University of Southern CaliforniaSchool of Policy, Planning, and Development

PPD 555: Public Policy Formulation and ImplementationSpring 2008 – Intensive

Where: USC State Capital Center, Sacramento Professor: Michael MoodyWhen: March 27-30 and April 24-27 Phone: 213-821-5612 (Thurs. to Sun., 9am-5pm) Email: mmoody@usc.edu

Course Topic and Objectives:In simplest terms, this course covers most of the primary “stages” of public

policymaking, as we normally describe them from a systems point of view. “Formulation” is meant to encompass a range of different processes and stages, from problem definition and agenda setting, to policy design, to policy decision-making and adoption. “Implementation” is the often overlooked but centrally important stage where various entities attempt to put into practice the policies crafted and adopted in previous stages. We should remember, though, that this linear conception of sequential stages is not always the best depiction of the reality (or the ideal) of the policymaking process, and so formulation and implementation are best thought of not as stages but as policymaking “processes” that may or may not follow one another and may or may not complement one another on any particular public policy topic. Also, cross-cutting all of these processes are other practices and processes—policy analysis, policy advocacy, deliberation, civic participation, etc.—that we will review as essential features of how policymaking happens at any stage.

Through this course, you will develop both a broad and an in-depth understanding of the policy processes described above. That is, the course reviews a broad range of scholarship and analytical summaries related to formulation and implementation (and related cross-cutting processes), while also stopping along the way to dig deeper into specific case studies, policy issue areas, and challenges or obstacles to effective policymaking. Students will be expected to make connections between the broad review and the in-depth analyses—e.g., by applying concepts and frameworks from scholarship to case studies of policymaking on a particular public problem area such as health care, climate change, abortion, school desegregation, genocide, freshwater development in CA, public education, drug treatment, or the war in Iraq. The case studies and in-depth policy topics have been selected to reflect as much as possible the diversity of issues and problems that confront those policy actors who formulate and implement public policy. Topics range from the local level to state policy to national policy to the most global and international policy problems. Through engaging with these topics, students will also have a chance to develop and reformulate their own positions on significant public policy topics. Finally, while this course is not meant primarily as a professional skills development course, through the assignments in the course students will develop critical thinking, writing, research, and presentation skills.

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Course Format:This class is small and is presented in “intensive” format, and both of these factors will

affect the format of the course in ways that are potentially of great advantage to learning. Class time will occur in Sacramento during two, 4-day (Thurs. to Sun., 9am-5pm) sessions—which are subdivided into half-day “sections.” However, you must work on this course before, between, and after those two sessions. (The assignments and a schedule for when you should work on them is presented later.) Making this intensive format work will require your cooperation and attentiveness both during the sessions and before/after them.

Class meetings will be run as a seminar in which material is mostly discussed and debated rather than “presented.” Interactive discussions will be framed and facilitated both by the instructor and by designated students (see assignments). In addition, we will have numerous case study exercises of various sorts, several videos, and guest speakers (TBA, not currently listed on this syllabus). Case study material will come through both regular readings as listed and extra “clippings” handed out, including material from that day’s news. The exercises will occasionally involve team work to produce a product, role playing, etc. Students will also produce other in-class writing products.

In order for this seminar format to be effective, however, each and every student must make the effort to prepare and to participate in each section of both 4-day sessions. Student preparation before class sessions, and participation during them, is absolutely essential, and very active discussion participation is a primary (and graded) course requirement. You should come to those weekends with a good knowledge of the readings for the whole session as well as several ideas for points or examples you might bring up in class (some of which are reflected in your readings essays—see assignments—and some of which aren’t). You are encouraged to bring in examples to illustrate (or critique or raise questions about) the material, either from the newspaper, from your own work experience, etc. You should try to be open and creative in your participation, and you should also be willing to listen to and respect the opinions of your fellow students at all times. You will be asked often—e.g., at the beginning of each day—to reflect on what you are learning.

When we are not in session, we will make extensive use of the “Blackboard” course website (https://blackboard.usc.edu) to post vital information, send email announcements, and turn in/return assignments. It is essential that you have reliable web access, be familiar with the Blackboard system, and attend to course announcements even during non-session times. Also, be sure your preferred email is current in the Blackboard system, because important information will often be sent around only via that website’s email function.

