2. 2
OutlineOutline
Models and theories of public policyModels and theories of public policy
Policy process modelPolicy process model
– problem definition and agenda settingproblem definition and agenda setting
– policy formulationpolicy formulation
– policy legitimationpolicy legitimation
– policy implementationpolicy implementation
– policy evaluation/policy changepolicy evaluation/policy change
Instruments of public policyInstruments of public policy
Policy typologiesPolicy typologies
3. 3
Models of Public PolicyModels of Public Policy
Elite theoryElite theory
Group theoryGroup theory
InstitutionalismInstitutionalism
Rational choice theoryRational choice theory
Political systems theoryPolitical systems theory
Policy process modelPolicy process model
4. 4
Policy Process ModelPolicy Process Model
Policy CyclePolicy Cycle
Problem definition/
Agenda setting
Policy formulation
Policy
legitimation
Policy
implementation
Policy evaluation
Policy change
5. 5
Problem DefinitionProblem Definition
Often difficult to define a problemOften difficult to define a problem
What is a current problem?What is a current problem?
Why is it a problem?Why is it a problem?
Definition is based on your ownDefinition is based on your own
perspectiveperspective
Who’s involved?Who’s involved?
6. 6
Agenda SettingAgenda Setting
Systemic vs. government agendaSystemic vs. government agenda
– systemicsystemic: public is aware of and may be: public is aware of and may be
discussingdiscussing
– governmentgovernment:: considered to be those issues andconsidered to be those issues and
problems that policymakers are addressing at aproblems that policymakers are addressing at a
certain timecertain time
What issues would you consider to be onWhat issues would you consider to be on
the government agenda currently?the government agenda currently?
7. 7
Streams of Agenda SettingStreams of Agenda Setting
Problem stream
Policy stream
Political stream
Opportunity for
agenda items
8. 8
Explanations for Agenda Setting:Explanations for Agenda Setting:
Problems, Politics, ParticipantsProblems, Politics, Participants
ProblemsProblems
– mandated itemsmandated items
– magnitude of problemmagnitude of problem
– focusing events (e.g., Sept. 11,focusing events (e.g., Sept. 11, Love Canal)Love Canal)
– relationship to symbolsrelationship to symbols
– absence of private meansabsence of private means
– spillover impactsspillover impacts
– analogy to other problemsanalogy to other problems
9. 9
Explanations (cont’d)Explanations (cont’d)
PoliticsPolitics
– political process changepolitical process change
» change in administration, public opinion, etc.change in administration, public opinion, etc.
Visible participants (entrepreneurs)Visible participants (entrepreneurs)
– president and staffpresident and staff
– congressional leadershipcongressional leadership
– mediamedia
– interest groupsinterest groups
10. 10
Explanations: Saliency and ConflictExplanations: Saliency and Conflict
Influences on Agenda Setting
Level of salience is HIGH Level of salience is LOW
Level of conflict is HIGH Crime, Gun control WORST CHANCE
Abortion rights
Level of conflict is LOW BEST CHANCE
Airline safety
Pork-barrel projects (e.g.,
research grants, water
projects)
11. 11
Policy FormulationPolicy Formulation
Debate over alternative policy choicesDebate over alternative policy choices
Importance of policy analysisImportance of policy analysis
Actors provide their preferred positionsActors provide their preferred positions
Who’s involvedWho’s involved
– bureaucracy, EOPbureaucracy, EOP
– legislature/stafflegislature/staff
– interest groupsinterest groups
12. 12
Policy LegitimationPolicy Legitimation
Appropriateness of government actionAppropriateness of government action
Important for garnering supportImportant for garnering support
Deals w/two major issuesDeals w/two major issues
– Substance of the policySubstance of the policy
– Process of adopting the policyProcess of adopting the policy
13. 13
Policy ImplementationPolicy Implementation
Where actual intervention is seenWhere actual intervention is seen
Activities that put programs into effectActivities that put programs into effect
– money spentmoney spent
– laws passedlaws passed
– regulations formulatedregulations formulated
Done mostly by executive branch throughDone mostly by executive branch through
regulationsregulations
14. 14
ImplementationImplementation
It’s important to recognize that whenIt’s important to recognize that when
executive branch agencies implementexecutive branch agencies implement
policy, they are often MAKING LAW.policy, they are often MAKING LAW.
