Spring, 2012 Phone:

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1 Theories of the Policy Process Professor Charles Davis POLS 660 B351 Clark Bldg. Spring, 2012 Phone: M 2-5 PM charles.davis@colostate.edu C 347 Clark Bldg. Office Hours: 1-2 MW, or by appointment Course Description This course deals with theories of public policy within U.S. politics. We begin by examining the historical and structural contexts of policymaking. Next, we identify and discuss concepts and frameworks used in examining differing phases of the policy cycle from problem identification to the implementation and evaluation of public programs. I am primarily concerned with policy literature that accounts for the how and why of policy decisions rather than literature that offers prescriptions for the resolution of policy problems. This seminar will follow a discussion format. It is expected that everyone will come to class prepared to discuss the readings from a critical perspective. Thus, you should remember not only the basic theme of the piece but the quality of evidence and how well it is presented. For each session, students will be expected to carry out a critical discussion of the required readings for the initial minutes, focusing on key themes, problems, etc. My role will be that of the dispassionate observer; i.e., asking questions and breaking in if things get too off course or misinterpreted. We then turn to the suggested readings. Here individual students take the lead in discussing assigned articles/chapters. This should last approximately 15 minutes and consist of basic themes, examples and an evaluation of the piece. Discussion leaders should also provide a one page synopsis and critical evaluation of the article to be distributed to others. Under no circumstances shall anyone be caught reading the assignment out loud - we want to stay awake and interested. Feel free to raise questions and to make comments. Course Requirements Course requirements include two exams plus a term paper. Each will constitute a third of your grade. The midterm will be taken in class while the final will be a take-home exam. The takehome final will be handed out in class on April 30 and should be returned to me at or before 3 PM on May 7 (answers should be typed, double spaced and roughly 4-7 pages in length). The paper may deal with any facet of public policy such as agenda setting, formulation, implementation or change. Alternatively, a paper can be based on the application of any framework (e.g., multiple streams, ACF, implementation, etc.) to the analysis of a substantive area of policy such as transportation, agriculture, energy, etc.). It should be pages in length, double spaced, amply documented with source materials and well organized (there must be an introduction, an analytical section and conclusions). It is expected that the paper will deal with conceptual aspects of policy whether you are comparing alternative approaches to policy design or testing an agenda building approach through the analysis of data or cases. Credit will be deducted for poor organization, grammatical sloppiness or lateness. 1

2 The paper is due on April 16. On the previous week (April 9), I will be meeting with each student to review a detailed outline or rough draft of your paper that you will have given to me at least two days beforehand. The idea is to offer preliminary feedback before the paper is turned in. You will receive a tentative grade plus comments on April 23 rd. If you choose to rewrite the paper based on the comments received and provide a revision plus the original draft by Monday, May 7, I will consider adjusting the grade. Note: this applies only to paper grades below an A-. Texts Thomas Birkland, Introduction to the Policy Process, 3 rd ed. M.E. Sharpe. Frank Baumgartner and Bryan Jones, Agendas and Instability in American Politics, 2 nd ed. University of Chicago Press. John Kingdon, Agendas, Alternatives and Public Policies. 2nd ed. Harper Collins. Paul Sabatier, ed., Theories of the Policy Process, 2 nd ed. Westview Press. Topics 1/16 Introduction: Historical and Political Contexts of Public Policy Birkland, Ch. 1-3; Sabatier, Chapter 1 Lawrence Mead, "Policy Studies and Political Science," Policy Studies Review (November, 1985). Richard Neustadt and Ernest May, Thinking in Time: The Uses of History for Decision-Makers. New York, NY: Free Press, Douglas Ashford, ed., History and Context in Comparative Public Policy. Pittsburgh, PA: University of Pittsburgh Press, /23 Defining Policy Problems and Issues Birkland, pp ; Kingdon, Ch. 5 Deborah A. Stone, Causal Stories and the Formation of Policy Agendas, Political Science Quarterly (Summer, 1989). 2

