sPPA 210, section 3 Spring 2003 CALIFORNIA STATE UNIVERSITY, SACRAMENTO

PPA 210:Political Environment of Policy Making

Spring, 2003

Professor Robert Waste

3036 Tahoe Hall 278-4944 (office)

wasterj@csus.edu

Meeting time and place: Tuesday 6-9 PM SLN 4008

Office hours: Tuesday, 4:15 -5:50 and by appointment

OVERVIEW*

One of the recurring themes in American history is the desire to remove politics (that great beast!) from policy making. Fortunately or unfortunately, we live in the real world. In that environment, politics matters. Decision makers commonly hold different values and interests, and attempt to advance them through a variety of means (e.g., deployment of resources, advantageous issue framing, bargaining). Outcomes frequently reflect participants’ skills, clout, etc. The role of political entrepreneurs is especially critical.

This course asks students to embrace the notion that politics matters, and then go beyond that. My aim is to develop your ability to diagnose the political factors that affect outcomes. The ultimate goal is to improve your effectiveness in the policy arena.

In emphasizing politics, I do not wish to argue that substantive arguments about the merits of policy are irrelevant. Indeed, during the semester we will consider evidence that discussions and analysis about the substance versus the sheer politics of policy deliberation not only should matter but does matter in the real world. Yet it’s also crucial to understand how the political situation affects reasoning about the merits of policy choices. This course focuses mainly (although not exclusively) on the development stage of the policy process – including efforts to pass secure legislation in Congress and/or state legislatures, and efforts to pass or defeat ordinances or policies by city councils and county boards of supervisors. I find legislative battles especially useful for illustrating key analytical points. However, students should remain aware that politics enters other forums and stages, including policy implementation. Additionally, we will consider in depth the ethics of political entrepreneurship, examining the obligations of entrepreneurs and the needed limits on their behavior.

CONDUCT OF THE SEMINAR

The term “seminar” is accurate. Conventional lectures will be limited and classes will be discussion oriented. While I will guide the conversation, summarize points, and draw lessons, the bulk of class time will be devoted to exchange about course topics, in-class exercises, etc.

Student participation is therefore not a luxury; it is essential to a successful course. I expect that students will come to class consistently, be prepared to discuss the week’s readings, and be prepared to accept special in-class assignments such as leading a critique of a particular argument from the literature.

READINGS

The following books – both available in paperback editions - are required.

John W. Kingdon, Agendas, Alternatives, and Public Policies, 2^nd ed. (New York: HarperCollins, 1995).

Robert Waste, The Ecology of City Policymaking (New York: Oxford University Press, 1989).

ASSIGNMENTS AND GRADING

There will be two short papers, an in-class mid-term examination, and an in-class final examination. Assignment due dates are specified in the syllabus.

Course grades will be determined in accordance with the following weights:

Paper #1 (life cycle, agenda setting & entrepreneur

memo – due in class on Feb. 25^th) 15%

Mid-term examination (in class on March 18^th) 20%

Paper #2 (ethics paper – due in class on April 29th) 15%

Final examination (in class on May 20^th) 30%

Class participation 20%

100%

MAKE-UP ASSIGNMENTS AND MISSED CLASSES

Late assignments will not be accepted. At my discretion, a student who misses a deadline may be given a make-up assignment. Whether or not a penalty will be assessed depends on the reason (e.g., a family emergency constitutes a good reason; a competing requirement for another course does not). You should inform me prior to class if you must miss class on a specific day. Except under very unusual circumstances, a student who misses three classes will be penalized one entire grade (e.g., a B+ for the course will become a C+), and a student who misses more than three classes will receive a failing grade.

COURSE OUTLINE

I. POLITICS OF POLICY MAKING: OVERVIEW & THEORETICAL FRAMEWORK

A. Kingdon, Agenda-Setting, Entrepreneurs & the Policy “Life Cycle”

January 28

Readings:

Kingdon, Agendas, Alternatives, and Public Policies, Chapters 1, 5 & 6

Waste, Ecology, Chapters 1-2.

Discussion Questions

What is a triggering or focusing event?

What is the policy “life cycle”?

How may the “life cycle” be used to explain the politics of public policy formation?

What is the distinction between “conditions” and “problems?”

Why is this distinction important?

Why do some focusing events have a bigger impact than others?

Policy Entrepreneurs, their Strategies, Containment Mechanisms Used Against Them

& One-on-One with a Policy Entrepreneur (Part I)

February 4

Guest Speaker: Tom Cosgrove, Council Member, and former Mayor, City of Lincoln

Readings:

Kingdon, Agendas, Alternatives, and Public Policies, Chapter 8

Waste, Ecology, Chapter 2.

