Politics 355

Governing Instruments

(01-1 )

 

Class Time: Thursday 2:30-6:30 WMX 3533

 

 

Dr. Michael Howlett

AQ 6043 291-3082

e-mail: howlett@sfu.ca

OFFICE HOURS: Thursday 1:30-2:30

NOTE: This outline is also available through the Class WWW Site at URL: http://www.sfu.ca/~howlett/355011.html

 

Outline:

This course introduces students to the study of the instruments used by governments in carrying out their tasks and adapting to, and altering, their environments. An essential component of modern governance, substantive and procedural policy instruments together comprise the toolbox from which governments must choose in attempting to resolve policy problems. The course begins with the establishment of a framework for analyzing governing instruments and moves on to consider the merits, demerits and rationales for the use of specific organization, regulatory, financial and information-based instruments. Finally, the manner in which instrument change relates to overall policy change is assessed.

 

Required Texts

Christopher Hood, The Tools of Government Chatham: Chatham House, 1986 - custom courseware reprint

L.S. Salamon ed. Beyond Privatization: The Tools of Government Action, Washington D.C: Urban Institute, 1989 - not available at bookstore.

W.J.M. Kickert, E-H. Klijn and J.F.M. Koppenjan eds., Managing Complex Networks: Strategies for the Public Sector (London: Sage, 1997)

 

Recommended Texts

 

Marie-Louise Bemelmans-Videc, Ray C. Rist and Evert Vedung eds., Carrots, Sticks and Sermons: Policy Instruments and Their Evaluation New Brunswick, N.J., Transaction Publishers, 1998

B. Guy Peters and F. K. M. Van Nispen, eds. Public Policy Instruments : Evaluating the Tools of Public Administration New York: Edward Elgar Pub. (August 1998) - not available at bookstore.

 

 

Requirements and Marking:

1. There will be a final examination worth 30 percent of the course mark.

2. One 15-20 page paper is due at the end of term and is worth 40 percent of the class mark. Papers should be typed, double-spaced and properly formatted. Papers are due on the last day of class. LATE PAPERS WILL LOSE TEN PERCENT PER DAY LATE.

3. A 3-5 page outline of the paper is due (posted to the Class Maillist "pol359-d1@sfu.ca") in Week VII. The outline should set out the general argument to be made in the paper, the methodology to be followed, and include appropriate traditional and non-traditional (WWW) bibliographic references. The outline will be returned in Week VIII and will account for 10 percent of the paper grade. LATE OUTLINES WILL RECEIVE A ZERO GRADE.

 

4. Twenty percent of the course mark will be awarded on the basis of class participation. This includes the oral presentation of two cases of instrument choice to class in weeks III-VI and VIII-XI LATE PRESENTATIONS WILL RECEIVE A ZERO GRADE.

 

Presentation Topics

Topic #1: Choose a substantive policy instrument and examine an example of its use in Canada. How was the instrument defined? Why was it used?

Topic #2: Choose a procedural policy instrument and examine an example of its use in Canada. How was the instrument defined? Why was it used?

 

Paper Topics:

Compare the substantive and procedural policy instruments examined in your class presentations. What was the theoretical rationale for their use? How does this expectation compare with the actual rationale uncovered in the empirical circumstances you examined? and a procedural one. Examine their use in a Canadian policy sector. What does this tell us about theories of policy instrument choice?

 

 

 

WEEKLY READING LIST

NOTE: All required readings have been placed on reserve in Bennett Library

WEEK I: INTRODUCTION: POLICY INSTRUMENTS AND THEIR ANALYSIS

Required Reading:

Salamon, Lester. "Rethinking Public Management: Third Party Government and the Changing Forms of Government Action." Public Policy 29, no. 3 (1981): 255-275

Woodside, K. "Policy Instruments and the Study of Public Policy." Canadian Journal of Political Science. 19, no. 4 (1986): 775-793.

Recommended Reading:

Trebilcock, Michael. "The Choice of Governing Instrument." International Review of Law and Economics. 2(1982): 29-46.

Baxter-Moore, Nicolas. "Policy Implementation and the Role of the State: A Revised Approach to the Study of Policy Instruments." In Contemporary Canadian Politics: Readings and Notes, edited by R. J. Jackson, D. Jackson and N. Baxter-Moore. Scarborough: Prentice-Hall, 1987.

