Instructors: Andreea Nastase (Fall), Tamás Meszerics (Winter), Károly Jókay (Fall)

Transcription

1 CENTRAL EUROPEAN UNIVERSITY Department of Public Policy Credits: 4 (Fall, 2012 and Winter, 2013) Instructors: Andreea Nastase (Fall), Tamás Meszerics (Winter), Károly Jókay (Fall) Teaching Assistant: Blagoy Kitanov THE POLICY PROCESS AND POLICY ANALYSIS (DPP 5301) The course, based upon previous versions delivered by our colleagues in DPP, is designed to introduce students to the comparative analysis of public policy. It assesses key incentives and constraints that are inherent in the policy process and introduces models that seek to provide an analytical framework. will become familiar with pluralist and rational choice-based approaches to the study of public policy; they will acquire the analytical tools to analyse actors and their strategic behaviour in the political process; and they will gain some experience in analysing the policy process from the inception of a new public policy issue to its implementation and review. The course draws on classical texts in comparative politics and public policy, and proceeds to explore current academic and political issues in the (European) public policy debates. The course will be taught over two semesters during academic year The course in brief (Winter 2013 information to be added later): Fall Week 1 18-Sep Week 7 30-Oct Introduction: Nature and function of public policy (Nastase/Jokay) Government/Public Policy Failure Week 2 25-Sep Week 8 6-Nov Public Policy: History of the discipline and public policy today Institutions, norms and public policy Week 3 2-Oct Week 9 13-Nov Policy Briefs: our product, service or role? Organizational theory Week 4 9-Oct Week Nov Rational Choice and Public Policy Policy communities and networks Week 5 16-Oct Week Nov Market failure The policy cycle and its critics Week 6 23-Oct Week 12 4-Dec READING WEEK Alternatives to rationalism: incrementalism and the garbagecan model 1

2 The Winter 2013 semester will cover: agenda-setting, the legislative process, analytic tools, implementation, compliance, evaluation, termination, diffusion and evidence-based policymaking. More details later. Class Structure and Approach For the Fall semester, most of the class sessions will consist of three parts. First, for most sessions, students in teams of two will present (as described below) for about 15 minutes, followed by discussion. Note that some sessions will not have a student presentation. Then an approximately 45 minute presentation and discussion of the week s topic led by the professor. Then, To close each class session, the teaching assistant will introduce an example from the popular press, a video site etc. to illustrate the concepts covered that week. In this sense, classes will extend from theories as described in the literature, to an application of the theory in a specific case, and finally, a popular example will serve to illustrate the utility or disutility of the theory. Course Requirements Participation in class discussion (10%) Presentation, in teams of two (15%), once over two semesters Midterm assignment: an op-ed (15%), submitted during the Fall semester Final paper: a policy brief(60%); the draft of the policy brief (around 1500 words) is due in December, while the final version ( words) will be submitted in the Winter semester, in March Participation: Participation includes seminar attendance, and informed contributions to class discussions. are expected to prepare all required readings, and are encouraged to develop a deeper knowledge of the topic on their own, e.g. by consulting additional indicated readings. may be asked to shortly summarize key aspects of the required literature in working groups. The Department s policy on attendance is strict. Two unexcused absences will reduce your grade by at least one level. Presentation: will be randomly assigned to groups of two. About 12 groups will present each semester. Presentations are intended to provide a short (i.e. no longer than 15 minutes) and distinct introductory input to a session. They are guided by the main question provided in the syllabus. Presentations critically assess required readings and provide a clear added value to the audience, beyond the arguments/facts provided in the specified literature. Half of the effort, at most an 8 page Powerpoint presentation, should focus on the readings while the other half should identify specific examples that either support or dispute the theories. Own research on the topic is certainly encouraged. Presentations are usually carried out in teams of two. Presenters also lead the following Q&A session and guide discussions. Presentations include starting points for further discussion in class. Presentations are evaluated upon clarity and quality, and upon the presenters ability to master the topic. Draft presentations need to be sent to, and discussed with the TA at least three days prior to the session they are held, so that any necessary adjustments can be negotiated. Evaluation criteria are included in the e-learning site. 2