Discussion Questions

How do entrepreneurs push forward policy ideas?

What are different “styles” or strategies used by policy entrepreneurs?

How are entrepreneurs stopped or their policy initiatives “contained”?

February 11 One-on-One with a Policy Entrepreneur (Part II)

Guest Speaker: Assemblyman Darrell Steinberg - Chair, Assembly Appropriations Committee

A. Field Work Assignment: Analyzing Policy Entrepreneurs at Work

February 18

Rather than meeting in class tonight, students will use this time (or - with the approval of the Instructor -another approved time slot) to analyze state legislative or local elected or appointed policymaker at work. A Handout explaining this assignment will be distributed in class. Short papers analyzing these sessions are due, in class, on February 25^th.

II. DIGGING A LITTLE DEEPER INTO THE POLICY/POLITICS STREAM:

THE CURIOUS CASE OF CRISES, DISASTERS & SCANDALS

A. September 11^th – The Ultimate Focusing Event, Living with an Almost Endless Crisis

February 25

Readings

Burt Solomon, “Shock Therapy,” National Journal, November 3, 2001, pp.

3410-3419. (Handout).

Discussion Questions

What can we learn about the impact of September 11 by thinking about the impact of the (First?) Gulf War?

Were the September 11 terrorist attacks similar or different from other major national events?

What are the likely short term and long-term effects of September 11 on the nation’s policy agenda?

B. “Crisis as Usual” – California’s Semi-Permanent State of Crisis (Budget, Energy, Water, Earthquakes, Fires, Ag Pests & Ag Epidemics, Urban Race/Class Riots), Big Ticket Natural Disasters, & Runners-Up (“Potential Focusing Events”) – What’s Up with This?

March 4

Readings: Two articles on Tom Birkland’s disaster “potential focusing event” thesis (Handout).

Discussion Questions

Why do some crises become major policy/politics “crises” while others of even larger scope

remain only “potential focusing events”?

C. Special Cases: The Politics of Reform & Regulatory Policy: The Scandal-Reform Cycle, & the Clientele-Capture Thesis

March 11

Reading

Waste, Ecology, Chapter 5.

Discussion Questions

Why is the time immediately following a scandal a “dangerous” time to attempt reform policy?

Is Bernstein’s argument that regulatory policy & regulatory bodies tend to decline correct?

How do changes in the public mood create opportunities and dangers for policy entrepreneurs?

III. DIGGING STILL DEEPER: CONTEXT, ECONOMICS, RATIONALITY, INCEMENTALISM & GARGAGE CAN MODELS AS MEDIATING INFLUENCES ON POLICY POLITICS

A. Age, Locale, Political Culture & the Politics of Policymaking

March 18

Mid-Term Exam During the First Half of Class

Reading

Waste, Ecology, Chapter 3.

Discussion Questions

What can we learn about public opinion from election results? What mistakes can we make in drawing inferences from elections?

What were key features of the policy mood in the 1990s?

B. Is Paul Peterson Wrong? Does economics determine or shape policy outcomes? If both shape policy outcomes, which is the tortoise which is the hare? Finally, let’s consider the fit between the politics of policymaking and traditional views of the policymaking process, including the rational-comprehensive view, incrementalism and “garbage can” models.

March 25

Reading

Waste, Ecology, Chapter 4.

Waste, “City Limits, Pluralism, and Urban Political Economy,” Journal of Urban Affairs (Handout).

Kingdon, Agendas, Chapter 4.

Discussion Questions

What is the key point of the economic determinist argument of Harvard’s Paul Peterson?

What are the implications of the “policy stepladder” model for understanding – or failing to understand – the state and local policy process in California?

IV. WRAPPING UP THE KINGDON MODEL TO POLICY POLITICS

A. Wrapping Up the Kingdon Model (Part I):

The Policy Community, “Primeval Soup” & the Political Stream

April 1

Readings, Kingdon, Agendas, Chapters 6 & 7.

Guest Speaker: Professor Nancy Shulock

Discussion Questions

In Kingdon’s terms, what is the role of the professional policy analyst relative to the “political stream” and the “primeval soup”? Put differently, Professor Nancy Shulock has asked a fascinating question, namely: If –as frequently seems the case - policy analysts have so little influence on policies actually adopted, why are our reports, opinions and estimates so frequently sought out by policymakers?

