Policymaking + Bureaucracy

What is policy?

A relatively stable, purposeful course of action followed by a person or group of people in dealing with a problem or matter of concern  

What does it mean for a policy to be stable?

It means that the policy is usually difficult to change

Why is a policy considered purposive?

Because it is not a random decision; there is an intention behind it

What does "course of action" imply in the context of policy?

It implies that something must be done; policies are not just theoretical

Who must follow a policy for it to be legitimate?

Policy is only legitimate if people agree to follow it

What does "dealing with a problem/concern" mean in relation to policy?

It means that the policy is a response to something that is happening or could happen

Who are the government actors involved in policymaking?

• Legislators (and their staff)

• Executive officials (e.g., president, governor, mayor)

• Administrative agencies (e.g., Veterans Affairs, State Department of Education, Parks and Recreation)

• Judiciary/Courts (evaluate legality of policies and protect people if necessary)

What role do legislators play in government policy?

Legislators and their staff create, debate, and pass laws that form the basis of government policy.

What is the role of the executive in policymaking?

Executives like presidents, governors, or mayors implement and enforce policies

How do administrative agencies contribute to policymaking?

They manage specific areas (e.g., education, health) by implementing and regulating policies.

What role do courts play in policymaking?

Courts assess whether current policies are legal and intervene to protect citizens when necessary

Who are the non-government participants in policymaking?

• Interest groups (e.g., NRA, Chamber of Commerce)

• Lobbyists (often work for interest groups)

• Political parties

• Media

• Regular citizens

• Think tanks

• Civic groups

What role do interest groups and lobbyists play in policymaking?

They advocate for specific policies by influencing legislators and other officials.

How do political parties influence policymaking?

They shape policy agendas and support candidates who align with their goals.

What is the role of the media in policymaking?

The media informs the public about policies and holds policymakers accountable.

How can regular citizens participate in policymaking?

Citizens can vote, protest, petition, or engage with policymakers to express their views

What role do think tanks play in policymaking?

They provide research, analysis, and recommendations to influence policy decisions.

How do civic groups contribute to policymaking?

Civic groups advocate for community interests and promote public participation in policy discussions.

What is the policy process?

how the government decides on and implements policies

What is the Three Streams Model?

A theory of how policies come into existence, focusing on three streams:

1. Problem Stream: Recognition of a problem or need for improvement.

2. Solution Stream: Availability of solutions, requiring consensus on the best one.

3. Political Stream: Public or policymaker support for addressing the issue.

What is a Policy Window?

When the three streams come together, a window of time opens for policy supporters to push the policy through.When the three streams come together, a window of time opens for policy supporters to push the policy through.

What can happen during a Policy Window?

Policy supporters try to enact change, while opponents may attempt to delay action until interest wanes.

What is the Stages Framework Model?

The process a government goes through to enact a policy.

What is the first stage of the Stages Framework Model?

Problem Identification and Definition: Recognizing and defining the issue that needs to be addressed

What is the second stage of the Stages Framework Model?

Identification of Alternatives: Formulating potential policies or solutions to address the problem

What is the third stage of the Stages Framework Model?

Policy Adoption: Making the policy legitimate by securing approval from the necessary authorities

What is the fourth stage of the Stages Framework Model?

Implementation: Carrying out the policy and addressing any issues or challenges that arise

What is the fifth stage of the Stages Framework Model?

Evaluation: Assessing whether the policy worked as intended and identifying areas for improvement

What is the final stage of the Stages Framework Model?

Incorporating the Evaluations: Deciding to terminate the policy, alter it for improvement, or leave it as is

What are inputs in measuring policy effects?

Inputs are the resources a policy provides to accomplish its goals, such as funding, manpower, equipment, buildings, and land.

What are outputs in measuring policy effects?

the actions taken under the policy during its implementation

What are outcomes in measuring policy effects?

Outcomes measure the impact of the policy on its goals, answering the question: Did the policy achieve its intended goal?Outcomes measure the impact of the policy on its goals, answering the question: Did the policy achieve its intended goal?

How do outcomes relate to policy effectiveness?

evaluating its success in achieving its goals

What is cost-benefit analysis in policy evaluation?

it places a monetary value on all positive and negative effects of a policy to measure its efficiency

What are common problems in policy?

