New York University
Robert F. Wagner Graduate School of Public Service
Institutions, Governance, and Public Sector Reform
EXEC-GP 2201 Fall 2014
Mondays, 12:20-1:55 Waverley 429
Instructors
John Gershman Puck, 3018 212-992-9888
Office Hours: Mondays, 3:30-5:30 p.m. and by appointment
Paul Smoke Puck, 3052 212-998-7497
Office Hours: Wednesdays, 4:00-6:00 p.m. and by appointment
Course Description
This course reviews conceptual and practical perspectives on global efforts to reinvent government and improve its performance. There have long been divergent and evolving views about balancing the role of governments and markets and how government should be organized and managed. Ongoing debates and efforts in advanced economies have heavily influenced theory and practice in developing countries, which became a global concern in the 1940s and 1950s after World War II and as Africa and Asia decolonized. This period also witnessed the rise of internationalism and global governance with the creation of the United Nations, World Bank, International Monetary Fund and later other major global organizations, agreements and forums.
Public sector reforms in practice have been mixed and uneven across countries, both in terms of how they have been framed/managed and the results they have achieved. Even the wealthiest and most capacitated countries have faced considerable challenges and continue to seek ways of using government differently and more effectively. Many developing countries have made some gains in transforming themselves--increasing capacity, promoting development, democratizing, and reducing poverty, and a number have entered middle income status. Other countries have fared less well, remaining constrained by various governance, resource and capacity gaps. Some challenges are attributed to flaws in reform approaches, while others stem more centrally from weak implementation. Over time, there has been growing emphasis on the role of appropriate institutions and governance mechanisms. As reforms have unfolded, the global and local landscapes have changed and many new actors--governmental and nongovernmental, as well as international, regional, national and local--have entered the field.
The course begins with a brief overview of debates about the role of government and how it should function, following the movement from narrower and more technical to broader and more institutional/political approaches. The bulk of the course focuses on specific reforms intended to improve government performance through restructuring and redefining how it operates as rapid economic, political and social changes—both global and local-- evolve in different countries at various stages of development. One set of reforms covers establishing and enhancing the basic institutional mechanisms that define the relationship between the public sector and private firms and citizens. Another group of reforms targets the organizational structure and management of government. As we work through the topics, we consider competing theoretical perspectives and empirical evidence. often having to acknowledge that there are few definitive policy prescriptions for improving government performance. An underlying theme is the need to go beyond the mainstream tendency to use standardized goals, pre-packaged tools and narrow frameworks in pursuit of “best practice” answers. Instead, the course uses diverse readings and cases to challenge participants to think rigorously and creatively in seeking levers of change that matter and are feasible for the pursuit of effective public sector reform in specific contexts.
The course is composed of four modules:
· The first module offers a brief survey of the history of thinking about the role of government, culminating in the present focus on improving institutions and governance in a globalizing context.
· The second module examines core public sector institutions--rule of law, property rights, and regulatory regimes, and examines if and how they are conducive or detrimental to attaining priority economic, political and social goals.
· The third module explores the challenges of reforming governance, i.e. the structures and processes that governments and societies adopt to manage collective action--fiscal and civil service frameworks, decentralization and intergovernmental relations, and the role of the private sector and civil society.
· The fourth module concludes the course with a synthetic glimpse of how to think innovatively and realistically about public sector reform and the (possible) paths ahead.
Please keep in mind that the topics covered in the various modules are interrelated, so some issues will emerge multiple times and in various forms. Indeed, one goal of the course is to challenge participants to think in a holistic way about the science and art of reforming institutions and governance.
Course Objectives
By the end of the course participants will:
1. Understand the evolution of the theory and practice of thinking about institutions and governance in managing societies, including current trends and challenges;
2. Acquire a critical perspective of conventional blueprints, received wisdoms and misconceptions prevalent in mainstream discourse about the role and operation of government;
3. Identify and analyze the roles played by various key actors--international organizations, national and local governments, private businesses, NGOs and citizens--in promoting effective government and collective action; and
4. Think more analytically, holistically and strategically about existing avenues for institutional reform and opportunities for pragmatic and sustainable change.
