetorical relationship.

Much effort was expended to find what importance, in word and action, Whalen's philosophy of communication had for him. The opposi­ tion, past and present volunteers, paid staff and Mr. Whalen were all questioned by the researcher about Whalen's pattern of communication. In each case the answer came back the same: "Whalen worked at commu­ nication, and he tried to do an excellent job of keeping his public informed and dealing with the problems of his consituency." Even the in-party opposition complimented his communication and service to the district while firmly stating their opposition to his liberal 106

Republican style. Mary Bradstreet, an Oakwoodite, who opposed Whalen's liberal maverick Republicanism stated:

Mr. Whalen runs an excellent office when it comes to answering questions, and solving problems. As far as mechanics go he does an excellent job.5

His 1966 and 1968 campaign manager attorney Charles Ross commented on

Whalen's communication and service to the district in much the same way as the opposition and staff did. Mr. Ross said:

You will not find a better congressman when it comes to dealing with constituents. He services them, and he takes care of his people.6

Since Whalen's staff actually forwarded much of the communication coming from the office, they were glowing about Whalen's communication effort. Taken as a whole, the staff indicated Whalen was open and accessible to communication.7 Comments from two staff members, executive assistant William Steponkus and district secretary Wanda

Wiedman, indicated that the openness and responsiveness characterized

Whalen's communication to the electorate over the years.® Mr. Steponkus

5Mary Bradstreet, Interview with Republican campaign chairman for Whalen's 1976 primary election opponent, Dayton, Ohio, June 1976.

6Charles Ross, Interview with Charles W. Whalen, Jr.'s 1966 and 1968 campaign chairman, Dayton, Ohio, June 1976.

7Robert A. Bailey, Andrea M. Bakanauska, Stephen D. Blackistone, Paul W. Breen, JoAnn Clayton, Colette A. Cullen, George M. Lowry, Sue Pementel, Martin S. Rendon, Beverly A. Starks, William P. Steponkus, and Wanda Wiedman.

®The research recognizes Steponkus and Wiedman are partisan sources, and this is taken into account. 107 stated: "No matter what the information, if we can get access to it the public is welcome to the same information."9 Mrs. Wiedman indicated:

"People recognize and respond to Mr. Whalen, because he is so open."

She continued saying: "Comments saying I wrote him, and I got an answer right away, constantly occur."10

From both the opposition and staff there was agreement that Whalen has continually tried over the years to communicate clearly with his electorate. Whalen, himself, consistently stated the same thing. In a 1971 speech for example he declared:

Communication is the essential ingredient of representative government. This communication must be a two-way street. First, the citizen must convey his view to his elected official. Second, each legislator should be obliged to reveal, and explain, to his constituents his votes on current issues.11

His communication philosophy did not alter with the passing of time.

For instance he recently commented:

This has almost become a platitude for me. The essence of representative government is communication; and it is a two-way street. I have got to know what people's problems are, and what their views are. By the same token they have to hear from me. So, we have essentially stuck with that.

9William Steponkus, Interview with Executive Assistant to Congress­ man Charles W. Whalen, Jr., Washington D. C., March 1976.

10Wanda Wiedman, Interview with District Secretary to Congressman Charles W. Whalen, Jr., Dayton, Ohio, June 1976.

11Charles W. Whalen, Jr., "SST," Speech given to the United States House of Representatives, Washington D. C., 23 March 1973. 108

Just by chance when I was out at WHIO, I think cutting a tape in 1966, before I want to Washington, we came up with the idea of the first Monday of every month. 12 I think it has been a great opportunity to give people a chance to call in, and for me to respond in a little more detail. Obviously, the papers cannot give you the reasons why I voted the way I did in any detail. TV cannot in twenty-five seconds, sometimes I tend to go on too long, but two or th.'ee minutes of explanation is one way of communicating.

I followed consistently these two constituent sessions a year, where people can come in. In a way we do not have to; it is a small district. They can come up here to the office. But it gives them a feeling that I can see him. Half the program is devoted to give-and-take, and the other half to questions and answers.

The newsletters we send out, I think about four times a year district wide, plus we send out the questionnaire. We have been consistent on that.

We used to send out twice a month, but we have cut back to once a month to people on a mailing list and Republican precinct people.13

The TV covers us; we are covered by the press. Of course, that is at their pleasure. One other thing, anything I do, Bill has insisted on this, it is released. The press can do it or not. I get the dickens if I sign a letter on the floor and forget to tell anybody about it. If I'm going on a trip right off we announce it, any bill I put in or agree to co-sponsor, I say it is not newsworthy, but they can have it if they want it.li+

For Whalen, open communication was not a tactic to just be pulled out and used around election time. He believed open communication was a

12"Conversation Piece" is a daily question and answer talk program.

13"Capitol Comments" is an information sheet sent to congressional district residents. li+Charles W. Whalen, Jr., Interview with Ohio's Third District Congressman, Dayton, Ohio, June 1976. 109 continuous ongoing process where thorough, straightforward, and direct

communication with the district was of paramount importance.

The constituents appreciated Whalen's open communication, but this

open communication often made Whalen's job more difficult. By being

open, Whalen allowed more room for challenging questions, disagreement

and, at times, distortion. Perhaps Whalen often had more communication

problems than those who were less open. Disagreement of this type arose

from conservative Republican party regulars. Mrs. Bradstreet indicated

that Whalen just did not listen to the conservative viewpoint.15 Since

listening is a very significant part of rhetorical dialogue the charge

is a serious one. The first step is to define listening. If one

correlates listening and agreement as synonymous, then Whalen often did not listen. If one correlates listening as being physiologically, intellectually and psychologically attuned to the thoughts of the other person, without mutual agreement being necessary, then Whalen was a listener.16 When this researcher questioned Whalen about his dealings with electorate correspondence, Whalen volunteered some useful information about his attitude toward listening to the thoughts of others. Whalen

said:

15Bradstreet.

16Larry L. Barker, Listening Behavior (Englewood Cliffs: Prentice Hall, Inc., 1971), p. 25. 110 Quite obviously with 200-300 pieces of mail coming in a day I can't sit down and read all the mail. But everything has got to be answered. And I'm hurt, I am not hurt when people disagree that's to be expected, if I hear them say I didn't hear from you. . . .

So you know much of it is inspired, but you answer them. It is often helpful; it gives an indication as to the thinking. It alerts us to things down the pike that maybe I haven't had a chance to study. Alright, let's sit down and let's get all the facts. I have some staff who will slough it off. Wait a minute give me the facts. Then I will try and make a judgment on that basis. I think we are obliged to get back to them.17

The staff, as well, seemed to feel Whalen did listen, by the discussion and actions which he engaged in with them behind the scenes.

Wanda Wiedman explained:

Contrary to what many say he does listen. It is just that he does not change his stand as they would like. He has voted on what he feels is the best course of action from careful analysis of the best facts available. He is honest and straightforward, he votes in good conscience. He will not change.-18

Whalen did seem to listen, but that act without congressional voting change failed to please dissentient constituents.

Dissent is expected between party lines in politics, but not desired within the party. For Whalen, though, the party was what often gave him

the majority of his opposition. This political difficulty between

Whalen and the party functioned on both the local and national level.

Locally, Whalen challenged the conservative Republicans who were very

i7Whalen, Interview.

-18Wiedman. Ill much philosophically in agreement with the conservative position

supported by the National Republican Party. In this case both Whalen

and the opposition agreed that the Whalen schism is first and foremost a

schism with the GOP national philosophy rather than the local party.19

When asked about this existing Republican problem, Whalen responded by

stating:

Naturally I do not like it. This is a schism that has been with the party all of this century. Theodore Roosevelt, the La Follette's, the other Republicans of my ilk— John Lindsay. I think it does raise a significant question as to whether somebody of my philosophy, has room in the party. I have argued there is, but I am not convinced of that.29

Despite opposition from within, Whalen ran in every election as a

Republican. In his first two House campaigns the conservative part of

the Montgomery County Republican Party, with constraint, supported him.

This contrasts significantly with the case nine years later. So Whalen was questioned by this researcher as to whether he was using a more politically conservative tune in 1964, 1965 and 1966 than in the

1970's. He answered:

I was known as a liberal then, but I was winning in 1964 by sixty-seven percent when everybody else was losing. It was just a disaster. I was just the heir apparent.

1 think the philosophy was here is a guy who can win. I am not sure that that is the philosophy anymore. In the last election we had ten partisan races, and we lost eight of them. I was one of the two winners. And

i9Whalen, Interview; and Bradstreet.

20Whalen, Interview. 112

much of the time has been spent trying to read me out of the party, rather than trying to win the other eight seats. That kind of thinking does not make much sense to me.21

To clarify his comments, Whalen was asked: Do you mean in 1966 a

Republican winner was sought without his voting record being seriously scrutinized?"

Yes, I was as much a maverick then, a liberal, or whatever you want to call it.22

There existed in 1966 a schism between Whalen and the regular Republican party, a schism many originally overlooked. A few did not. Mrs.

Bradstreet commented:

I knew Chuck on the Dayton Council of World Affairs before 1966, and he sounded liberal than. This caused me doubt when I worked for him in 1966, but I believed in supporting the two party system. Later I just could not follow Chuck. I do not think he has changed significantly over the years. He is just more brazen about his liberalness now.23

Whalen did not sell his views differently in 1966 and 1975: he was merely forced to deal with the Republican disagreement surrounding him.

Whalen and his people were questioned as to what he might have done differently to help improve the situation. Whalen said:

21Ibid.

22Ibid.

23Bradstreet. 113

We might have done a better communication job. I do not know.

I just do not know. Perhaps a little more personal contact. Stroke them a bit?2if

Mrs. Wiedman said:

The Congressman sometimes needs to take more time dealing with disagreements and the conservative elements of the electorate.25

And Cotton Hiesel said:

I really think if Chuck would have in 1967 and 1968 been more social and personal with the more conserva­ tive elements of the party things would never have gotten to the conditions they are now in.26

Whalen's communication attempts were somewhat dialogic, but perhaps were not extended fully and on a highly personal level to circumvent the shock that arose when Republicans found that he did not fit a conserva­ tive Republican stereotype.

Despite the fact that the maverick tendencies of Whalen displeased fellow Republicans, as a rule the opposition and supporters alike indicated that Whalen presented himself with a demeanor which was pleasant and charming.27 Except for the comments on listening and

21*Whalen, Interview.

25Wiedman.

2^Cotton Hiesel, Interview with Charles W. Whalen, Jr.'s 1976 Campaign co-chairman, Dayton, Ohio, June 1976.

27Bradstreet. 114 objectivity, the statements by one of his Dayton secretaries, Beverly

Starks, typified comments made about him in the district. Mrs. Starks said:

He is personally very effective. He is able to speak in layman's terms, so that everyone can understand him. He is objective, a tremendous listener, tremendously tactful, and effective personally.28

Whalen's manner of interpersonal interaction has continuously been respectful in manner toward those he encountered.

Another challenge Whalen must meet to engage in rhetorical dialogue is that of demonstrating a serious, factual, truthful discussion of significant issues. He appeared to be a man who consistently spoke with directness and specificity. His letters (presented in appendix C) indicated a factual inclination, as did his speeches (see appendix D).

To further illustrate the level of factualness and intellect from which he spoke, three rhetorical excerpts are presented as representative examples. These excerpts were selected as representative after the researcher had listened to Whalen speak on two dozen occasions; had read all available Whalen newspaper articles, position papers, news releases, speeches, "Capital Comments," "Washington Reports"; and had listened to all still existing tapes of "Conversation Piece." After careful review of all this information, this researcher found that as a rule when Whalen carried on discourse, he used detailed and statistical information to share his ideas seriously with those willing to listen

28Beverly Starks, Interview with Secretary to Congressman Charles W. Whalen, Jr., Dayton, Ohio, June 1976. 115 or read his view. Whalen involved himself with issues in a serious specific manner. Additionally, since he was an economist, he often spoke about topics from an economic perspective. Since not all issues were centrally concerned with economics, Whalen varied from the economic approach at times. In seeking to match the above characteristics of

Whalen's rhetoric, the following three excerpts seemed to be representa­ tive of Whalen's manner of dealing with issues. Each came from a different period in his tenure of office. The difference in time was important to demonstrate that Whalen consistently presented his rhetoric in a similar manner. In 1967 Whalen commented about prosecuting organized crime:

4. The number of man days in court by personnel of the Organized Crime and Racketeering Section of the Justice Department has decreased by over 56% since 1964. (During the same period FBI reports show that the national crime rate has increased by over 22%.) The efforts to secure convictions rose steadily under the Kennedy Administration to a high-point of 1364 man days in court by Section personnel in Fiscal 1964. The corresponding figure for Fiscal 1966 was 606 man days in court. And the trend continued downward further in the first eight months of Fiscal 1967. These figures are, of course, fully consistent with the corresponding decline in man days in the field and before grand juries.29

In 1973 he specifically commented on the Economic Stabilization Act extension:

29Charles W. Whalen, Jr., "Study of Organized Crime and the Urban Poor," Speech given to the United States House of Representative, Washington D. C., 29 August 1967. 116 In retrospect it is clear that the administration of wage-price controls during the past 19 months has fostered two serious problems.

First, the decision to maintain a limited operation staff has placed the program beyond the reach of the average citizen. Inquiries or appeals directed to Washington often receive neither an acknowledgment nor a decision. This fact again was brought to my attention yesterday when I was contacted by a member of the Amalgmated Meat Cutters and Butcher Workmen's Union. In August 1972, the Dayton local filed with the Pay Board an appeal to an Internal Revenue Service decision affecting a collective bargaining agreement with the Kroger Co. No decision was rendered. The appeal was refiled with the Cost of Living Council in January 1973. To this day no acknowledgment has been received by the Dayton local.

Two other recent instances illustrate the inaccessibility of wage-price officials. Late in February I received a communication from Mr. Robert Yates, president of Local No. 178, United Rubber, Cork, Linoleum, and Plastic Workers of America. Mr. Yates informed me that in October 1972 he forwarded a registered letter to the Pay Board appealing a denial by the Internal Revenue Service of a wage and benefits package negotiated for union members at a new plant. Mr. Yates advised me that after 4 months "I have heard nothing from the Pay Board or anyone."

Last fall the Good Samaritan Hospital of Dayton, Ohio, decided to undertake a $33 million expansion program. Bond interest was to be financed, in part, by an increase in room prices scheduled for 1975. Approval of this hike was requested of the Price Board and, later, the Cost of Living Council. Two months later, at the time the construction contract was to be awarded and the bond certificates signed, no decision has been reached. In panic, hospital representatives sought to explain their problem to the Council chairman. They were refused. Finally, after vigorous intervention by Senator Saxbe, Senator Taft, and myself, the Cost of Living Council made its determination.30

In 1975 the following was reported to have been said in Cuba:

30Charles W. Whalen, Jr., "Economic Stabilization Act Extension," Speech given to the United States House of Representatives, Washington D. C., 12 April 1973. B. PROSPECTS FOR UNITED STATES-CUBA TRADE AFTER THE EMBARGO

Alberto Betancourt, president of the Chamber of Commerce of Cuba, asked me, "What will American businessmen be willing to sell us if the embargo is lifted?" I replied, "Anything!" It should be noted, however, that post-embargo trade patterns will substantially differ from those which prevailed in the 1950's.

1. NEW PATTERNS

(a) In 1958 the United States accounted for approximately 67 percent of Cuba's foreign commerce. In that year we exported $547 million to Cuba while importing $528 million from that country. Today, Cuba has greatly expanded and diversified its trading partnerships. The United States, therefore, will not, as in the past, dominate the Cuban market.

(b) United States firms no longer will be able to invest in Cuba (one of the subjects scheduled for negotiation, in fact, is the $2 billion claim against the Castro govern­ ment for expropriated American assets— $1.8 billion privately and $200 million federally owned).

(c) Americans will not be selling in an open market. Instead of calling upon end-users, our salesmen will have to deal with representatives of the various trading enterprises which operate under the direction of the Ministry of Foreign Trade. For tips on how to do business in Cuba, interested parties should consult with those U.S. firms presently dealing with Eastern European socialist states.

(d) There is little prospect for immediate extension of long-term credits to Cuba by the United States.

(1) Cuba already has heavily mortgaged itself abroad.

(2) Section 402 of the Trade Act of 1974, which applies to non-market economies, will limit federally financed credits until Cuba's emigration policies satisfy the President and the Congress.

Undoubtedly, these reasons prompted Fidel Castro to remark to me: "We prefer to trade on an equal basis." 118

In the light of these facts, what kind of exchange can be expected between the United States and Cuba?31

From these examples and careful scrutiny of his speeches one can arrive at the conclusion that Whalen very thoroughly and factually prepared his content for rhetorical dialogue. Consistently Whalen seemed to rhetorically operate from a specific and factual basis.

For Whalen, handling rhetoric intelligently was what he viewed as the axis of dialogic communication. When asked to define dialogue

Congressman Whalen replied:

I think a dialogue is an intelligent and I underline the work intelligent, exchange of views, ideas, facts, and so forth. And I think the nature of this job, the nature of our society today [sic], I think there is a great absence of dialogue.

I am very concerned, maybe I am giving myself too much credit. Again, how do I picture myself, as a guy who tries to study the facts and issues and make a decision based on those. I think there is too much today that is the easy, the demogogic answer. Now people do not want to listen. There are a lot of Congressmen who are in the same boat.

There was the discussion on the Panama Canal which took up much of our time yesterday. It is unbelievable. I am just concerned that people, they do not want facts; they do not want discussion; they just want the quick easy answers. This is true of our very conservative friends and true of our very liberal friends.32

Whalen defined dialogue very similarly to Makay and Gaw, where mutually intelligent and factual discussion may occur. Over the years Whalen

31Charles W. Whalen, Jr., Cuba Study Mission (Washington: U.S. Government Printing Office, 1975), p. 5.

32Whalen, Interview. 119 both gave and sought dialogic communication with the public. From

1966-75 the evidence seemed to show that Whalen's communication was continually dialogic in nature and substance. The next step is to explore the ethical dimensions of his communication.

Ethical Dimensions

The final question of the study asks whether Whalen's communication behavior may be judged ethical. For rhetorical dialogue to be judged ethical, the rhetoric must at least illustrate the characteristics discussed to this point in the chapter, plus rhetorical communication which shows that: (1) the facts are openly and consistently presented without falsification or misrepresentation; (2) the audience is informed by both language and behavior of the beliefs honestly held and (3) the situation is not used for the communicator's own gain at the expense of ideals or other's goods.33 If Whalen meets the criteria establishing communication behavior as ethical, he will be evaluated as an ethical communicator.

Most district residents probably did not fault Whalen on his ethicalness because he was recognized as clear, factual, honest and fair by most.34 Rarely was a disparaging remark about his personal demeanor made, even from those who emphatically disagreed with him.

33Robert T. Oliver, The Psychology of Persuasive Speech, 2nd ed. (New York: Longman Green, 1957), pp. 20-34.

34Ross. 120

When the top two Dayton staff persons, Wanda Wiedman and Beverly Starks, were asked about Whalen’s ethical behavior, they both emphatically indicated he was beyond reproach. Mrs. Wiedman said: "He is fair and honest beyond a doubt."33 Mrs. Starks just as emphatically stated:

"He is not inaccurate or manipulative in fulfilling his office obliga­ tions; absolutely not."36 Both women expressed respect and valuing of the Congressman and the fairness with which his office operated. Both women were very outspoken individuals, which was an impression formed by this researcher over a four year period. If they questioned Whalen’s ethical behavior, they would openly have said so.