Free riders and NIMBY (Not In My Back Yard)

What is the free rider problem in policy?

Occurs when citizens benefit from government-provided goods and services (like national defense or public parks) without contributing to their cost.

What does NIMBY stand for?

“Not In My Back Yard,” where citizens agree on the need for government-provided services but oppose any potential negative impact on themselves.

How does NIMBY affect policy implementation?

Can delay or obstruct projects like waste disposal facilities or public infrastructure because of local opposition to perceived negative consequences.

What are interest groups?

organizations that advocate for specific interests or ideals and try to influence politics and public policies

What is majoritarianism in policy?

the idea that everyone’s opinion counts, and political change comes through the votes of the people

What is pluralism in policy?

the idea that interest groups drive political change by lobbying government officials and proposing policy ideas

What are criticisms of pluralism?

pluralism favors wealthy and well-connected people, while supporters claim it is inclusive because interest groups exist for almost every issue

What are issue networks?

all individuals and organizations involved in a specific policy issue, such as government agencies, nonprofits, academics, media, and industries

What is an example of an issue network?

Government agencies (federal, state, and local), nonprofit/citizen organizations, think tanks, environmental academics, media, sportsmen and women, tree huggers, trail hikers/bikers, fossil fuel producers, companies with high carbon emissions 

What is the Advocacy Coalition Framework?

when groups with different missions collaborate on an issue where they share common ground

What is an example of the Advocacy Coalition Framework?

The Buffalo Field Campaign (anti-buffalo hunting advocates) worked with elk hunting groups to allow buffalo to roam safely outside Yellowstone National Park.

What are policy narratives?

stories created by policymakers to explain why a policy is needed, aiming to simplify issues and create emotional connections

Why do policymakers use narratives?

1. Characters: Heroes, villains, and victims.

2. Symbol: A meaningful representation of the issue.

3. Plot: A journey where heroes stand up to villains and help victims.

4. Moral of the Story: The policy change will save or has saved the day.

What is the goal of a policy narrative?

To show that the policy’s benefits will spread to many people, while the costs are limited to a small group (often portrayed as villains).

What is bureaucracy?

an organizational structure defined by vertical hierarchy, specialization, and impersonal rules, as described by Max Weber

What are the key characteristics of bureaucracy, according to Max Weber?

• Vertical Hierarchy: Clear chain of command.

• Specialization: Specific tasks assigned to experts.

• Impersonal Rules: Decisions made based on established guidelines rather than personal preferences.

How are bureaucrats selected?

Bureaucrats are appointed, not elected

Who are bureaucrats?

Bureaucrats are all the people who work within a bureaucracy.

Vertical Hierarchy

An organizational structure where decisions are made at the top, and the power to take action flows downward through managers to producers (workers).

Role of Decision Makers in Vertical Hierarchy

• Located at the top of the hierarchy

• Can be an individual, board, or council

• Make decisions and adjust policies based on feedback from lower levels

Role of Managers in Vertical Hierarchy

• Decide how actions should be carried out within their departments

• Troubleshoot unexpected problems

Role of Producers in Vertical Hierarchy

• Take action to implement policies

• Provide feedback to higher levels about successes and challenges

Specialization in Organizations

assigning tasks to individuals with special skills to maximize efficiency

Specialization in Large Organizations

• Workers focus on very specific areas of expertise.

• Problem: May lead to working "in a silo," where individuals don't understand the organization's overall goals.

Specialization in Small Organizations

Workers take on broader responsibilities, often outside their expertise.

Problem: A steep learning curve can lead to mistakes.

Impersonal Rules in Bureaucracy

Rules must apply fairly to everyone, ensuring decisions are neutral and unaffected by personal relationships.

Chester Barnard’s Zone of Indifference

workers obey orders within a certain middle-ground area without question

Consequences of Biased Decisions in Bureaucracy

Workers may question leadership.

Results in either challenging authority or leaving the organization.

Appointed Bureaucrats

Focus on what is best for the organization’s long-term interests.

Elected Officials

Often prioritize actions that align with their interests to secure reelection.

Merit System in Government

A system in which government employees are hired and promoted based on their qualifications, skills, and performance rather than political connections.

Patronage (Spoils System)

A practice where elected officials reward political supporters with government jobs.

