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American Football
Hal S. Stern
Department of Statistics, Iowa State University

December 24, 1997

1 Introduction
1.1 A brief description of American football

There are a number of sports played across the world under the name football, with most

of the world reserving that name for association football or soccer. Soccer is discussed in

Chapter 5 of this volume, this chapter considers American football, the basic structure of

which is described in the next paragraph. Most of the material in this chapter is discussed

in terms of the National Football League, the professional football league in the United

States. Other versions of the game include college football in the United States and profes-

sional football in Canada. There can be substantial differences between different versions

of American football, e.g., the Canadian and United States games differ with respect to the

length of the field and the number of players among other things. Despite these differences,

the methodology and ideas discussed in this chapter should apply equally well to all versions

of American football.

American football, which we shall call football from this point on, is played by two

teams on a field 100 yards long with each team defending one of the two ends of the field

(called goal lines). Games are 60 minutes long, and are broken into four 15-minute quarters.

The two teams alternate possession of the ball and score points by advancing the ball (by

running or throwing/catching) to the other team’s goal line (a touchdown worth 6 points

with the additional opportunity to attempt a one-point or two-point conversion play), or

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failing that by kicking the ball through goal posts situated at the opposing team’s goal (a

field goal worth 3 points). The team in possession of the ball (the offense) must gain 10 or

more yards in four plays (known as downs) or turn the ball over to their opponent. The ball

is advanced by running with it, or by throwing the ball to a teammate who may then run

with the ball. As soon as 10 or more yards are gained, the team starts again with first down

and a new opportunity to gain 10 or more yards. If a team has failed to gain the needed 10

yards in three plays then it has the option of trying to gain the remaining yards on the fourth

play or kicking (punting) the ball to its opponent to increase the distance that the opponent

must move to score points. This very fast description ignores some important aspects of

the game (the defense can score points via a safety by tackling the offensive team behind

its own goal line, teams turn the ball over to their opponents via dropped/fumbled balls or

interceptions of thrown balls) but should be sufficient for reading most of this chapter.

1.2 A brief history of statistics in football

As with the other sports in this volume, large amounts of quantitative information are

recorded for each football game. These are primarily summaries of team and individual

performance. For United States professional football these data can be found as early as

the 1930s (Carroll, Palmer, and Thorn, 1988) and in United States collegiate football they

date back even earlier. We focus on the use of probability and statistics for analyzing and

interpreting these data in order to better understand the game, and ultimately perhaps to

provide advice for teams about how to make better decisions.

The earliest significant contribution of statistical reasoning to football is the development

of computerized systems for studying opponents’ performances (e.g., Purdy (1971) and Ryan

et al. (1973)). Professional and college teams currently prepare reports detailing the types

of plays and formations favored by opponents in a variety of situations. The level of detail

in the reports can be quite remarkable, e.g., they might indicate that Team A runs to the

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left side of the field 70% of the time on second down with five or fewer yards required for a

new first down. These reports clearly influence team preparation and game-time decision-

making. These data could also be used to address strategy issues (e.g., should a team try to

maintain possession when facing fourth down or kick the ball over to its opponent) but that

would require more formal analysis than is currently done – we consider some approaches

later in this chapter. It is interesting that much of the early work apply statistical methods

to football involved people affiliated with professional or collegiate football (i.e., players

and coaches) rather than statisticians. The author of one early computerized play-tracking

system was 1960s professional quarterback Frank Ryan. Later in this chapter we will see

contributions from another former quarterback, Virgil Carter, and a college coach, Homer

Smith.

1.3 Why so little academic research?

Football has a large following in the United States and Canada, yet the amount of statistical

or scientific work by academic researchers lags far behind that done for other sports (most

notably, baseball). It is interesting to speculate on some possible causes for this lack of

results. We briefly describe three possible causes: data availability, the nature of the game

of football, and professional gambling.

First, despite enormous amounts of publicity related to professional football, it is rela-

tively difficult to obtain detailed (play-by-play) information in computer-usable form. This

is not to say that the data don’t exist – they clearly do exist and are used by teams dur-

ing the season to prepare their summaries of opponents’ tendencies. The data have not

been easily accessible to those outside the sport. The quality of available data is improv-

ing, however, as play-by-play listings can now be found on the World Wide Web through

the National Football League’s own site (http://www.nfl.com). These data are not yet in

convenient form for research use.

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A second contributing factor to the shortage of research results concerns the nature of

the game. Examples of the kinds of things that can complicate statistical analyses: scores

occur in steps of size 2,3,6,7,8 rather than just a single scoring increment, the game is time-

limited with time management an important part of strategy, actions (plays) move the ball

over a continuous surface with an emphasis on 10-yard pieces. All of these conspire to make

the number of possible situations that can occur on the football field extremely large which

considerably complicates analysis.

One final factor that appears to have worked against academic research about the game

itself is the existence of a large betting market on professional football games. A great deal

of research has been carried out on the football betting market including methods for rating

teams (described later in the chapter) and methods for making successful bets (described

elsewhere in the book). Unfortunately, because of its applicability to gambling, a large

portion of this research is proprietary and unavailable for review by other researchers.

The remainder of this chapter is organized as follows. The next three sections describe

research results and open problems in three major areas: player evaluation, models for

assessing football strategy, and rating teams. Following that is a section that touches on

other possible areas of research. The chapter concludes with a brief summary and a list

of references. One reference merits a special mention at this point; The Hidden Game of

Football, a 1988 book by Bob Carroll, Pete Palmer, and John Thorn, is a sophisticated

analysis of the game by three serious researchers with access to play-by-play data. Written

for a popular audience, the book does not provide some of the details that readers of this

book (and the author of this chapter) would find interesting. We refer to this book quite

often and use CPT (the initials of the three authors) to refer to it.