3 Given the large class size, students will be a part of two cohorts. Approximately half the students will present in the Fall semester, and half in the Winter. Midterm assignment: In late November, students submit a brief op-ed article on a topic selected from a list provided by the course instructors. The paper is of less than 650 words of length, and is evaluated on the basis of its substance and clarity, and on the quality of writing. For the basics of op-ed writing please refer to instructions of the Academic Writing Center. The deadline is November 20, Final paper: Term papers are due at the end of the final exam period in March, 2013, and are words in length. Term papers follow the format of a Policy Brief. They are written to advise a governmental or nongovernmental body on a topic of the students choice. Papers define a clear policy problem, are characterized both by empirical and analytical rigor, and provide persuasive policy recommendations on the chosen topic. For the basics of policy paper writing please refer to instructions of the Academic Writing Center. The paper is evaluated on the basis of its substance, insight, clarity, its link to policy practice, the quality of writing and overall presentation. References to all used sources are properly indicated. submit a paper outline (with full sentences) together with an initial list of sources by December 10. These outlines are then discussed with the instructor prior to the writing process during the Winter semester. This means that the outline will be reviewed and discussed with the students, and the final product will be expected to be top quality, given that there will be two semesters in which to develop the idea then write it. Evaluation criteria are also included on the e-learning site. The course will only issue a final grade after the Winter 2013 semester.. The midterm assignment will be graded in the first semester, and the presentation in the semester in which it will be held. Participation will be graded separately for the two semesters. An interim, indicative grade will be given in the Fall semester, based on class participation, the mid-term assignment. The final grades will be determined by all three instructors. Deadlines and Submission of Papers: Op Ed: 20 November 2012 Sentence Outline of Policy Brief: 10 December 2012 Final Policy Brief (est): 31 March 2013 Both, the Midterm assignment and the Term paper have to be submitted through the e-learning platform. After the above-mentioned deadlines, uploading your paper to the platform is not possible anymore and the late-submission policy applies. Policy on late submission Written assignments submitted late are sanctioned by lowering the grade by 0.2 points per working day of delay. 3

4 Basic readings and literature This course uses CEU s e-learning platform (e-learning.ceu.hu). There will be no reader. Required readings including most book chapters but excluding books are to be found online on the e-learning platform as PDF files or, alternative, through a link. Passwords for the e- learning platform are handed out during the first session. Required readings in books are to be found on the reserve book shelf in the library. Important books, textbooks on reserve: Eugene Bardach, A Practical Guide for Policy Analysis: The Eightfold Path to More Effective Problem Solving (Third Edition), CQ Press, Paul Cairney, Understanding Public Policy: Theories and Issues. Palgrave Macmillan, William N. Dunn, Public Policy Analysis: An Introduction, Pearson Prentice Hall, Frank Fischer, Gerald J Miller and Mara S Sidney, Handbook of Public Policy Analysis: Theory, Politics and Methods, CRC Press, 2007 George M. Guess and Paul G. Farnham, Cases in Public Policy Analysis, Georgetown University Press, Dipak K. Gupta, Analyzing Public Policy: Concepts, Tools, and Techniques (Second Edition), CQ Press, Michael Hill and Peter Hupe, Implementing Public Policy: Governance in Theory and Practice, SAGE, Michael Hill, The policy process: a reader, Harvester-Wheatsheaf, Michael E. Kraft and Scott R. Furlong, Public Policy: Politics, Analysis, and Alternatives, CQ Press, Julian LeGrand, Motivation, Agency and Public Policy, Oxford University Press, Martin Rein and Robert E. Goodin, eds., Oxford Handbook of Public Policy, Oxford: Oxford University Press, Paul A. Sabatier (ed) Theories of the Policy Process, Westview Press, D.L. Weimer & A. R. Vining, Policy Analysis. Longman,

