The Public Policy Process and Democracy

THE PUBLIC POLICY PROCESS AND DEMOCRACY

PAD 5005/7005

Fall 2008

GRADUATE SCHOOL OF PUBLIC AFFAIRS

UNIVERSITY OF COLORADO AT DENVER

Instructor: Kelly Hupfeld

(303) 315-2898 (office) or (303) 532-6641 (cell)

Office hours by appointment

Class meeting time: Wednesdays, 4 p.m. – 6:45 p.m.,

August 13 through December 10, 2008

Class location: PL 130

Course Description

This class is one of the core courses required for a graduate degree in public administration from the Graduate School of Public Affairs. Upon completion of this course, students should have the following:

A broad understanding of the leading academic frameworks and theories concerning the policy process and policy changes in a democratic system, and their applications to specific policy issues
Knowledge of policy process issues specific to state and local governments in the United States, including Colorado

Improved critical thinking skills developed and applied through class discussions and course assignments

Improved oral and written communication skills

Required Readings

There are three required texts for the class, all of which are available at the Auraria Campus bookstore:

Baumgartner, Frank R. & Bryan D. Jones (1993). Agendas and Instability in American Politics. Chicago: University of Chicago Press.
Kingdon, John W. (1995). Agendas, Alternatives, and Public Policies (2d ed.). New York: Longman.
Stone, Deborah. (1997). Policy Paradox: The Art of Political Decisionmaking. New York: W.W. Norton & Co.

We will also be reading a number of articles and selected book chapters, which will be made available in class as part of a course packet. We will occasionally use case studies from HarvardUniversity’s Kennedy School of Government, available for purchase online at We may also use case studies from the Electronic Hallway, which will be posted online on the class Black Board. Case study information is contained in the syllabus.

Expectations

There will be one formal test in this class, a mid-term examination to ensure that students have mastered the components of the relevant academic frameworks and theories. The mid-term will be conducted in class, and will be open book. The mid-term examination will count for 40% of the total grade.

Students will prepare and present group projects at the end of the semester, applying the theories, models, and concepts they have learned to contemporary issues in public policy. Students will be assigned to project groups based on their stated interest in policy areas. The project should result in a 20-30 page paper and a 30-minute oral presentation. This group work will count for 40% of the total grade.

Students will also be assigned to one of six groups, A through F. For each week,members of a different group are expected to prepare an essay (2-4 pages) relating a current issue or event of their choice to one or more of the readings for the week. Students should be prepared to informally discuss their essays in class. These activities will count for 10% of the grade.

Finally, students are required to attend and actively participate in class by contributing their opinions and ideas to the group conversation. This requirement will count for 10% of the grade. If more than two absences occur, your grade may be lowered by one or more levels. Students are strongly encouraged to attend all classes, both for your benefit and the benefit of your classmates.

Week One:August 13 – NO CLASS (Instructor out of town)

Week Two:August 20

Introduction and Review of Democratic Structures and Purposes

Introduction and overview of course
Review of the American system of government. What values and structures in the democratic system affect the policy process?
Introduction to the “stages” framework of policy making
Discussion of project topics

Readings for Week One:

KSG Case Studies 1914, 1915, and 1916 (all on Hurricane Katrina)

Week Three: August 27 – NO CLASS – DEMOCRATIC NATIONAL CONVENTION, CAMPUS CLOSED

Week Four:September 3

Values and the Polis

What is the difference between the market and the polis, according to Stone?
What are the goals of policy making? What should they be? Who decides?
Assignment of project topics

Readings for Week Four:

Stone, chs. 1-5

KSG Case Study 821.0. “Matters of Life and Death: Defunding Organ Transplants in the State of Arizona”

“Alabama’s Confederate Flag Controversy.” The Electronic Hallway. Case available on class BlackBoard site.

Assignment for Week Four (Group A only)

(2-4 pages; due in class on August 27)

Select an issue in contemporary public policy that is currently in the news. Discuss the moral and political values implicated by the issue, using the “policy goals” identified by Stone in the reading.