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2 Player evaluation

Evaluation of football players has always been important for selecting teams and rewarding

players. Formally evaluating players, however, is a difficult task because several players

contribute to each play. A quarterback may throw the ball five yards down the field and the

receiver, after catching the ball, may elude several defensive players and run 90 additional

yards for a touchdown. Should the quarterback get credit for the 95-yard touchdown pass

or just the 5-yards the ball traveled in the air? What credit should the receiver get? We

first review the current situation and then discuss the potential for evaluating players at

several specific positions.

2.1 The current situation

Evaluation of players in football tends to be done using fairly naive methods. Football re-

ceivers are ranked according to the number of balls they catch. Running backs are generally

ranked by the number of yards they gain. Punters are ranked according to the average dis-

tance they kick the ball without regard to whether they are effective in making the opponent

start from poor field position. Kickers are often ranked by the number of points scored.

The most complex system, the system for ranking quarterbacks, is quite controversial –

we review it shortly. Defensive players receive little evaluation in game summaries beyond

simple tallys of passes intercepted, fumbles recovered, or quarterbacks tackled for a loss of

yardage. Offensive linemen, whose main job is to block defensive players, receive essentially

no formal statistical evaluation. Several problems are evident with the current situation:

the best players may be misevaluated (or not evaluated at all) by existing measures, and it

can be very difficult to compare players of different eras (because there are different num-

bers of games per season, different football philosophies, and continual changes in the rules

of the game).

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2.2 Evaluating kickers

The difficulty in apportioning credit to the several players that contribute to each play has

meant that a large amount of research has focused on aspects of the game that are easiest

to isolate, such as kicking. Kickers contribute to their team’s scoring by kicking field goals

(worth three points) and points-after-touchdowns (worth one point). On fourth down a

coach often has the choice of: (1) attempting an offensive play to gain the yards needed

for a new first down; (2) punting the ball to the opposition, or (3) attempting a field goal.

Evaluation of the kicker’s ability will have a great deal of influence on such decisions. Berry

and Berry (1985) use a data-analytic approach to estimate the probability that a field goal

attempted from a given distance will be successful for a given kicker. They then propose a

number of measures for comparing two kickers, e.g., the estimated probability of converting

a 40-yard field goal. Interestingly, Morrison and Kalwani (1993) examine all professional

kickers and conclude that binomial variability is sufficiently large that a null model that

says all kickers are equally good (or bad) would be accepted. This suggests that rating

kickers may not be a good idea at all. Of course, as they point out it is also possible that

some kickers are indeed better than others but that the 30 or so field goal attempts per

season are not enough to detect the difference. In addition to comparing kickers, it can be

valuable to explore the factors affecting the probability of success of a field goal. Bilder

and Loughin (1997) pool information across kickers to determine the key factors affecting

the success of a field goal. They find that yardage is most important, but that the score

at the time of the kick matters, with field goals causing a change in lead more likely to be

missed than others. This effect is akin to the clutch (or choke) factor so heavily researched

in baseball (see Chapter 2).

For a single team, an interesting set of questions concerns the effective use of that team’s

kicker. Irving and Smith (1976) build a detailed model of the probability of a successful

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field goal for a single kicker. The result of their analysis, a plot showing the probability of a

successful kick from any point on the field was used by the coaching staff at the University

of California, Los Angeles during the 1972-1973 season to assist in decision-making.

2.3 Evaluating quarterbacks

The quarterback is the player in charge of the offense, the part of the team responsible for

trying to score points. He is certainly the most visible player and many argue he is the

most critical player on the team. The main skill on which quarterbacks are evaluated is

their ability to throw the ball to a receiver for a completed pass. A ball that is thrown and

not caught is an incomplete pass and gains no yards. Even worse, a ball that is thrown and

caught by an opponent is an interception and results in the opponent taking possession of the

ball. The official National Football League system for rating quarterbacks awards points for

each completed pass, intercepted pass (negative value), touchdown pass, and yard earned.

Essentially the system credits quarterbacks for their passing yardage and includes a 20-

yard bonus for each completed pass, an 80-yard bonus per touchdown pass, and a 100-yard

penalty per interception. The system has been heavily criticized for favoring conservative

short-passing quarterbacks – after all, two 5-yard completions are better rewarded than one

10-yard completion and one incomplete pass. CPT (recall that’s Carroll, Palmer and Thorn

(1988)) describe the existing system and propose a modest revision of similar form. CPT

suggest that there should be no reward for completing a pass and that the touchdown and

interception bonuses are too large. Their system appears to be a bit of an improvement,

but still does not tie quarterback performance ratings to the success of the offense in scoring

points or the success of the team in winning games.

2.4 Summary

Here we have briefly reviewed some of the difficulties with evaluating players, with a focus

on kickers and quarterbacks. In this era of greater freedom in player movement from

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team to team, research regarding the value of a player or the relative value of two players

will become even more crucial. Some of the problems associated with existing methods

could be improved by careful application of fairly basic statistical ideas, e.g., examining the

proportion of successful kicks rather than the total, examining the yardage contribution

of receivers rather than just the number of catches, or considering the yards gained per

attempt by running backs.