3 Christopher J. Bosso, The Contextual Bases of Problem Definition, in The Politics of Problem Definition: Shaping the Public Agenda, ed. David Rochefort and Roger Cobb. Lawrence, KS: University Press of Kansas, Jessica Boscarino, Surfing for Problems: Advocacy Group Strategy in U.S. Forestry Policy, Policy Studies Journal, No. 3 (2009). Elizabeth Strom and Angela Cook, Old Pictures in New Frames: Issue Definition and Federal Arts Policy, Review of Policy Research (July, 2004). David Houston and Lilliard Houston, Jr., The Politics of Air Bag Safety: A Competition among Problem Definitions, Policy Studies Journal No. 3 (2000). Roger Cobb and David Primo, Safety and Symbolism in Aviation Politics. Chapter 8 in their book, The Plane Truth: Airline Crashes, the Media, and Transportation Policy. Washington, DC: Brookings, /30 Policy Communities/Subgovernments/Networks Birkland, Ch. 5; Sabatier, Ch.5 Jeffrey M. Berry, Subgovernments, Issue Networks, and Political Conflict, in Remaking American Politics, ed. Richard A. Harris and Sidney M. Milkis (Boulder, CO: Westview Press, 1989). Jeffrey Worsham, Up in Smoke: Mapping Subsystem Dynamics in Tobacco Policy, Policy Studies Journal (August, 2006). Frank R. Baumgartner and Beth L. Leech, Interest Niches and Policy Bandwagons: Patterns of Interest Group Involvement in National Politics, Journal of Politics Vol. 63 No. 4 (2001). Lawrence O'Toole, "Treating Networks Seriously: Practical and Research-based Agendas in Public Administration," Public Administration Review (January-February, 1997). Daniel McCool, The Subsystem Family of Concepts: A Critique and a Proposal, Political Research Quarterly V51 (June, 1998). John Heinz, Edward Laumann, Robert Salisbury and Robert Nelson, "Inner Circles or Hollow Cores?" Journal of Politics (May, 1990). 3

4 2/6 Agenda-Building and Containment Birkland, Ch. 6 Denise Scheberle, "Radon and Asbestos: A Study of Agenda Setting and Causal Stories," Policy Studies Journal (Spring, 1994). Thomas Birkland, "Focusing Events, Mobilization, and Agenda Setting," Journal of Public Policy (January/April, 1998). Hall, Billy, Jr., and Bryan Jones Agenda Denial and Issue Containment in the Regulation of Financial Securities: The SEC, In Roger Cobb and Marc Ross, eds., Cultural Strategies of Agenda Denial. Lawrence, KS: University Press of Kansas. Sarah Pralle, The Mouse that Roared : Agenda Setting in Canadian Pesticides Politics, Policy Studies Journal (May, 2006). Bradley Clark, Agenda Setting and Issue Dynamics: Dam breaching on the Lower Snake, Society & Natural Resources V17 (2004). Sheldon Kamieniecki, Testing Alternative Theories of Agenda Setting: Forest Policy Change in British Columbia, Canada, Policy Studies Journal, V28, No. 1 (2000). 2/13 Political Institutions and Policy Formulation Birkland, Ch. 4; Kingdon (all); Sabatier, Chapter 3 Thomas James and Paul Jorgensen, Policy Knowledge, Policy Formulation, and Change: Revisiting a Foundational Question, Policy Studies Journal V37, No. 1 (2009). Xinsheng Liu, Eric Lindquist, Arnold Vedlitz, and Kenneth Vincent, Understanding Local Policymaking: Policy Elites Perceptions of Local Agenda Setting and Alternative Policy Selection, Policy Studies Journal V38, No. 1 (2010). Nikolaos Zahariadis, Ideas and Policy Change in Britain and France. Chapter 3 in his Ambiguity and Choice in Public Policy. Washington, DC: Georgetown University Press,