Readings
There is no textbook for the course. Assigned readings cover a wide range of topics. Authors come from different countries and represent different political positions, academic disciplines and research traditions, as well as different parts of the world of practice. The topics are large and the readings are illustrative of contemporary issues and debates rather than comprehensive in coverage. Some texts may seem old, but they are assigned because they make important points that remain valid and/or are the original articulation of a powerful idea. In some cases, the "readings" are in the form of videos or podcasts (with links provided).
Readings are divided into required and supplementary. We will give some guidance on the content and relative importance of the readings prior to each class. We expect that participants will have read all the required material prior to class. The required readings and many of the supplementary readings (except full books or readings that cannot be posted due to various constraints) are available under the Resources tab of the NYU Classes course site or through a link provided in the syllabus. Other supplementary readings are largely accessible through the NYU Library system or can be searched and downloaded online.
As the course progresses, we may identify additional readings or articles. This means that we consider the reading list to be a living document. If you run into articles or blogs that are relevant, feel free to alert us and/or circulate them to the class members through NYU Classes.
Requirements
The grade will be based on the following three requirements:
· Class Participation (30%)
· Individual Memos (30%)
· Final Paper (40%)
Active Class Participation means coming to class prepared to engage in a thoughtful and reflective discussion, and being able to ask good questions at least as much as being able to answer them. Given the small size of the group, broad engagement in class discussion is critical to its success. In addition, we will ask each participant to be the resource person for one class meeting, meaning that s/he will be asked to play a leading role in promoting discussion and debate on the topic being covered.
During the course of the semester, each participant will be required to prepare three (3) Individual Memos of 3-5 pages each, one each from different course modules (i.e. three of the four modules). Unless you are doing one of your memos on the fourth module, you should plan to hand in the first memo by October 6th, the second by November 3rd and the third by December 8th. Given the nature of the class and the participants, we want to be flexible in how you approach these memos. You could, for example, write a reflective commentary on what you have learned from the readings and discussion on a particular topic. Alternatively, you could compare and contrast multiple topics, write an essay on how a topic relates to a case you are familiar with or interested in, or try to fill a gap in the way we have treated a particular topic. If you have any doubts about what constitutes a "legitimate" memo, please consult us.
The Final Paper (12-15 pages) topic can be negotiated with us as long as it is directly relevant for the subject matter of the course. It could, for example, be a more comprehensive treatment of the material covered in one of your memos, an attempt to apply some analytical perspective covered in the course to a specific case, or a critical examination of the literature on a relevant issue that we have not covered in class Each participant should prepare a one-page abstract of the proposed topic by October 6, and you must clear the final topic with the course faculty members by November 3. The paper can be based on a range of materials--academic research, reports from think tanks and relevant agencies, government documents, personal interviews, etc. We will leave some time during the final two classes for you to present and discuss your paper topic with the rest of the group. The final papers are due on or before December 19.
Assignment Format and Submission: All assignments should be written in Times New Roman 12, doubled-spaced lines, with one-inch margins all around. Please submit assignments as Word documents to both faculty members.
Academic Honesty and Grading Policy
This course will abide by the NYU Wagner School general policy guidelines on academic honesty and grading (including incomplete grades). It is each student’s responsibility to become familiar with these policies. All students are expected to pursue and meet the highest standards of academic excellence and integrity. Please see the NYU Wagner website for information on the academic code and incomplete grades.
Academic Code: http://wagner.nyu.edu/students/policies/academic-code
Grading: http://wagner.nyu.edu/students/policies/grading
Incomplete Grades: http://wagner.nyu.edu/students/policies/incompletes
Late Policy
Extensions will be granted only in case of emergency. This policy is adopted out of respect to those who have abided by deadlines, despite equally hectic schedules. Papers handed in late without extensions will be penalized one-third of a grade per day.
This Course in the Wagner EMPA Context
This is one of the four required courses for the NYU-UCL Global EMPA program and is an elective for other NYU Wagner EMPA students. It is not open to students in other NYU Wagner graduate programs.