Linder, Stephen H. and B. Guy Peters. "Instruments of Government: Perceptions and Contexts"." Journal of Public Policy. 9, no. 1 (1989): 35-58.

 

WEEK II: POLICY INSTRUMENT THEORY (I): SUBSTANTIVE POLICY INSTRUMENTS

Required Reading:

Salamon, Lester M. and Michael S. Lund. "The Tools Approach: Basic Analytics." In Beyond Privatization: The Tools of Government Action, edited by L. S. Salamon. Washington D.C: Urban Institute, 1989. pp. 23-50

Christopher Hood, The Tools of Government Chatham: Chatham House, 1986 pp. 1-15 and chapters 2-5 (recommended)

Recommended Reading:

Michael Howlett and M. Ramesh, Studying Public Policy: Policy Cycles and Policy Subsystems (Toronto: Oxford University Press, 1995) Chapter 4.

Anne Schneider and Helen Ingram, "Social Construction of Target Populations: Implications for Politics and Policy" in American Political Science Review 87 (2) 1993 pp. 334-347

Bressers, Hans Th. A. and Laurence J. O'Toole. "The Selection of Policy Instruments: A Network-based Perspective." Journal of Public Policy. 18, no. 3 (1998): 213-239.

WEEK III: SUBSTANTIVE POLICY INSTRUMENTS (I): ORGANIZATIONAL INSTRUMENTS

Required Reading:

Leman, Chistopher K. "The Forgotten Fundamental: Successes and Excesses of Direct Government." In Beyond Privatization: The Tools of Government Action, edited by L. M. Salamon. Washington D.C: Urban Institute, 1989. 53-92.

Musolf, Lloyd D. "The Government Corporation Tool: Permutations and Possibilities." In Beyond Privatization: The Tools of Government Action, edited by L. M. Salamon. Washington D.C: Urban Institute, 1989. 231-252.

Recommended Reading:

Davis, Glyn et al. "What Drives Machinery of Government Change? Australia, Canada and the United Kingdom 1950-1997." Public Administration. 77, no. 1 (1999): 7-50.

Mayntz, Renate. "Public Bureaucracies and Policy Implementation." International Social Science Journal. 31, no. 4 (1979): 633-645.

Howlett, M. and M. Ramesh. "Patterns of Policy Instrument Choice Policy Styles, Policy Learning and the Privatization Experience." Policy Studies Review. 12, no. 1 (1993)

 

WEEK IV: SUBSTANTIVE POLICY INSTRUMENTS (II): AUTHORITATIVE INSTRUMENTS

Required Reading:

Barry M. Mitnick, "The Concept of Regulation" in Bulletin of Business Research 53(5) 1978 pp. 1-20

Lemaire, Donald, "The Stick: Regulation as a Tool of Government" in Marie-Louise Bemelmans-Videc, Ray C. Rist and Evert Vedung eds., Carrots, Sticks and Sermons: Policy Instruments and Their Evaluation New Brunswick, N.J., Transaction Publishers, 1998 pp. 59-76

Recommended Reading:

Stigler, George. "The Theory of Economic Regulation" in The Citizen and the State. Chicago: University of Chicago Press, 1975. pp. 114-141

Paul A. Sabatier, "Regulatory Policy-Making: Toward A Framework of Analysis" in Natural Resources Journal 17 (3) 1977 pp. 415-460

Wilson, James Q. "The Politics of Regulation." In Social Responsibility and the Business Predicament, edited by J. W. McKie. Washington: Brookings Institute, 1974.

WEEK V: SUBSTANTIVE POLICY INSTRUMENTS (III): FINANCIAL INSTRUMENTS

Required Reading:

Frans L. Leeuw, "The Carrot: Subsidies as a Tool of Government" in Marie-Louise Bemelmans-Videc, Ray C. Rist and Evert Vedung eds., Carrots, Sticks and Sermons: Policy Instruments and Their Evaluation New Brunswick, N.J., Transaction Publishers, 1998 pp. 77-102

Cantor, Robin, Stuart Henry, and Steve Rayner. Making Markets: An Interdisciplinary Perspective on Economic Exchange. Westport: Greenwood Press, 1992. Chapters 2 and 3

Recommended Reading:

Haider, Donald. "Grants as a Tool of Public Policy." In Beyond Privatization: The Tools of Government Action, edited by L. M. Salamon. Washington D.C: Urban Institute, 1989. 93-124.