Texts and Readings:There are three books and one reader required for this course:

Eugene Bardach, A Practical Guide for Policy Analysis: The Eightfold Path to More Effective Problem Solving, 2nd Edition, CQ Press, 2004.

Steven Maynard-Moody and Michael Musheno, Cops, Teachers, Counselors: Stories from the Front Lines of Public Service, Michigan, 2003.

Bob Woodward, Plan of Attack, Simon and Schuster, 2004. Course Reader available from Mozena at www.mozenapublishing.com. (Readings in

the Course Reader are designated in this syllabus by “[R].”)

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The books are all broadly available in both new and used copies from online sources. The reader can be ordered easily through the Mozena website and received by mail. Additional readings and clippings will be handed out and/or posted on the course website. You are also encouraged to read a daily newspaper as we will be discussing current events regularly in class.

Requirements and Grading:The required assignments are summarized briefly here, but much more detailed

descriptions will be distributed later. Due dates and grade percentages are summarized in a table below as well. (All page lengths refer to double-spaced pages.) A second table provides a schedule of when you should be working on the assignments relative to the 2 intensive sessions.

No late papers will be accepted except in cases of well-documented extreme emergency and instructor’s agreement that it was an emergency. You cannot receive a passing grade without completing all assignments for the course.

Class Participation & In-Class Writing: Because class participation is such an essential part of the weekly activity of this

course, your level and quality of participation will figure significantly in your final grade. And because of the concentrated time span for course sessions, absences from them—except in extreme cases—cannot be permitted. But mere attendance is not participation. Any form of positive participation will improve your participation grade, such as asking or responding to questions, participating in class discussions and exercises, discussing class material outside class, sending emails with substantive queries, posting material to the class website, etc. Class participation grades will also include your performance on occasional short writing assignments done in class, either as an individual or as a product of group work. The first required part of class participation is to send a resume or CV to the instructor and to your fellow students before our first session begins, so we can start to get to know one another. Please send these resumes using the email function of the Blackboard course website (under “Communication”) by March 15 th .

Readings Essays & Class Presentations:Each student will be required to write short essays related to the readings for each

substantive half-day section of each intensive session—not including the initial sections of each session, which are the focus of the two separate writing assignments described below. For each half-day section (6 for the first session, 5 for the second), you should write roughly a half-page essay in response to some aspect of the readings for that section. These should not be mere summaries of the readings, but rather brief, thoughtful explorations of some aspect of the readings that strikes you, such as a unifying theme across the readings, an unanswered question, a critique, or an application of the readings to a “real world” example from the media or your own experience. Then, during each session, each student will be assigned to help frame and facilitate the discussion during 2 of the sections over the 4 days. You will not be told to which section you are assigned until you arrive on-site for each session, so you should read each set of readings and prepare as if you might be assigned to that section. Of course, you will have your short essay for each section as a guide, and in most cases you will be one of 2 students assigned to help the instructor guide the discussion for that section.

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Policy Strategy Memo:Prior to the first session, each student will write a short memo (3-pages) as part of

a case study on the failed Clinton health care reform initiative from 1993-1994, which will be a key part of our discussion during the first section of that first session. You will read multiple accounts of what went wrong with that reform, and write a memo to “President Hillary Clinton” on what she can do to avoid the same mistakes in a future reform effort.

Policy Formulation Analysis Paper:Prior to the second session, each student will write a short paper (5-pages) in

which you apply material from the first session of the course to an in-depth case study of policy formulation—the insider story of the Bush Administration’s decision to go to war in Iraq, as reported by Bob Woodward in his book, Plan of Attack. You will need to read the entire Woodward book (though you may skim parts—e.g., if they do not relate to what you focus on in your paper) so you should start reading this book before the first session and begin thinking about connections to the readings for that first session.

Reflection Essays:Roughly one week after each session of the class, you will write a short (2-pages)

essay in which you reflect on what you learned in the session—e.g., what surprised you, what you and your classmates agreed or disagreed on, what questions you still have, etc.