B. Wrapping Up the Kingdon Model (Part II): Coupling, Windows, Hidden Participants, Policy Streams, Policy Windows, Randomness & Patterns

April 8

Reading – Kingdon, Agendas, Chapters 9 & 10.

V. THE ETHICS OF ADMINISTRATIVE DISCRETION AND ENTREPRENEURSHIP

A. Analysts, Politics, Policymaking & Ethics: The Art and Risks of Ethical Argumentation, and Ethical Intervention

April 22 (No class meeting April 15 due to Spring Break)

Bring a beverage of your choice. I’ll provide the popcorn. We’re going to settle in and watch Twelve Angry Men - one of the greatest movies on ethics, communication, small group interaction, and decision-making of all time.

B. Discussion of Twelve Angry Men and an in-class ethics exercise

April 29

Paper #2 (ethics paper) due.

Discussion Questions

If the jurors in “Twelve Angry Men” made a “good decision,” why did this happen?

What exactly is “deliberation,” and how would we know it when we see it?

Why should we care if policy makers deliberate?

C. Can Ethics be Institutionalized?

Policy, Politics & the California Little Hoover Commission

May 6

Guest Speaker - James P. Mayer, Executive Director, Little Hoover Commission

D. Ethics, Politics & Policymaking: Do the ASPA Guidelines Provide Practical Guidance?

May 13

Assigned Reading: The ASPA Code of Ethics (Attached to the bottom of this syllabus):

VI. IN-CLASS FINAL EXAM

May 20

ASPA's Code of Ethics

I. Serve the Public Interest

Serve the public, beyond serving oneself. ASPA members are committed to:

Exercise discretionary authority to promote the public interest.
Oppose all forms of discrimination and harassment, and promote affirmative action.
Recognize and support the public's right to know the public's business.
Involve citizens in policy decision-making.
Exercise compassion, benevolence, fairness and optimism.
Respond to the public in ways that are complete, clear, and easy to understand.
Assist citizens in their dealings with government.
Be prepared to make decisions that may not be popular.

II. Respect the Constitution and the Law

Respect, support, and study government constitutions and laws that define responsibilities of public agencies, employees, and all citizens. ASPA members are committed to:

Understand and apply legislation and regulations relevant to their professional role.
Work to improve and change laws and policies that are counterproductive or obsolete.
Eliminate unlawful discrimination.
Prevent all forms of mismanagement of public funds by establishing and maintaining strong fiscal and management controls, and by supporting audits and investigative activities.
Respect and protect privileged information.
Encourage and facilitate legitimate dissent activities in government and protect the whistle blowing rights of public employees.
Promote constitutional principles of equality, fairness, representativeness, responsiveness and due process in protecting citizens' rights.

III. Demonstrate Personal Integrity

; Demonstrate the highest standards in all activities to inspire public confidence and trust in public service. ASPA members are committed to:

Maintain truthfulness and honesty and to not compromise them for advancement, honor, or personal gain.
Ensure that others receive credit for their work and contributions.
Zealously guard against conflict of interest or its appearance: e.g., nepotism, improper outside employment, misuse of public resources or the acceptance of gifts.
Respect superiors, subordinates, colleagues and the public.
Take responsibility for their own errors.
Conduct official acts without partisanship.

IV. Promote Ethical Organizations

Strengthen organizational capabilities to apply ethics, efficiency and effectiveness in serving the public. ASPA members are committed to:

Enhance organizational capacity for open communication, creativity, and dedication.
Subordinate institutional loyalties to the public good.
Establish procedures that promote ethical behavior and hold individuals and organizations accountable for their conduct.
Provide organization members with an administrative means for dissent, assurance of due process and safeguards against reprisal.
Promote merit principles that protect against arbitrary and capricious actions.
Promote organizational accountability through appropriate controls and procedures.
Encourage organizations to adopt, distribute, and periodically review a code of ethics as a living document.

V. Strive for Professional Excellence

Strengthen individual capabilities and encourage the professional development of others. ASPA members are committed to:

Provide support and encouragement to upgrade competence.
Accept as a personal duty the responsibility to keep up to date on emerging issues and potential problems.
Encourage others, throughout their careers, to participate in professional activities and associations.
Allocate time to meet with students and provide a bridge between classroom studies and the realities of public service.

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* Much of this syllabus draws heavily – and verbatim – from Professor Edward “Ted” Lascher’s well-crafted PPA 210 syllabus developed over the past several years. The current professor readily, and gratefully, acknowledges this debt.