When asked if he had an ethical philosophy directing his behavior

Whalen stated, "yes," he did. He offered a guideline for his ethical behavior:

Well, I think obviously honesty. Honesty in communication. I have always been annoyed, or I know I would be as a citizen, if I wrote to an officeholder. I hope you will vote for or against an issue, and I did not receive a response I think you ought to tell them why you are for or against it. I think they are entitled to know. That entails some risks, so I think you have to be honest in your communica­ tion. . . . If somebody is against it, you may cushion it with all the reasons, but they deserve the facts.37

Ethics generally was imputed to be an important defining characteristic of Whalen’s interaction. But on occasion his ethical behavior was

35Wiedman.

36Starks.

37Whalen, Interview. 121 questioned. Therefore, we can examine and evaluate several cases the researcher uncovered.

One question of Whalen's ethicalness focused around his using different campaign literature in different portions of the district.

After careful search only one example from 1966 was located, where information varied slightly in different portions of the city. In 1966 many of Whalen's broadcast advertisements made mention of a few of his

Ohio legislative actions. However, in the commercials broadcast over stations with a broad listening audience (WHIO, WING and WAVI) he did not announce his blueprinting of the Ohio Fair Housing Bill. On WDAO, the radio station geared to almost exclusively a black audience, the

Fair Housing Bill was consistently mentioned. The commercial below, reproduced in the form in which it came from Kirscher, Helton and

Collette's advertising agency illustrates this fact. The political commercial read:

(TO BE TAPED)

VOICE QUIET, NO BOMBAST ... AUTHORITY

ANNCR: Ladies and gentlemen, our Third Congressional District is lucky this year ... we can send a man to Washington who will represent each of us, regardless of party or position! His name is Chuck Whalen! Consider just a few of his credentials! He already has one of the most important attributes in politics— practical experience! Twelve years in the Ohio Legislature, the last six as your senator! He understands business because he's a businessman ... as well as a Professor of Economics at U.D. An outstanding educational background plus hard practical knowledge! His concern for the public is reflected in his legislative record ... authored (first Fair Housing Bill in Ohio) ... the Community College Act ... Wright State University ... and the Highway Bond Issue! Today he is committed to 122

the fight against government spending, against Congressional "me-tooism" and pledged to help make your paycheck retain its value! On November 8 ... elect Chuck Whalen to Congress!3®

This sort of advertisement did not read in tone any differently from

the ones on WHIO, WING or WAVI, but only occasionally was fair housing

mentioned on the other stations.

To gain further information and to evaluate the ethicalness of

this act the Congressman was specifically asked whether there were any ethical qualms over this practice. Whalen responded:

No, you select your audience where something like that is of greater interest. You know WDAO is beamed to the West Dayton group, and they were the ones primarily concerned. You know in communicating you have to select the things your audience is interested in.3®

This response did not settle the researcher’s doubts that some unethical

intent may be implied by this action. The question of whether this was merely a case of audience analysis or a definite manipulative act

remained. If a manipulative act, the intent was a ploy to keep this

information from the non-black electorate. Whalen was asked did you

deny, in any way, your part in blueprinting Ohio's first Fair Housing

Bill in any other parts of the city? Whalen answered:

38Advertisement, "Electing Chuck," WDAO, Dayton, Ohio, September 1966.

39Whalen, Interview. 123

Oh no. You cannot. You have got to give the same speech in all parts of "he city.

You say it in the letters as well.1*0

Still not completely satisfied with Whalen's response, newspapers from

1964-66 were therefore checked to see if Whalen's part in the Fair

Housing Bill was being thoroughly and accurately reported. Whalen really did not need to stress his part in the Fair Housing legislation because the newspapers had for months been reporting his part in the Fair

Housing Bill's passage.41 Under those conditions, where the information was consistently and thoroughly presented in the public domain, the information was not being hidden; this was merely a case of audience analysis.

A question of honesty dealt with Whalen's acceptance, collection, and expenditure of campaign funds. In each of the campaigns the records indicated a clear delineation, according to the law, where the money came from and how the money was spent. Some critics might question the fact that Whalen spent money from men connected with business in the first elections. That the money came from conservative Republican businessmen was true, but the donations were personal ones and not corporate ones. Any corporate donation was returned uncashed. Still

40Ibid.

41Robert Burdock, "Ohio Senate Okays Fair Housing Bill," Citizen Journal, 17 June 1965, p. 1; "An Issue or a Law," Toledo Blade, 6 June 1965, p. 16; Richard Zimmerman, "Fair Housing Issue in Dual Spotlight," Journal Herald, 14 June 1965, p. 13; Richard Zimmerman, "Fair Housing Campaign Bills Face Senate," Journal Herald, 15 June 1965; and Richard Zimmerman, "Ohio Senate Vetos Changes, Approves Fair Housing Bill, Dayton University Cleared," Journal Herald, 17 June 1965, p. 1. 124 many of the businessmen resented Whalen's votes for poverty programs, of which they did not approve. Obviously the donors may have been angered, but Whalen had always claimed to be his own man who would vote his own conscience. There appeared to be no hidden intention or manipulation in those transactions.1+2 Mrs. Wiedman further explained this dilemma of alienating businessmen and trying to serve the nation. She stated:

What does he do; vote for a higher minimum wage to give people an incentive to get off welfare, which Dayton businessmen do not want? Or do we leave the minimum wage low and people have no incentive to get off welfare? The Congressman follows the first course. It alienates the business community.43

Whalen tried to follow the course of action which he felt gave the greatest good for the greatest number, in the long range perspective.

In instances similar to the one above, money backers had the right to feel enraged, used and frustrated if their candidate did not follow their wishes. However, if he never specifically indicated in previous comments and behaviors that he would follow your bidding, and if he actually said he would follow his conscience, then one can hardly fault the man for being unethical, when he voted in a way that you did not approve.

A third area in which his ethicalness was questioned was in regard to his voting record and financial conflict of interest. The eight

Whalens were financially a comfortable family, with assets ranging from

**2Ross.

4+3 Wiedman. 125 approximately $800,000 to over a million dollars, depending on the given year, inflation and state of the economy.41* Mary Bradstreet and other conservative Republicans question how he could belong to the upper class economically and vote for money for the poorer segment of society.45

Since large portions of the families’ wealth came from wealthy relatives and was in large part in the names of the six children, the financial question did not seem to be a factor for not voting for poverty programs.

There just was not a conflict existing.

Mrs. Bradstreet, though, is not the only one indicating a conflict of interest. U.S. News and World Report indicated that Whalen's holdings were in the communication, drug, defense, oil or gas, power and light and real estate industries.46 However, what the news magazine did not report was: (1) a majority of the money was inherited, (2) the children held significant portions of it, (3) Whalen made full financial

44Pat Ordovensky, "Whalen Traces Wealth to Successful Relatives," Journal Herald, 3 January 1974, p. 6.

45Bradstreet.

46"Shenanigans in Congress"; Glenn Waggoner, "Whalen Lists 29 Firms in which He Holds Interest," Dayton Daily News, 8 May 1976, p. 8; and Allegheny Power Company; American Cyanid Corporation; Baltimore Gas Company; Beneficial Corporation; Cocoa Cola Corporation, Copeland Corporation; Delmarva Power and Light Company; Detroit Edison Power Company; Duke Power Company; Lionel D. Edie Capital Fund; Ex-Cell-0 Corporation, Federated Department Stores; General Telephone Company; Gulf State Utilities Companies; Hubbard Real Estate Investment Company; Indianapolis Power and Light Company; Merrill, Lynch, Fenner, and Smith Company; Middle South Utilities Company; Minnesota Mining and Manufac­ turing Company; Owen-Illinois Company; Charles Pfifer Company; Phillips Petroleum Company; South Carolina Electric and Gas Company; Steadman Fund Incorporated; Texas Utilities Incorporated; Virginia Electric Power Company; Westinghouse Corporation. 126

statements publically and (4) his voting record showed him voting by

facts on specific issues. He did not in any consistent way vote in a

manner which served to financially line his family’s pockets. The first

two of these facts U.S. News overlooked. These two facts were discussed

in the last paragraph, the final two facts are discussed below.1*7

Whalen was known for his full financial disclosure. This fact

was'reported in the media, as this excerpt from Dayton's Journal

Herald indicated:

Whalen annually makes a full financial disclosure that goes far beyond the requirements of the Ohio Ethics Law. He is the only member of the Ohio Congressional delegation to do so.1*8

A man who openly reports his worth, holdings, earnings and taxes was

probably not hiding financial conflicts of interest. For all anyone,

constituents or otherwise, needed to do was check Whalen's voting

record to find whether his financial holdings created a predisposition

to vote for his own gain. When making this comparison this researcher

found no justification for concluding Whalen voted in an unethical manner. Two representative issues indicated this.

During Whalen’s tenure on the Armed Services Committee, he voted

for Defense Department fiscal responsibility, against the SST development,

**7Richard Thomas, "Whalen Lists 19 Stock Holdings," Journal Herald, 8 May 1969, p. 77; Doug Walker, "Whalen Stocks Top $800,000," Dayton Daily News, 12 May 1971, p. 77; "Whalen Shows His Finances," Dayton Daily News, 9 December 1973, p. 5; Dave Allbaugh and Henry Harris, "Few as Eager as Whalen to Disclose Finances," Dayton Daily News, 10 February 1974, p. 3; and "Whalen Net Drops by 25%," Dayton Daily News, 25 May 1975, p. 4. **8"Whalen Report 17 Days Late," Journal Herald, 3 May 1975, p. 3. 127 against biological and chemical warfare research and against overruns in procuring military equipment. These were only a few examples of many of

Whalen’s stands and votes on defense, but they did not indicate that he voted for moneys increasing defense money and spending which might sub­ sequently lead to greater profits and dividends for his holdings. Quite to the contrary, his voting record in regard to governmental defense spending stressed fiscal frugality. Whalen voted the facts on specific issue, not what could financially line his pocket.

The second area, where again the facts rather than the personal gain was voted, was that of topics dealing with energy and energy usage.

Votes on these issues directly relate to financial interest in gas and oil and gas and electric companies. He voted to end the oil depletion allowance which protected American oilmen's prices, he voted against the

Alaska pipeline for ecological reasons and he was a consistent supporter for a thorough government energy plan. None of these stands made profit making easier for the energy industry. Whalen did not vote against all legislation to aid the energy industry, but his votes reflected his careful weighing of the facts, not his investment portfolio. A financial conflict of interest seemingly was not a problem for Whalen.50

**^Lou Rotterman, "Whalen Challenges Rivers on SST Cost; House Gives Okay," Dayton Daily News, 19 November 1969, p. 6; Richard Thomas, "House Gives C5A $200 Million," Journal Herald, 30 April 1970, p. 2; Doug Walker, "U.S. Losing Its Lead in Aircraft Whalen Says," Dayton Daily News, 7 June 1971, p. 2; and "Whalen Backs Halt on CBW," Dayton Daily News, 7 November 1969, p. 3. 50Andrew Mollison, "Lack of Gas May Shut 4 Firms Whalen Says," Dayton Daily News, 21 October 1975, p. 25; Doug Walker, "Whalen Remains Opposed to Pipeline in Alaska," Dayton Daily News, 20 July 1973; "Lack of Energy Policy Behind Fuel Crisis— Whalen," Journal Herald, 19 February 1973, p. 6; and "Elimination of Oil Depletion Allowance," UPI, 21 May 1974. 128 Especially since Watergate, congressmen are often regarded by voters with a question: have you really been serving me and the nation, or have you served yourself? From all available evidence, Whalen seemed to have served the district and nation. Whalen spoke about this service when the writer questioned him about his philosophy as a Congressman:

I think the basic responsibility of a congressman as I see it is two-fold. First of all, to respond legislatively to the needs of the nation and the district. . . . I have always understood the Congressmen who have voted for the district over the best needs of the country. It has been a little easier for me here in the Third District of Ohio. I hate to use the old word, but it is a microcosm. We have here the inner city with all its problems. We also have suburbia, the taxpayer, who sometimes takes a dim view at programs aimed at overcoming, metropolitan or inner-city problems.

The second, of course, is to respond to individual problems, not only case problems, but communication from constituents in respect to my views. To do that part of it I must make it very clear where I stand on the issues.5i

Whalen apparently served in Washington according to what his conscience told him would best serve the nation and district. In addition, when he reviewed all the facts and made a decision, he gave the constituents his reasons for voting as he did.

Once Whalen decided during the Vietnam years that our course of action there was wrong he decided: "That I would not vote for funds to kill anymore Americans." Unlike Paul McCrosky of California and Donald

Riegle of Michigan who also opposed the war, he voted against bills supporting Vietnam. McCrosky and Riegle would only vote "present" on

51Whalen, Interview. 129 many bills until it became acceptable to oppose Vietnam war expenditures.52 Whalen served the constituency as previously discussed; he also took the political risk that openly and firmly stating your views in the public arena entailed. Whalen sought the best for his country and people.53

One issue did exist where an ethical question about Whalen arose.

Whalen originally campaigned as an economist who would work for fiscal responsibility, economic stability and halting inflation. These three he worked for, even though he was not fully successful. Since 1966 inflation skyrocketed due to Vietnam, the oil crisis, the balance of payments and the general world money crisis. Some of these issues

Whalen worked to stop (Vietnam), to modify (U.S. trade deficit) or to overcome (the oil crisis). Each of these views could have had a long range impact of helping stabilize the U.S. economy. So in these cases,

Whalen followed a fiscally responsible course of action. He voted for the support of many poverty, health, education and welfare bills that were expensive. Many conservative Republicans disagreed with these votes and tended to feel these programs fiscally irresponsible. Without question, these programs cost the middle and upper class American tax dollars. Since in 1966 he spoke for control of the cost of living, but many of his votes on social issues led to additional government spending,

Whalen was open to criticism about his 1966 statements on these gounds.

For both explicitly and implicitly his statements indicated he was

52Ibid.

53Ibid. 130 against large government spending (see appendix A). After taking office he decided, in the long run, the social spending programs he voted for were better for the people, economy and nation. But in the economic context they were a repudiation of many media advertisements and statements. This was a clear case of change which Whalen has openly explained, but to those who disagree or supported him on the original grounds, Whalen's voting record on spending for social issues was an unethical repudiation of what he said earlier. The ethical decision to be made in this judgment is: do you evaluate the original words and later words of explanation contradicting them, or do you agree with Whalen that you have changed to vote for issues in a manner which offers the greatest good for the greatest number? The writer judged Whalen on the latter criterion.

Mr. Whalen's behavior was continually characterized as ethical.

However, the writer was curious to find what the Congressman felt his image in the minds of the electorate was and whether he felt he was perceived as ethical. Mr. Whalen said:

In some instance, oh, there is so-and-so, he is just too liberal, but I think in most instances. He is hard working, he is open; you can communicate with him; he is accessible. I do not know. At this very moment I hope it would still be integrity, but I think that has dropped with recent Congressional escapades and I am not sure how this affects all of us.51+

51+Ibid. 131

When asked specifically if he felt he was hardworking, open, communi­ cating, accessible and of high integrity, he responded with, "I try."55

The researcher argues that Charles W. Whalen, Jr., did try to meet those claims, and that he served as an ethical public servant for Ohio's

Third Congressional District from 1967-75.

Summary

Two questions were asked in chapter four about Charles W. Whalen's communication: the first wanted to establish whether rhetorical dialogue characterized his communication between 1966 and 1975. The second question sought to find if this 1966 to 1975 communication behavior was of an ethical nature. The answer found to both questions was an unequivocal one, "yes."

The communication coming from Whalen to district residents has consistently demonstrated the desire on his part to be dialogic.

Whalen's communication approach of being truth-seeking, open, honest, non-manipulative and non-imposing of his views was in behavioral practice paralleling the written criterion defining rhetorical dialogue.

Indeed, a dialogic attitude characterized Whalen's style.

The second question asked if Whalen's communication was ethical.

Ethical decisions directed the actions Whalen took as an officeholder.

Consistently his messages and behaviors generally illustrated factualness, honesty and lack of personal gain at the expense of others. T-hird

55Ibid. 132

District Ohio constituents were treated fairly and were not used for

Whalen’s personal arrogance or ends. The man's communication was ethical as well as dialogic.

Dialogic and ethical communication complement each other; there exists a definite mutual interdependence locking the two into an inseparable pair. Congressman Charles W. Whalen, Jr.’s approach to communication succeeded in fulfilling the criterion for meeting both parts of the pairing: dialogue and ethicalness. CHAPTER FIVE

SUMMARY AND CONCLUSIONS

The purpose of chapter five is to summarize the findings of the preceding chapters and to offer conclusions drawn from these findings.

In order to accomplish this, a summarization of the answers to each of the twelve research questions will be presented. Next, conclusions about the use of rhetorical dialogue in the political arena, with

Charles W. Whalen, Jr., as participant, will be drawn. Finally, the chapter will end with suggestions for further related research.

Summary

Chapter two was devoted to answering five research questions which sought to establish the strategy and tactics characterizing the rhetoric of Charles W. Whalen, Jr., with his Ohio Third Congressional District.

These five questions asked: (1) what was the rhetorical strategy used for message development; (2) was feedback constantly sought and given;

(3) were differences and disagreements over political policies being dealt with; (4) did the Congressman admit error to the electorate; and

(5) was responsibility taken for rhetorical statements and behavior?

The questions were asked with the understanding that to succeed in politics an effective communication strategy must be developed and used.

133 134 The researcher felt that the strategy used by Whalen should facilitate the continued potential for dialogue, even after the strategy was implemented. Therefore, the questions sought to find if Whalen's strategies and tactics could be evaluated as being dialogic in nature.

Initially, chapter two discussed: what was the rhetorical strategy used for message development? In answering this, the researcher found that only one superordinate strategy was used by Whalen between

1966-75. This strategy of identification portrayed Whalen as a man who could relate to the electorate as an intelligent, virtuous and benevolent member of the population. Whalen's rhetorical efforts consistently stressed his ability in serving the district in both the Ohio and United

States legislatures. Whalen continued to rely on this particular strategy of identification throughout the period from 1966-75.

Tactics for fulfilling the strategy of identification were then analyzed. The second question sought to evaluate the communication tactic of giving and receiving feedback. Continually while in the

United States Congress Whalen gave and sought feedback. He used a direct approach (walking campaign and constituent meetings), media (news releases and taped comments) and mail (newsletters and poll cards).

With ninety-six per cent name and face recognition in the district he succeeded in the giving and receiving of feedback.

The next question sought to find by what means Whalen dealt with political differences and disagreement. Whalen worked at respectfully listening to these differences and disagreements, but unless the opposi­ tion could intellectually convince him he was wrong, he was committed to his view. 135 Question four asked whether the Congressman openly admitted error and changed his view. On very few occasions did he change or admit error in the nine year period, but when Whalen did admit change or error this was done openly for the electorate to know.

The final question asked: did Whalen take the responsibility for his statements and behavior as a Congressman? Whalen was found to openly state and explain his stand on issues to the population without expressing political platitudes and abstractions. The Congressman committed himself doggedly to working hard for the stands he took.

Chapter three was devoted to answering five questions about the demonstration of characteristics of dialogue in a public speaking setting. These five questions sought to find: (1) what was the rhetorical situation Whalen was facing; (2) did Whalen consistently appear to be sincere and honest; (3) did the message factually deal with issues and values; (4) did Whalen appear positive in his evaluation of the audience; and (5) were the messages spoken characterized by a rhetorical manner of respect and trust for the audience? The questions asked sought to evaluate the attitude of the speaker and to gain better understanding of the speaker and audience relationships in which Whalen was a part.

All five of Whalen's speeches responded to a rhetorical situation.

Three of these five directly responded to economic exigencies, one to an economic and ecological exigency and one to the exigency created by student rioting. The most powerful exigency for Whalen and the Dayton audience was the economic one. Whalen, the economist, and Dayton, the 136

economic microcosm of the nation, responded most committedly to the

economic situation.

