Understanding the Politics of Public Policy

1. 1
Understanding the PoliticsUnderstanding the Politics
of Public Policyof Public Policy

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

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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

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Policy Process ModelPolicy Process Model
Policy CyclePolicy Cycle
Problem definition/
Agenda setting
Policy formulation
Policy
legitimation
Policy
implementation
Policy evaluation
Policy change

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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?

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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?

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Streams of Agenda SettingStreams of Agenda Setting
Problem stream
Policy stream
Political stream
Opportunity for
agenda items

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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

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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

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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)

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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

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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

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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

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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

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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?

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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

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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?

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Limits on DiscretionLimits on Discretion
 Administrative ProceduresAdministrative Procedures
 Scientific and Economic Decision RulesScientific and Economic Decision Rules
 Congressional and Presidential OversightCongressional and Presidential Oversight

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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)

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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.

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Economic/Scientific AnalysisEconomic/Scientific Analysis
Things such as:Things such as:
 Risk AssessmentsRisk Assessments
 Peer ReviewPeer Review
 Cost-Benefit AnalysisCost-Benefit Analysis
 Role of OMBRole of OMB

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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

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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

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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

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Instruments of PolicyInstruments of Policy
 RegulationRegulation
 Government managementGovernment management
 Taxing and spendingTaxing and spending
 Market mechanismsMarket mechanisms
 Education and informationEducation and information

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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