5 Sarah Pralle, Agenda-setting and Climate Change, Environmental Politics V18 (September, 2009). Joe Blankenau, The Fate of National Health Insurance in Canada and the United States: A Multiple Streams Perspective, Policy Studies Journal No. 1 (2001). Thomas A. Birkland, The World Changed Today: Agenda-Setting and Policy Change in the Wake of the September 11 Terrorist Attacks, Review of Policy Research, V21, No.2 (2004). 2/20 Policies and Policy Types Birkland, Chapter 7 James Q. Wilson, "The Politics of Regulation," Ch. 10 in James Q. Wilson, ed., The Politics of Regulation. New York: Basic Books, Theodore J. Lowi, Four Systems of Policy, Politics, and Choice, Public Administration Review Vol. 32 (1972): Kevin Smith, Typologies, Taxonomies, and the Benefits of Policy Classification, Policy Studies Journal V30, No. 3 (2002). Brian J. Cook, Arenas of Power and New Policy Theory: Toward a Synthesis American Political Science Association Conference Paper (2010). Elaine B. Sharp, The Dynamics of Issue Expansion: Cases from Disability Rights and Fetal Research Controversy, Journal of Politics V56 (1994). Gary P. Freeman, National Models, Policy Types, and the Politics of Immigration in Liberal Democracies, West European Politics, V29, No.2 (2006). 2/27 Institutionalism and Policy Sabatier, Chapter 2 Robert F. Durant, Agency Evolution, New Institutionalism, and 'Hybrid' Policy Domains: Lessons from the 'Greening' of the U.S. Military, Policy Studies Journal (November, 2006). 5

6 Terry M. Moe, The Politics of Bureaucratic Structure, in Can the Government Govern? John E. Chubb and Paul E. Peterson, eds. (Washington, D.C.: Brookings, 1989)., The Presidency and the Bureaucracy: The Presidential Advantage. In Michael Nelson, ed., The Presidency and the Political System, 7th edition. Washington, D.C.: Congressional Quarterly Press, Clark Gibson, John Williams, and Elinor Ostrom, Local Enforcement and Better Forests, World Development V33, No. 2 (2005). Bonnie McCay and Svein Jentoft, Market or Community Failure? Critical Perspectives on Common Property Research, Human Organization, V57 (Spring 1998). Floriane Clement, Analysing Decentralised Natural Resource Governance: Proposition for a Politicised Institutional Analysis and Development Framework, Policy Sciences (June, 2010). 3/5 Midterm Exam 3/12 Spring break no class 3/19 Policy Change Sabatier, Chapter 6&7; Baumgartner and Jones (all) : Christopher M. Weible, Paul A. Sabatier, Hank C. Jenkins-Smith, Daniel Nohrstedt, Adam Douglas Henry, and Peter deleon, A Quarter Century of the Advocacy Coalition Framework: An Introduction to the Special Issue, Policy Studies Journal 4No. 3 (2011). Michael Mintrom and Sandra Vergari, Advocacy Coalitions, Policy Entrepreneurs, and Policy Change, Policy Studies Journal (Autumn, 1996). Shannon K. Vaughan and Shelly Arsneault, Not-for-Profit Advocacy: Challenging Policy Images and Pursuing Policy Change, Review of Policy Research, V25, No.5 (2008). Robert Duffy, Political Mobilization, Venue Change, and the Coal Bed Methane Conflict in Montana and Wyoming, Natural Resources Journal V45, No.3 (Summer, 2005). Rick S. Kurtz, Coastal Oil Pollution: Spills, Crisis, and Policy Change, Review of Policy Research, V21, No.2 (2004). 6