Whalen’s five speeches each responded to a rhetorical situation with an attitude characterized as being dialogic. Whalen's speeches

demonstrated a sincere and honest involvement with the topic and

audience. He stated his analysis and discussed the analysis in a manner

showing interest in and a commitment to forethought. This manner aided

Whalen in demonstrating his sincere and honest speaker involvement.

Also used by Whalen in his speaking, was a serious discussion of

the issues and values involved in the topics. From the thoroughness of his issue discussion and value explanation in the speeches, Whalen demonstrated that he did succeed in meeting the dialogic condition of issue and value involvement.

His meeting of the criteria asked for in the last two questions was less clear. In three of the speeches there were instances clearly showing positive regard ("Environmental Quality," "Metropolitan Dayton," and "Special Revenue Sharing"), but in two there existed no specific statements indicating positive regard. In these same two speeches there was no indication at all of a dialogic attitude being replaced by a monologic attitude.

The existence of respect and trust was found in four of Whalen's speeches. He did make comments to build a feeling of mutuality, of which respect and trust are a part, but the speech, "Foreign Trade and

American Jobs," never explicitly showed any statement of respect and trust. He did not develop a relationship with the audience that could have stimulated a dialogic attitude. 137

Whalen's speaking was sincere, honest, and issue and valued oriented without treating the audience monologically. But, although his speeches did not reveal monologic characteristics, he only occasionally used comments representing a positive regard and respect and trust for the audience. This lack of development detracted from Whalen's ability to facilitate a mutually friendly dialogic condition. The behavior did not block dialogue, but it made the task difficult at times. Viewed as a whole Whalen's speeches predominantly showed a dialogic attitude.

Two questions were asked in chapter four about Charels W. Whalen's communication: the first wanted to find whether rhetorical dialogue characterized his communication, and the second sought to find if his communication behavior was ethical. The answer to both questions was

"yes."

The communication from Whalen to his district consistently demon­ strated the desire on his part to be dialogic. Whalen's communication approach of being truth-seeking, open, honest, non-manipulative and non-imposing of his views paralleled in behavioral practice the written criterion defining rhetorical dialogue.

The second question asked if Whalen's communication was ethical.

Ethical decisions directed the actions Whalen took as an officeholder.

Consistently his messages and behaviors seemed to illustrate factual­ ness, honesty and lack of personal gain at the expense of others.

Third District Ohio constituents were treated fairly and were not used for Whalen's personal arrogance or ends. The man's communication was ethical as well as dialogic. 138

Conclusions

The conclusions from tha.s study concerning the rhetorical dialogue

of Congressman Charles W. Whalen, Jr., fall into four primary

propositions.

1. This study of the rhetorical dialogue of Charles Whalen supports

the view that dialogic communication is possible in differing communi­

cation situations. Using a dialogic approach to communication is often

challenged as being unreasonable and unrealistic outside intimate inter­ personal exchanges. This study of Whalen has shown that rhetorical dialogue is neither unreasonable or unrealistic outside personal

communication exchanges. To the contrary, the study has shown that an individual may dialogically interact with others, even while in the process of being a candidate for political office or while holding political office. If dialogue may characterize the rhetoric of a politician who daily deals with government, business and law under extreme pressure, then rhetorical dialogue may reasonably and realis­

tically be used in a variety of rhetorical settings.

Running a campaign or office using rhetorical dialogue is reasonable, because rhetorical dialogue guards the rights of all parties involved in the communication, even in the face of disagreement. As

Whalen's use of a dialogic attitude indicated an opportunity for expression and discussion of all views is demanded as necessary to rhetorical dialogue. This attitude allowing for the sharing of ideas and differences is extremely reasonable in any communication situation.

For when ideas and difficulties are openly communicated, acknowledged, 139

accepted and dealt with, a rhetorical exchange of idea is possible.

This exchange of ideas aids the making of reasoned and responsible

decisions. Government needs a significant number of reasoned and

responsible decisions to continue functioning. This approach of

rhetorical dialogue offers a greater chance for communication.

Not only has this study of Whalen shown that rhetorical dialogue

is a reasonable approach to the rhetorical interaction, but this discus­

sion has also shown a dialogic attitude is a realistic attitude for use

in public communication. Due to the possibility of sharing, available

in a dialogic exchange, each communicator has the opportunity to know others better or be known better by others. The more that is known about each communicator, the greater the chances are for finding similarities

to agree and identify with. Anytime a politician, or anyone else, can enhance other's identification with him, he gains some degree of the other's support for himself or his ideas. Kenneth Burke’s theory of identification is validated in practice by the use of rhetorical dialogue.

Gaining support to a politician, is extremely important, and any rhetor­ ical approach which aids his gaining of support is a realistic one for him to consider. This study of Whalen's rhetorical dialogue contributed to the study of rhetoric; the information presented here seemed to indicate this approach is a reasonable and realistic one to studying dialogue in other than an interpersonal exchange.

2. This study of political rhetoric shows possibly that theoretical literature about rhetorical dialogue is useful for rhetorical analysis and criticism. The study supports the idea that not only may the 140 theoretical writings of Makay and Brown, Johanessen, and others about rhetoric and dialogue be used for critical research, but that this is also a highly productive approach for rhetorical effort. Using a theory of rhetorical dialogue for criticism allows for the describing, analyzing and evaluating of all types of rhetorical endeavors including speeches, conversations, letters, advertisements, articles and human action. This method allows for a broad scope and full picture when doing critical evaluation.

Since the rhetorical perspective being viewed by rhetorical dialogue has a way of viewing rhetorical different from the "classical" and other methods, the methodology suggests different and valuable insights to the rhetorician. The use of the dialogic approach makes it possible to look at a full rhetorical perspective, this perspective additionally views the attitude motivating the communication. Critically looking at rhetorical dialogue goes beyond merely viewing the rhetorical state­ ments, using rhetorical dialogue critically focuses on the attitude motivating the communication. Additionally, using rhetorical dialogue to critically evaluate the communication establishes the attitudinal qualities characterizing the communication relationship. Using the theory of rhetorical dialogue for criticism offers the rhetorical critic a new, unique and productive tool for criticism.

3. The communication philosophy followed by Whalen while running for and holding office in the United States House of Representatives was significant in creating the quality of service he gave Ohio’s Third

District from 1967-75. A philosophy of communication which allows the 141 parties involved to share their views directly with each other for thought and discussion, offers a means by which the quality of service may be improved. Whalen, by seeking and giving feedback, aided his ability to serve the electorate, for he knew without guessing, what they were interested in and concerned about. Only when Whalen, or any politician, decides to make himself aware of the concerns of his district can'he begin to answer to district concerns. Whalen accepted the importance of that fact and built his whole communication philosophy on that premise.

a. Consistently throughout Mr. Whalen's terms as U.S. Representa­

tive he built a rhetorical relationship founded upon open

communication. Large bodies of information came from the

Congressman and his office constantly. There were many forms

of communication used to forward this information to the

populace. No group was denied access to Whalen’s communi­

cation, information and stands on issues. For, the guiding

philosophy was to let the electorate know about Whalen.

Whalen took the communication initiative when offering many and

varied opportunities for the public to find out what he was

doing. All the public had to do, since the communication was

so constant, was to focus their attention upon the information

sent to them.

As the Congressman re-iterated many times, communication

was a two-way street. He had to be apprised of the public's

concern before he could acknowledge and deal with the

concerns. The Whalen staff worked hard to establish a climate 142 in the district and the Washington office where voters felt they had access to the Congressman and the right to make suggestions to him. Whalen worked hard fulfilling his portion of the above mentioned two-way street of communication.

The communication openness and accessibility of Whalen over the years probably aided in fostering a sharing of informa­ tion between the electorate and the representative. Whalen's open style of communication closely paralleled the idealized standard of communication for public and the elected official.

The electorate are ideally supposed to be informed of the actions of the Congressman, and the Congressmen of the interest of the electorate. Whalen met this ideal. Meeting this ideal of open communication paid dividends for Whalen and the district.

For Whalen, his image of service and interest in the district aided in his re-election. His image helped gain benefits for the area. Whalen brought more federal money to the Third

District than nearly any other district in the state. This was only possible through a team effort of the local people letting

Whalen know their needs and wants and Whalen indicating what he could do to help. Open communication meets an ideal of political service as well as allowing political gains for both the officeholder and electorate.

Whalen was a well known and generally respected man, even by his opposition. His open communication demonstrated Whalen as a Daytonian willing to deal with and serve other Daytonians. He was a responsive public servant through his extensive effort to be open and involved with the Miami Valley electorate.

Constantly, throughout his career, Ohio’s Third District

Congressman's communication has been characterized by a dialogic attitude. Anyone, Congressman or otherwise, may communicate with others consistently and not encompass a communication attitude of dialogue. To be communicative and nondialogic one would not listen, would be manipulative, non­ specific, nonfactual and deny the inherent worth of others.

Congressman Whalen demonstrated just the opposite in his communication. At all times he sought information, and he made himself available to listen (for speeches, conferences, and appointments). With a manner of sincere interest and respect he approached the above named situations, thus, validating the worth of his communication colleagues.

Whalen was consistently dialogic in communication style when discussing, writing and speaking about Dayton and the national scene. He took care to specifically deal with signifi­ cant political problems. The Dayton public expected their

Congressman to give careful reasoned interest to issues, and then forward his specific conclusions to them. In the study of communication from 1966-75 no instances of monologic communi­ cation by Whalen were found.

This dialogic attitude of Whalen's meant for him more expense in terms of time and forethought about communication, and his communication attitude demanded an ongoing effort to

demonstrate the dialogic philosophy. Being a communicator with

a dialogic attitude did not just happen. Being dialogic meant

making a commitment to consistently strive to be involved with

the concerns of others. But the dialogic attitude paid a high

return, for the attitude opened the door to continuing input

from others, identification with others and positive regard for yourself. Being a dialogic communicator was not easy, but the

political dividend was high for Whalen.

Consistently Congressman Charles W. Whalen, Jr., demonstrated

ethical behavior when fulfilling his duties as Ohio's Third

District Congressman. Whalen, with honesty, integrity and perserverance, performed the duties expected of an ethical politician. Year after year he met the obligation to serve both the district and the nation. In all instances, the

intentions, the attitude and the motivation was to fulfill the

responsibility the job demanded.

In any style of communication one commits themselves to,

there is a cost attached. Usually this cost arises when large numbers of people in power positions strongly disagree with your behavior. Often they have the power to disagree and at times repudiate your stand. Whalen's ethical stance had that sort of potential risk. His ethical stand meant that he openly and honestly put himself and his views in the open for all to challenge. Being ethical, and a politician, was a high risk proposition, for the politician may alienate powerful people.

But Whalen decided an ethical stance best served him, the

district and the nation.

The Congressman took action after careful evaluation of

what he felt was the best available information. These

decisions were made in terms of the long range gain. Often

others politically disagreed with Whalen. However, the

decisions made, behavior enacted and responsibility taken for

action was without question ethical. His openness, truthful­

ness, communication and political responsibility both in and out

of the district was beyond reproach.

Whalen’s dialogic and ethical communication both aided and

detracted from his popularity among constituents. His success was aided by the fact that around him was an image of being a

hardworking, open, accessible and ethical man. In the eyes of

the public, that image helped him gain respect. The image

built to the extent where Whalen could not walk down the street without the majority of the people saying "Hi Chuck" or "Hi

Congressman." Such closeness to the populace, such name

recognition, enhanced his support, and his ability to get an

impressive voter mandate to serve the Third District. Open

dialogic and ethical communication, when combined with the

intelligence of Charles W. Whalen, Jr., made possible his

impressive five successive terms as Congressman.

The dialogic and ethical communication had risks for

Whalen, these risks may eventually lead to his defeat. All along Whalen has remained a liberal in the conservative

Reoublican Party. Since Whalen never, in word or action,

denied the liberality, he could not be accused of unethical

treatment of conservative Republicans. But his communicative

openness about political positioning fell into a Republican

schism. A less ethical person might have tried to hide the

liberality more. Whalen was honest, straightforward and open

when explaining his political position. Such openness allowed

vulnerability to being forcefully challenged by those who

disagreed. Challenges of an open and honest man are easy to

make because: (1) the man's position is in the open for anyone

to challenge, (2) the man has not manipulated his behavior or

words to confuse the public, and (3) since the man has carefully

made his decisions on factual information he will take a position

without wavering. The dialogic communicator offers an easy

target for attack. If the party and country continue a conser­

vative swing, Whalen's electoral future may be questionable.

Due to his openness, the district knew where he stood and why.

Both the Congressman and his Republican opposition acknowledged

that was the chance open communicating Whalen decided was best

to take.

4. This critical study of Whalen's rhetorical dialogue supports

the idea that a politician who is a dialogic and ethical communicator

can be elected and re-elected to public office. Probably the greatest value of this study to political pragmatist is that this critical analysis found that a politician may be open, honest and ethical in his 147 behavior and still be able to: (1) be elected, (2) serve public needs, and (3) be true to his own independent philosophy and conscience. This study did not indicate being a dialogic and ethical public servant was easy or without pitfalls, but the study did show such behavior as possible. The study showed that contrary to the negative orientation often associated with political figures, Whalen seemed to overcome the negative image. Finding Whalen able to do this in the midst of a scandal such as the Watergate Affair showed that combining politics with dialogue and ethics was possible. Not only was this combination possible, the combination paid dividends in the quality of public service offered. Using Whalen as an example indicated that dialogue and ethicalness may aid in the ability to be elected and re-elected to public office. Rhetorical dialogue and ethicalness are approaches to communication deserving careful analysis by political pragmatist.

Further Research

Since Whalen's philosophical positioning was in the liberal wing of the Republican Party, a valuable study could be focused on how dialogic and ethical the conservative wing of the Montgomery County

Republican Party was in dealing with Whalen. Once the conservative element was studied, a comparison with "Chuck's" communication behavior could be made. Then an analysis of the ethicalness of the total communication situation could be made.

Since the differences of opinion in the Republican Party was philosophical rather than personal, a study of the conservative 148

Republican's communication behavior toward Whalen in the 1976 general

and the 1978 primary election could also offer insight. The 1976

primary election was not discussed; the primary was beyond the time

period under study, but for the first time Whalen had primary opposition

in 1976. Ohio's preference primary gave a fair indication of Whalen's party popularity. He gained fifty-three per cent over two opponents.1

The.Republican opposition has already indicated they will try again in

1978. Useful information about political philosophy, communication, dialogue and ethics would be achieved by following the communication events from Summer 1976 into the future.

In addition, a specific study could be undertaken looking at

Whalen's use of, interaction with, and relation to the media. A study of media involvement could study one campaign, all campaigns, media usage while in office or a combination of the above.

A critic might also pick another House member from a "typical" district who one feels may not be as open, dialogic or ethical as

Whalen. A comparison between the two representative could then be drawn to see if their success was similar, and if the success was similar could this be attributable to the communication attitude or something else.

Finally, the methodology being used may be applied to a communi­ cation study in an area other than politics. The methodology could be used to study communication of executives in a corporate setting,

teachers or administrators in an educational setting, or medical

lMElection Results," Journal Herald. 9 June 1976, p. 1. 149 personnel in a hospital. Insight would be gained after identifying the dialogic personnel and the monological personnel to see which had the happier, more productive or efficient subordinates. APPENDIX A

PAID POLITICAL ANNOUNCEMENTS: 1966

150 151 CLIENT: Whalen For Congress LENGTH: 60 Seconds DATE: September 1966

SOUND EFFECTS (HOUSEHOLD NOISES, BABY CRYING, VACUUM CLEANER, ETC.)

ANNCR: Uh .. pardon me ... excuse me, ma'm, could I have your attention

for just one minute?

SOUND EFFECTS OUT:

There that's better. I'd like to take a moment to talk politics.

The kind of politics that effect your child's education, your

husband's retirement income. The kind of politics you women are

vitally interested in, Chuck Whalen's vitally involved in.

Where does Chuck Whalen fit into the picture? He's your

Republican candidate running for Congress and he's been a part

of the political picture for 12 years now. Six as your Senator.

He's played an important role in many major bills - Wright State

University, Community College, Fair Housing and Highway Bond

Issue. The kind of legislature that directly benefits every

household in the Miami Valley. As a businessman and a professor

of Economics, Chuck is deeply concerned about present government

inflation ... the outrageously high cost of living ... the

popular "me-too" approach so prevelant in Washington. Chuck

Whalen's politics are your politics - the kind that say

"something must be done"! When election day rolls around

November 8, put your two cents in ... vote for Charles W.

Whalen, Jr., for Congress, the man who makes the time to care! 152

CLIENT: Whalen For Congress LENGTH: 10 Seconds DATE: September 1966

NOTE: do several using housewife ... businessman ...

factoryworker ... negro ... (kids in background

of some)

CHUCK AT DOOR OF Meet Chuck Whalen ... A man who HOMEOWNER makes the time to care about your

tbwn ... your country ... your

HOMEOWNER OPENS DOOR world ... you CLOSE ON HOMEOWNER & CHUCK SUPER IN CHARLES W. WHALEN JR AND COMMITTEE CREDITS Vote for Charles W. Whalen, Jr.

for Congress. 153 CLIENT: Whalen For Congress LENGTH: 8 Seconds DATE: September 1966

CHUCK SEATED IN LIVING CHUCK: Hello, perhaps your home is one ROOM SET of the thousands I've visited, personally,

these past few months. Election day is

SUPER OVER: VOTE FOR almost here, I hope you'll remember me, CHARLES W. WHALEN, JR. FOR CONGRESS Charles W. Whalen, Jr.

SUPER ACROSS BOTTOM: COMMITTEE CREDITS 154

CLIENT: Whalen For Congress LENGTH: 20 Seconds DATE: September 1966

SCENE: LIMBO WOMAN WITH MARKET BASKET. PUTTING ITEM IN. FROWNING AT PRICE.

BARBARA WHEELS CART IN. REACHES FOR SAME KIND OF ITEM. NOTICES OTHER WOMAN.

REACTS GENTLY. SPEAKS TO HER. (LIP SYNC) BARBARA: I see you're as tired as I am

about all the prices always going trj). If

you want it stopped, vote for my husband

for Congress. Chuck Whalen. He'll stop it!

BARBARA HEARS, TURNS REACTS, LISTENS VOICE: Oh just a moment, Barbara. Not all

by himself. You know that isn't possible.

SPEAKS TO CAMERA BARBARA: Perhaps. But you have to start

somewhere. We women say, start with one man

in each Congressional District now— and

we'll be on the way!

DISSOLVE VOTE FOR CHARLES W. WHALEN, JR. FOR CONGRESS VOICE: No argument. Vote for Charles W.

Whalen, Jr. for Congress!

COMMITTEE CREDITS CLIENT: Whalen For Congress LENGTH: 60 Seconds DATE: September 1966

QUICK-CUT CLOSE UPS: It's a bumpy old road isn't it? Try new TIRES BOUNCING IN RUTS ON OLD 35 ... BAD CURVE Route 35 and the man who actively helped ON OLD 35 ... SHOT OF NEW 35 ... AND CHUCK AT pave the way to better Dayton highways! ... ROAD SIDE

SUPER IN CHUCK WHALEN Chuck Whalen!

CLOSE-UP, CHUCK, HEAD He'd make a darn good Congressman for AND SHOULDERS SUPER BOTTOM LINE: that - and lots of other reasons, too ... FOR CONGRESS

DISSOLVE TO SCENE CHUCK He's opened the door to better education HOLDING DOOR OPEN AT WRIGHT STATE U. FOR for your children ... many times in many STUDENTS TO ENTER. STUDENTS PASS THROUGH - ways ... Chuck is the author of Dayton's PARENTS INTO SHOT Community College and Wright State

University Bills ... In fact, Chuck Whalen

was the first public official to draw up

a blueprint for higher education in

Ohio!