Week Five: September 10

The “Initiation” Stage: Defining the Problem

What is a problem?
What conditions might prompt the definition of a problem? What affects the definition of a problem?
Why is problem definition important?

Readings for Week Five:

Stone, chs. 6-10

Kingdon, ch. 5

Rochefort, David and Roger Cobb. “Problem Definition: An Emerging Perspective.” In The Politics of Problem Definition: Shaping the Policy Agenda, Rochefort and Cobb, eds. (Lawrence, KS: University Press of Kansas 1994) (in course packet)

Assignment for Week Five: (Group B only)

(2-4 pages, due in class on September 3)

Select an issue in contemporary public policy that is currently in the news. Discuss the ways in which different stakeholders have defined the “problem,” using specific examples. What rhetorical tools are stakeholders using to define the problem?

Week Six: September 17

Agenda-Setting

There are always problems, but not every problem becomes ripe for decision making. How does a problem become an issue on the political agenda?

Readings for Week Six:

Kingdon, chs. 1-4

KSG Case Study 1217.0. “Facing the Problem of Second-Hand Smoke: The Office on Smoking and Health’s Decision.”

Assignment for Week Six: (Group C only)

(2-4 pages, due in class on September 10)

Select an issue in contemporary public policy that has made it onto the political agenda. Discuss the various factors that have led to or supported this issue’s prominence on the decision-making agenda.

Week Seven: September 24

The “Estimation” Stage – Generating Alternatives

What are the available policy options, according to Stone?
What is Kingdon’s “policy primeval soup?” How does that contrast with the stages framework of policy making?
How does problem definition affect the generation of available policy solutions?

Readings for Week Seven:

Stone, chs. 11-15

Kingdon, ch. 6

Finn Jr., Chester E. “Things Are Falling Apart.” Education Next, Winter 2006 (in course packet)

KSG Case Study 1600: “The Battle over the Clinton Health Care Proposal.”

Assignment for Week Seven (Group D only)

(2-4 pages, due in class on September 17)

Select a high-profile “problem” such as immigration, access to health care, or high school dropouts. (Feel free to come up with a different problem if you choose). Identify several proposed solutions currently simmering in the “policy primeval soup” and their sponsors (think tanks, policy centers, academics, and the like).

Week Eight: October 1

The “Selection” Stage – Selecting Among Alternatives

Kingdon’s theory of decision making: multiple streams, policy windows, and policy entrepreneurs
How does problem definition affect the selection of available policy solutions?

Readings for Week Eight

Kingdon, chs. 7-10

Mucciaroni, Gary. “Problem Definition and Special Interest Politics in Tax Policy and Agriculture.” In The Politics of Problem Definition: Shaping the Policy Agenda, Rochefort and Cobb, eds. (Lawrence, KS: University Press of Kansas 1994) (in course packet)

KSG Case Study 1600.1: “The Battle Over the Clinton Health Care Proposal – the Sequel”

Assignment for Week Eight (Group E only)

(2-4 pages, due in class on September 24)

Select a contemporary policy issue and identify prominent policy entrepreneurs in this area. Discuss the strategies that these entrepreneurs have used to move the issue ahead. Have they been successful?

Week Nine: October 8

Looking at the Long-Term – Punctuated Equilibrium Theory

Overview of punctuated equilibrium theory, including concepts of parallel processing, policy images, policy monopolies, and positive and negative feedback
Comparison with other frameworks, including multiple streams

Readings for Week Nine

Baumgartner & Jones, chs. 1-6 (pp. 1-125)

Assignment for Week Nine (Group F only)

(2-4 pages, due in class on October 1)

Define a “policy monopoly.” Identify and briefly discuss a recent example of external pressure weakening a policy monopoly, leading to policy change.