Two problems associated with evaluating players are more substantial and will be dif-

ficult to overcome. These are candidates for future research work. First is the problem of

partitioning credit for a play among the various players contributing, e.g., the quarterback

and receiver on a pass play. This might be resolved by more detailed record keeping, per-

haps an assessment of how much yardage would have been obtained with an “ordinary”

receiver. Even then it is difficult to imagine how the contribution of the linemen might be

incorporated. One possibility is a plus/minus system like that used in hockey (see Chapter

7) that rewards players on the field when positive events occur (points are scored) and

penalizes players on the field when negative events occur (the ball is turned over to the

opponent). The second problem with player evaluation is that the focus on yardage gained,

although natural, means that more important concerns such as points scored and games

won are not used explicitly in player evaluation. For example, all interceptions are treated

the same, even those that occur on last-second desperation throws. As part of our discus-

sion of football strategy in the next section, we build up some tools that might be used to

improve player evaluation.

3 Football strategy
3.1 Different types of strategy questions

As described in the introduction, professional and college football teams use data on oppos-

ing teams’ tendencies to prepare for upcoming games. The data have generally not been

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used to address a number of other strategy questions that require more statistical thinking.

Here we provide examples of some of these types of questions. The first issue concerns

point-after-touchdown strategy, football teams have the option of attempting a near certain

one-point conversion after each touchdown (probability of success is approximately 0.96)

or attempting a riskier two-point conversion (probability of success appears to be roughly

0.40 − 0.50). The choice will clearly depend on the score, especially late in the game. Porter

(1967) constructs decision rules for end-of-game extra-point strategy, but his method does

not make any suggestions for decisions earlier in the game. Another example of a strategy

question concerns fourth-down decision-making. Teams have four downs to gain ten yards

or must give the football over to their opponents. On fourth down, a team must choose

whether to try for a first down with the risk of giving the ball to its opponent in good

scoring position, attempt a field goal (worth three points) or punt the ball to its opponent

so that the opponent’s position on the field is not quite so good. Choosing between the two

options clearly depends on the current game situation and also requires reasonably accurate

information about the value of having the ball at various points on the field. A key feature

of both the point-after-touchdown and fourth-down strategy questions is that the optimal

strategy will almost certainly depend on the game situation as measured by the current

score and time remaining.

Other strategy questions can be isolated from the game context in the sense that the

optimal strategy does not depend on the game situation. For example, Brimberg, Hurley

and Johnson (1998) have analyzed the placement of punt-returners in Canadian football

(the wider and longer field and more frequent punts make this a more important issue in

Canada than it is in the U.S.). They find that a single returner can perform nearly as well

as two returners, and that if two returners are used they should be configured vertically,

rather than the more traditional horizontal placement (i.e., at the same yard line).

In the remainder of this section we focus on strategy questions that need to be addressed

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in the context of the game situation (score, time remaining, etc.). We consider two ways of

assessing the current game situation and use them to develop appropriate strategies. First,

we measure the value of having the ball at a particular point on the field by estimating the

expected number of points that a team will earn for a possession starting from the given

point. Decisions can then be made to maximize the expected number of points obtained by

the team. Following that, we consider a more ambitious proposal, measuring the probability

of winning the game from any situation. Strategies may then be developed that directly

maximize the probability of winning (the global objective) rather than maximizing the

number of points scored in the short-term (a local objective). Making decisions to maximize

the team’s probability of winning the game would seem to be a superior approach, but we

will see that it turns out to be quite difficult to put this idea into practice.

3.2 Expected points
3.2.1 Estimating the expected number of points for a given field position

Carter and Machol (1971) use a data-based approach to estimate the expected number of

points earned for a team gaining possession of the ball at a given point. Let E(pts|Y )

denote the expected number of points for a team beginning a series (first down) with the

ball Y yards from the opposing team’s goal. The natural statistical approach for evaluating

the expected number of points is to examine all possible outcomes of a possession starting

from the given point, recording the value (in points) of each outcome to the team with the

ball and the probability that each outcome will occur. In football there are 103 possible

outcomes, four of which involve points being scored: touchdown (7 points ignoring for the

moment questions about point-after-touchdown strategy), field goal (3 points), safety (−2

points, i.e., 2 points for the opponent), and opponent’s touchdown (−7 points, i.e., 7 points

for the opponent). The remaining 99 outcomes cover the cases when the ball is turned

over to the opposing team with the opponent needing Z yards for a touchdown, with Z

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ranging from 1 to 99. The opponent can expect to score E(pts|Z) points after receiving the

ball Z yards from its target and hence the value of this outcome for the team currently in

possession of the ball is −E(pts|Z).

There are two complications that must be addressed before the expected point values

can be determined. First, the probability of each of the outcomes is unknown and must be

estimated. Carter and Machol find the probability of each outcome based on data from 2852

series (2852 sequences of plays that began with 1st down and 10 yards to go). The second

complication is that, as derived above, the expected number of points for a team Y yards

from the goal depends on the expected number of points if its opponent takes possession Z

yards from the goal. In total, it turns out that there are 99 unknown values, E(pts|Y ), and

these can be found using the 99 equations that define the expected values.

In fact, Carter and Machol chose not to solve this large system of equations with their

limited data. Instead, they combined all of the series that began in the same 10-yard

section of the the field (e.g., 31-40 yards to go for a touchdown). Their results are provided

in Figure 1. The results can be summarized by noting that it is worth about 2 points on

average to start a series at midfield (50 yards from the goal line), and every 14 yards gained

(lost) corresponds roughly to a 1 point gain (loss) in expected value. Following this rule

of thumb, we find that having the ball near the opposing team’s goal is worth a bit less

than 7 points since the touchdown is not guaranteed, and having the ball near one’s own

goal is worth a bit more than −2 points (the value of being tackled behind one’s own goal).