SHOT OF PARENTS HOLDING Now, you can open a door for Chuck ... DOOR OPEN AS CHUCK WALKS THROUGH SUPER IN WHALEN to the United States Congress! FOR CONGRESS CLOSE-UP CHUCK AND ..... WHALEN FOR CONGRESS, 9/66, PAGE 2

DISSOLVE TO SHOT OF CHUCK Yes, vote for Chuck Whalen, a man who KNOCKING AT DOOR OF makes the time to care! about the AVERAGE, MIDDLE INCOME HOME, ELDERLY PERSON rocketing cost of living ... government ANSWERS DOOR inflation ... what it all means to the

elderly of today ... and the future!

CLOSE-UP CHUCK He already has one of the most important

attributes in politics ... practical

experience ... 12 years in the Ohio

Legislature ... the last 6 as your

senator ...

CHUCK SHAKING HANDS Now you can send him to Congress! Vote WITH ELDERLY MAN IN ATTITUDE OF DEPARTURE for Charles W. Whalen, Jr. ... the man

who makes the time to care!

SUPER IN COMMITTEE CREDITS CLIENT: Whalen For Congress LENGTH: Five Minutes DATE: 21 October 1966

Video Audio

OPEN ON CU SEN. WHALEN Hi. I'm Chuck Whalen. During the past STANDING BEHIND COUCH FAMILY SEATED ON COUCH four months in my campaign for Congress, DRAPED BACKGROUND, END TABLES & LAMP TO SIDES, I've walked nearly a thousand miles, going COFFEE TABLE IN FRONT TO SIMULATE LIVING ROOM door-to-door, meeting many of you right in

your own homes. I'd like to take this

opportunity to briefly renew that

acquaintance and have you meet the members WIDE SHOT CHUCK AND FAMILY CU AS CHUCK of my family, my wife, Barbara, and my INTRODUCES EACH MEMBER BY WALKING BEHIND THEM. sons, Dan, Chip, Joe and Ted.

PULL BACK TO INCLUDE Their future, like yours, depends more ENTIRE FAMILY IN SHOT and more on the decisions being made in

Washington. And, in many cases, what

decisions are not being made.

WHALEN AT HIS OWN LEISURE This is particularly true regarding the WALKS TO CHAIR ADJACENT TO COUCH AND SITS ON ARM constantly rising cost of living we are

experiencing today. This problem has now

VARIOUS CU WHALEN UNTIL reached such proportions that all of us CONCLUSION feel it ... housewives buying groceries

see it almost every day ... couples trying

to buy a new home find loans more 158 difficult to obtain and the interest rates higher ... elderly people living on fixed pensions which do not increase but which now buy less.

As an economist, I’ve been aware of this and since the beginning of this year have been strongly urging Congress to take steps to halt inflation.

My recommendation then, as now, has been to relieve the pressure on the economy by reducing non-essential, non-Defense spending by the federal government.

Washington spends one out of every five dollars in this country and is therefore a major, and single most important demand factor in the economy. But we’re now at virtually the limit of our production capability— we can't produce much more than we are now— so that every increase in government spending adds that much more demand over-all. With production unable to keep pace with this increase in demand, what's the result? Higher prices. 159

There are 25 separate areas where cuts

can be made in the federal budget to

reduce this pressure on the economy, without halting programs or even seriously

curtailing them. But instead of reducing

spending, instead of trying to keep it within realistic limits, the 89th Congress has voted for virtually every spending request asked by the administration ... and in many cases has provided even more money than the President himself has asked. As a result, Congress, through

this excessive spending, has become directly responsible for increases in the price of almost every necessity, not to mention luxury, that you and I buy.

Because of the intensity of the problem, the President, it is believed, may resort to a tax increase to finance the hugh budget but without making any major reductions in non-essential spending.

This failure on the part of Congress demonstrates clearly the need for economic common sense and Congressmen with the courage to stand up and demand it. This I have pledged myself to do and what I will do as your Congressman.

The Congress' inability to act forth­ rightly in such a serious matter is an indication of another less dramatic, but growing defect within our federal govern­ mental structure. It is the gradual, but now pronounced, erosion of the very role for which Congress was created by our

Founding Fathers ... to be the delibera­ tive body where the major issues of the day would be weighed carefully and examined closely before the laws of the land are made. Instead, this institution has in effect surrendered itself to the executive branch. Quantity of legislation has become its hallmark, not quality or necessity. Congress has become much like a lawyer who, instead of defending his client, merely accepts every proposal of the opposing side without question, without challenge, without scrutiny.

Thus the voice of the people has become muted and that includes your voice. As your representative in Washington,

I pledge that my voice will be heard on

your behalf. My allegiance, first and

always, will be to you, the constituent,

not to the President. At the same time

there is a great need for men who under­

stand what is happening in our changing

WIDE SHOT TO AGAIN IDENTIFY world and country, men capable of the FAMILY'S PRESENCE vision and imagination to move our nation

forward into the future with confidence

CU WHALEN and certainty. I pledge to apply the

same vigor and dedication as your

Congressman as I have as your state senator

and representative for the past 12 years.

I hope you'll vote for me, Chuck Whalen,

for Congress, on November 8th.

SUPER SLIDE: VOTE FOR LIVE ANNCR TAG: Make your vote count CHARLES W. WHALEN, JR. FOR CONGRESS, (next Tuesday) (Tuesday) (tomorrow). PAID FOR BY WHALEN FOR CONGRESS COMMITTEE Send the outstanding member of the Ohio

senate to Washington. Vote for Chuck

Whalen for Congress. 162 CLIENT: Whalen For Congress LENGTH: 10 Seconds DATE: 1-7 November 1966

SL: HEAD AND SHOULDERS LIVE ANNCR: Chuck Whalen ... who does CHUCK WHALEN not lean on another's name for support,

but has the ability, experience, courage

to speak for himself.

SL: VOTE FOR CHARLES W. Vote for Chuck Whalen for Congress! WHALEN, JR. FOR CONGRESS: PAID FOR BY WHALEN FOR CONGRESS COMMITTEE 163 CLIENT: Whalen For Congress LENGTH: Five Minutes DATE: 2 & 5 November 1966 1, 3, 5, 6 & 7 November 1966

OPEN ON CU SEN. WHALEN Hi, I’m Chuck Whalen, during these past STANDING BEHIND COUCH FAMILY SEATED ON COUCH few months I’ve walked nearly a thousand DRAPED BACKGROUND, END TABLES & LAMP, TO SIDES: miles to visit with many of you right in COFFEE TABLE IN FRONT TO SIMULATE LIVING ROOM your own homes. Today I'd like to briefly

renew that acquaintance and have you meet

the members of family, my wife, WIDE SHOT CHUCH AND FAMILY CU AS CHUCK INTRODUCES EACH Barbara, and my sons, Dan, Chip, Joe and MEMBER BY WALKING BEHIND THEM Ted.

PULL BACK TO INCLUDE Like all of you, we, too, feel the tight ENTIRE FAMILY IN SHOT squeeze of constantly rising costs ...

costs which will continue to spiral

upward with our current policy of exces­

sive government spending.

WHALEN AT HIS OWN LEISURE Our country's greatest need today is WALKS TO CHAIR ADJACENT TO COUCH AND SITS ON ARM "economic common sense" ... This requires

legislators with the courage to say "no"

to non-essential federal spending. As a

VARIOUS CU SEN. WHALEN member of Congress, this I pledge to do! UNTIL CONCLUSION This intolerable strain on the nation's

economic health must stop! An analysis of the 1967 budget indicates reductions

can be made in 25 separate areas! 8 to

10 billion dollars worth of cuts in non-

essential government spending can and

should be made to stabilize prices and

interest rates. Failure to act now to

curb inflation will only result in a more

severe recession in the future! Immediate

fiscal restraint would produce the

following three effects: The inflationary pressures of higher Vietnam spending would be offset. Pressures on the money market would be alleviated thereby exercising downward forces on interest rates. Self- imposed fiscal disciplines would enable the federal government to demonstrate forcibly to both business and labor the importance of pursuing price and wage restraints. As it now stands ... the 1967 federal budget will produce a deficit of approximately $15 billion.

The effects of this outrageous inflation are felt "most immediately and most painfully by retired persons living on fixed incomes. The small businessman is hurt and unable to raise his prices to

compensate for rising costs. Labor is

adversely affected. Do you know that as

of July 1965, the average factory worker with three dependants had a purchasing

power of $87.42 a week. This past July .

a year later ... after raises totaling

$4.23 ... the same worker's purchasing

power declined to $87 a week! This is

outrageous! We must do something about i now! And we must begin by saying no ... no to excessive Congressional spending.

As your Congressman, I pledge to do this

... and I will keep my word ... with the

same honesty, conviction, dedication that

have marked my past 12 years in the Ohio

Congress. 12 years that have been

significant to me ... and I hope you,

too ... for I have been responsible for many major bills which have made very worthwhile contributions to our own Miami

Valley ... the Community College Act ...

the bill for higher education in Ohio which includes our own Wright State

University ... the highway bond issue 166

and many others. I have also had the

honor of being voted Ohio's outstanding

Senator by my collegues, and ... as a

former businessman and a professor of

economics at the University of Dayton ...

1 feel I have the knowledge, the experi­

ence, in this, our most vital area of

concern ...

WIDE SHOT TO AGAIN IDENTIFY Yours ... mine ... everybody's rising FAMILY'S PRESENCE costs of living! Caused very certainly

by constant ... excessive ... eroding

Congressional inflation! We must have

men in Washington with the courage to

say no!

CU WHALEN I will do this ... Chuck Whalen. Please

remember me November 8, election day.

SUPER SLIDE: VOTE FOR LIVE ANNCR TAG: Make your vote count CHARLES W. WHALEN FOR CONGRESS, PAID FOR BY (next Tuesday) (Tuesday) (tomorrow). WHALEN FOR CONGRESS COMMITTEE Vote for Chuck Whalen for Congress. APPENDIX B

POLL CARDS

167 168

POLL CARD 1967

1. Sex |_| (a) Male |_| (b) Female

2. Age |“| (a) 17-25 |~| (b) 26-40 |~| (c) 41-60 |“| (d) over 60

3. Income |~| (a) under $5,000 |~| (c) $10,000 to $14,999

|“| (b) $5,000 to $9,999 |~| (<*) $15,000 and above

4. Political affiliation |_J (a) Republican |_| (b) Democrat

|_| (c) Independent

YES NO

1. What should we do about Vietnam? j_| |_| a. Continue our present course.

|_| |_| b. Escalate further our military effort.

|_J || c. Hold key positions and try to negotiate a settlement.

|_J | | d. Withdraw as soon as possible.

2. What should be done about the Administration's projected 12.6 billion dollar deficit?

| | | | a. Adopt its recommended 6% surtax on personal and corporate income tax.

| | | | b. Reduce non-essential spending.

|_J |_J c. Accept the deficit.

| | |_| 3. Do you think the "War on Poverty" has been successful in improving the condition of the poor?

I_l l_l Should a tax credit be allowed parents supporting students in college?

|_| | | 5. Do you favor removing the ceiling on earnings of persons receiving social security or veterans pensions?

6. What should we do about Social Security retirement benefits? 169

YES NO

a. Increase benefits 8%. This would not require additional social security taxes.

b. Increase benefits 20%. This would require increasing the withholding tax rate to 5.5% on an expanded base of $10,000 POLL CARD 1967

What should we do about Vietnam?

a. Continue our present course

b. Escalate further our military effort

c. Hold key positions and try to negotiate a settlement d. Withdraw as soon as possible

What should be done about the Administration's projected $12.6 billion deficit? a. Adopt its recommended 6% surtax on personal and corporate income tax b. Reduce non-essential spending c. Accept the deficit

Do you think the "War on Poverty" has been successful in improving the condition of the poor?

|~| YES |“| NO |~| UNDECIDED

Should a tax credit be allowed parents supporting students in college?

|~| YES j~| NO |~| UNDECIDED

Do you favor removing the ceiling on earnings of persons receiving social security or veterans pensions?

|~| YES |~| NO |~| UNDECIDED

What should we do about Social Security retirement benefits? a. Increase benefits 8% (no additional taxes) b. Increase benefits 20% (increase withholdings) 171

POLL CARD 1968

1. Which one of the following courses do you favor for the Vietnam War?

a. Continue present c o u r s e ...... |_|

b. Escalate further our military effort

c. Hold key positions and try to negotiate a settlement ......

d. Withdraw as soon as possible

2. Do you feel that you have a clear understanding of why the U.S. is fighting in Vietnam?

YES NO UNDECIDED

3. Should the U.S. agree to a Vietnam truce if recognition of the Viet Cong is one of the conditions?

YES NO UNDECIDED

A. Which four of the following would receive your highest priority for spending reductions?

Defense . . Poverty Program ......

Foreign Aid Aid to Cities ......

Agriculture Beautification ......

Public Works Supersonic Transport ......

Education Space Exploration ......

Health . . . Anti-Crime Programs ......

Highways . . Air and Water Pollution ......

5. Do you favor legislation regulating the sale of firearms?

YES |~| NO |~| UNDECIDED |~|

6. As of today, are you in favor of the proposed 10 per cent surtax?

YES I “I NO R UNDECIDED FI 172 7. Do you favor steps to create an all-volunteer Army and reduce draft calls to zero except in emergencies?

YES |~| NO |“| UNDECIDED |“|

8. Do you favor legislation that proposes to shift national holidays to Mondays, thus increasing the number of three-day weekends?

YES |~| NO |“| UNDECIDED |~| 173 POLL CARD 1969

1. Viewing the economy as it stands today, would you favor renewing the 10% income surtax when it expires on June 30?

YES |~| NO |~| UNDECIDED |~|

2. Do you feel that the Paris peace talks will result in a conclusive settlement of the Vietnam War?

YES |“| NO |~| UNDECIDED |~|

3. Regardless of how you answered the previous question, do you consider the Paris peace talks to be the best means of terminating the Vietnam War?

YES | “| NO |“| UNDECIDED |“|

4. Do you favor lowering the minimum voting age to 18?

YES |~| NO □ UNDECIDED [~|

5. Should the Electoral College be abolished and the President elected solely by the direct vote of the people?

YES |“| NO |“| UNDECIDED |~|

6. Which ONE of the following most closely reflects your attitude toward the Nation's space program?

a. Continue, with funding at about the present level ($4 billion in fiscal year 1969) | |

b. Accelerate, increase funding if necessary | |

c. Cut back, reallocate funds to social welfare programs |— |

d. None of the above |—|

7. Should the power of the President to commit American troops to combat without the specific approval of Congress be curbed?

YES |~| NO |“| UNDECIDED |~|

8. Do you support the proposal to convert the Post Office into a government-owned corporation to operate on a self-supporting basis?

YES |“| NO | “| UNDECIDED |~| POLL CARD 1970

Should the Congress by law provide that all U.S. military personnel be withdrawn from Vietnam within one year?

HIS YES |J NO |“| UNDECIDED |“|

HERS I “I

The Safeguard ABM (Anti-Ballistic Missile) System— Which ONE of the following do you favor?

HIS HERS l_l l_l Expand system to 12 sites at a cost of about $12 billion.

|_| |_| Limit deployment to 2 sites at a cost of about $3 billion.

|_| |_| Authorize research and development only, at an estimated $400 million this fiscal year. I_l l_l funding for the system. |_| |_J Undecided.

In the present fiscal year (1970), the U.S. will spend approximately $76.5 billion on defense. What should the level of defense spending be for fiscal 1971? (Select ONE.)

HIS HERS l_l l_l More than $80 billion. |_| |_| $75-80 billion. Ill III $70-75 billion. |_| |_| $65-70 billion. Ill III $60-65 billion. |_J |_| less than $60 billion.

Should a percentage of federal income tax money be shared with state and local governments for use as they see fit?

HIS YES | “| NO |“| UNDECIDED |~| Should the present welfare system be replaced by a federally- financed minimum family income plan?

HIS YES | “| ' N 0 I HI UNDECIDED |“|

Upon the conclusion of the Vietnam War, federal expenditure priority should be given to which THREE of the following areas?

HIS HERS HIS HERS

Conservation |_| |_J Space Exploration |_| |_J

Health Services |_J |_| Transportation Improvement|_| |_|

Crime Control |_| |_j Environmental Quality |_| |_|

Housing |_| |_| Foreign Assistance |_| |_j

Defense |_| |_|

Education |_| |_|

Welfare Reform II | | 176 POLL CARD 1971

1. Which of the following Vietnam alternatives would you prefer (select ONE):

HIS HERS

a. Maintain the present rate of withdrawal (with _ _ 284,000 troops remaining as of June 30, 1971). |_| | |

b. Increase the rate of withdrawal to remove all _ _ U.S. troops by December 31, 1971. |_| |_|

c. Halt the withdrawal and step up the level of _ U.S. military activity in Vietnam. |_J |_|

2. What is your position concerning the present draft law— which permits conscription— which will expire June 30, 1971?

a. It should be continued? |_J |__|

b. It should be terminated in favor of an all- _ __ volunteer military force. |_| |_J

3. What is your position regarding proposed plans (legislation) for a national health insurance program?

HIS FOR |“| AGAINST |“| UNDECIDED |~|

hers III III III 4. If Congress imposes campaign expenditure limitations, which of the following would you prefer (select ONE):

HIS HERS

a. A maximum dollar spending limitation. |_| |_|

b. Limit expenditures for radio and television _ _ advertising only. |_| |_|

5. Should Communist China be admitted to the United Nations?

HIS YES |“| NO |“| UNDECIDED |”|

HERS FI F I FI 177 6. Which FIVE of the following would receive your highest priority for funding and federal action?

HIS HERS HIS HERS

Agriculture Education

Aid to Cities Foreign Aid

Air and Water Health Pollution Highways Anti-Crime Programs Housing Beautification Poverty Program Civil Rights Enforcement Public Works

Defense Space Exploration

Supersonic Transport 178 POLL CARD 1972

1. Which ONE of the following courses of action regarding U.S. involve­ ment in the Vietnam war do you favor most?

HIS HERS

|_| [__| a. Leave a residual force of U.S. combat troops.

|_| |_| b. Provide military equipment and economic aid only.

|_| |_| c. Provide economic aid only.

|_| |_| d. Disengage completely.

|_| |_| e. Other (please specify).

2. Which one of the following courses of action regarding the state of the U.S. economy would you most favor?

HIS HERS

|_[ |_| a. Continue and expand government spending.

|_| |_| b. Change the tax assessments.

|_| |_J c. Cut government spending.

|_| |_| d. Implement tighter wage and price control.

|_| |_| e. Establish more governmental incentives to business.

I_l l_J Allow cycle to continue.

3. What is your view of National Health Insurance?

HIS FOR |~| AGAINST |~| UNDECIDED |“|

HERS FOR |~| AGAINST |~| UNDECIDED |“|

4. What is your view of 65 year old Social Security exemptions?

HIS FOR |“| AGAINST |“| UNDECIDED |~|

HERS FOR |“| AGAINST |~| UNDECIDED |~| 179

Which FIVE of the following would receive your highest priority for funding and federal action?

HIS HERS HIS HERS

Agriculture Foreign Aid

Cities Health

Pollution Highways

Crime Housing

Beautify Public Works

Civil Rights Social Security

Defense Space

Drug Addition Mass Transit

Education Other

Family Assistance

Which FIVE of the following should receive the most reduction in priority for funding and federal action.