5 Week 1 Week 2 Course Schedule and Reading List FALL Topics Required Readings Optional Readings 18-Sep Introduction: Nature and function of public policy Demand for Public Policy 25-Sep George Guess and Paul Farnham (2011), "The Policymaking Process: Between Technical Rationality and Politics, " Chapter 1 in Guess and Farnham, Cases in Public Policy Analysis, pp Public Policy: History of the discipline and public policy today "What is Policy Analysis?" and "Toward Professional Analysis," Weimer and Vining (2011) chapters 2-3, pp "Policy Analysis in the Policy-Making Process," in Dunn (2008) chapter 2, pp Public policy for professionals: The role of policy advisors and policy analysts Arnold J. Meltsner, The Seven Deadly Sins of Policy Analysts, in Shafritz and Hyde, pp "Introduction: Theories and Issues" and "What is Public Policy?" in Cairney (2012) ch. 1-2, pp "Public Policy and Politics" and "Understanding Public Policymaking" in Kraft (2010) chapter 1, 3, pp and Week 3 2-Oct Policy Briefs: our product, service or role? Young and Quinn, "The Policy Paper: An Overview," and The Policy Paper: Structural and Textual Elements," Chapters 4 and 5, pp in Young and Quinn, Writing Effective Public Policy Papers (LGI OSI, 2002). "Communicating Policy Analysis" in Dunn (2008) chapter 9, pp examples of policy briefs "Structuring Policy Problems," in Dunn (2008) chapter 3, pp "Gathering Information for Policy Analysis," Weimer and Vining (2011) chapter 14, pp Eugene Bardach, "The Eightfold Path," A Practical Guide for Policy Analysis, chapter 1, pp Week 4 9-Oct Rational Choice and Public Policy "Rational Choice Theory" in Cairney (2012) chapter 7, pp "Efficiency and the Idealized Competitive Model," Weimer and Vining (2011) chapter 4, pp Hay, Colin, Theory, Stylized Heuristic, or Self-Fulfilling Prophecy: The Status of Rational Choice Public Administration. 82: 1 (2004), Neiman, Max, and Stephen J. Stambough, Rational Choice Theory and the Evaluation of Public Policy, Policy Studies Journal, 26:3 (2005), Kitanov (TA) Groups 1 and 2 presentation 5

6 Week 5 16-Oct Market failure "Rationales for Public Policy: Market Failures," and "Rationales for Public Policy: Other Limitations of the Competitive Framework," Weimer and Vining (2011) chapters 5 and 6, pp Epple, Dennis, and Richard E. Romano "Public Revision of Private Goods." Journal of Political Economy 104 (1): Stiglitz, Joseph Economics of the Public Sector. New York: W.W. Norton, pp [336./73 STI] group 3 and 4 presentation Kitanov (TA) Week 6 23-Oct READING WEEK OCTOBER HOLIDAY Week 7 30-Oct Kitanov (TA) Government/Public Policy Failure "Limits to Public Intervention: Government Failures," Weimer & Vining, (2011) chapter 8, pp Charles Wolf Markets or Governments: Choosing between Imperfect Alternatives. Chapter 3/4. [338.9WOL]. Datta-Chaudhuri, Mrinal Market Failure and Government Failure Journal of Economic Perspectives, 4 (3): William Niskanen, Bureaucracy: Servant or Master?, London: IEA, 1973, especially Chapter 2. Clifford Winston Government Failure in Urban Transportation. Fiscal Studies. 21(4)

7 Week 8 6-Nov Institutions, norms and public policy March, James G., and Johan P. Olsen The Logic of Appropriateness. In Oxford Handbook of Public Policy, eds. Martin Rein and Robert E. Goodin. Oxford: Oxford University Press. Rothstein, Bo Political Institutions: An Overview. In A New Handbook of Political Science, eds. R. Goodin and H.-D. Klingemann. Oxford: Oxford University Press, p "Institutions and New Institutionalism," in Cairney (2012), Chapter 4, pp Hall, Peter A., and Rosemary C.R. Taylor Political Science and the Three New Institutionalisms. Political Studies XLIV: Pierson, Paul The Path to European Integration: A Historical Institutionalist Approach. Comparative Political Studies 29(2): Schmidt, Vivien A Taking ideas and discourse seriously: Explaining change through discursive institutionalism as the fourth new institutionalism, European Political Science Review, 2(1): Kitanov (TA) group 5 and 6 presentation Scharpf, Fritz W Games Real Actors Play: Actor-Centred Institutionalism in Policy Research. Boulder, Colorado: Westview Press. Steinmo, Sven, Kathleen Thelen, and Frank Longstreth (eds.) Structuring Politics. Historical Institutionalism in Comparative Analysis. Cambridge: Cambridge University Press. Elinor Ostrom "Institutional Rational Choice: An Assessment of the Institutional Analysis and Development Framework," in Sabatier, editor, Theories of the Policy Process, pp Pierson, Paul Politics in time: history, institutions, and social analysis. Princeton, N.J.: Princeton University Press. 7

