Policy Process and Negotiation
(政策過程と交渉)
GraSPP. 5112191
2011 Winter Term: Tue.: 13:10-14:50
Admin. #2, Lecture Room 3.
Instructors:
Masahiro -Masa- Matsuura, Ph.D., Associate Professor
Hideaki Shiroyama, Professor
Course description:
This course provides an introduction to analytical frameworks and strategic planning for policy processes. Its first part deals with key ideas for analyzing policy processes. It starts with an overview of canonical theories on policy processes, such as problem definition, incrementalism, agenda setting, implementation, and bureaucracy. In a class we will also discuss about the variety of policy process depending on the cultural and institutional contexts and the role of knowledge in the policy process. This course will cover recent trends, such as policy networks, advocacy coalition, policy transfer and new public management, as well. In order to put these theories in a context, the course will discuss policy-making processes, such as bureaucracy and recent reforms, in Japan as well from comparative perspective. This segment of the course is structured around pre-class readings and in-class discussions. Students are asked to present a synthesized summary of their assigned readings in the class.
The latter half of the course will deal with strategic policy-making techniques. It starts with an overview of negotiation theory as the foundation for the strategic management of stakeholders. Then students are asked to engage in case-based exercises to improve their communication and policy design skills. In the last part of the course, each student prepares a specific policy proposal including his/her implementation and institutionalization strategies.
Assignments:
Class participation is crucial. Each student is asked to review the assigned article/chapter (total number of articles to review per each student depends on the class size) and present its summary in the class. The instructor will facilitate the student discussion so that everyone in the classroom will have the basic theoretical understanding of theories for public policy processes and negotiation.
At the end of the semester, students will be asked to submit an essay (approx. 5 pages) that reflects on actual cases using the literature reviewed in this course.
Class Schedule:
PART I: POLICY PROCESSES
10/4 Introduction (MM and HS)
10/11 Policy Processes (HS)
Readings:
Bardach, E. (1981). Problems of Problem Definition in Policy Analysis,
Research in Public Policy Analysis and Management, 1, pp. 161-71.
Dunn, W. (2004). Public Policy Analysis: An Introduction (3rd Ed.),
Upper Saddle River, NJ: Pearson Prentice Hall). Chapter 2 (Policy Analysis
in the Policy-Making Process) and 3 (Structuring Policy Problems).
Stone, D. (1989). Causal Stories and the Formation of Policy Agendas,
Political Science Quarterly 102 (2), pp. 281-300.
10/18 Incrementalism and Agenda Setting (MM)
Readings:
Downs, A. (1972). Up and Down with Ecology - the “Issue-Attention Cycle,”
Public Interest, 28 pp. 38-50.
Kingdon, J. (1995). Agendas, Alternatives, and Public Policies (2nd
Ed.). New York, NY: Addison-Wesley Chapters 4 and 9
Lindblom, C. (1959). The Science of "Muddling Through", Public
Administration Review, 19 (2), pp. 79-88.
10/25 Policy-making dynamics: Varieties and Coordination (e.g., Japan) (HS)
Readings:
Rhodes, R. A. W. and Marsh, D. (1992). New Directions in the Study of
Policy Networks, European Journal of Political Research, 21, pp. 181-205.
Sabatier, P. A. (1998). The Advocacy Coalition Framework: Revisions
and Relevance for Europe, Journal of European Public Policy, 5 (1),
pp. 98-130.
Voss, J-P.,, Smith, A. and Grin, J. (2009). Designing Long-term Policy
: Rethinking Transition Management, Policy Science, 42, pp. 275-302.
11/1 Institutional Design (MM)
Readings:
Argyris, C. (1992). On Organizational Learning. Cambridge, MA: Blackwell.
Chapter 1.
Berger, P. L., & Luckmann, T. (1966). The Social Construction of
Reality: A treatise in the sociology of knowledge. Garden City, NY:
Doubleday. Part II Chapter 1.
DiMaggio, P. and Powell, W. (1983). The Iron Cage Revisited: Institutional
Isomorphism and Collective Rationality in Organizational Fields. American
Sociological Rev., 48, pp. 147-160.
Ostrom, E. (1990). Governing the Commons. New York, NY: Univ. of Cambridge
Chapter 3
11/8 Lesson Drawing and Policy Transfer (MM)
Readings:
Dolowitz, D. and Marsh, D. (2000). Learning from Abroad: The role of
policy transfer in contemporary policy-making. Governance, 13(1), pp.
5-24.
Goldfinch, S. (2006). Rituals of Reform, Policy Transfer, and the National
University Corporation Reforms in Japan. Governance, 19(4), pp. 585-604.