HIS HERS HIS HERS

Agriculture Drug Addiction

Aid to Cities Education

Air and Water Family Assist

Anti-Crime Foreign Aid

Beautify Health

Civil Rights Highways

Defense Housing POLL CARD 1973

What is your position regarding the establishing of a national health insurance program?

HIS: For |_| Against |_J Undecided |~|

HERS: For |_| Against |_| Undecided |_|

Should the United States extend economic assistance for recon­ struction to North Vietnam once peace is achieved?

HIS: For |__| Against |_| Undecided |_|

HERS: For |_| Against |_j Undecided |_|

What is your position about an increase in the minimum wage from the present $1.60 per hour to $2.00 per hour?

HIS: For |_| Against |_| Undecided |_|

HERS: For |_| Against |__| Undecided |_|

Should part of the Highway Trust Fund be used to finance mass transit programs?

HIS: Yes |~| No |“| Undecided |“|

HERS: Yes |~| No |~| Undecided |“|

Since the President has opened up channels of communication with Mainland China, would you support similar efforts regarding Cuba?

HIS: Yes |~| No |“| Undecided |~|

HERS: Yes |“| No |“| Undecided |~|

Should the draft, which expires June 30, 1973, be extended by Congress?

HIS: Yes |“| No |~| Undecided |~|

HERS: Yes |“| No |~| Undecided |“| 181

7. How do you view reducing federal expenditures for education, health, and the environment in order to maintain current tax levels?

HIS: For |__| Against | | Undecided |_|

HERS: For |_| Against |_| Undecided |__| 182

POLL CARD 1974

If present government plans and citizens' efforts to reduce fuel and energy consumption prove inadequate, should Congress (select one):

HIS HERS

a. Relax and/or postpone previously enacted auto emission controls and other air quality standards. b. Eliminate all previously enacted standards.

c. Maintain pre-energy crisis plans and standards.

There are presently 319,000 U.S. troops assigned to NATO. Should Congress (select one):

HIS HERS

a. Increase our troop commitment to NATO.

b. Maintain this troop level until there is a mutual reduction agreement between NATO members and the Warsaw Pack powers.

c. Unilaterally reduce our troop commitment.

d. Unilaterally withdraw all of our troops.

The proposed FY 1975 Department of Defense budget is $85 billion. Should Congress (select one):

HIS HERS

a. Increase this amount by $10 billion.

b. Increase this amount by $5 billion. c. Keep it at the requested figure. III d. Reduce it by $10 billion. III e. Reduce it by $5 billion. □ The proposed 1975 Federal budget for the Office of Education is $5.2 billion. Should Congress (select one):

HIS HERS

a. Increase this figure by $1 billion. |_| |_J

b. Keep the budget at the requested figure. |_| |_|

c. Reduce the amount by $1 billion. |__| j_|

Wage and price controls will expire on April 30, 1974. Should • Congress (select one):

HIS HERS

a. Extend controls for another year. |_| |_|

b. Allow controls to expire. |_| |_|

In light of recently revealed campaign expenditure abuses, should Congress authorize the expenditure of public funds to finance political campaigns?

HIS HERS

a. Yes. |_J |_|

b. No. ID HI

Daylight Savings Time has been reinstituted on a year-round basis, ostensibly to conserve energy. After one month's experience with DST, which one of the following statements most closely reflects your opinion?

HIS HERS

a. Congress should repeal permanent Daylight Savings _ _ Time. |J |J

b. Congress should NOT repeal permanent Daylight _ _ Savings Time. |_| |_|

c. It makes no difference to me. |_J |_|

d. Undecided. till 184 POLL CARD 1975

1. Would you favor increased U.S. food contributions to starving nations if it meant that each American would have to consume less food?

Yes |_| No j_| Undecided |_J

2. What is your position regarding the creation of an independent federal Consumer Protection Agency?

Favor |_J Oppose |_J Undecided |_J

3. What is your position regarding the Constitutional amendment proposed by Senator Buckley which would prohibit abortion except when "reasonable medical certainty exists that the continuation of the pregnancy will cause the death of the mother?"

Favor |_| Oppose |_| Undecided |_|

4. What is your position regarding imposition of across-the-board wage, price, rent, interest, and profit controls as a means of combatting inflation?

Favor |_| Oppose |_| Undecided |_|

As a means of conserving energy, and thereby combatting one major cause of inflation, what is your position regarding:

5. A 20d per gallon tax increase on gasoline?

Favor |_| Oppose |_J Undecided |_|

6. The implementation of a gas rationing program?

Favor |_| Oppose |_J Undecided |_J

7. A tax on new automobiles in direct proportion to their engine inefficiency?

Favor |_| Oppose |_J Undecided |_J APPENDIX C

CORRESPONDENCE

This research was allowed complete access to the Washington storeroom and WANG where copies of all of Congressman Charles W.

Whalen, Jr.’s correspondence are kept. The following four letters appear without saluatory headings due to the fact that this protects the writer, and it is exactly the form in which they emerge from the

WANG.

185 186 COMMON SITUS PICKETING

Thank you for your communication in opposition to the Conference

Report to U.K. 5900, a hill to amend Section 8(b)(4) of the Taft-Hartley

Act with respect to picketing by unions in the building and construction industry. I appreciate your taking the time to apprise me of your views.

On July 25, the House passed the common situs picketing bill,

H.R. 5900, by a vote of 230 to 178. The Senate passed similar legisla­ tion on October 9 by a vote of 52 to 45. A House-Senate Conference

Committee revised the h i1 I in order to reconcile differences between the

House and Senate versions of the legislation, and incorporate in its final draft of U.K. 5900 the provisions of H.R. 5900, the Construction

Industry Collective bargaining Act. The completed measure was cleared for the President's signature on December 16. However, on January 2, the President vetoed the hill.

I supported H.R. 5900, both on initial passage and in conference form. Permit me to share with you my observations on the issues add re s s ed by 111 i a 1egI a I a t f on.

The Taft-Hartley Act of 1947 prohibits secondary boycotting in order to protect "neutral" employers from becoming enmeshed in labor disputes in which they have no direct interest. Specifically,

Section 8(b)(4) prevents unions from organizing strikes or work stoppages with the goal of forcing "any person to cease . . . doing business with any other persons." The late Senator Robert A. Taft, Sr. explained that the purpose of this provision was to protect "the business of a third 187 person who is wholly unconcerned in the disagreement between an employer and his employees."

In interpreting Section 8(b)(4), courts generally have applied the

"related work" doctrine. This interpretation holds that where related work is performed, the technically neutral status of other employers fully benefit from their picketing. The related work doctrine is at the core of the courts' distinction between primary and secondary picketing in the industrial context.

Nevertheless, in the Denver Building Trades case, the Supreme Court refused to apply the relatedness test in the construction context.

Instead, the court proceeded on the premise that employers at a construc­ tion site are separate legal entities.

The purpose of H.R. 5900 is to extend to workers in the building trades the same rights with respect to peaceful picketing now accorded to industrial workers. To prohibit the building trade unions from picketing a work site where their respective employers are not wholly concerned with the labor disputes of the other employers on that site deprives them of a right which other unions have.

While I agree that third parties wholly unconcerned should be protected, operations at a construction site are highly interdependent and assignments to each contractor are closely coordinated. Indeed,

the United States Court of Appeals for the Seventh Circuit recently

stated: "On a multi-employer construction site it is the general

contractor who contractually controls the worksite."

The common situs bill reflects the economic realities in the building and construction industry where the contractor and all the 188 subcontractors are engaged in a common venture each is performing tasks closely related to the normal operations of all the others. Since a mutuality of interest exists at a construction site, common situs picketing should not be construed as secondary within the meaning of

Section 8(b)(4).

Thus, I supported H.R. 5900, to correct the inequitable application of Taft-Hartley with respect to construction workers and plan to vote to override the President's veto when it comes to a vote on the House

Floor.

You may be interested to know H.R. 5900, as cleared for the

President, limits in five ways the circumstances under which common situs picketing can be carried out.

First, the right to induce employees to engage in common situs picketing is confined to "any individual employed by any employer primarily engaged in the construction industry on the site." Common situs picketing is not permitted against non-construction industry employers using their own employees to make repairs or renovations in existing structures.

Second, the construction of residential buildings of up to three stories is exempted from common situs picketing, provided the contractor did not by himself or with others gross $9.5 million or more in the preceding year.

Third, injunctions may be ordered against strikes or picketing which violates a collective bargaining agreement's no-strike clause.

Fourth, common situs picketing further is prohibited: a) when

State laws require separate bids; b) when the object is a product 189 boycott; and c) when the object is to remove an employee because of

membership or non-membership in a union.

Fifth, the provisions of H.R. 5900 do not apply for construction work begun prior to November 15, 1975, until one year from the bill's

effective date (90 days from enactment) for projects of $5 million or

less. For projects valued in excess of $5 million, the provisions do

not apply for construction work begun prior to November 15, 1975, until

two years from the bill's effective date. 190

FORCED BUSING

Thank you for your recent letter regarding forced busing. I appreciate your taking the time to apprise me of your views on this matter. Let me take a moment to discuss this issue with you.

Busing is an extremely emotional issue. In the heat of debate, concerned citizens often lose sight of two factors. First, what is the purpose of busing? Second, what is the source of its implementation. It might be worth our time to explore these two questions.

First, the goal of business is not to achieve racial integration - integration has never been a stated goal of our society. Busing is not invoked to attain quality education - this is a responsibility of local boards of education. Rather, busing is one means of remedying what has been adjudged by Federal courts as a violation of the Constitution (the

Fifth and Fourteenth Amendments). Specifically, busing is mandated in instances in which the court has determined that, through deliberate segregation by community officials, certain students have been denied equal rights guaranteed by the Constitution.

Second, what is the source of busing orders? Busing does not result from legislation enacted by Federal, State or local law-making bodies.

Rather, as indicated above, busing is implemented to remedy court- adjudged Constitutional violations. Busing plans either may be directly promulgated by Federal courts or developed by local school boards, subject to Federal court approval. 191

Since busing stems from Constitutional rulings made by Federal courts, it cannot be remanded by a popular vote, or by action of local, state or national legislative bodies. None of these has the power to upset the right of Federal courts to redress Constitutional violations.

Despite this fact, anti-busing amendments have been offered in the

House of Representatives. I have voted against such proposals because it is my view that Congress cannot deny to the Federal courts the right to prescribe a remedy for Constitutional violations.

It has been suggested that busing be prohibited by means of a

Constitutional Amendment. However, by in effect, changing the equal rights clause, such an amendment may have a serious and unintended impact against all minority groups in our country. This is why I would not vote for such an amendment (indeed, it seems unlikely that a two-thirds majority can be garnered in the United States Senate and House of

Representatives). 192

AID TO NEW YORK CITY

Thank you for your recent letter advising me of your opposition to

Federal aid to New York City. I appreciate your contacting me in this regard.

I share the views of those who argue that New York City should not be "bailed out" of its problems. In my opinion, it would be inappropri­ ate for the Federal government to provide New York with a disincentive for solving its problems or to provide other cities with an incentive for coming to Washington for help.

It is unfortunate, however, that while the problems of New York City stem from bad management at the local level, the repercussions of default would be felt nationally. Let me explain.

First, should New York City fail to meet its financial obligations, the assets of many banks across the nation would be in jeopardy. The loss of this capital would retard or even reverse our recovery from recession; thus, causing more unemployment.

Second, New York City's bankruptcy would adversely affect city and state bond markets by greatly reducing investors' confidence. A collapse of the minicipal bond market could result in the cut off of needed services and perhaps the temporary default of other cities.

Even if investors were to keep buying "municipals" they undoubtedly would demand a higher interest rate. Cities such as Dayton and Kettering then would be forced to impose higher taxes on their property owners.

Thus, the Federal government will become involved in the problem, either before, or after, the city defaults. I believe that the better 193 course of action would be to give New York some "breathing space," while it works its way out of its financial dilemma. This should be done by strictly constructed legislation, so that the mistakes of the past will be rectified by the City and State of New York, not paid for by the

Federal government.

The legislation which was passed by the House on December 2, and which was supported by the President, conforms to these principles. The measure provides for short term loans to New York City, maturing no later than the end of the City's fiscal year, for each year they are issued.

Interest for the loans shall be based on the current yield of government securities with comparable maturities, plus one percent per year. Loans shall not exceed $2.3 billion at any one time. The Treasury may require appropriate security, and no loans may be made unless the Security of the Treasury determines there is a reasonable prospect of repayment.

This legislation was considered only because of the stringent measures recently taken by the City and State of New York. These measures include $205 million in added taxes, getting a moritorium on

$1.6 billion in sort-term notes, and reducing the City's contributions to municipal employee pension funds. 194

TAX CUT EXTENSION

Thank you for your recent letter in which you express your concern over my vote to override the President's veto of the Revenue Adjustment

Act of 1975. I appreciate your taking the time to contact me in this regard.

As I am sure you are aware, a tax cut extension bill was passed by the House and Senate on December 19 which contained a Congressional commitment to reduce expenditures by an amount equal to the reduction of taxes that results from continuation of the tax cut beyond June 30, 1976.

The President signed H.R. 9968 into law on December 23.

President Ford had vetoed H.R. 5559, the Revenue Adjustment Act of

1975, because it did not contain provisions for a spending ceiling of

$395 billion for Fiscal Year 1977. Permit me to share with you two of the reasons why I voted to override the President's veto of the Revenue

Adjustment Act of 1975.

First, failure to extend the tax rates established by the Tax

Reduction Act of 1975 would have had a serious adverse impact upon the economy. If the tax rates had been allowed to rise, total disposable income next year would have been reduced by $16.8 billion - or $8.4 billion for the first 6 months of 1976. The resultant ripple effect - assuming a "multiplier" of 2.5 - would have led to a $42.0 billion annual contraction of consumer purchasing power. This would have come at a time when the American economy shows signs of slackening its pace of recovery from the most serious recession in four decades. In

November, for example, the industrial production index showed its lowest 195 growth rate - 0.2 percent - in 6 months. Further dampening of the

public's "ability to buy" certainly would not have been a sound

prescription for continued economic revival. Rather, it surely would

have led to higher levels of unemployment in 1976.

Second, the imposition of a premature ceiling on Federal expendi­

tures was ill-advised from the viewpoint both of economic policy and of

legislative procedure. Let me elaborate on these two points.

First, to impose prematurely a budget ceiling on Federal expendi­

tures would have been unsound economic policy. The Administration was

arguing that any extension of the 1975 tax cut had to be accompanied by

a $.395 billion spending ceiling for Fiscal Year 1977. While I endorse

the concept of an annual expenditure limitation and approve of efforts

to restrain the rate of growth of Federal outlays, under this proposal,

Congress was being asked to establish a spending level for a budget 9 months before its implementation and 21 months prior to its termination.

To attempt to project governmental needs this far in advance posed

serious risks.

Could Congress, for instance, have predicted the percentage of the work force which would be unemployed in July 1977? Could Congress have

foretold whether, by mid-1977, the economy would need further stimu­

lation or, having rebounded sufficiently, required more fiscal restraint?

Could it have known whether in the next 21 months an international crisis might erupt, necessitating substantial increases in defense or security

assistance appropriations?

Thus, prudence dictated that, to avoid error and to achieve desired

goals, policymakers should reach decisions as close as possible to the 196 time of augmentation. I felt that Congress should adhere to this principle by deferring until September 1976 its commitment to a final spending figure for Fiscal Year 1977.

Second, the early budget ceiling would have been unsound legislative procedure. A specific expenditure level was difficult to justify when the budget which it affected had not yet been drawn up or presented to

Congress. While cuts should, and can, be made for Fiscal Year 1977, they should be accomplished within a framework of established budget priorities. In my opinion, blind cutting is just as fiscally irresponsible as uncontrolled and unplanned spending. Moreover, by adopting then a Fiscal Year 1977 expenditure ceiling, Congress would have eroded its own fiscal decision-making apparatus provided by the

Budget and Impoundment Control Act of 1974.

In enacting H.R. 9968, Congress agreed to limit expenditures by an amount equal to the level of tax cuts continued beyond June 30, 1976, without prematurely establishing an arbitrary spending ceiling. Since the expenditure level will be subject to the Congressional budget process, economic conditions and unforseen circumstances that warrant a higher or lower expenditure level will be taken into account.

Therefore, I supported passage of H.R. 9968 and was pleased when this measure was signed by the President. APPENDIX D

PUBLIC SPEECHES

197 SPEECH BY CHARLES W. WHALEN, JR.

JUNE 5, 1969

AT THE

COMMENCEMENT EXERCISES OF STIVERS HIGH SCHOOL

DAYTON, OHIO

"STUDENT UNREST" 199

If a national survey were conducted, I am certain that "campus unrest" would be identified as the theme most often used in 1969

Commencement addresses. This was President Nixon's topic as he addressed graduates of General Beadle State College this past Tuesday.

Ohio Senator William Saxbe, speaking last week at Capital University's commencement exercises, also chose this subject.

The dilemma confronting university administrators and facilities throughout the United States is of special concern to me.

First, fourteen years of my life have been devoted to educating college students. In fact, I still retain my affiliation with the

University of Dayton, having been granted an official leave of absence as Professor of Economics while serving in my present position in

Washington.

Second, as a Member of Congress, I am the recipient of many constituent letters urging federal action to halt campus disturbances.

In view of these circumstances, I would like to "join the crowd," as it were, and take this opportunity to share with you my views concerning the subject of student-scholastic relations.

Campus disorders have been attributed to several causes. Some observers have stressed the concern of our youth with our Vietnam involvement. Others emphasize the backlash generated by the inequities in our Selective Service System. Reaction against racial discrimination often is cited as a source of student unrest. Finally, some ascribe distortion of our national values as a primary reason for student disenchantment. 200

Admittedly, all of these have contributed to some degree, to the growing disregard for authority on our nation's campuses. In my opinion, however, there is a more fundamental cause.

To understand why the authority of university officials, as well as teachers, is being challenged - by violence, in some instances - it is well to analyze the nature of authority.

Webster defines "authority" as a "right to command or act."

Authority is indispensable to man's nature. The individual respects the authority of an unseen Creator. A child recognizes the authority of his parents. An employee is subject to the authority of his employer, as is a student to his teacher, and the citizen to his government.

Authority may be exercised in one of two wavs.

First, there is "autocratic authority." Decisions affecting those subject to authority are made without consultation or recourse.

Second, there exists what I term "responsive authority." Responsi­ bility still remains with that individual who, by virtue of his position, can "command or act." However, when contemplating a course of action, he maintains an open-line of communication with his subordinates, thus insuring their participation in the decision-making process. Further, he establishes an appeal procedure for those who may oppose his conclusions.

Our forebears created in our country, a government based on the precepts of "responsive authority." Responsibility is vested in our elected officials. The citizenry, in turn, is subject to the laws promulgated, and administered by these officials. Autocracy, however, is avoided by the requirement that public official be subjected to a 201 periodic "review” by the electorate. Hence, an appeals mechanism - the ballot box - exists at all levels of American government.

Unfortunately, many institutions operating within the framework of our democracy have not always functioned in a manner compatible with our nation's guiding principles.

A prime example is in the area of management-labor relations. The eighty years between 1850 and 1930 saw our nation emerge as an industrial giant. However, the economic benefits wrought by this development were accompanied by mounting difficulties between employer and employee.

Management exercised its authority arbitrarily. Rights of workers were ignored. There thus emerged during this period a degree of unrest which makes our present-day campus disorders look like a pink-tea party.