Week Ten: October 15

Insiders and Outsiders: The Role of Institutions and Advocacy Groups

The roles of insiders and outsiders in punctuated equilibrium theory
Institutional decision-making – values, cultures, and processes
The advocacy coalition framework
Review for mid-term examination

Readings for Week Ten

Baumgartner & Jones, chs. 9-12 (pp. 175-251)
Sobeck, J. (2003). “Comparing policy process frameworks: What do they tell us about group membership and participation for policy development?” Administration and Society 35:3, 350-374.
“Legislative strategy: State government reorganization.” Case study from the Electronic Hallway, available on class BlackBoard site.

No additional assignment for Week Ten.

Week Eleven: October 22

Mid-term Examination

Week Twelve: October 29

The Role of Citizen Participation

How do citizens participate in the various stages of the policy process?
What are the ways in which citizen participation can lead to or hinder better outcomes?
What policy processes can strengthen democratic processes?

Readings for Week Twelve:

Fischer, Frank. “Professional Knowledge and Citizen Participation: Rethinking Expertise” and “Citizens as Local Experts.” From Citizens, Experts, and the Environment: The Politics of Local Knowledge. (London, UK: Duke University Press, 2000) (in course packet)

Irvin, Renee A. and Stansbury, John. “Citizen Participation in Decision Making: Is it Worth the Effort?” Public Administration Review, vol. 64, no.1, January/February 2004 (in course packet)

Reich, Robert B. “Policy Making in a Democracy.” From The Power of Public Ideas, Reich, ed. (Harvard University Press, 1990) (in course packet)

Assignment for Week Twelve: (Groups A and B only)

Analyze a recent example of citizen participation in policy making, whether from your own experience or from recent news reports. What role did citizens play in the decision making? Do you think the citizen decision making led to (or will lead to) a better policy decision?

Week Thirteen: November 5

Direct Democracy

How does direct democracy differ from representative democracy?
What are the possible implications of direct democracy on representative structures?
What are the optimal conditions for direct democracy?
Discussion of initiatives and referenda on the 2008 ballot in Colorado

Readings for Week Thirteen:

Broder, David S. “A Republic Subverted” and “Laws Without Government,” from Democracy Derailed (New York: Harcourt Press 2000) (in course packet)

Colorado Economic Futures Panel. “Principles for Progress: Shaping the Economic Future of Colorado.” (Denver, CO: University of Denver, 2005) (in course packet)

“The People’s Voice.” Politics Brief, The Economist, August 12, 1999 (in course packet)

McGinnis, John O. “Too Much Vox Populi?” Policy Review, June 2000 (in course packet)

Assignment for Week Thirteen: (Group C only)

Review the citizen initiatives that will be on the statewide ballot next week (these are the numbered initiatives). Which initiative do you think will be most likely to pass, and why? Which initiative do you think will be most likely to fail, and why? Why do you think these initiatives are on the ballot, rather than dealt with through the state legislature?

Week Fourteen: November 12

Executive Decisionmaking in a Democracy

How does executive decisionmaking differ from other types of decisionmaking within the policy process? What are the implications for a democratic state?

Readings for Week Fourteen:

Janis, Irving L. “Cognitive Decision Rules,” “Affiliative Decision Rules,” and “The Constraints Model of Policymaking Processes” from Crucial Decisions: Leadership in Policymaking and Crisis Management. (New York: MacMillan, 1989) (in course packet)

Pillar, Paul R. “Intelligence, Policy, and the War in Iraq.” Foreign Affairs, March/April 2006 (in course packet)

KSG Case Study 1546: “Politics of a Covert Action: The U.S., the Mujahedin, and the Stinger Missile.”

Assignment for Week Fourteen (Group D only)

Discuss the results of yesterday’s U.S. presidential election. What decision-making style do you predict this president will bring to the White House? Provide evidence for your conclusion. What are the possible benefits and detriments of this type of decision-making style.

Week Fifteen: November 19

Policy Making in a Globalized Society

Readings for Week Fifteen

McGrew, T. (2004). ”Transnational Democracy: Theories and Prospects.” Discussion brief. Center for Globalization, Europeanization, and Democracy. (in course packet)

United Nations Development Programme. “Fighting climate change: Human solidarity in a divided world.” Human Development Report 2007/08 (in course packet)

Visit the Global Policy Forum at and review subject areas of interest to you.