Keck, M. and Sikkink, K. (1998). Activists Beyond Borders: Advocacy
networks in international politics. Ithaca, NY: Cornell University Press.
Chapter 1
Rose, R. (1991). What is Lesson-Drawing, Journal of Public Policy, 11,
pp. 3-30.
11/15 Policy Processes in Japan (MM)
Readings:
Freeman, L. A. (2000). Closing the Shop: Information cartels and Japan's
Mass Media. Princeton, NJ: Princeton Univ. Press: Chapter 3
Schwartz, F. (1998). Advice and Consent: The politics of consultation
in Japan. New York, NY: Cambridge University Press: Chapter 2 and 7
Westney, E. (1987). Imitation and Innovation: The transfer of Western
organizational patterns to Meiji Japan. Cambridge, MA: Harvard University
Press. Chapter 1
PART II: NEGOTIATION AND CONSENSUS BUILDING
11/22 Introduction (MM)
This session will be organized primarily around an introductory lecture by Prof. Matsuura. No reading assignment.
11/29 Interest-based Negotiation and Psychological Traps (MM)
Readings:
Cialdini, R. (1993). Influence: The psychology of persuasion. New York,
NY: Morrow. Chapter 2.
Fisher, R. and Ury, W. (1991). Getting to Yes. New York, NY: Penguin.
Chapters 1 and 3 (one student reviews both chapters).
Lax, D. and Sebenius, J. (1987). Manager as Negotiator, New York, NY:
Free Press. Chapters 2 and 3 (one student reviews both chapters).
Suggested readings:
Ariely, D. (2008). Predictably Irrational: The hidden forces that shape
our decisions. New York, NY: Harper.
Fisher, R. (1985). Art and Science of Negotiation, Harvard. Chapter
3
Wheeler, M. (2002). Negotiation Analysis: An Introduction, HBS Press.
12/6 Negotiation Simulation (two party, two issue) (MM)
Readings:
Negotiation Simulation: Parking Space for Supercomputer
12/13 Consensus Building Processes (MM)
Readings:
Susskind, L. and Cruikshank, J. (1987). Breaking the Impasse. New York,
NY: Basic Books. Chapter 3.
Carpenter, S. L., & Kennedy, W. J. D. (1988). Managing Public Disputes:
A practical guide to handling conflict and reaching agreements. San
Francisco, CA: Jossey-Bass. Chapter 2
Ury, W., Brett, J., and Goldberg, S. (1988). Getting Disputes Resolved:
Designing Systems to Cut the Costs of Conflict. San Francisco, CA: Jossey-Bass.
Suggested readings:
Forester, J. (1999). The Deliberative Practitioner: Encouraging participatory
planning processes. Cambridge, MA: MIT.
Putnam, R. (1988). "Diplomacy and Domestic Politics: The Logic
of Two-Level Games." International Organization. 42, pp 427-460.
Susskind, L. (1999). “A Short Guide to Consensus Building” (pp. 3-57)
In Susskind, L., McKearnan, S. and Thomas-Larmer, J. (Eds.) The Consensus-Building
Handbook. Thousand Oaks, CA: Sage.
12/20 Year-end wrap up session (MM)
1/10 Theory on Democracy, Participation, and Deliberation (MM)
Readings:
Arnstein, S (1969). A Ladder of Citizen Participation. Journal of the
American Institute of Planners, 35, pp.216-224.
Barber, B. (1984). Strong Democracy: Participatory politics for a new
age. Berkeley, CA: University of California. Chapter 9.
Peattie, L. (1968). Reflections on Advocacy Planning, Journal of the
American Planning Association, 34 (2), pp. 80 - 88
Guttman, A. and Thompson, D. (1996). Democracy and Disagreement. Cambridge,
MA: Belknap. Chapter 2.
Reich, R. (ed.) (1988). The Power of Public Ideas. Cambridge, MA: Harvard
Univ. Chapter 6.
Schon, D. and Rein, M. (1994). Frame Reflection: toward the resolution
of intractable policy controversies. New York: Basic Books Chapter 2.
1/17 Consensus Building Processes and Cultural Awareness (MM)
Readings:
Bazerman, M. Curhan, J., Moore, D., and Valley, K. (2000). Negotiation.
Annual Review of Psychology, 51, pp. 279-314.
Matsuura, M. (2008). Localizing Public Dispute Resolution in Japan.
Saarbrucken, Germany: VDM Verlag. Chapter 1.
Doi, T. (1973). The Anatomy of Dependence: Amae no Kozo. Tokyo, Japan:
Kodansha
Kremenyuk, V. (Ed.) (1991). International Negotiation. San Francisco:
Jossey-Bass Chapters 7 and 15.