7 Charles Davis, The Politics of Grazing on Federal Lands: A Policy Change Approach. In Robert Repetto, ed., Punctuated Equilibrium and the Dynamics of U.S. Environmental Policy. New Haven, CT: Yale University Press, /26 Policy Design and Implementation Birkland, Chapter 8 & 9; Sabatier, Chapter 5 : Peter May, "Mandate Design and Implementation: Enhancing Implementation Efforts and Shaping Regulatory Styles," Journal of Policy Analysis & Management V12, No. 4 (1993). Jacqueline Switzer, Local Government Implementation of the Americans with Disabilities Act, Policy Studies Journal No. 4 (2001). Dorothy Daley and David Layton, Policy Implementation and the EPA: What Factors Influence Remediation at Superfund Sites? Policy Studies Journal (August, 2004). Michael J. Mortimer and Scott D. McLeod, Managing Montana's Trust Land Old-Growth Forests : Practical Challenges in Implementing Scientific Policy, Administration & Society, V38, No. 4 (2006). Lawrence O Toole, The Theory/Practice Issue in Policy Implementation Research, Public Administration 82 (2004). Sean Nicholson-Crotty, The Impact of Program Design on Enrollment in State Children's Health Insurance Programs, Policy Studies Journal (February, 2007). 4/2 The Role of Policy Entrepreneurs Kingdon, pp Michael Mintrom and Norman, Phillipa, Policy Entrepreneurship and Policy Change, Policy Studies Journal V37, No. 4 (2009). Thomas McCraw, Kahn and the Economist s Hour. Ch. 7 in his Prophets of Regulation. Cambridge, MA: Belknap Press,

8 John Milton Cooper, Jr., Gifford Pinchot Creates a Forest Service. In Jameson Doig and Erwin Hargrove, eds., Leadership and Innovation. Baltimore, MD: Johns Hopkins University Press, Paul Teske and Mark Schneider, The Bureaucratic Entrepreneur: The Case of City Managers, Public Administration Review V54 (July/August, 1994). Robert S. Wood, Earthquake Entrepreneurs: Local Policy Systems and the Regulation of Public Risks in California, State & Local Government Review, V36 (Autumn, 2004) Dave Huitema and Sander Meijerink, Realizing Water Transitions: The Role of Policy Entrepreneurs in Water Policy Change, Ecology and Society V15. No. 2 (2010). Anne M. Khademian, The Pracademic and the Fed: The Leadership of Chairman Benjamin Bernanke, Public Administration Review (January/February, 2010). 4/9 Term Paper Work & Consultation 4/16* Comparing Policy Decisions: Diffusion of Innovation Sabatier, Chapter 8 Dorothy Daley, Voluntary Approaches to Environmental Problems, Policy Studies Journal, No. 2 (2007). Alka Sapat, "Devolution and Innovation: The Adoption of State Environmental Policy Innovations by Administrative Agencies," Public Administration Review (March, 2004). Éric Montpetit, A Policy Network Explanation of Biotechnology Policy Differences between the United States and Canada, Journal of Public Policy, V25, No. 3 (Sep. - Dec., 2005). Sean Nicholson-Crotty, The Politics of Diffusion: Public Policy in the American States, Journal of Politics (January, 2009). Daniel Matisoff, The Adoption of State Climate Change Policies and Renewable Portfolio Standards: Regional Diffusion or Internal Determinants? Review of Policy Research, No. 6 (2008). *Term paper is due 8

9 William Kyle Ingle, Lora Cohen-Vogel, and Roxanne Hughes, The Public Policy Process among Southeastern States: Elaborating Theories of Regional Adoption and Hold-Out Behavior, Policy Studies Journal (November, 2007). 4/23 Using and Evaluating Policy Research Birkland, Ch. 7 Aaron Wildavsky, The Self-Evaluating Organization, Ch. 9 in his Speaking Truth to Power: The Art and Craft of Policy Analysis. New Brunswick, NJ: Transaction Publishers, Judith Gueron, Welfare Reform at the State Level: The Role of Social Experiments and Demonstrations. In David Featherman and Maris Vinovskis, eds., Social Science and Policymaking. Ann Arbor, MI: University of Michigan Press, Beryl Radin, Beyond Machiavelli: Policy Analysis Comes of Age. Georgetown University Press, 2000, Ch. 3. Susan Iott, Policy Sciences and Congressional Research: Making Sense of the Research Question, Policy Sciences (April, 2010). 4/30 Presentation of student papers** **Final exams will be distributed 9