For instance, in 1892 twenty men were killed at the Homestead Works of the Carnegie Steel Company in a battle between locked-out workers and armed Pinkerton guards. According to Rexford G. Tugwell, in his recent book, Grover Cleveland, "The issue was the recognition of the union and its right to bargain collectively. . . . But wages and conditions were far from reasonable. . . . The twelve-hour day with a swingshift of twenty-four hours once a week at the hardest labor; wages that would maintain a family only at the barest level of subsistence; and surroundings that were the familiar filthy slums of mine and factory towns - these were the intolerable conditions that caused rebellion."

In June, 1894, employees of the Pullman Company struck as a protest against a 25 percent wage cut. The strike resulted in property damage amounting to $80,000,000. On July 7 seven strikers were killed and many more were wounded by militia gunfire. 202 As late as 1937 employees occupied automobile plants in a series

of sit-down strikes which paralyzed the State of Michigan for several months.

In each of these, and similar instances the public clamored for a return to law and order. Armed force was used to quell these disturb­ ances. But, the cause of the unrest - "autocratic authority" - remained.

Only the passage of a series of landmark federal statutes (National

Railway Labor Act, the Norris-LaGuardia Act, the Wagner Act) gave workers the rights which heretofore they had been denied by employers.

With these laws also came an end to the violence and death which had * characterized many industrial disputes of the preceding half century.

Our nation’s universities now are the one non-government institu­ tion whose authoritarian structure has undergone little or no change.

Relationships between administration and faculty, administration and student, faculty and student, are much the same today as they were two centuries ago.

On many campuses, for example, a faculty member can be dismissed, without cause, at the end of his contract period. In many instances promotion and tenure decisions are arbitrarily made and are not appealable.

Student needs frequently are subrogated by professors who must adhere to the doctrine of "publish or perish." The quality of under­ graduate instruction sometimes is sacrificed on the altar of prestige- seeking graduate programs.

Curricula are developed with little consideration of the require­ ment of those whom courses of instruction are intended to benefit. A 203

college education is the only commodity in the market place whose buyer

pays $12,000 and has absolutely no voice in what he is to receive.

From the foregoing it can be concluded that "autocratic authority"

still is the order of the day on many of our college campuses. From my

own experience I realize that there is nothing malicious in this

posture. For instance, as a department chairman it just never occurred

to me that it might be productive to invite students to participate in

departmental faculty meetings. Yet, today this is being done! What I am saying is that it is human to accept the status quo until circum­

stances dictate otherwise.

The eruptions which have become a "way of life" on our college

campuses are comparable in many respects to the labor-management disturbances of the late nineteenth and early twentieth centuries.

The thrust of both is (and was) "change" - change from "autocratic"

to "responsive" authority.

We may deplore the violence which sometimes accompanies student protests, much as labor union members were excoriated fifty years ago.

Student actions may be supressed by armed force, just as union members were clubbed into submission a half century ago.

Federal funds may be withheld from students just as several decades ago employees were fired, without recourse, for their union activities.

In the face of all of this, however, two facts stand out.

First, suppression will not cure our college ills. 204 Second, campus peace will be restored only when attention is

focused on the cause of current disorders rather than on the disorders,

themselves.

Happily, on many campuses one can observe the beginning of a metamorphosis from "autocratic" to responsive authority.

Boards have been created to entertain faculty dismissal and promotion-denial appeals.

More specific tenure policies have been invoked, replacing the former subjective judgment system.

Administrators are involving, to a greater degree than ever before, students and junior faculty members in the formulation of curricula and policy decisions.

Campus disorders need not be a perennial problem. Indeed, just as industrial violence has been consigned to our history books, so, too, the current era of student violence can become an unpleasant memory of the past.

As in the case of the industrial strife of an earlier era, however,

today's student unrest will disappear only with a change in the manner in which authority is exercised.

Whether this change will be difficult or comparatively easy to accomplish depends upon the degree to which college authorities willingly accept it.

Having discussed a pressing national issue, let me now address myself directly to you graduates whom we honor tonight.

Some of you, upon departing from Stivers High School, plan to

further your education by enrolling in a four-year baccalaureate 205 program. Others will participate in the excellent two-year curricula

offered by our area's fine community colleges and technical institutes.

The rest of you will move directly into your life’s work.

As you embark upon your chosen activity - or perhaps "unchosen" if you are temporarily tapped by Selective Service - you should remember one important fact concerning the diploma you receive this evening.

Successful completion of four years of high school indicates that you have learned to think, that you have acquired certain skills, that you have the ability to respond to tests which periodically confront you.

Therefore, to the college or university to which you apply, or to your prospective employer, your diploma means that you are prepared to

succeed. I underscore the word "prepared." Your diploma, of itself, does not guarantee success. Achievement in your life's endeavors comes only through the diligent application of skills acquired and principles learned. What I am recommending, in other words, is hard work - or, more precisely, hard work intelligently directed.

The point you must always bear in mind, then, is this. A building

cannot be erected without a foundation. By the same token, a founda­

tion without a structure atop it is worthless.

You have built a solid foundation during your four years at Stivers

High School. To you I extend my sincere congratulations upon your completion of this effort.

Now it is up to you to erect the building. As you embark upon

this task, 1 wish you Godspeed! 206

SPEECH BY CONGRESSMAN CHARLES W. WHALEN, JR.

AUGUST 20, 1970

AT THE

OHIO AIR POLLUTION CONTROL BOARD’S

PUBLIC HEARING ON THE AIR QUALITY STANDARDS FOR THE

METROPOLITAN DAYTON INTRASTATE AIR QUALITY CONTROL REGION

"ENVIRONMENTAL QUALITY" 207

During my first year in the United States House of Representatives

(1967), I participated in the enactment of the legislation establishing the procedures which brought about this hearing. Therefore, I am particularly pleased to have the opportunity to be present this morning to observe the results of Congressional action at the grass roots level.

Since I am not a scientist or chemist, I will not comment on the merits of the proposed regulations in front of you. Rather, as an economist and legislator, I would like to take just a few moments to place the discussion which will follow in the context of the overall problem of pollution abatement.

In the last year or so, citizens have manifested growing concern over the quality of our environment. Voluminous studies and reports on every phase of our environment appear almost daily. In the spring, we even celebrated an Earth Day. Few private citizens realize, however, that Congressional interest preceded by many years these recent expres­ sions of public concern. It should be noted that since 1899, Congress has enacted a substantial body of law designed to halt the destruction of our environment and to improve its quality. In the last two decades alone, at least 20 major bills have become law. These range in scope from the national trails, wildernesses, and scenic rivers programs to the 1948 Water Pollution Control Act and the 1955 Clean Air Act. Both of these latter laws, incidentally, have been amended and strengthened on numerous occasions.

But public concern is extremely important. As a result of the growing interest in the problems of pollution, the Federal government and other jurisdictions now will be in a stronger position to forge 208 ahead in the longstanding objective of providing a better environment.

As Senator Muskie, the author of several air and water pollution control bills, recently stated: "A great many of these measures were compromised during the legislative process because there wasn't the public support and the sense of urgency we now see. So we now have an opportunity to strengthen them in these respects, to eliminate the weaknesses and to strengthen them . .

As I just mentioned, today's meeting is a direct result of amend­ ments to the Clean Air Act which Congress approved in November, 1967.

This law provides for a regional approach to air pollution control and for Federal-State coordination in attacking the problem. To carry out the first objective - the regional approach - the Secretary of Health,

Education and Welfare is authorized to designate air quality control regions. In accordance with that directive, on October 2, 1969, the

Secretary proposed that the counties of Clark, Darke, Greene, Miami,

Montgomery, and Preble be designated the Metropolitan Intrastate Air

Quality Control Region. This designation was confirmed on December 9,

1969, by HEW Secretary Finch.

The second objective - Federal-State coordination in attacking the problem - went Into operation when the State of Ohio filed with Secretary

Finch a letter of intent indicating that the State would adopt air quality standards for the region within 180 days. This hearing, then, is being held to consider the proposed regulations which the State will submit to the Secretary. The final step will be the State's plan to implement and enforce the region's air quality standards which is to be 209 presented to the Secretary 180 days following the adoption of the standards.

Legislation is now before Congress which will further strengthen the Clear Air Act. At present, the Secretary of HEW does not have the authority to establish standards for stationary sources which emit pollutants. The 1967 law gave him the right to prescribe such regu­ lations only for motor vehicles. In June, however, the House of

Representatives passed a measure which extends the Secretary's power in this area by directing him to establish national ambient air quality standards. The Senate is expected to act on the House-approved bill, I or a similar proposal, before adjournment.

I believe the establishment of national standards is imperative.

If they are not promulgated, pollution havens will be created through­ out the country. By that I simply mean that if, for example, standards here in the Dayton area are more restrictive than those in Columbus, there would always be the inclination for industry to locate or move there where standards are lower. The only way to prevent this situa­ tion is standardization on a national scale.

Nevertheless, in urging national standards I recognize that, as ultimately prescribed, they may (and should) exceed the present state of the art. Thus, some time latitude must be allowed between their promulgation and implementation. This would permit our American know­ how and technology, in which I have great confidence, the time to develop new processes which would permit conformance to these federal criteria. As proposed by the House of Representatives, the new air 210 quality standards would be enforced within ten to sixteen months after their adoption. This, I believe, is a reasonable timetable.

In closing, let me briefly discuss the cost we must be prepared to meet if we are sincere in our anti-pollution crusade.

In this country during this century, we have witnessed unparalleled technological and scientific development. Correspondingly, production and output have rapidly expanded making it possible for the benefits of these achievements to filter into the life of every citizen.

As a result of this increased productivity, this nation enjoys the highest standard of living in the world. Yet accompanying this progress have been problems which have been shared by all of us. Let me explain.

As consumers, when we buy a product or a service, its selling price has been established to cover three elements of cost. These include the cost of labor, the cost of material, and a sum sufficient to provide the producer a return on his investment (referred to by economists as "profit").

The pricing process largely has ignored a fourth cost. It is what I term the "social cost." Herein lies the problem. The unmet

"social cost" reflects the damage and destruction to our environment generated by the production and utilization of our nation's goods and services. The industrialization of our society has polluted our air, dirtied our water, and disrupted the ecological system of the nation and the world. Now that we recognize our negligence, we must begin to meet these past social costs and to prepare to accept the expenses we can anticipate in the future. 211

In broad terms, our first responsibility is to clean up the mess already created. Since we cannot turn back and assess these costs against the original sources of pollution (even if this actually could be determined), this past expense can only be met out of tax revenues at the Federal, State, and local level.

Second, we must stop the future destruction of our environment.

Realistically, how can this be accomplished?

It is recognized that the automobile is an important cause of air pollution. Certainly, it would be unrealistic to espouse as a remedy the elimination of automobiles. Just as absurd would be to expect the country to do without electric power in order to prevent thermal pollution. These products - the automobile and electricity - are necessary for the continued mobility and efficiency of our nation.

Rather, the answer lies elsewhere. If we are to combat pollution rationally and effectively, two steps must be taken.

First, it will be necessary to alter present productive processes so that they will not contribute to environmental pollution. This requirement, undoubtedly, will mean substantial investments in new capital equipment, thereby increasing production costs.

Second, the good or service, itself, must not pollute the atmosphere when used by the consumer. This requirement undoubtedly will increase the cost of the materials incorporated in the final product.

Who should pay for the additional capital and material costs which necessarily will occur if we are to win our battle for a cleaner

America? 212

These costs, In my opinion, should be borne by those who already absorb the other costs (labor, material, and investment returns), namely, those who use the product. It does not appear equitable to me that those who do not own an automobile, for instance, should have to pay for the environmental damage wrought by those who use this mode of transportation.

For this reason, I do not subscribe to the tax relief and tax credit plans which some private and governmental officials have advocated. I do not believe that the general public should have to subsidize in this way the consumers of products which pollute. This simply means that if he is sincere about acquiring a good or service whose production and use will not injure our environment, the purchaser must be willing to pay a higher price than heretofore.

The thrust of my presentation today has been twofold. First, national, rather than regional or local standards ultimately must be adopted if our fight to improve our environment is to succeed.

Second, future "social costs" of pollution must be met by the consumer.

I hope that my comments with respect to national standards will not discourage you or make your task here perhaps appear unnecessary.

To the contrary, your meeting today serves two essential purposes.

First, it fosters the citizen involvement which is so necessary to the solution of our pollution problem. Second, the standards formu­ lated as a result of this and similar sessions will serve as the foundation upon which federal criteria can be established. REMARKS BY CONGRESSMAN CHARLES W. WHALEN, JR.

FRIDAY, AUGUST 13, 1971

BEFORE ELECTED OFFICIALS OF

THIRD CONGRESSIONAL DISTRICT POLITICAL SUBDIVISIONS

DAYTON, OHIO "METROPOLITAN DAYTON" 214 I. METROPOLITAN DAYTON - ITS ASSETS

If it is true that "a person is judged by the company he keeps,"

I am in good standing as a Member of Congress. I say this because the

Dayton area is held in such high esteem by my colleagues and by those

in the Executive Branch with whom I deal.

Ten days ago, for example, I had the privilege of introducing

Mr. L. Bennett Coy and Mr. James F. Clarke to the members of the House

Public Works Committee. Congressman James Wright of Texas, acting

Committee Chairman, was very familiar with the history and the accom­

plishments of The Miami Valley Conservancy District on whose behalf

Messrs. Coy and Clarke were testifying. Chairman Wright noted that our

Conservancy District has served as a model throughout the country.

Representative Fred Schwengel of Iowa affirmed this. He stated that the

Iowa Legislature is in the process of adopting a conservancy code

patterned after the Ohio law drafted decades ago by Daytonian John A.

McMahon.

One of my good friends on "the other side of the aisle," Representa­

tive Edward Boland of Springfield, Massachusetts, ran unopposed in 1960.

He, therefore, spent the fall of that year campaigning in Ohio for his

fellow Bay Stater, John F. Kennedy. Of all of the Ohio cities he

visited, Eddie was impressed most with Dayton. On numerous occasions he

has mentioned to me that Dayton's many visible assets could have sprung

only from effective, long-range planning.

My contacts in the Justice Department's Law Enforcement Assistance

Administration view the City of Dayton's police program as one of the

nation's best and most forward-looking. Tangible evidence of this 215 sentiment manifested itself in 1970. From among many applicants throughout the country, Dayton was one of three communities selected by the LEAA to serve as a "pilot city" for a comprehensive demonstration of law enforcement and criminal justice improvements.

The Department of Housing and Urban Development (HUD) in its official publications repeatedly points to Dayton's Model Cities program as a shining example of community involvement. This attitude led HUD officials two weeks ago to designate Dayton as one of twenty participants in the Administration's new Model Cities Planned Variations undertaking.

Following the New York Times' highly complimentary story concerning the housing plan developed by the Miami Valley Regional Planning

Commission, 1 received numerous expressions of interest from fellow legislators.

As might be expected, in introducing myself to a new Member of

Congress, the response invariably is: "Oh, yes, you represent the Home of Aviation." One cannot walk very far on Capitol Hill without encountering a cash register. Dayton-made refrigerators grace every

Representative's office. And our institutions of higher learning also are greatly respected by Members of Congress. Recently, two of my associates - Representative James Hanley of Syracuse, New York, and

Representative Robert Casey of Houston, Texas - informed me that their daughters will be enrolling in the University of Dayton later this month. 216

II. METROPOLITAN DAYTON - ITS PROBLEMS

Yes, it's gratifying to represent in Congress such a highly regarded District. Nevertheless, for some time I have been disturbed about our area's future. In part this concern stems from our present economic malaise, only a portion of which is attributable to the nation-wide business downturn (U.S. unemployment, 5.6 percent; Ohio unemployment, 5.9 percent; Metropolitan Dayton unemployment, 7.2 percent).

Metropolitan Dayton's deserved reputation is traceable to its most important resource - its people. Yet, as the late Mel Spayd often observed, "Dayton's greatest strength also is its greatest weakness."

He was referring to the fact that our highly skilled labor force, with its concomitant high wage level, discouraged new industry from locating in the area. Unfortunately, Mel's prophecy has proved only too true.

There exists another dimension to this expansion-deterence dilemma.

Each year our existing facilities grow older and become less efficient.

Frigidaire's initial Moraine City plant, for instance, was constructed in 1926. The Taylor Street buildings were erected in 1921. Wright aircraft were assembled in 1910 in Inland's West Third Street buildings.

Delco's East First Street Complex was begun in 1912 with later additions in 1916 and 1923. Chrysler Airtempt occupies units built in 1934.

There is little financial incentive for corporations to retain inefficient, tax-depreciated structures. Just last week I was advised by the Washington representative of the St. Regis Paper Division that his firm was abandoning its West Dayton mill which commenced operations in 1907. In recent years several other Dayton-based industries, 217 including the Dayton Envelope Company, Master Electric Corporation,

Buckeye Iron and Brass Works, and the Rockwell Corporation, have closed their doors. This year both the Frigidaire Division and the McCall

Corporation have considered moving their local operations elsewhere.

There are many other problems which raise doubts about the future viability of the Dayton Metropolitan Area.

First, our educational program is clouded. Last year fourteen of seventeen school issues were rejected by Third Congressional District voters.

Second, defeat of revenue proposals also have caused a deterioration of municipal services. Since February the City of Dayton has reduced its staff positions by 375.

Third, much of the middle class has migrated to the suburbs. This has left the central city with a residue of blue collar workers, 30 percent of whom are black and a large portion of whom are definably poor.

Fourth, this emigration has led to polarization within the City of

Dayton. This, in turn, has heightened racial frictions.

Fifth, existing political subdivisions possess limited jurisdiction.

Thus, not only is governmental resolution of these deficiencies unattain­ able, even bringing them into focus is impossible.

Upon further reflection it is my judgement that the aforementioned ailments may be symptomatic of a more urgent need. I recall an occasion several years ago when I was early for an appointment with one of the staff members of the Dayton Area Chamber of Commerce. While waiting in the outer office, I removed from the Chamber’s bookshelf a small volume 218 written by the late John H. Patterson. In it were notations by

Mr. Patterson under the heading "Things To Be Done For Dayton." As each goal was reached, it was checked off by Mr. Patterson. I am convinced that this kind of long-range planning, which so impressed

Congressman Boland eleven years ago, is sorely required today. Simply stated, our area suffers because it lacks purpose and positive direction!

III. METROPOLITAN DAYTON - ITS FUTURE

Can the Metropolitan Dayton Area undergo a renaissance? I believe that it can. There is no magic formula, however. The key to rejuvena­ tion is the same as that which elevated us to greatness during the past half century - namely, the people of our area.

Revitalization must begin with an appraisal of Metropolitan Dayton's assets - actual and potential - and its limitations. From this assess­ ment realistic objectives can be established. Only in this way can we define and attain the kind of an area we want for ourselves and our families.

How can this self-analysis best be accomplished? To help answer this query, I contacted one of Dayton's most famous native sons, Bob

Nathan. "Bob," I said, "Your organization is working to save

Afghanistan; what can you do to save your old hometown?" For those of you who may not know Bob, he is one of the nation's foremost economists, serving as a member of TIME MAGAZINE'S panel of economic experts. Also, he heads Robert R. Nathan Associates, Inc., an internationally known consulting firm with twenty-five years of experience in a wide variety 219 of socio-economic development programs in the United States and abroad.

His clients include foreign governments (yes, Afghanistan!), inter­ national organizations, many departments and bureaus of the United States government, states and cities, business organizations, trade unions, foundations, and community action agencies.

Bob expressed surprise when he learned of the problems afflicting the Metropolitan Dayton Area. He indicated a strong desire to help ameliorate this situation in any way possible. Thus, for the past two months Bob and his staff have been working with me to develop a workable self-renewal approach.