Individual Case Study Project:The major individual assignment for the course is a case study project in which

each student will trace and analyze the formulation and implementation of an existing public policy. The project involves applying course topics and material as well as doing outside research. Two specific parts of the assignment are: 1) a class presentation on the last day of the second session, in which you describe your topic and your analysis of it to date, and submit a 2-page outline to accompany your presentation; and 2) a substantial final paper (15-pages) due a couple weeks after the last session. You may choose the policy you wish to focus on, but your choice must be approved by Prof. Moody and must be an actually existing public policy (though its implementation might be stalled or failed). You should begin to think about your topic before and during the first course session, and you will have an individual consultation with Prof. Moody about your project on the last day of that first session. As with the other assignments, a more detailed assignment description will be distributed explaining each piece of this case study project.

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ASSIGNMENT LENGTH DUE DATE

% OF GRADE

Class Participation & In-Class Writing n/a Always 15%

Readings Essays (2) & Class Presentations 3 pp. ea.Mar. 27th & Apr. 24th &

Various10%

Policy Strategy Memo (Health Care) 3 pp. Mar. 27th 15%

Policy Formulation Analysis Paper (Iraq War) 5 pp. Apr. 24th 20%

Reflection Essays (2) 2 pp. ea. Apr. 7th & May 5th 10%

Individual Case Study Project:

30%Class Presentation & Outline 2 pp. Apr. 27th

Final Paper 15 pp. May 9th

ASSIGNMENT WORK SCHEDULE

Before 1st Session:

ResumeReadings Essays (& all reading)Policy Strategy MemoReading for Policy Formulation Analysis Paper

During 1st Session:Class Participation & In-Class WritingClass Presentations on Readings EssaysConsultations for Individual Case Study Project

Between Sessions:

Reflection EssayReadings Essays (& all reading)Policy Formulation Analysis PaperIndividual Case Study Project Outline

During 2nd Session:Class Participation & In-Class WritingClass Presentations on Readings EssaysIndividual Case Study Project Presentation

After 2nd Session: Reflection EssayIndividual Case Study Project Final Paper

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Academic Integrity:Students must maintain strict adherence to standards of academic integrity, and the

University recommends strict sanctions for plagiarism. As described in SCampus:

11.11 PlagiarismA. The submission of material authored by another person but represented as the student's own work, whether that material is paraphrased or copied in verbatim or near-verbatim form. B. The submission of material subjected to editorial revision by another person that results in substantive changes in content or major alteration of writing style.C. Improper acknowledgment of sources in essays or papers. Note: Culpability is not diminished when plagiarism occurs in drafts, which are not the final version. Also, if any material is prepared or submitted by another person on the student's behalf, the student is expected to proofread the results and is responsible for all particulars of the final draft. Source: SCampus University Governance; http://www.usc.edu/dept/publications/SCAMPUS/governance/gov05.html

This academic integrity policy and definition of plagiarism is very precise and strict, much more so than the policies and definitions commonly adhered to by practitioners of various sorts in the “real world.” In particular, Parts A and C of the above policy are often misunderstood or overlooked by students, so it is important to be clear.

If you include in any of your submitted written assignments any phrase, sentence, or larger piece of text that closely matches a phrase, sentence, or piece of text that is found in either a course reading, another published text, or material available on the web, and you do not put this quoted text in quotation marks and give the required citation information (including page number), this is considered plagiarism. It is plagiarism even if:

you give the citation but do not include quotation marks; OR you only “borrow” a short phrase; OR you switch or delete a few words, or “paraphrase” in a way that still closely

matches the quoted text (see Part A above). The point is that if any piece of written text that you submit as your own writing is, in any

way, not fully your own writing, then it must be in quotation marks and identified with a citation. When in doubt—if there is any doubt—it is always the safest policy to just use quotation marks and give the citation information, even if you are only quoting a two-word phrase from another text. Finally, when presenting ideas (or concepts, etc.) that you encountered in the work of another, keep in mind the point from Part C above about proper acknowledgement of sources (and remember that citations can be given even when you are not quoting directly).

Disability Services and Programs: Any student requesting academic accommodations based on a disability is required to

register with Disability Services and Programs (DSP) each semester. A letter of verification for approved accommodations can be obtained from DSP. Please be sure the letter is delivered to the instructor as early in the semester as possible. DSP is located in STU 301 and is open early 8:30 a.m.– 5:00 p.m., Monday through Friday. The phone number for DSP is (213) 740-0776.