Interestingly, it appears that starting with the ball just beyond one’s own 20-yard-line (80

yards from the goal) is a neutral position (with zero expected points) and that is fairly close

to the typical starting point of each game. The Carter and Machol analysis was carried

out using data from the 1969 season. Football rules have been modified over time and it is

natural to wonder about the effect of such rule changes. CPT redid the Carter and Machol

analysis using 1986 data and obtained similar results.

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FIGURE 1 about here

3.2.2 Applying the table of expected point values

It is possible to use the expected point values of Figure 1 to address some of the football

strategy issues raised earlier. First, we describe Carter and Machol’s use of their results

to evaluate the football wisdom that says turnovers (losing the ball to your opponent by

making a gross error) near one’s own goal are more costly than turnovers elsewhere on the

field. From the data in Figure 1 one can see that a turnover at one’s own 15-yard-line (85

yards from the target goal) changes a team from having expected value −0.64 to −4.57 (the

opponent’s value after taking possession is 4.57), a drop of 3.93 expected points. The same

turnover at the opponent’s 45-yard-line changes the expected points from 2.39 to −1.54, a

drop of 3.93 expected points! Turnovers are worth about 4 points and this value doesn’t

seem to depend on the location at which the turnover occurs.

Next we consider the question of appropriate fourth down strategy. Here is a specific

example, consider a team at its opponent’s 25-yard-line (25 yards from the goal) with fourth

down and one yard required for a first down that will allow the team to maintain possession

of the ball. Suppose the offensive team tries to gain the short distance required, then they

will either have a first down still in the neighborhood of the 25-yard-line (expected value

3.68 points from Figure 1) or the other team will have the ball 75 yards from their target

goal (expected value to the team currently in possession is −0.24 points). Professional

teams are successful on fourth-down plays requiring one yard about 70 percent of the time

which means that they can expect (0.7)(3.68) + (0.3)(−.24) ≈ 2.5 points on average if

they try for the first down. The result is recorded as an approximation – it ignores the

possibility that the offensive team will gain more than a single yard but it also ignores

the possibility that the team will lose ground if it turns the ball over. Field goals (kicks

worth 3 points if successful) from this point on the field are successful about 65% of the

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time. Should the field goal miss the other team would take over with 68 yards-to-go under

current rules (expected value to the offensive team of approximately -0.65 points). Trying

a field goal yields (0.65)(3) + (0.35)(−.65) = 1.7 points on average. Clearly teams should go

for the first down rather than try a field goal as long as these probabilities are reasonably

accurate. In fact, for the specified field goal success rate, we find the the probability of

success required to make the fourth-down play the preferred option is about 0.50. CPT

investigate a number of such scenarios and find that field goals are rarely the correct choice

for fourth-down situations with six or fewer yards required for a first down (at least when

evaluated in terms of expected points).

Expected points might also be used to evaluate teams’ performances. Teams could, for

example, be judged by how they perform relative to expectation by recording the expected

number of points and the actual points earned for each possession. If the offensive team be-

gins at their 25-yard-line (75 yards from from the goal) and scores a field goal then they have

earned 3 points, 2.76 more than might have been expected at the start of the possession.

The contributions of the offense, defense, and special teams (punting and kicking) could

be measured separately. It is more difficult to see how this can be applied to evaluating

individual players since expected point values are only determined for the start of a pos-

session. Our fourth-down example above indicates how we can assign values to plays other

than at the start of a possession, but it becomes quite complicated when we try to assign

point values to second- or third-down situations. If expected point values were available for

every game situation, then it might be possible to give a player credit for the changes in

the team’s expected points that result from his contributions. Of course, partitioning credit

among the several players involved in each play remains a problem.

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3.2.3 Limitations of this approach

There are limitations associated with using expected point values to make strategy decisions.

The first limitation is that the Carter and Machol (and CPT) expect point values are based

on aggregate data from the entire league. Individual teams might have difference expected

values. For example, a team that prefers to advance the ball by running might have lower

expected values from a given point on the field than a team that prefers to advance the

ball by throwing. A second limitation is that, even if we accept a common set of expected

point values, applying the expected point values to determine appropriate strategies requires

assessing the probabilities of many different events. For example, if a team’s kicker has an

extremely high probability of success, or a team has an ineffective offense that is not likely

to succeed on fourth down, then the fourth-down strategy evaluation we considered earlier

might turn out differently. It is probably not appropriate to think of this as a problem, it

merely points out that proper use of Figure 1 requires the user to make determinations of the

relevant probabilities. A final limitation is that the expected points approach completely

ignores two key elements of the game situation, the score and the time remaining. The

correct strategy in a given situation should surely be allowed to depend on these important

factors. As an extreme example, consider a team that trails by 2 points with 1 minute

remaining in the game and faces fourth down on the opponent’s 25-yard-line with one yard

needed for a first down. An analysis based on expected points that suggests a team should

try for the first down is clearly invalid because at that late point in the game, it is more

important to maximize the probability of winning (achieved by trying to kick the field goal)

than to maximize the expected number of points. We next consider an approach that treats

maximizing the probability of winning as the objective and tries to take into account all of

the important elements of the game situation.

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3.3 The probability of winning the game
3.3.1 Estimating the probability of winning for a given situation

Carter and Machol’s expected number of points for different field positions can be used to

make optimal short-term decisions when the time remaining is not a critical element (time

remaining is important near the end of the first half and the end of the game). Decisions

late in the game need to be motivated more by concerns about winning the game than

about maximizing the expected number of points. This motivates an alternative approach

to football strategy that requires estimating the probability of winning the game from any

current situation. For purposes of this chapter, we define the current game situation in terms

of: the current difference in scores (ranging perhaps from −30 to 30), the time remaining

(perhaps taking the 60-minute game to consist of 240 15-second intervals), position on the

field (1 to 99 yards from the goal), down (1 to 4), and yards needed for a first down that will

allow the team to maintain possession (ranging perhaps from 1 to 20). The win probabilities

can be estimated for each game situation in a number of different ways. We describe two

basic approaches: an empirical approach similar to that used by Carter and Machol, and

an approach based on constructing a probability model for football games. Either approach

must deal with the enormous number of possible situations. Using the values given above,

there are more than 100 million possible situations.