Last week Bob and his staff submitted to me an outline of such a plan. The effort envisioned by the Nathan organization closely parallels that which I had evolved in my own mind. It would:

1. Mobilize community leadership in the Metropolitan Dayton Area,

2. Mobilize research and analysis capability in the Metropolitan

Dayton Area,

3. Provide technical expertise in the full range of urban problems

facing the Metropolitan Dayton Area,

4. Analyze and identify the problems faced by the Metropolitan

Dayton Area,

5. Create broad public awareness of these problems,

6. Draft programs for attacking these problems keyed to this

developing awareness,

7. Consolidate these programs into a comprehensive PLAN FOR

ACTION, 220 8. Mobilize resources to implement this PLAN, and

9. Provide an institutionalized community leadership organization

supported by local urban specialists to continue to deal with

the problems of the Metropolitan Dayton Area.

Nathan officials concur with my previously stated view that the mobilization of local leadership into a formal operational organization is the crucial element in any plan to revitalize our area. All project activities from beginning to end must revolve around this organization.

It should draw upon all segments of the area - representatives of political institutions, business and industry, educational systems, labor unions, as well as various other community organizations.

With this composition, the leadership group obviously will be highly heterogenous. It will contain members whose concerns and ambitions do not necessarily coincide. In fact, they often may be in conflict. The various political units will have interests which are diverse. One can assume that industry and labor will view issues from opposite perspectives. Racial and ethnic spokesmen may have entirely different agendas and styles. Despite these built-in differences, a cohesion must develop if the leadership group is to be truly representa­ tive of Metropolitan Dayton and it if is to mount a successful attack on our area's ills. It undoubtedly would be necessary for this leadership committee to contract with a research organization to assist it in dealing with the full range of problems besetting Metropolitan Dayton. To render this aid, the contractor would provide a team of consultants. This team would combine expertise in such disciplines as urban economics, local 221 government, public administration and management, communications, community development, education, health, and manpower. Bob Nathan also suggested that, in support of this research team, the contractor assemble a panel of nationally-known authorities skilled in the areas relevant to the Metropolitan Dayton study. Likewise, local resources, including area university faculties, most certainly should be utilized.

What would be the time-span of this undertaking? The Nathan staff foresees an eighteen-month period during which the assistance of an outside research organization would be required. After this, the leadership committee and local supporting groups should be prepared to continue ACTION PLAN implementation without outside help. The project, as Bob Nathan and his associates see it, would be phased as follows:

MONTHS FROM CONTRACT SIGNING WITH OUTSIDE RESEARCH FIRM BENCHMARK

2 Establishment and organization of group

4 Completion of area profiles and analyses

10 Preparation and approval of ACTION PLAN

18 Tool up for, and begin, imple­ mentation of ACTION PLAN

Before proceding further, I want it understood that the foregoing thoughts do not represent a firm proposal or a definite plan of action by Robert R. Nathan Associates, Inc. I present these ideas to you this afternoon merely as a starting point - a basis for further dialogue. 222

IV. CONCLUSION

Fifty-eight years ago the Miami Valley experienced a disastrous flood. Rallying to the cry "Remember The Promises You Made In The

Attic," our citizens responded to this challenge in a manner which brought great prosperity and national prominence to Metropolitan

Dayton.

Today flood waters are not lapping at the second floor of Dayton

Area residences. But cracks in the dike are discernable!

As I wrote you on August 3, a review of Metropolitan Dayton's future by elected area officials could prove extremely productive. It was for this reason that I invited you for luncheon today.

As we commence our discussion, I suggest that we consider two questions.

First, is the development and implementation of a plan of action to assure the continuing viability of the Metropolitan Dayton Area worthy of further study?

Second, if so, would it be desirable for us, the elected officials of the area, to constitute ourselves an Ad Hoc Committee to investigate the feasibility of such an effort? REMARKS BY CONGRESSMAN CHARLES W. WHALEN,

FRIDAY, MARCH 16, 1973

BEFORE THE

ASSOCIATION FOR SYSTEMS MANAGEMENT

DAYTON, OHIO

"FOREIGN TRADE AND AMERICAN JOBS" 224

I. INTRODUCTION

For years foreign trade has been a neglected element of America's economy. This stems largely from the fact that United States' partici­ pation in international commerce has been small in relation to our total economic effort. Our export-import total, as a percentage of gross national product, has been substantially less than that of other major industrial nations. Yet, because of our size, we are the world's leading trading nation.

During the past decade, however, there has developed a growing public concern regarding our foreign trade posture. Initial awareness was sparked in the 1960s by recurring balance of payments deficits.

Then, in 1971, for the first time in this century, our country suffered a trade deficit (imports exceeded exports). Finally, as domestic unemployment mounted during 1970 and 1971, some began to question whether our international trade patterns might not have contributed to this dilemma.

Merchandise Merchandise Total Trade *U.S. Foreign Trade Exports (bill) Imports (bill) % of GNP

1961 $20.1 $14.5 6.6%

1971 43.5 45.6 8.4%

Other Industrial Nationa (1971)

Great Britain 22.3 24.0 34.2%

West Germany 39.0 34.5 33.8%

Netherlands 13.8 15.4 80.0% 225 The following analysis will focus on the last issue: namely, what effect has United States1 foreign trade had upon jobs? Specifically, has it created jobs? Has it cost jobs? What is the overall result in terms of total jobs?

II. INTERNATIONAL TRADE AND THE LOSS OF JOBS

Macroeconomists (those who study aggregates) tend to ignore micro- economic considerations. Thus, many who argue that tariffs, quotas, and other protective measures harm the total economy, fail to consider the plight of those individuals who might be adversely affected by foreign imports or by investment of American capital abroad. In so doing, these scholars fail to provide a constructive alternative to protectionism.

Indeed, there is substantial evidence that certain individual jobs have been eliminated by imports and foreign investment. Recently a distinguished Brookings Institution economist, Lawrence Krause, under­ took a detailed study to measure the effects of foreign trade upon our society. As noted in the November, 1971, issue of FORTUNE MAGAZINE,

Professor Krause concluded that "... the rise in imports and the decline in certain categories of exports wiped out 182,200 jobs" between the first quarter, 1970, and the first quarter, 1971 (I will touch upon

Mr. Krause's other observations later).

The ramifications of this revelation were made clear to me in a very personal way. In 1968, a Dayton firm (in my Congressional

District) producing printing machinery employed 655 persons. In that year its product was unchallenged in our country and had little 226 competition abroad. Today two foreign-owned, Italian-based companies have captured almost all of the European market formerly dominated by the Dayton organization. The Italian producers also have made inroads domestically, now accounting for fifty percent of the printing machinery sales in the United States. To combat this competition, the Dayton company has shifted much of its production abroad. As a result, by

Mid-1972 employment in the Dayton factory had dropped to 185, a loss of 470 jobs in four years. The remaining positions soon will disappear when the firm ceases its Dayton operations.

III. THE ISSUE

Recognizing that importation of foreign-produced goods and exportation of American capital do cost jobs, a fundamental question arises: What can be done to assist the individual suffering the threat of, or the effects of, job elimination without, concurrently, harming the total economy?

IV. FAILURE OF PRESENT ASSISTANCE PROGRAMS

In 1962, at President Kennedy's behest, the Congress passed the

Trade Expansion Act. This legislation armed the President's Special

Trade Representative with the authority to negotiate mutual tariff reductions with other GATT (General Agreement on Trade and Tariff)- member nations. The objective, of course, was to expand export opportunities for American producers. Congress realized, however, that tariff reductions are a two-edged sword. Consequently, incor­ porated in the Trade Expansion Act of 1962 was a Trade Adjustment section. It was designed to cushion the shock of increased imports in emanating from any agreement concluded by the President's trade negotiator.

Regrettably, this provision, in its implementation, has proved to be a dismal failure. Experience during the past ten years reveals that the Trade Adjustment clause contains three fundamental weaknesses.

First, the criteria for assistance are too rigid. In order to qualify for aid, the worker and his firm must prove that injury resulted in major part from trade concessions granted by the United States government. Substantiating this is a difficult (if not impossible) and time-consuming task.

Second, adjustment assistance applications, upon submission to federal authorities, face a long investigative process prior to certification.

Third, if the application ultimately is approved, assistance is received long after the problem arises. This fact was verified by James

T. Lynn, Under Secretary of Commerce (now Secretary of Housing and Urban

Development Department) during his May 10, 1972, appearance before the

Foreign Economic Policy Subcommittee of the House Foreign Affairs

Committee. Mr, Lynn noted that certification procedures are so lengthy that "many firms do not qualify until they have reached a point of virtual bankruptcy. Too often, then, assistance can become a case of giving blood transfusion to a corpse." Thus, Secretary Lynn conceded that "we can recognize and appreciate the widespread feeling that the present structure of trade adjustment assistance is defective in several important respects." 228 The results of these deficiencies were delineated by Laurence H.

Silberman, Under Secretary of Labor, during the same session of the

Foreign Economic Policy Subcommittee. Mr. Silberman testified: "For the first seven years after enactment, until almost the end of 1969, no relief was provided to aggrieved workers or firms because they were not found by the Tariff Commission to meet the qualification standards of the program. . . . Since that time, the (Labor) Department has issued

57 certificates of eligibility of workers to apply for trade adjustment assistance under the TEA. The terms of these certificates, which identify workers laid off from a specific plant or section thereof and the impact date, cover approximately 24,000 individuals.11

No wonder, then, that the AFL-CIO's 1971 pamphlet, "Needed: A

Constructive Foreign Trade Policy," dismissed the adjustment assistance effort as a "hoax."

V. THE NEED - A NEW APPROACH TO THE PROBLEM OF FOREIGN TRADE- RELATED UNEMPLOYMENT

In view of the limitations inherent in present Adjustment Assistance statutes, a new approach to the problem of foreign trade-inspired unemployment obviously is required. Two avenues have been proposed.

First, a substantial majority of the witnesses participating in the

Foreign Economic Policy Subcommittee's 1972 hearings advocated enactment of an expanded, more viable trade adjustment assistance program.

Second, several spokesmen representing organized labor urged legislation which would limit imports and restrict investment of United States capital abroad. 229

The Foreign Economic Policy Subcommittee opted for the first approach. In its Report issued August 20, 1972, the Subcommittee concluded:

"In order to strengthen and solidify our domestic economy

and our foreign economic policy, adjustment assistance

should have the primary claim on policy attention as a far

less disruptive alternative to import restrictions."

In conformance with this principle, the Subcommittee then outlined a series of specific proposals. A summary of the principal recommenda­ tions follows.

t First, an early warning system should be devised to avert economic dislocations and unemployment before they occur.

Second, assistance criteria should be simplified and liberalized to lessen the degree of uncertainty and the time lag now extant in the petitioning process.

Third, there should be an increase in the amount and duration of adjustment assistance.

Fourth, the requirements concerning previous work and earnings should be liberalized so that there is broad qualification for those who have been separated from adversely affected employment.

Fifth, adjustment assistance should be made available to workers in separate units of multi-plant firms.

Sixth, older workers must receive more equitable arid constructive assistance. 230 Seventh, the government should assume the responsibility for maintaining the eligibility of an adversely affected worker for family health insurance, social security, and unemployment benefits.

Additionally, legislation should be adopted to provide a portability mechanism which would protect the pension rights and other benefits of workers who have changed jobs.

Eighth, the retraining period should be extended to permit com­ pletion of the extensive programs required for high skilled services and technologically advanced industries. Further, workers still on payrolls, but who are threatened by the loss of future employment, should be eligible for retraining programs.

Ninth, a national employment service should be created to undertake expanded job training and counseling efforts. With the aid of an early warning system and a nationwide computer complex, this manpower service should be able to match workers and jobs, reduce actual and anticipated critical skill vacancies, and help correct geographic imbalances by directing unemployed workers to areas where their skills are in short supply.

Tenth, more reasonable relocation assistance should be provided to all workers displaced because of foreign competiton, not just heads of households.

Eleventh, administrative complexities should be reduced to accelerate certification and delivery of worker benefits.

Twelfth, a special package of benefits, such as extended readjust­ ment allowance payments, health coverage, and intensive job counseling, 231 should be made available in those special situations where workers are unable to take advantage of regular adjustment programs.

Thirteenth, firms adversely affected by foreign imports should be provided more attractive types of financial assistance. These should include loans with more favorable terms than regular commercial credit and interim financing between approval and delivery of benefits.

Fourteenth, new emphasis should be placed on research and develop­ ment assistance for projects which create new job opportunities.

Fifteenth, joint worker-firm-community petitions should be permitted. These could facilitate coordination of community develop­ ment projects which are designed to assist the area to diversify its industrial base and to rehabilitate those injured by foreign competion.

Sixteenth, in cases where adjustment assistance would be an insufficient remedy, the government should have the authority to negotiate orderly marketing agreements. These arrangements should be limited in time, with a specified termination date, designed to facilitate, not deter, the adjustment process.

The annual cost estimate of this expanded Adjustment Assistance package ranges from $300 million to $500 million. Some may view this figure with alarm in the light of current budgetary constraints. Yet, the alternatives - protectionism or no action at all - would be con­ siderably more costly to American taxpayers and consumers.

According to Mrs. Gail Bradley, First Vice President of the League of Women Voters of the United States, present trade restraints probably add "about $200 to $300 a year to the average family's budget." As 232 will be explained later, further import restrictions most certainly would boost the cost of living for all Americans.

Totally ignoring trade-inspired unemployment also involves heavy financial burdens. Not only do families of the unemployed suffer economic deprivation, public expenditures will increase substantially to meet mounting welfare and unemployment compensation demands.

On October 14, 1972, I co-sponsored H.R. 17188 which encompassed most of the foregoing recommendations. Time constraints precluded its consideration in the Ninety-Second Congress.

On February 28, 1973, I re-submitted the Trade Adjustment Assist­ ance Organization Act. In offering this bill, I believe it complies with the Subcommittee's consensus "that what is needed are practical and timely adjustment mechanisms to respond to trade-induced unemployment and non-competitive industries on a national basis."

In my opinion, this represents a more economically sensible approach to the problem than the suggested alternative - import and foreign investment restrictions - which I now shall analyze.

VI. ANALYSIS OF THE ALTERNATIVE APPROACH - TRADE AND INVESTMENT RESTRICTIONS

A. Background

The growth of United States-owned foreign assets, coupled with our deteriorating trade balance, led AFL-CIO President George Meany to observe in a filmed speech, presented on June 3, 1972, that "900,000 job opportunities have been lost in the past five years to imports and overseas subsidiaries of U.S. companies." President Meany stated that

"the flood of imports is drowning whole communities." We charged that 233 multi-national corporations are making "higher profits by building plants in foreign countries that give industry hugh tax breaks and by hiring low-wage workers." Mr. Meany concluded his filmed talk by urging enact­ ment of the Burke-Hartke Bill, which he said is the "common sense" approach to foreign trade and investment.

B. The Burke-Hartke Bill

On September 28, 1971, Representative James A. Burke (D-Massachu- setts) introduced H.R. 10914 - The Foreign Trade and Investment Act of

1972. On the same day a companion measure, S. 2592, was presented in the Senate by Senator Vance Hartke (D-Indiana). These bills were not considered in the 92nd Congress either by the House Ways and Means

Committee or the Senate Finance Committee. Thus, the authors are co­ sponsoring this legislation again in the 93rd Congress (HR. 62 and

S. 151).

The purpose of this proposal, as defined in its preamble, is "to promote and maintain a fully employed, innovative and diversified production base in the United States." To achieve this, it seeks to insure "that the production of goods which have historically been produced in the United States is continued and maintained" and "produc­ tion of such goods . . . transferred abroad . . . be encouraged to return to the United States." Burke-Hartke would accomplish these aims in two ways: (1) restrict imports; and (2) limit United States foreign investment.

Specifically, the recently introduced Foreign Trade and Investment

Act of 1973 imposes quotas on all imports not now subject to such 234 provision. The bill provides that 1973 imports for each category of

goods shall not exceed the average annual quantity which entered our

country during calendar years 1965-1969. This would reduce import levels

in 1973 by approximately 30 percent.

Further, Section 103 eliminates the present law which enables

American corporations to claim as a full credit against their domestic

tax liability those taxes paid to foreign nations on profits earned by

subsidiaries operating in those countries.

This, of course, would subject the American firm to double taxation

on profits earned abroad - taxes to the host country as well as our own.

Burke-Hartke also requires that earnings and profits from foreign

investments be reported in the year in which they are earned rather than f when they are repatriated.

C. Fundamental Questions Relating to Burke-Hartke Proposal

Any discussion of the Foreign Trade and Investment Act of 1973

should focus on two fundamental questions:

First, are its premises valid? Specifically, has the principal

cause of our recent unemployment problem been increased American

imports and foreign investment?

Second, what economic effects would ensue from passage of

Burke-Hartke? How would the individual American family be affected?

Would unemployment decrease or increase?

In the following paragraphs I shall examine each of these two issues. 235 D. Are Premises Valid?

(1) Net effect of Trade (Exports-Imports) on Domestic Jobs

As already noted, imports do eliminate domestic jobs. Nevertheless, the question remains: Did imports contribute significantly to the

1970-72 level of unemployment? In the study to which I previously referred, Professor Lawrence Krause concluded that between the first quarter, 1970, and the first quarter, 1971, very little of our unemploy­ ment was related to international trade. Professor Krause observed:

"If unemployment had increased only because of trade dislocations, the unemployment rate would have risen from 4.16 percent at the beginning of the period to only 4.18 percent at the end, rather than to the actual

5.93 percent."

Recent employment statistics reinforce this conclusion. Our nation in 1971 and 1972 sustained, respectively, trade deficits of $2,014 billion and $6,347 billion. Yet, during these same twenty-four months total civilian employment (seasonally adjusted) rose 3,782,000 (from

83,4585,000, as of December 31, 1970, to 87,267,000, as of December 31,

1972). Also, during this two-year period unemployment declined 571,000

(from 5,058,000 at the end of 1970 to 4,487,000 by December 31, 1972).

If foreign trade is not the culprit, what caused rising joblessness during 1970 and 1971? Actually, it is attributable to the inflationary crunch of the late 1960s. As prices rose in 1966, 1967, 1968, and

1969, the buying power of a growing number of segments of the economy declined. Let me cite four such areas. 236 First, those living on fixed incomes, such as pension recipients, witnessed a 16 percent drop in their purchasing capacity between

December 31, 1965, and December 31, 1969.

Second, employees of firms operating in a highly competitive environment saw, during those years, their ability to buy dissipate.

Their employers simply were unable to offset any cost increases by raising their prices; hence, wages lagged.

Third, certain of our foreign markets were lost during this four- year period. While American prices increased 16 percent, between the end of 1965 and December 31, 1969, the prices of our major foreign competitors rose more slowly. Consequently, potential foreign buyers began diverting their purchases to lower-priced non-American products of equal quality.

Fourth, even those who were protected by large unions saw their

"real" wages decline during these same 48 months. For example, in

December 1965, according to the Bureau of Labor Statistics, spendable average weekly earnings of manufacturing employees was $104.42 (1967

dollars). Due to the erosive effects of inflation, the manufacturing employee’s spendable average weekly earnings, as of December 31, 1969, had dropped to $102.40. This represents a $2.02 per week decline in

labor's "real buying power" during the last four years of the past

decade.

What lesson can be drawn from this? When consumers (domestic or

foreign) suffer a reduction in their purchasing power, they buy less.

Following this are cut-backs in production and employment levels. This

is as inevitable as night following day. This is why Real Gross National 237 Product declined by $2.8 billion in 1970. This reduction in the total

output of our nation's goods and services that year was accompanied by

a concomitant decline in employment and a swelling unemployment

percentage (6.2%).