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Course Calendar and Reading Assignments

FIRST SESSION (MARCH 27-30)

Thursday, March 27 th

DUE: Policy Strategy Memo, 1st set of Reading Essays

1. What Is Public Policy and What Is So Hard About Formulating It?

Introduction to the course and to one another

James Anderson, Selections from Ch. 1, “The Study of Public Policy,” in Public Policymaking (2006), pp. 1-17 [R]

Paul Starr, “What Happened to Health Care Reform?,” The American Prospect, 6, 20, (Dec. 1, 1995) [R]

Haynes Johnson and David Broder, Selections from “Lessons: Lost Opportunities,” in The System: The American Way of Politics at the Breaking Point (1996), pp. 609-622, 627-635 [R]

Hillary Rodham Clinton, Selections from Living History (2003), pp. 143-155, 182-192, 228-233, 245-249 [R]

2. Policymaking in a Democratic Context

James Anderson, Public Policymaking (2006): [ALL IN R] Selections from Ch. 1, “The Study of Public Policy,” pp. 18-31 Selections from Ch. 2, “The Policy-Makers and their Environment,” pp. 35-46

Constitution of the United States, Bill of Rights, and Other Amendments [R] David Broder, Selections from “The Initiative Industry,” in Democracy Derailed:

Initiative Campaigns and the Power of Money (2000), pp. 45-57 [R] News articles on ballot measures in California [HANDOUT]

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Friday, March 28 th

3. Policy Actors and Their Roles

James Anderson, Selections from Ch. 2, “The Policy-Makers and their Environment,” in Public Policymaking (2006), pp. 46-74 [R]

Jeffrey Berry, “Lobbyists,” in The Interest Group Society, 3rd Ed. (1997), pp. 94-115 [R] G. William Domhoff, Selections from Who Rules America?, 4th Ed. (2002), pp. xi-xvi,

51-54, 69-73, 158-163 [R] Kenneth Jost and Kathy Koch, “Abortion Showdowns,” The CQ Researcher,16, 33

(2006): 769-791 [R]

4. Agenda-Setting and Problem Definition

James Anderson, Selections from Ch. 3, “Policy Formation,” in Public Policymaking (2006), pp. 80-103 [R]

Movie : An Inconvenient Truth

Saturday, March 29 th

5. The Process of Policy Analysis

Eugene Bardach, A Practical Guide for Policy Analysis: “Introduction,” pp. xiii-xviii Part I, “The Eightfold Path,” pp. 1-59

Case study reading TBA [HANDOUT] Guest Speakers : TBA (policy analysts in Sacramento)

6. Policy Tools and Design

James Anderson, Selections from Ch. 3, “Policy Formation,” in Public Policymaking (2006), pp. 103-116 [R]

Eugene Bardach, A Practical Guide for Policy Analysis: Part III, “‘Smart (Best) Practices’ Research,” pp. 91-105 Appendix B, “Things Governments Do,” pp. 123-131

Lester Salamon, Selections from “The New Governance and the Tools of Public Action: An Introduction.” In Lester Salamon, ed., The Tools of Government: A Guide to the New Governance (2002), pp. 1-11, 19-22, 37-38. [R]

Kenneth Jost, “School Desegregation,” The CQ Researcher, 14, 15 (2004): 345-371 [R]

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Sunday, March 30 th

7. Policy Deliberation and Decision-Making

James Anderson, Ch. 4, “Policy Adoption” in Public Policymaking (2006), pp. 121-157 [R]

Deborah Stone, “Introduction,” in Policy Paradox: The Art of Political Decision Making, Revised Ed. (2002), pp. 1-14 [R]

Irving Janis, Selections from “The Groupthink Syndrome,” in Groupthink, 2nd Ed. (1982), pp. 174-177, 193-197 [R]

Sarah Glazer, “Stopping Genocide,” The CQ Researcher, 14, 29 (2004): 685-707 [R] Bruce Ackerman and James Fishkin, “Righting the Ship of Democracy,” Legal Affairs