3.3.1.1 An empirical approach

Conceptually at least, we can proceed exactly as Carter and Machol did and obtain prob-

ability estimates directly from play-by-play data. For any game situation, we need only

record the frequency with which it occurs and the ultimate outcome (win/loss) in each

games where the situation occurred. The number of possible situations is far too large for

this approach to be feasible. After all, there are more than 100 million situations and only

240 National Football League games per season with 130 plays per game. CPT perform

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an analysis of this type by restricting attention to the beginning of a team’s possession

(situations with first down and 10 yards to go), taking the current difference in scores to

be between −14 and 14, and taking the time remaining to consist of 20 three-minute inter-

vals. These modifications reduce the number of situations to a more manageable number,

29 × 20 × 99 = 57420. They use two seasons’ data to obtain estimates of the probability

of winning the game for each of the 57420 situations. For example, the probability that a

team beginning the game with first down at its own 20-yard-line ultimately wins the game

is .493 according to CPT. By way of comparison, a team starting with first down at its own

20-yard-line but trailing by 7 points with 51 minutes remaining in the game has probability

of winning equal to .281. Unfortunately, there is no description of how the win probabilities

were actually estimated from the data so it is difficult to endorse them completely. More

important, it is not possible to obtain win probabilities for situations that are not explicitly

mentioned in the book.

In order to pursue this approach further, we approximate the win probability function

derived by CPT using some simple statistical modeling. Using 76 win probability values

provided in the book, we derive the following fairly simple logistic approximation that gives

the probability of winning, p, in terms of the current score difference, s, the time remaining

(in minutes), t, and the yardage to the opposing team’s goal, y, at the beginning of a team’s

possession:
p s
ln = .060s + .084 − .0073(y − 74),
1−p t/60

where ln is the natural logarithm. This approximation is motivated by the Stern (1994)

model that relates the current score and time remaining to the probability of winning a

basketball or baseball game. Note that the logistic equation empirically establishes a team’s

own 26-yard-line (y = 74 yards from the goal) as neutral field position at the start of a

possession. For the two situations described in the preceding paragraph this approximation

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Score Yards Time Estimated win probability
difference from goal remaining CPT Logistic Dynamic programming
0 80 60.0 .493 .489 —
0 80 23.6 .490 .489 —
−7 80 47.4 .274 .246 —
−7 67 21.0 .218 .205 —
−7 74 13.5 .153 .161 —
−8 94 10.5 .025 .097 .097
5 67 7.7 .842 .820 (.811,.816)
−5 74 6.6 .178 .174 (.267,.270)
5 78 2.4 .945 .915 (.981,.989)
−5 58 1.8 .069 .071 (.037,.152)
5 50 1.3 .990 .964 (.998,1.00)

Table 1: Win probabilities from Carroll, Palmer and Thorn (1988), along with two alterna-
tives described in the text.

gives .489 and .249 (compared to the CPT values, .493 and .281). Table 1 compares the

values obtained by CPT and those obtained by the logistic approximation for a number of

situations. (The final column of Table 1 will be discussed later.)

The probability of winning is shown graphically in Figures 2a-c for selected values of

the score difference, s, time remaining, t, and yards from the goal, y. Figure 2a shows

the importance of the time remaining. Even relatively modest score differences become

significant as the time remaining decreases towards zero. Figure 2b indicates that for the

logistic approximation the effect of field position is (for the most part) independent of

the score difference and time remaining. Figure 2c shows once again the effect of time

remaining with the curve corresponding to less time remaining steeper near zero score

difference. Figure 2c also illustrates a weakness of the logistic approximation. Because it

is not derived expressly for football, the logistic approximation does not account for the 3-

and 7-point scoring increments, i.e., the curves in Figure 2c are continuous. The logistic

approximation treats the difference between a 4-point deficit and a 6-point deficit as being

no different than the difference between a 7-point deficit and a 9-point deficit. Clearly the

latter difference is much more significant, since the 9-point deficit will require the team that

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is behind to get at least two scores to tie or win whereas the 7-point deficit can be made

up with a single score. By contrast, both a 4-point and a 6-point deficit can be overcome

by a single score. A second weakness of the logistic approximation is that when the score

difference is equal to zero the probability of winning does not depend on the time remaining

(this is also visible in Figure 2c as curves with different amounts of time remaining intersect

when the score difference is zero). It seems likely that the probability of winning would be

higher for a team with s = 0, y = 1, t = 1 (excellent field position near the end of a tie

game) than for a team with s = 0, y = 1, t = 59 (excellent field position very early in a

tie game). Before using the win probabilities to find answers to our strategy questions, we

consider another approach to estimating the win probabilities.