Assignment for Week Fifteen (Groups E and F only)

It’s 100 years in the future. How do you think the policy making process will be happening on an international stage?

Week Sixteen: November 26 – NO CLASS – THANKSGIVING BREAK

Week Seventeen: December 3

Student Group Presentations

Week Eighteen: December 10

Student Group Presentations

Other Course Policies

Course Grades:

For overall course grades, I follow section 7.1 of GSPA’s MPA Handbook:

Grades offered in GSPA courses (except internship and thesis) are based on an A to F scale, with each letter grade representing the following standard narrative description:

Work beyond the level of a typical graduate student; exemplary work. (An A equals 4 grade points, an A- equals 3.6 points.)

Work typical of a graduate student; indicates student has attained the knowledge and skills intended for the course. (A B+ equals 3.3, a B equals 3.0., and a B- equals 2.7 points.)

Performance is below graduate-level expectations. (A C+ earns 2.3 grade points, a C yields 2.0).

Substandard performance in all aspects of the work of the course; inadequate comprehension of assigned reading material. (D equals 1.0 grade points).

F. Level of performance demonstrably below that expected of a graduate student; little or no indication that the student can succeed in a graduate program.

Please note that this grading policy requires exceptional performance for a grade of “A,” and that a “B” reflects typical performance expected of a graduate-level student. I do not grade on a curve, so it is possible for everyone in the course to earn an A or everyone to earn a C, based on how their performance compares to the work expected of a typical graduate student. Because this is a core course for the MPA degree, you must receive a grade of B- or better in order to receive credit for the course.

Missed Classes and/or Assignments:

As discussed above, please contact me in advance for any classes that you must miss so that we can make arrangements for you to turn in any assignments that are due. If you miss the deadline for an assignment due to unexpected circumstances, contact me to discuss it. If you need an extension, contact me to discuss it. In general, you will be well-served by contacting me to discuss any absences or missing assignments. If I feel students are abusing this policy, I reserve the right to impose stricter policies.

Requests for an Incomplete grade will be handled pursuant to Section 7.1.1 of the MPA Handbook. In general, an Incomplete grade is considered only when the student is unable to complete course requirements due to circumstances beyond the student’s control.

If I need to cancel or move our class, I will e-mail you and post it on the class BlackBoard site.

Student Assistance:

If you feel you may need additional assistance with the quality of your writing or any other aspects of your academic work, please contact the Center for Learning Assistance in NC 2006.

If you have a disability that needs to be accommodated, please let me know and we will work out arrangements. For academic accommodations, first register with Disability Resources and Services (DRS), 177 ArtsBuilding, 303-556-3450, TTY 303-556-4766, and then provide me with a copy of your DRS letter.

Student Conduct Code:

Students are responsible for being aware of and in compliance with campus policies about academic honesty, as stated in the University’s Student Conduct Code.

In particular, please be aware that plagiarism, or the use of another person’s words or ideas without crediting that person, is not allowed. Plagiarism may lead to failure on an assignment, in the class, and/or dismissal from the program. If you have any questions about what constitutes plagiarism, please contact me.

Some Strategies for Success in This Class

Show me that you are actively engaged in your own learning. Ask questions, critique the readings, “try on” your own conclusions, apply your own experiences to what you are learning, have an open yet questioning view towards the opinions of others (including your instructor).
Show me that you are taking attendance and class assignments seriously. Do the readings before class. Show up and turn your work in.
Use a variety of sources to learn about the topic selected for your final project. Consider the viewpoints of these different sources in your final project. If you only rely on one source, your analysis is likely to lack depth.
Proofread your written work or have someone else proofread it for you. Sloppy writing is distracting. I am fine with having someone else proof your work before you turn it in, as long as the content of the final product is yours.
If you have any questions about course policies and requirements, please do not hesitate to talk to me before or after class, or contact me via email or telephone. I consider it part of my responsibility as your instructor to be available to answer your questions.