8 Week 9 13-Nov Organizational theory Julian LeGrand, Motivation, Agency and Public Policy (Oxford University Press 2003), especially chapter /109/41 LEG Sappington, David E.M Incentives in Principal-Agent Relationships. Journal of Economic Perspectives 5(2): Worsham, Jeff, Marc Allen Eisner, and Evan J. Ringquist Assessing the assumptions: a critical analysis of agency theory. Administration and Society 28(4): Morten Egeberg, Organizational theory, inb. G. Peters & J. Pierre (eds) Handbook of Public Administration, Sage 2003, 350 PET Kitanov (TA) Week Nov OP ED DUE! Policy communities and networks Weible, Christopher M., Paul A. Sabatier, and Kelly McQueen Themes and Variations: Taking Stock of the Advocacy Coalition Framework. Policy Studies Journal 37 (1). Börzel, Tanja Organizing Babylon: on the different conceptions of policy networks. Public Administration 76(summer): group 7 and 8 presentation Hood, Christopher, and Martin Lodge The politics of public service bargains: reward, competency, loyalty - and blame. Oxford; New York: Oxford University Press. Hood, Christopher, Colin Scott, Oliver James, George Jones, and Tony Travers Regulation Inside Government: Waste-Watchers, Quality Police, and Sleaze-Busters. Oxford: Oxford University Press. Rhodes, R.A.W Policy Network Analysis. In Oxford Handbook of Public Policy, eds. Michael Moran, Martin Rein, and Robert E. Goodin. New York: Oxford University Press, p Jörg Raab and Patrick Kenis, Taking Stock of Policy Networks: Do they Matter? in Frank Fischer, Gerald J Miller and Mara S Sidney, Handbook of Public Policy Analysis: Theory, Politics and Methods, CRC Press, Klijn, Erik-Hans, and Joop, F.M. Koppenjan Public Management and Policy Networks: Foundations of a Network Approach to Governance. Public Management 2(2): Hanspeter Kriesi; Silke Adam; Margit Jochum, 'Comparative analysis of policy networks in Western Europe', Journal of European Public Policy,13(3), 2006: Tanja A. Börzel and Karen Heard-Lauréote, Networks in EU Multi-level Governance: Concepts and Contributions, Journal of Public Policy (29), 2009: Daniel Kübler Understanding Policy Change with the Advocacy Coalition Framework: An Application to Swiss Drug Policy. Journal of European Public Policy 8(4), Kitanov (TA) 8

9 Week nov The policy cycle and its critics Werner Jann and Kai Wegrich, Theories of the Policy Cycle in Frank Fischer, Gerald J Miller and Mara S Sidney, Handbook of Public Policy Analysis: Theory,Politics and Methods, CRC Press, Peter DeLeon, The Stages Approach to the Policy Process: What has it Done? Where is Going? In Paul A. Sabatier (ed) Theories of the Policy Process, Westview Press, Peter John, Stages Models, chapter 2, Analysing Public Policy, Continuum, Sophia Everett, The Policy Cycle: Democratic Process or Rational Paradigm Revisited?, Australian Journal of Public Administration, 62 (2), 2003: Kitanov (TA) Week dec Bridgman, P. and Davis, G. (2003). What Use is a Policy? Plenty, if the Aim is Clear, Australian Journal of Public Administration, 62(3), Alternatives to rationalism: incrementalism and the garbagecan model Lindblom, Charles E Still muddling, not yet through. Public Administration Review 39(6): Cohen, Michael, James March, and Johan Olsen A garbage can model of organizational choice. Administrative Science Quarterly 17(1): Lindblom, Charles E The Science of Muddling Through. Public Administration Review 19: Lindblom, Charles E., and Edward J. Woodhouse The Policy-Making Process. 3rd ed. Englewood Cliffs, NJ: Prentice Hall. Kitanov (TA) Group 9, 10 and 11 presentation (the other half of the students will present during the Winter semester) Smith, Gilbert, and David May The artificial debate between rationalist and incrementalist models of decision making. In The policy process: a reader, ed. Michael Hill. New York: Harvester-Wheatsheaf. "The Role of Ideas," in Cairney (2012), Chapter 11, pp Bendor, Jonathan, Terry M. Moe, and Kenneth W. Whotts Recycling the Garbage Can: an Assessment of the Research Program. American Political Science Review 95(1): Olsen, Johan P Garbage Cans, New Institutionalism, and the Study of Politics. The American Political Science Review 95 (1) (March 1): POLICY BRIEF SENTENCE OUTLINE DUE DECEMBER 10 9