FIGURE 2 about here

3.3.1.2 Dynamic programming

Dynamic programming is a technique that can be used to find optimal strategies and simul-

taneously derive the probability of winning from a given situation under optimal play. We

first describe a decision-theoretic formulation of football that allows us to apply dynamic

programming. Let’s take the two teams in the game to be Team A and Team B. As before,

we consider the current situation or state (as it is generally called in dynamic programming)

of the football game as being given by: the difference in scores, the time remaining, the

position on the field, the down and the yards needed for a first down. In addition we will

need to keep track of which of the two teams has possession of the ball so that we add this

to the definition of the state. Each state is associated with a value that can be thought

of as defining the objective of the game, e.g., we might take the value of a state to be the

probability that Team A wins starting in the given state. From any state, the two teams

have a limited number of actions from which they must choose. Although there is consid-

erable flexibility in defining this set of actions, for now we restrict attention to the choices

18

available to the team in possession of the ball. Their possible actions include run, short

pass, long pass, punt, and field goal. Not every action is reasonable from every state (e.g.,

we would not try a field goal on first down from our own 5-yard-line), but any reasonable

model will avoid choosing these suboptimal actions. Team A should choose the action at

each point in the game that will give it the highest probability of winning (i.e., they try to

maximize the expected value of the next state) and Team B should choose the action that

will give Team A the lowest probability of winning (i.e., they try to minimize the expected

value of the next state). We require the distribution of possible outcomes for each of the

possible actions (a difficult task that we return to shortly) to solve for the optimal action

in a given state. Dynamic programming is an algorithm for finding the optimal action for

every state and determining the value of being in that state (this is the probability that

Team A wins from that state).

Dynamic programming starts at the end of the game (no time remaining) by defining any

state in which Team A is ahead of its opponent as having value one, and any state in which

Team A is behind as having value zero. Ties can be given the value one-half. These values,

corresponding to the probabilities of Team A’s winning the game, are obvious because there

is no time remaining in the game. Now, given that we know the value of every state at

the end of the game, we can back up one-time unit (15-seconds in the specification used

here) and determine optimal strategy for any state with one-time unit remaining. First,

we evaluate the expected probability of winning under each action by averaging over the

distribution of possible outcomes. Team A should choose the action that gives it the highest

expected probability of winning the game. Team B, when it is in possession of the ball,

should choose the action that gives Team A the lowest expected probability of winning the

game. After determining the optimal strategy and value for every state with one time-unit

remaining, we can continue to move backwards from the end of the game. We find the

optimal strategies for the states at time t by averaging over the results that we have already

19

found for future states. Dynamic programming is a powerful computational algorithm for

solving complex decision problems like this one.

It remains only to describe how we determine the distribution of outcomes under any

action. In theory, it could be obtained by a careful analysis of detailed play-by-play data.

Here, a small sample of play-by-play data was used to suggest an approximate distribution.

To illustrate, Table 2 gives the distribution for a run play, a short pass play, and a long pass

play. Each row of the table gives one possible outcome (yardage gained and an indication

of whether the ball has been turned over to the opponent) and the probability that it

occurs. These probability distributions were constructed to match known features of the

true distributions, e.g., the probability of a lost fumble is .015 and the probability of an

intercepted pass is .04 (results cited in CPT and, more recently, in Brimberg and Hurley

(1997)). Note that passes may result in an interception or fumble so the probability of a

turnover is .055 when averaged over all pass plays. Similarly, the mean gain on a run is

just under four yards. The remaining details of the distribution represent a crude estimate

based on limited data. The distribution of possible outcomes for punts and field goals were

created using a similar procedure. The details of the distributions for these two actions are

not provided here.

There is plenty to criticize here, e.g., the use of only a single distribution for all run

plays, the use of only two passing distributions (short and long), the discrete approximations

to phenomenon that are nearly continuous in nature, the complete exclusion of defensive

actions. However, the biggest difficulty with this approach to determining optimal strategy

is computational. The state space is enormous and to this point it has only been possible to

solve for optimal strategy during the last 10 minutes of the football game. In addition, the

strategy findings appear to be quite sensitive to the specified distributions which (in theory)

reflect the relative abilities of the two teams. Distributions that are inaccurate may lead

to unintended consequences. For example, an earlier version of the distributions in Table 2

20

Distribution of outcomes for various actions
Run play Short pass play Long pass play
Yards Turnover Probability Yards Turnover Probability Yards Turnover Probability
−4 0 0.020 −5 0 0.030 −10 0 0.045
−2 0 0.060 −5 1 0.010 −10 1 0.005
−1 0 0.065 0 0 0.400 0 0 0.595
−1 1 0.005 3 0 0.065 0 1 0.055
0 0 0.145 5 1 0.025 18 0 0.195
0 1 0.005 6 0 0.140 27 0 0.080
1 0 0.125 8 0 0.130 50 0 0.020
1 1 0.005 8 1 0.010 99 0 0.005
2 0 0.110 12 0 0.075
3 0 0.090 16 0 0.055
4 0 0.070 20 0 0.040
6 0 0.090 35 0 0.017
8 0 0.060 99 0 0.003
10 0 0.050
15 0 0.085
30 0 0.010
50 0 0.004
99 0 0.001

Table 2: Assumed distribution of outcomes for run plays, short pass plays, and long pass
plays. Each play is assumed to consume one 15-second time unit.

21

led to the conclusion that all teams should always choose to throw long passes (unless

ahead and trying to run out the clock). Even with these limitations, the optimal strategies

obtained from this model are useful. For one thing they suggest that 2-point conversions

after touchdown should be attempted more often than they are in practice. This is based

on the current rate of success in United States professional football (approximately 0.50 for

the 2-point conversion and 0.96 for the 1-point conversion).

The expected win probabilities produced by the dynamic programming approach are

included in Table 1 for comparison with the other methods. Intervals are given when the

time remaining is in between two time-units. The dynamic programming results are similar

to those obtained by CPT, however, some substantial differences do occur. It appears that

the dynamic programming approach allows for a greater probability of come-from-behind

wins (likely due to some favorable features of the distribution of outcomes assumed for long

passes).