(January/February 2004) [R] Movie : Cadillac Desert: The Mercy of Nature

8. Individual Case Study Project Consultations

DUE APRIL 7th: 1st Reflection Essay

SECOND SESSION (APRIL 24-27)

Thursday, April 24 th

DUE: Policy Formulation Analysis Paper, 2nd set of Readings Essays

9. Case Study of Policy Formulation & Implementation: The Iraq War

Bob Woodward, Plan of Attack (read/skim whole book) Movie : No End in Sight

10. Case Study of Policy Formulation & Implementation: The Iraq War (cont.)

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Friday, April 25 th

11. Overview of Implementation Issues and Classic Models

Martin Levin, Selections from “The Day After an AIDS Vaccine Is Discovered: Management Matters,” Journal of Policy Analysis and Management,12, 3 (1993): 438-443, 445-447 [R]

Richard Matland, Selections from “Synthesizing the Implementation Literature: The Ambiguity-Conflict Model of Policy Implementation,” Journal of Public Administration Research and Theory, 5, 2 (1995): 145-155 [R]

Eugene Bardach, “On Designing Implementable Programs,” in Giandomenico Majone and Edward Quade, eds., Pitfalls of Analysis (1980), pp. 138-157 [R]

Barbara Mantel, “No Child Left Behind: Is the Law Improving Student Performance?” The CQ Researcher, 15, 20 (2005): 469-492 [R]

12. A Multiple Variable Model of Implementation Analysis

Daniel Mazmanian and Paul Sabatier, Selections from Implementation and Public Policy, 2nd Ed. (1989): [ALL IN R]

Ch. 2, “A Framework for Implementation Analysis,” pp. 18-48 Ch. 8, “The Pathos of Implementation, Reconsidered,” pp. 276-286

“Implementing a New Drug and Alcohol Treatment Model in Sacramento County.” Case Study, Parts A-D, from The Electronic Hallway (2001) [R]

Saturday, April 26 th

13. Street-Level and Interpretive Approaches to Implementation Analysis

Michael Lipsky, Selections from Street-Level Bureaucracy (1980): [ALL IN R] Preface, “Dilemmas of the Individual in Public Services,” pp. xi-xvi Ch. 2, “Street-Level Bureaucrats as Policy Makers,” pp. 13-25 Part II, “Conditions of Work: Introduction,” pp. 27-28 Part III, “Patterns of Practice: Introduction,” pp. 81-86

Maureen Waller and Robert Plotnick, “Effective Child Support Policy for Low-Income Families: Evidence from Street Level Research,” Journal of Policy Analysis and Management, 20, 1 (2001): 89-110 [R]

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14. How Implementation Works at the Street-Level – An Alternative View

Steven Maynard-Moody and Michael Musheno, Cops, Teachers, Counselors: Ch. 1, “Dealing with Faces,” pp. 3-8 Ch. 2, “State Agents, Citizen Agents,” pp. 9-24 Part II, “Enacting Identities in the Workplace and on the Street,” pp. 51-54 Part III, “Normative Decision Making: Moralities over Legalities,” pp. 93-95 Ch. 8, “Who Are the Worthy?,” 97-106 Ch. 9, “Responding to the Worthy,” pp. 107-122 Ch. 10, “Street-Level Worker Knows Best,” pp. 123-138 Ch. 11, “Getting the Bad Guys,” pp. 139-152

Movie : Lean on Me

Sunday, April 27 th

DUE: Individual Case Study Project Outline

15. Stakeholders, Community, and Citizen Participation in Implementation David Osborne and Ted Gaebler, “Community-Owned Government: Empowering

Rather than Serving,” in Reinventing Government (1992), pp. 49-75 [R] Dara O’Rourke and Gregg Macey, “Community Environmental Policing: Assessing

New Strategies of Public Participation in Environmental Regulation,” Journal of Policy Analysis and Management, 22, 3 (2003): 383-414 [R]

“What Did I Do Wrong?” Case Study from The Electronic Hallway (2003) (Epilogue to this case to be handed out.) [R]

16. Individual Case Study Project Presentations and Course Wrap-Up

DUE MAY 5th: 2nd Reflection Essay

DUE MAY 9th: Individual Case Study Project Final Paper

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