EXEC-GP 2201 Course Schedule Fall 2014
I. Historical Overview: An Institutional Perspective on Public Sector Reform
September 8 Governments & Markets: Mainstream Thinking, Enduring Debates, New Perspectives
September 15 The Prominent Emergence of Institutionalism and Good Governance
September 22 Global Governance: Traditional and Emerging Approaches and Organizations (Sarah Hearn, Center on International Cooperation)
September 29 The US Federal Government: Governance, Accountability and Performance (Paul Light, NYU/Wagner and Brookings Institution)
II - Institutions: Shaping the Rules of the Economic Game
October 6 Overview/Property Rights: Public Goods, Investment and Innovation
(Memo 1 due)
October 13 NO CLASSES – Columbus Day
October 20 Rule of Law: Rights, Obligations and Enforcement
(Frank Upham, NYU/School of Law)
October 27 Property Rights Case: Transferring Development Rights in NYC
(Jessica Yager, Furman Center for Real Estate and Urban Policy)
III – Governance Reform: Structures, Processes, and Functions
November 3 Overview and The Fiscal Framework (Memo 2 due)
(Marco Cangiano, Fiscal Affairs Department, International Monetary Fund)
November 10 The Civil Service
(Barbara Nunberg, Columbia/SIPA, former World Bank Sector Manager TBC)
November 17 Decentralization, Intergovernmental Relations and Local Governance
November 24 Nongovernmental Actors: The Private Sector
December 1 Nongovernmental Actors: Civil Society Engagement
(Josh Lerner, Participatory Budgeting Project TBC)
IV. Synthesis and Wrap-up: Pragmatic Reform of Institutions and Governance
December 8 Reimagining Institutional and Governance Reform (Memo 3 due)
December 10 Review of Participant Papers and Open Discussion
(Note classes on this Wednesday meet on a Monday schedule).
December 19 FINAL PAPER DUE
EXEC-GP 2201 John Gershman
Fall 2014 Paul Smoke
Institutions, Governance and Public Sector Reform
Outline and Reading List[1]
I. Historical Overview: An Institutional Perspective on Public Sector Reform
A. Governments and Markets: Mainstream Thinking, Enduring Debates, New Perspectives (Sept. 8)
Required Readings
Kupers, Roland. Podcast on: David Colander and Roland Kupers. Complexity and the Art of Public Policy (Princeton, NJ: Princeton University Press, 2014). http://www.voxeu.org/vox-talks/complexity-and-art-public-policy
*Stiglitz, Joseph. "Moving Beyond Market Fundamentalism to a More Balanced Economy." Annals of Public and Cooperative Economics, Vol. 80, No. 3 (2009), pp. 345-360.
Wolf, Martin. "What is the Role of the State?" Financial Times blog post/exchange, August 8, 2010. http://blogs.ft.com/martin-wolf-exchange/2010/08/08/what-is-the-role-of-the-state/? (You need to register--free of charge--to access Financial Times blogs).
*Mazzucato, Mariana. The Entrepreneurial State. London: Demos, 2011. (A short Financial Times interview can be found at: http://video.ft.com/2633312361001/Delving-into-the-entrepreneurial-state/Editors-Choice and Mazzucato also has a TED talk on this topic: http://www.ted.com/talks/mariana_mazzucato_government_investor_risk_taker_innovator)
Cato Institute Policy Forum on: Peter Schuck, Why Government Fails So Often. (Princeton, NJ: Princeton University Press, 2014). http://www.cato.org/policy-report/mayjune-2014/why-government-fails-so-often
Blackwell, Ken. "Milton Friedman's Property Rights Legacy." Forbes, July 31, 2014. http://www.forbes.com/sites/realspin/2014/07/31/milton-friedmans-property-rights-legacy/
*Moss, David. "Private Risk is the Public's Business." The American Prospect. April 7, 2009.
*Sandel, Michael. "How Markets Crowd Out Morals: A Forum on The Corrupting Effects of Markets." Boston Review. May 2012. (A short related TED talk may be found at: http://www.ted.com/talks/michael_sandel_why_we_shouldn_t_trust_markets_with_our_civic_life)
*Williamson, John, “The Strange History of the Washington Consensus." Journal of Post-Keynesian Economics. Vol. 27, (2005), pp. 195-206.
Supplementary Readings
*Winston, David. Government Failure versus Market Failure. Washington, DC: AEI-Brookings Center for Regulatory Studies, 2006. (This is an overview with bibliography for those who do not have a strong background or wish to review debates about the role of government).