The potential of dynamic programming was realized long ago. The annotated bibli-

ography of the book on sports statistics edited by Ladany and Machol (1977) includes a

reference to Casti’s (1971) technical report which apparently outlines a similar approach.

More recently, Sackrowitz and Sackrowitz (1996) develop a dynamic programming approach

to evaluating ball control strategies in football. Their work is similar to that described here

except that team possessions are analyzed rather than individual plays. They define a lim-

ited set of offensive strategies for a team (ball control, regular play, hurry-up) and assign a

distribution for time used by each strategy and a probability of scoring a touchdown for each

strategy. Their finding is that a team should not change its style of play for a particular

opponent.

22

Score Yards Time Win probability
difference from goal remaining Before turnover After turnover Decrease
0 25 45 .589 .502 .087
0 50 45 .544 .456 .088
0 85 45 .480 .394 .086

3 25 5 .804 .742 .062
3 50 5 .773 .705 .068
3 85 5 .725 .650 .075

Table 3: Change in win probability due to a turnover for several different scores, field
positions, and time remaining.

3.3.2 Applying the estimated win probabilities

We can now return to the types of strategy considerations that were evaluated earlier using

expected points. For this discussion, we use the logistic approximation to the win probability

(because the CPT results are not available for all of the situations we are interested in).

We do not use the dynamic programming results because it is evident that more work is

required to make this approach feasible. It should be noted however that the dynamic

programming approach is a promising one for addressing detailed strategy questions.

Recall that Carter and Machol (1971) found that the effect of a turnover did not depend

on the location on the field where the turnover occurred. It seems likely that the time

remaining in the game will make a difference with respect to this issue. Table 3 gives

the probability of winning before and after a turnover at several different locations at two

different points in the game. Early in the game we find that the Carter and Machol result

holds, but later in the game the location of the turnover on the field does matter. Turnovers

near your own goal late in a close game are more costly than turnovers near midfield, as

intuition might suggest.

Interestingly, the optimal fourth down strategy also depends on the time remaining.

Early in the game, win probabilities support the recommendation derived using expected

points, teams should go for the first down rather than kick a field goal. However, optimal

23

late-game strategy appears to be sensitive to the model used for estimating win probabilities.

The logistic approximation does not inspire great confidence so we do not provide any details

here.

Win probabilities might also be used to evaluate team performances. The offensive

part of a football team could, for example, be judged by their net effect on the team’s win

probability. CPT propose win probabilities for precisely this purpose and work through

three games in detail. The CPT approach only estimates win probabilities at the start of

each possession so that it would be difficult to use them for evaluating individual plays or

players. If win probabilities were available for every possible situation, as they would be

if dynamic programming were used to estimate them, then it might be possible to give a

player credit for the changes in the team’s win probability that result from his contributions.

This approach could also be used to assess the effectiveness of running plays and passing

plays or the effect of penalties by summing the changes in win probability associated with

all plays of a given type. Once again the difficult problem of partitioning credit among the

several players involved in each play requires some thought.

3.3.3 Limitations

Conceptually, win probabilities come closest to providing the ideal information needed to

make effective strategy decisions. One limitation of this approach is that, as with expected

point values, the win probabilities are estimated from aggregate data (using either the CPT

or dynamic programming approach) and thus may not be relevant for a particular team or

game. The win probability for Team A in a particular situation may be different than if

Team B were in the same situation. It still seems that a set of “average” win probabilities

would be a useful decision-making tool.

A more important issue at this point in time is the difficulty in obtaining credible

estimates for the win probabilities. There are problems with both the empirical approach

24

of CPT and the dynamic programming approach that we considered. Large amounts of

data are required to apply the empirical approach of CPT and to expand the number of

situations for which win probabilities are defined. We must also decide how many different

situations to address. For example, in professional football in the United States the home

team is usually thought to have a three-point advantage, or put another way, the home

team wins approximately 59% of all games. Should we compute separate win probabilities

for the home and visiting team for each state? Dynamic programming, our second approach

to estimating win probabilities has great potential but also requires additional data. Data

are needed to construct realistic distributions for the various plays/actions. In addition,

it would be good to expand the model to include both offensive and defensive choices of

actions at each state. This would make things more realistic than the offense-only model

considered here. During games, teams try to outguess each other, so that the offense will

try to use a run play when the defense expects a pass play. Incorporating offensive and

defensive actions would require the distribution of outcomes for each offensive action under

a variety of assumptions about the defensive team’s strategy. Unfortunately, this would

take our fairly large dynamic programming problem and make it even more complex.

Some researchers have worked in the opposite direction, constructing simpler models

that can yield informative results on particular questions, e.g., Brimberg and Hurley (1997)

describe a simple model of football and use it to assess the effect of turnovers on the

probability of winning a game.

4 Rating of teams

Due to the physical nature of football, teams usually play only a single game each week. This

limits the number of games per season to between 10 and 20 games (depending on whether

we are thinking of United States college football, United States professional football, or

Canadian professional football). The seasons are not long enough for each team to play

25

every other team. Typically teams are organized in leagues or divisions within which all

teams play each other once or twice; however these teams will play different schedules outside

of the division. Because teams play unbalanced schedules, an unequivocal determination

of the best team is not possible. Playoff tournaments are used to determine champions in

professional football but not in major United States college football. There are more than

100 college teams competing at the highest level and a unique champion is not determined

on the field of play. The performances of the best teams are judged by a poll of coaches or

sportswriters to identify a champion. It is natural to ask whether statistical methods can

be used to rate teams and identify a champion. Even though professional football uses a

playoff tournament to identify a champion, there is some interest in rating teams there as

well, especially in the middle of the season. This is primarily because the question of how

to find suitable ratings for teams is closely related to questions concerning prediction of

game outcomes and preparation of a betting line. Prediction is covered in Chapter 12 later

in the book so here we limit ourselves to a brief review of the work that has been carried

out concerning the rating or ranking of football teams.