How can this be?How can this be?
Delegation of Authority/PowerDelegation of Authority/Power
15. 15
Delegation of AuthorityDelegation of Authority
Legislature confers upon an administrative agencyLegislature confers upon an administrative agency
lawmaking power that it could exercise itself.lawmaking power that it could exercise itself.
• Raises important constitutional issuesRaises important constitutional issues
Why would Congress do this?Why would Congress do this?
16. 16
Why Does Congress Delegate?Why Does Congress Delegate?
Two ModelsTwo Models
Good Government ModelGood Government Model
"Nonpolitical" officials"Nonpolitical" officials
Experts in areaExperts in area
Discretion and FlexibilityDiscretion and Flexibility
Shift-the-ResponsibilityShift-the-Responsibility
Time and ResourceTime and Resource
Avoid the responsibilityAvoid the responsibility
of making a "bad"of making a "bad"
decisiondecision
Serve the constituencyServe the constituency
through caseworkthrough casework
17. 17
Bureaucratic DiscretionBureaucratic Discretion
Delegation has given agencies more leeway inDelegation has given agencies more leeway in
determining the policies that they aredetermining the policies that they are
implementing.implementing.
How do we control these agencies and theirHow do we control these agencies and their
power?power?
18. 18
Limits on DiscretionLimits on Discretion
Administrative ProceduresAdministrative Procedures
Scientific and Economic Decision RulesScientific and Economic Decision Rules
Congressional and Presidential OversightCongressional and Presidential Oversight
19. 19
Administrative ProceduresAdministrative Procedures
Administrative Procedure Act (1946) -- setupAdministrative Procedure Act (1946) -- setup
procedures to deal with the shortcomings ofprocedures to deal with the shortcomings of
delegation.delegation.
Important ComponentsImportant Components
– Right to seek judicial reviewRight to seek judicial review
– Rules to develop regulations (informal rulemaking)Rules to develop regulations (informal rulemaking)
20. 20
Informal RulemakingInformal Rulemaking
Also called “notice-and-commentAlso called “notice-and-comment
RequiresRequires three major stepsthree major steps
– Notice of intended rulemaking in theNotice of intended rulemaking in the FederalFederal
RegisterRegister
– Opportunity for interest parties to submitOpportunity for interest parties to submit
commentscomments
– Consideration of comments and response to theConsideration of comments and response to the
comments in the final rule.comments in the final rule.
22. 22
Presidential OversightPresidential Oversight
Appointment PowerAppointment Power
Budgetary PowerBudgetary Power
ReorganizationsReorganizations
Guidelines for EnforcementGuidelines for Enforcement
Executive OrdersExecutive Orders
– E.O.s 12291 and othersE.O.s 12291 and others
23. 23
Congressional OversightCongressional Oversight
Committee HearingsCommittee Hearings
Budgetary PowerBudgetary Power
Investigations (GAO)Investigations (GAO)
Informal (phone calls, letters, etc.)Informal (phone calls, letters, etc.)
Enactment of a statuteEnactment of a statute
DeadlinesDeadlines
Legislative VetoesLegislative Vetoes
– ruled unconstitutional in INS v. Chadaruled unconstitutional in INS v. Chada
Police Patrol vs. Fire Alarm OversightPolice Patrol vs. Fire Alarm Oversight
24. 24
Policy Evaluation and ChangePolicy Evaluation and Change
Step often disregarded in processStep often disregarded in process
Difficult to identify the goals of a program andDifficult to identify the goals of a program and
if they were achievedif they were achieved
Different types of impactsDifferent types of impacts
– direct vs. indirectdirect vs. indirect
– short-term vs. long-termshort-term vs. long-term
Hopefully, will feed information back into theHopefully, will feed information back into the
policy processpolicy process
25. 25
Instruments of PolicyInstruments of Policy
RegulationRegulation
Government managementGovernment management
Taxing and spendingTaxing and spending
Market mechanismsMarket mechanisms
Education and informationEducation and information
26. 26
Lowi Policy TypologyLowi Policy Typology
Distributive policyDistributive policy
– individualized grants and programsindividualized grants and programs
Redistributive policyRedistributive policy
– one gains from another’s lossone gains from another’s loss
Regulatory policyRegulatory policy
– government restriction of choicegovernment restriction of choice