Lund, Michael S. "Between Welfare and the Market: Loan Guarantees as a Policy Tool." In Beyond Privatization: The Tools of Government Action, edited by L. M. Salamon. Washington D.C: Urban Institute, 1989. 125-166.

Woodside, K. "The Political Economy of Policy Instruments: Tax Expenditures and Subsidies." In The Politics of Canadian Public Policy, edited by M. Atkinson and M. Chandler. Toronto: University of Toronto Press, 1983. 173-197.

 

WEEK VI: SUBSTANTIVE POLICY INSTRUMENTS (IV): INFORMATIONAL INSTRUMENTS

Required Reading:

Janet A. Weiss and Mary Tschirhart, "Public Information Campaigns as Policy Instruments" in Journal of Policy Analysis and Management 13(1) 1994 pp. 82-119

Evert Vedung and Frans C.J. van der Doelen, "The Sermon: Information Programs in the Public Policy Process - Choice, Effects and Evaluation" in Marie-Louise Bemelmans-Videc, Ray C. Rist and Evert Vedung eds., Carrots, Sticks and Sermons: Policy Instruments and Their Evaluation New Brunswick, N.J., Transaction Publishers, 1998 pp. 103-128

Recommended Reading:

Padberg, D.I. "Nutritional Labelling as a Policy Instrument." American Journal of Agricultural Economics. 74, no. 5 (1992): 1208-1213.

Oscar H. Gandy, Beyond Agenda Setting: Information Subsidies and Public Policy (Norwood: Ablex, 1982) pp. 61-94

Charles Salmon ed. Information Campaigns: Managing the Process of Social Change (Newberry Park: Sage, 1989)

 

WEEK VII: POLICY INSTRUMENT THEORY (II): PROCEDURAL POLICY INSTRUMENTS

Required Reading:

Howlett, Michael. "Managing the "Hollow State": Procedural Policy Instruments and Modern Governance." Canadian Public Administration. 43, no. 4 (2000): 000-000.

Jan Kooiman, "Governance and Governability: Using Complexity, Dynamics and Diversity" in J. Kooiman ed. Modern Governance (London: Sage, 1993) pp. 35-50

Recommended Reading:

Lindquist, Evert A. "Public Managers and Policy Communities: Learning to Meet New Challenges." Canadian Public Administration. 35, no. 2 (1992): 127-159.

Agranoff, Robert and Michael McGuire. "Managing in Network Settings." Policy Studies Review. 16, no. 1 (1999): 18-41.

Johan A. de Bruijn and Ernst F. ten Heuvelhof, "Policy Networks and Governance" in David L. Weimer ed., Institutional Design Boston: Kluwer Academic Publishers, 1995 pp. 161-179

 

** OUTLINES DUE

 

WEEK VIII: PROCEDURAL POLICY INSTRUMENTS (I): ORGANIZATIONAL INSTRUMENTS

Required Reading:

Peters, B. Guy. "Government Reorganization: A Theoretical Analysis." International Political Science Review. 13, no. 2 (1992): 199-218.

Smith, Martin J., David Marsh, and David Richards. "Central Government Departments and the Policy Process." Public Administration. 71(1993): 567-594.

Recommended Reading:

Kernaghan, Kenneth. "Partnership and Public Administration: Conceptual and Practical Considerations." Canadian Public Administration. 36, no. 1 (1993): 57-76.

Armstrong, Jim and Donald G. Lenihan. From Controlling to Collaborating; When Governments Want to be Partners: A Report on the Collaborative Partnership Project. Toronto: Institute of Public Administration of Canada New Directions - Number 3, 1999.

Gilmore, Thomas N. and James Krantz. "Innovation in the Public Sector: Dilemmas in the Use of Ad Hoc Processes." Journal of Policy Analysis and Management. 10, no. 3 (1991): 455-468.

 

WEEK IX: PROCEDURAL POLICY INSTRUMENTS (II): AUTHORITATIVE INSTRUMENTS

Required Reading:

W.J.M. Kickert and J.F.M. Koppenjan, "Public Management and Network Management: An Overview" in W.J.M. Kickert, E-H. Klijn and J.F.M. Koppenjan eds., Managing Complex Networks: Strategies for the Public Sector (London: Sage, 1997) pp. 35-61

Dion, Leon. "The Politics of Consultation." Government and Opposition. 8, no. 3 (1973): 332-353.