There has been interest in rating college football teams with unbalanced schedules for a

long time. Dickinson (1941) describes an approach that he used in the 1920s and 1930s which

gave teams points for each game they won, with the number of points depending on the

quality of the opponent. This is an example of a rating method that relies only on a record of

which teams have defeated which other teams (with no use made of the game scores). Other

examples of this type in the statistical literature include the methods of Bradley and Terry

(1952) or Andrews and David (1990) for data consisting of contests/comparisons of two

objects at a time. The National Collegiate Athletic Association (NCAA) is the governing

body for college sports in the United States and is responsible for determining champions

in a variety of sports. The NCAA relies on a measure of this type, the Ratings Percentage

Index (a combination of a team’s winning percentage, the average of its opponents’ winning

26

percentages and the average of its opponents’ opponents’ winning percentage) in a variety

of sports but not football.

An extremely popular approach to rating teams makes use of the scores accumulated by

each team during their games. Such ratings have become increasingly popular due to their

relevance for prediction (see also Chapter 12). Most often these ratings approaches apply

the method of least squares or related normal distribution theory to obtain ratings that

minimize prediction errors (Leake, 1976; Stefani, 1977, 1980; Harville, 1977, 1980; Stern,

1995; Glickman and Stern, 1998). We briefly describe the basic idea of these approaches.

Suppose that Ri is used to represent the rating for team i and Rj is the rating for team j.

When team i plays team j the ratings would predict the outcome as Ri − Rj ± H where

H is a home-field advantage measure (approximately 3 points in professional and college

football in the United States) and the sign of H depends on the site of the game. If we

use Y to represent the actual outcome when these teams play, then the prediction error

is Y − (Ri − Rj ± H). Given the results from a collection of games, we can estimate the

ratings to be those values that make the prediction errors as small as possible, e.g., least-

squares ratings minimize (Y − (Ri − Rj ± H))2 . Ratings of this type appear in the USA

Today newspaper during the college football season. Of course, it is not necessarily true

that methods based on normal distributions are appropriate for analyzing football scores.

Mosteller (1979) presents a “resistant” analysis of professional scores to prevent unusual

scores (outliers) from having a large effect. Bassett (1997) introduces the possibility of

using least absolute values in place of least squares in order to minimize the effect of unusual

observations. Rosner (1976) builds a model for rating teams or predicting outcomes that

makes explicit use of the multiple ways of scoring points in football. Mosteller (1970) and

Pollard (1973) provide exploratory analyses of football scores but do not focus on rating

team performance.

27

5 Some other topics

Any presentation of the relationship of probability and statistics to football (or any other

sport for that matter) will focus on those aspects of the sport that the author finds most

interesting and promising. This section provides references to other work not discussed in

detail. We also mention some problems that have not received much attention but might

benefit from statistical analysis.

Professional football teams are constructed primarily by two means, teams draft play-

ers from college football teams and teams sign “free agents” (players currently without a

contract). Evaluating the contributions of players and placing an economic value on those

contributions are obviously relevant to making personnel decisions. These issues have not

yet received much attention. The player dispersal draft that allocates new players to teams

has been around a long time but has also not received much attention. Price and Rao (1976)

build a model for evaluating a variety of different player allocation rules. Other business

and economic issues are addressed by Noll (1974). In one chapter of that edited volume,

Noll carries out an analysis of attendance in many sports including football.

One strategy issue that is not appropriately addressed by any of the discussion here is

the effective use of timeouts and other time management strategies. Carter and Machol

(1971) discuss this issue briefly in their work on expected points. CPT also discuss the

use of timeouts but both discussions are mainly qualitative. As regards time management

strategies, Sackrowitz and Sackrowitz (1996) carry out an investigation of time management

by asking whether altering one’s strategy to use more/less time can increase the probability

of winning.

28

6 Summary

Football teams have expressed a willingness use statistical methods to learn from available

data. Most teams keep detailed records of opponents’ tendencies and use that information to

plan strategy for upcoming games. In addition, Bud Goode has a long history of consulting

for professional teams, identifying the key variables correlated with winning football games

and then providing advice on how teams might improve their performance with respect to

these variables (see, e.g., Goode, 1978). The discussion here shows that more extensive use of

statistical methods in football might provide an opportunity for enhanced player evaluation,

and improved decision-making. In this era of greater freedom in player movement from team

to team, research regarding the value of a player or the relative values of two players will

become even more crucial. With respect to decision-making, the results here suggest that

football coaches should attempt fewer field goals (worth 3 points) and instead take more

fourth-down risks in pursuit of touchdowns (worth 6,7,or 8 points). More complete results

about player evaluation and optimal strategy will require more data and a more substantial

research effort.

7 References

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for placekicks. Technical report, Department of Statistics, Kansas State University,

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32

Figure 1. Expected points for a team with first down and ten yards to go from various

points on the field and the associated least squares line. Data are from Carter and Machol

(1971).

Figure 2. Probability of winning as a function of the score difference, s, the time remaining

(in minutes), t, and yards from the goal, y, using the logistic approximation: (a) probability

as a function of time remaining for three selected score/yards-from-goal combinations; (b)

probability as a function of yards from goal for three selected score/time-remaining combi-

nations; (c) probability as a function of score difference for two time-remaining/yards-from-

goal combinations.

33

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