The question recurs: Why have imports had no little impact on

total unemployment? The answer lies in a simple economic fact. When

one sells more of his wares, his income rises, thereby expanding his purchasing power. This principle applies equally to international

commerce. By increasing their sales in this country, foreigners acquire more dollars. These additional dollars are used to obtain more American

goods. Consequently, while increased imports in some instances have

cost domestic jobs, this loss has been more than offset by the increased employment which expanded exports have sparked.

This conclusion is substantiated by Lawrence Krause's study.

Professor Krause finds that: "While the rise in imports and the decline in certain categories of exports (from the first quarter of 1970 through the first quarter of 1971) wiped out 182,200 jobs, the increase in other exports and the decline in a few categories of imports created 182,700."

Imports also affect the purchasing power of domestic consumers.

When a United States citizen is able to purchase a foreign-made good more cheaply then its American counterpart, he has more money to spend for other domestic items. Let me illustrate. If retailers market an

American-made item at $5.00 and a similar product at $4.00, the buyer, in selecting the foreign commodity, has an additional dollar to spend.

If, however, trade restrictions force him to "buy American," his 238 purchasing power actually declines by one dollar. Efficient American producers thereby are penalized.

The thrust of the foregoing is simply this. Imports not only enable foreigners to buy American-made commodities, also, by generating lower domestic prices, they expand the ability of our own citizens to purchase domestically-produced goods.

In summary, what has been the effect of foreign trade on American jobs?

First, imports do abolish certain domestic jobs.

Second, by increasing foreign purchasing power, imports help create jobs in American export industries.

Third, the "ability-to-buy" of the American consumer is enhanced when he can procure a more competitively priced import. This has a positive job effect in economically viable domestic industries.

Fourth, during the past three years our foreign trade has resulted in a slight gain in total domestic employment (not to mention the uncalculated job increase created by expanded domestic buying power).

(2) Net Effect of United States Foreign Investment Upon Domestic Jobs

In 1961, United States direct investment abroad totaled $32 billion.

A decade later it had risen to $86 billion. AFL-CIO President George

Meany has argued that this $54 billion growth in American-held foreign assets represents an "export" of jobs, positions which otherwise would have been held by American workers had the investment been made in our country. 239 This assumption leads to a basic question: Why jdo United States companies build facilities in other countries? Professor Robert

Stobaugh, Jr., of the Harvard Business School observes, . . such investment is primarily defensive, in the sense that the investor is trying to maintain his place in the world market. Given a choice, the

U.S. enterprise had rather produce in the United States than go abroad.

But in most cases it does not have this alternative - if it does not expand abroad, it would lose its markets to foreign companies, unusually large ones from Europe or Japan. This applies to its U.S. markets that it serves from its foreign plants as well as to its foreign markets."

Professor Stobaugh further suggests that, "Over 90 percent of the output of the foreign plants of American firms is sold abroad. The amount imported into the United States is less than one-quarter of our total imports of manufactured goods, and a substantial portion of this quarter is a result of one special arrangement: the U.S. Canadian

Agreement."

A recent Commerce Department study confirms Professor Stobaugh1s findings. The Department's findings indicate that of goods manu­ factured abroad by American-owned subsidiaries:

78 percent is sold in the host country;

14 percent is sold to third countires; and

8 percent returns to compete in the United Stated (of

which three-fourths is automobiles from Canada).

In fact, it has been established that United States foreign direct investments create, rather than destroy, American jobs. Professor

Stobaugh recently completed a Harvard Business School-sponsored study 240 which concludes that "foreign investment by U.S. enterprises have a positive effect on both U.S. employment and the U.S. balance of payments.

We estimate that if there were no U.S. foreign direct investment, some

600,000 jobs in the United States would be lost; and continuing research

indicates that 600,000 is a very conservative figure."

Other trade studies echo the Harvard Business School analysis. One conducted by the distinguished economist, Governor Andrew Brimmer of the

Federal Reserve System, estimates, "the foreign trade sector of the

United States economy may be generating more than 750,000 jobs, even after allowing for the number of jobs that might be displaced by competitive imports."

Why has investment abroad expanded employment opportunities in the

United States? Because most American-owned foreign plants, in order

to operate, depend upon domestically produced capital machinery, parts, and finished components.

From these facts emerge two conclusions regarding United States

investment abroad.

First, with few exceptions, American-financed foreign facilities would not have been constructed in our own country. Therefore, since jobs created by direct investment abroad could not have existed in the

United States, they were not "exported."

Second, by requiring American-produced machinery and parts, United

States-owned foreign plants actually have increased total employment

in this country by 600,000-750,000. 241

E. Economic Effects of Burke-Hartke Leglislation

The Burke-Hartke proposal, as indicated previously, presents a dual thrust. Through the imposition of quotas, it would reduce imports approximately thirty percent. Simultaneously, by subjecting American- owned subsidiaries to double taxation (by the host country as well as by our own government), it would raise the effective tax rate on foreign operations to more than seventy percent. Since no major nation levies its own corporate taxes on top of those paid by its companies to foreign governments, this feature of the Burke-Hartke Bill would render American overseas operations substantially uncompetitive.

How would these trade restrictions affect our domestic economy?

First, passage of the Foreign Trade and Investment Act of 1973 undoubtedly would save some jobs in uncompetitive American firms.

Second, by losing thirty percent of their sales in the American market, foreigners will be less able to buy United States-produced goods. Thus, employment in our exporting industries will suffer.

Third, many of the two million Americans engaged in marketing foreign products will lose their jobs in the wake of a thirty percent import cutback. There will follow a commensurate decline in domestic purchasing power.

Fourth, retaliation by those countries adversely affected by

United States quotas is bound to occur. This ultimately will generate further job losses among exporting firms.

Fifth, the American consumer will have to foot the bill for subsidizing inefficient domestic manufacturers. Thus, he will pay higher prices, just as he currently pays higher prices for fuel oil and 242 other items protected by import quotas. Professor Stephen Magee,

University of Chicago economist, estimates that Burke-Hartke would cost the United States $1.1 billion a year for the first five years after passage, $3.5 billion per year in the second five years, and $7 billion annually in the third five year period.

Sixth, this quota-spawned inflation will inhibit the consumer's capacity to obtain domestic commodities which, in the absence of higher prices, he would have been able to procure.

Seventh, if overseas operations are terminated due to the impact of double taxation, United States plants that supply components to foreign subsidiaries would sustain serious employment cut-backs.

In summary, it is evident that passage of the Burke-Hartke proposal would seriously degrade our nation's standard of living. It would spark severe price increases. It would cost more jobs than it would save. It could trigger another international trade war such as that which provoked the Depression of the 1930's.

VII. CONCLUSION

Our nation's balance of payments and balance of trade deficits are among the major concerns of federal policy makers. In the foregoing analysis I have not attempted to deal with the causes and cures of these twin problems. Their resolution, obviously, would require:

First, bringing the dollar into a more realistic relationship with other currencies (this was the objective of our December, 1971, and

February, 1973, devaluation); 243 Fourth, containing domestic prices (our performance - a 3.5 percent inflation rate during the past twelve months - surpassed that of our principal trading partners: United Kingdom, 7.8 percent; Italy, 7.3 percent; Switzerland, 6.8 percent; France, 6.6 percent; Germany, 6.4 percent; Japan, 5.5 percent);

Fifth, encouraging industry to pursue export markets more vigorously;

Sixth, seeking mutual reduction of non-tariff barriers which currently inhibit free movement of goods throughout the world (while this would help boost American exports, it also would raise our import levels since United States1 polities, in most instances, match in their I degree of protectionism those of our trading parnters).

Rather, the preceding simply acknowledges and demonstrates that imports and foreign investment do, indeed, affect domestic jobs. It is this fact which prompted my reintroduction of the Trade Adjustment

Assistance Organization Act. In my judgment this measure will ease the shock of changing international trade patterns by: (1) establishing an early-warning mechanism; (2) simplifying and expediting trade adjustment application procedures; (3) providing meaningful worker retraining programs; (4) maintaining displaced employees' incomes at reasonable levels during the re-training process. In so doing, it avoids the deleterious economic effects which protectionist legislation would precipitate. REMARKS BY CONGRESSMAN CHARLES W. WHALEN,

MONDAY, OCTOBER 22, 1973

BEFORE THE

NATIONAL AFFAIRS COMMITTEE OF THE

DAYTON AREA CHAMBER OF COMMERCE

DAYTON, OHIO "SPECIAL REVENUE SHARING" 245 Let me comment briefly on the current fiscal confrontation between

the Administration and the Congress. The differences between these two branches of government in this area are both philosophical and monetary.

First, President Nixon has proposed that existing categorical efforts be replaced by four Special Revenue Sharing programs. The

President, in effect, is asking the Congress lo relinquish its policy­ making role to the state and local governments and thereby abandon its responsibility for establishing national goals.

Second, these four Special Revenue Sharing plans, if adopted by

Congress, will provide less funds, both totally and per capita, than the categorical grant programs which they are scheduled to replace. In an effort to force Congressional acceptance of the Special Revenue Sharing concept, the Office of Management and Budget has impounded approximately

$12-15 billion appropriated for housing, water, sewage, and industrial expansion, environmental protection, health, and education.

How will impoundment and Special Revenue Sharing affect the Greater

Dayton Area?

First, according to my analysis, political subdivisions in the Third

Congressional District stand to lose $35,993,424 in federal funds between now and June 30, 1974. If the 2.5 economics "multiplier" effect also is computed, the true loss to the District is approximately $89,982,560.

Second, and more important, this monetary loss, if it materializes, will result in the termination of meaningful education, health, housing, environmental, manpower training, and anti-poverty projects in the

Greater Dayton Area. 246 Through the years the Chamber of Commerce, of which I am proud to be a member, has achieved an admirable record in promoting a "better

Dayton area." I was delighted to read the recent announcement that the

Chamber intends to expand its efforts in this direction.

The officers and staff of the Dayton Area Chamber of Commerce for many years have been aware of the importance of Wright-Patterson Air

Force Base and the Defense Electronic Supply Center to our local economy.

In fact, I am joining you at the Chamber dinner this evening honoring the top officials of these two military installations.

Regretably, I, as your Congressman, and our local officials may not have communicated with you as effectively as we should have regarding the importance to our community of other federal programs. For example, it may not be known that 24 percent of the City of Dayton's $106.8 million annual budget is derived from federal funds. Often overlooked in the remarkable reshaping of the downtown perimeter's skyline is the fact that of 25 new buildings constructed (or under construction) since 1967, nine are federally-financed. Of the remaining 16 structures constructed with private and local government funds, eight were erected on land provided by the federal government.

As I have just indicated, Third District political subdivisions face a severe fiscal squeeze. If the worst comes to pass, they must retrench in their efforts to provide "a better Dayton area" for their respective constituents. Moreover, the reduction of federal aid will cost the equivalent of 5,000 jobs (or 12,000 jobs if the "multiplier" is applied).

This tragedy still can be averted. With the Chamber's help, it can. 247 I have seen how effectively the Chamber operated in 1971 when the

Foreign Technology Division at Wright-Patterson was* threatened with a

transfer to Florida. This move, which was forestalled through your

efforts, would have reduced employment by 1,800. Thus, I urge that the

Dayton Area Chamber of Commerce now consider adoption of the following

plan of action.

First, it should initiate its own survey to determine the importance

to the Greater Dayton Area - programmatically and monetarily - of

federally-funded programs.

Second, if the conclusions derived from this research are affirma­

tive, an effort should be launched to assure full funding of present

categorical programs and termination of impoundment.

Third, a mechanism should be developed by which Chamber of Commerce members can:

(A) become apprised on a continuing basis of the role and

importance of federally-funded programs in our local political subdivisions;

(B) be of assistance to these governmental units in the grant

application and renewal processes.

As your representative to the federal government, I stand ready to assist you in this endeavor in any way that I can. 248 BREAKDOWN OF DAYTON CONSTRUCTION

Federally Financed Local Government Financed Privately Financed

Federal Building *Mongtomery County Courts- Engineering Science Jail Building Building

Sinclair College *Montgomery County Admin­ IBM Building istration Building

Senior Citizens Center *Transportation Center 111 W. First Street Building

Dayton Metropolitan *Convention Center Ohio Bell Telephone Housing Authority Company Administration Building

U.S. Post Office *Holiday Inn

Jaycee Towers Homestead Savings and Loan

D.M.H.A. Elderly Winters National Housing (5th and Bank Wilkinson)

University of Dayton First National Bank Library

University of Dayton *Price Brothers Engineering Building Grant-Denau Towers

*Brown-Head Archi­ tects

*Sawyer College

^Federal Land BIBLIOGRAPHY

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"The Third District," Journal Herald, 26 October 1972, p. 4.

Thomassen, Dan. "Anti War Amendment Compromise Looms," Washington Daily News, 29 June 1971, p. 1.

Thomas, Richard. "House Give C5A $200 Million," Journal Herald, 30 April 1970, p. 2. Thomas, Richard. "Whalen Lists 19 Stock Holdings," Journal Herald, 8 May 1969, p. 77. Waggener, Glenn. "Whalen Lists 29 Firms in which He Holds Interest," Dayton Daily News, 8 May 1976, p. 8.

Walker, Doug. "Love Whalen Voter Poll Gets Different Answer," Dayton Daily News, 4 April 1966, p. 6. 254 Walker, Doug. "U.S. Losing Its Lead in Aircraft Whalen Says," Dayton Daily News, 7 June 1971, p. 2.

Walker, Doug. "Whalen Remains Opposed to Pipeline in Alaska," Dayton Daily News, 20 July 1973, p. 26.

Walker, Doug. "Whalen Stocks Tops $800,000," Dayton Daily News, 12 May 1971, p. 77.

"War Extended, Representative Whalen Says," AP (Associated Press), 17 June 1971.

Whalen, Charles W., Jr. "Outlook for Tax Reform is Good," Kettering- Oakwood Times, 1 January 1975, p. 1A.

"Whalen Backs Halt on CBW," Dayton Daily News, 7 June 1969, p. 3.

"Whalen Gets Labor's OK," Journal Herald, 26 August 1970, p. 1.

"Whalen Net Drops 25%," Dayton Daily News, 25 May 1975, p. 4.

"Whalen Receives Endorsement of Mutual Assistance Committee," Labor Union, 23 August 1968, p. 1.

"Whalen Report 17 Days Late," Journal Herald, 3 May 1975, p. 3.

"Whose Safety in the Streets? Policeman Acquitted of Manslaughter of Unarmed Man." New Republic 158 (February 17, 1968):2.

Zimmerman, Richard, "Fair Housing Issue in Dual Spotlight," Journal Herald, 14 June 1965, p. 13.

Zimmerman, Richard. "Fair Housing Campaign Bills Face Senate," Journal Herald, 15 June 1965, p. 3.

Zimmerman, Richard. "Ohio Senate Vetos Changes, Approves Fair Housing Bill, Dayton University Cleared," Journal Herald, 17 June 1965, p . 1 .

Zimmerman, Richard. "Whalen Drafts Branch University Bill Changes," Journal Herald, 16 June 1965, p. 3. 255

Interviews

Bailey, Robert A. Legislative Assistant to Congressman Charles W. Whalen, Jr., Washington D. C. Interview, March 1976.

Blackistone, Stephen D. Research Assistant to Congressman Charles W. Whalen, Jr., Washington D. C. Interview, March 1976.

Bradstreet, Mary. Campaign Chairman of Congressman Charles W. Whalen, Jr., 1976 Republican Primary Opposition, Dayton, Ohio. Interview, June 1976.

Hiesel, Cotton. Congressman Charles W. Whalen's 1976 Campaign Co- Chairman, Dayton, Ohio. Interview, June 1976.

Lowry, George. Special Assistant to Congressman Charles W. Whalen, Jr., Dayton, Ohio. Interview, September 1972.

Lowry, George. Special Assistant to Congressman Charles W. Whalen, Jr., Washington D. C. Interview, March 1976.

Montgomery County Board of Elections. Congressional election returns. Dayton, Ohio. Interview, May 1975.

Rendon, Martin S. Legislative Assistant to Congressman Charles W. Whalen, Jr., Washington D. C. Interview, March 1976.

Ross, Charles. Charles W. Whalen's 1966 and 1968 Republican Campaign Chairman, Dayton, Ohio. Interview, June 1976.

Smith, Rex. Director of Public Relations Frigidaire Division of General Motors, Dayton, Ohio. Interview, July 1976.

Starks, Beverly A. Secretary to Congressman Charles W. Whalen, Jr., Dayton, Ohio. Interview, June 1976.

Steponkus, William P. Executive Assistant to Congressman Charles W. Whalen, Jr., Washington D. C. Interview, March 1976.

Whalen, Charles W., Jr. Ohio's Third District Congressman, Dayton, Ohio. Conversation, September 1973.

Whalen, Charles W., Jr. Ohio's Third District Congressman, Dayton, Ohio. Interview, June 1976.

Wiedman, Wanda. District Secretary to Congressman Charles W. Whalen, Jr., Dayton, Ohio. Interview, June 1976. 256

Speeches

Steponkus, William P. "Remarks on Direct Mail and Newsletters," Republican Communications Association Public Relations Seminar, Washington D. C. Lecture, 27 January 1973.

Whalen, Charles W., Jr. "Campaigning in Big City Urban America," Midwest Republican Women's Regional Conference, Chicago, Illinois. Speech, 22 September 1967.

Whalen, Charles W., Jr. "Economic Stabilization Act Extension," to the United States House of Representatives, Washington D. C. Speech, 12 April 1973.

Whalen, Charles W., Jr. "Environmental Quality," Metropolitan Inter­ state Air Quality Control Regional Board, Dayton, Ohio. Speech, 20 August 1970.

Whalen, Charles W., Jr. "Foreign Direct Investments House Concurrent Resolutions 85 and 86," Subcommittee on Foreign Economic Policy House Foreign Affairs Committee, Washington D. C. Speech, 24 April 1969.

Whalen, Charles W., Jr. "Foreign Trade and American Jobs," Association for Systems Management, Dayton, Ohio. Speech, 16 March 1973.

Whalen, Charles W., Jr. "Metropolitan Dayton," Third District Elected Officials, Dayton, Ohio. Speech, 13 August 1971.

Whalen, Charles W., Jr. "The National Living Income Program Act of 1969," U. S. House Ways and Means Committee, Washington D. C. Speech, 23 October 1969.

Whalen, Charles W., Jr, "Special Revenue Sharing," Chamber of Commerce National Affairs Committee, Dayton, Ohio. Speech, 22 October 1973.

Whalen, Charles W., Jr. "SST," United States House of Representatives, Washington D. C. Speech, 24 March 1971.

Whalen, Charles W. Jr., "Student Unrest," Speech delivered to Stivers High School Commencement, Dayton, Ohio. Speech, 5 June 1969.

Whalen, Charles W., Jr. "Study of Organized Crime and the Urban Poor," United States House of Representatives, Washington D. C. Speech, 29 August 1967. 257 Whalen, Charles W. , Jr. "Surtax and Investiment Credit," United States House of Representatives, Washington D. C. Speech, 9 May 1969.

Whalen, Charles W., Jr. "Vietnam Disengagement Act of 1973," United States House of Representatives, Washington D. C. Speech, 15 January 1973.

Advertisements

Advertisement for Charles W. Whalen, Jr., on "Cost of Living," WHIO-TV, WLW-D-TV, and WKEF-TV, Dayton, Ohio, September 1966.

Advertisement for Charles W. Whalen, Jr., on "Electing Chuck," WDAO, Dayton, Ohio, September 1966.

Advertisement for Charles W. Whalen, Jr., on "Service to Ohio," WHIO-TV, WLW-D-TV, and WKEF-TV, Dayton, Ohio, September 1966.

Newsletters

"Washington Township Republican Club Newsletter," Newsletter, June 1967. Whalen, Charles W., Jr. "Washington Report," Newsletter, March 1974.