Recommended Reading:

Charles W. Anderson, "Political Design and the Representation of Interests" in P.C. Schmitter and G. Lehmbruch eds., Trends Towards Corporatist Intermediation (London: Sage, 1979) pp. 271-297

Smith, Thomas B. "Advisory Committees in the Public Policy Process." International Review of Administrative Sciences. 43, no. 2 (1977): 153-166.

Brown, David S. "The Management of Advisory Committees: An Assignment for the '70's." Public Administration Review. 32(1972): 334-342.

 

WEEK X: PROCEDURAL POLICY INSTRUMENTS (III): FINANCIAL INSTRUMENTS

Required Reading:

Anthony Nownes and Grant Neeley, "Toward an Explanation for Public Interest Group Formation and Proliferation: "Seed Money", Disturbances, Entrepreneurship, and Patronage" in Policy Studies Journal, 24(1) 1996 pp. 74-92.

Leslie A. Pal, Interests of State: The Politics of Language, Multiculturalism, and Feminism in Canada Kingston: McGill-Queen's University Press, 1993 pp. 42-58 and 243-264

Recommended Reading:

Riedel, James A. "Citizen Participation: Myths and Realities." Public Administration Review. May-June(1972): 211-220.

Leslie A. Pal, Interests of State: The Politics of Language, Multiculturalism, and Feminism in Canada Kingston: McGill-Queen's University Press, 1993 ] chapters 7-9

Burt, Sandra. "Canadian Women's Groups in the 1980s: Organizational Development and Policy Influence." Canadian Public Policy. 16, no. 1 (1990): 17-28.

 

WEEK XI: THE POLICY CYCLE (V): PROCEDURAL POLICY INSTRUMENTS (IV): INFORMATIONAL INSTRUMENTS

Required Reading:

Wraith, R.E. and G.B. Lamb. Public Inquiries as an Instrument of Government. London: George Allen and Unwin, 1971. Pp. 302-323

Bennett, Colin and Robin Bayley. "The New Public Administration: Canadian Approaches to Access and Privacy." In M. W. Westmacott and H. P. Mellon, ed(s), Public Administration and Policy: Governing in Challenging Times, Scarborough: Prentice Hall Allyn and Bacon, 1999. 189-201.

Recommended Reading:

Chapman, Richard A. "Commissions in Policy-Making." In R. A. Chapman, ed(s), The Role of Commissions in Policy-Making, London: George Allen and Unwin, 1973. 174-188.

Bennett, Colin J. "The Formation of a Canadian Privacy Policy: The Art and Craft of Lesson-Drawing." Canadian Public Administration. 33, no. 4 (1990): 551-570.

Relyea, Harold C. "The Provision of Government Information: the Freedom of Information Act Experience." Canadian Public Administration. 20, no. 2 (1977): 317-341.

 

WEEK XII: POLICY INSTRUMENT THEORY (III): IMPLEMENTATION STYLES

Required Reading:

Richardson, Jeremy, Gunnel Gustafsson, and Grant Jordan. "The Concept of Policy Style." In Policy Styles in Western Europe, edited by J. J. Richardson. London: George Allen and Unwin, 1982. 1-16.

Kagan, Robert A. "Adversarial Legalism and American Government." Journal of Policy Analysis and Management. 10, no. 3 (1991): 369-406.

 

Recommended Reading:

Knill, Christopher. "European Policies: The Impact of National Administrative Traditions." Journal of Public Policy. 18, no. 1 (1998): 1-28.

Freeman, Gary P. "National Styles and Policy Sectors: Explaining Structured Variation." Journal of Public Policy. 5, no. 4 (1985): 467-496.

Hood, Christopher. "Using Bureaucracy Sparingly." Public Administration. 61, no. 2 (1983): 197-208.

W.J.M. Kickert, E.-H. Klijn and J.F.M. Koppenjan, "Managing Networks in the Public Sector: Findings and Reflections" in W.J.M. Kickert, E-H. Klijn and J.F.M. Koppenjan eds., Managing Complex Networks: Strategies for the Public Sector (London: Sage, 1997) pp. 166-191

 

WEEK XIII: CONCLUSION

** Papers Due

 

 

Final Exam Date and Location: TBA