Who were James Garfield and Charles Guiteau, and how did they contribute to the reform of government job appointments?

James Garfield’s assassination by Charles Guiteau, a disappointed office seeker, highlighted the flaws of the patronage system, leading to the Pendleton Act and reform of government job appointments.

What was the Pendleton Act of 1883?

Legislation that established the merit system for federal jobs, reducing reliance on patronage and ensuring fairness in hiring practices.

How did state and local governments respond to the merit system?

Many state and local governments adopted merit systems similar to the federal model, emphasizing qualifications over political connections.

How is leadership in federal agencies selected?

While most federal employees are hired through the merit system, the heads of many federal agencies remain political appointees.

Who developed the Politics-Administration Dichotomy (P-A Dichotomy), and what was his background?

Woodrow Wilson, who was a political science professor before becoming president of Princeton, developed the Politics-Administration Dichotomy.

What does the term "dichotomy" mean in the context of the Politics-Administration Dichotomy?

the separation between two distinct things or concepts.

According to Wilson's P-A Dichotomy, who is responsible for deciding what policy should be and who is responsible for administering it?

Politicians decide what policy should be, while bureaucrats are responsible for administering that policy.

What is the key idea behind Wilson’s belief regarding the relationship between politicians and bureaucrats?

Wilson believed that politicians should not interfere with the work of bureaucrats, and vice versa.

What is expected of bureaucrats in terms of policy implementation according to Wilson’s P-A Dichotomy?

Bureaucrats should carry out any policy to the best of their ability, regardless of whether they agree with it or not.

What are the two main focuses of bureaucrats according to the P-A Dichotomy?

Bureaucrats should focus on efficiency (using as few resources and as little time as possible) and effectiveness (ensuring the policy accomplishes its goals).

Who argued that bureaucracy functions like a 4th branch of government, and why?

Frank Goodnow argued that bureaucracy is like a 4th branch of government because it carries out the actual work of implementing the will of the other branches.

How do bureaucrats influence the decisions made by other branches of government?

Bureaucrats are experts in their fields and can advise and influence decisions made by elected officials in other branches.

What is the effect of bureaucrats influencing elected officials in relation to the P-A Dichotomy?

Influencing elected officials breaks the Politics-Administration Dichotomy, which may be viewed as either positive or negative.

What is Asymmetry of Information in the context of bureaucracy?

the fact that experts (bureaucrats) always have more information than nonexperts (elected officials), making it difficult for nonexperts to argue with experts

How do bureaucrats have more information than elected officials?

Bureaucrats have personal experience, easy access to research, and connections with other experts in their field, which elected officials may lack.

What is the Iron Triangle, and what are its components?

The relationship between Congressional Committees, Interest Groups, and Government Agencies (bureaucrats) that work together to maintain power.

What is a Street-Level Bureaucrat?

A bureaucrat who interacts with the public and has discretion in applying rules.

What is discretion?

The power to make decisions within legal bounds.

Why is monitoring Street-Level Bureaucrats difficult?

Due to the subjectivity in their decisions.

How do bureaucratic agencies act as surrogates for the three branches?

By performing functions like rulemaking, implementation, and adjudication.

What is rulemaking in bureaucracy?

Creating guidelines to interpret or implement laws.

What is implementation in bureaucracy?

Applying policies or rules to real-world situations.

What is adjudication?

The process of resolving disputes about rules, similar to a court.

What are Government Corporations?

Agencies operating like businesses, charging fees and providing services where private companies cannot profit (e.g., USPS, Amtrak).

What are Regulatory Commissions?

Agencies that create rules and settle disputes in specific areas, with greater independence (e.g., Federal Reserve, FCC).

How do Bureaucracies operate?

Bureaucracies follow standard operating procedures (SOP) and avoid disruption, making changes slowly and incrementally.

What is the goal of bureaucrats in avoiding disruption?

The focus becomes rule-following, not fulfilling the organization's purpose.

How do Bureaucrats operate at lower levels of hierarchy?

Workers adjust their output based on being watched and group expectations.

What is bounded rationality in higher-level bureaucracy?

Leaders make decisions by choosing the first "good enough" idea, due to limited time and resources.

What are the advantages of Tall Hierarchies?

Clear roles for workers and efficient task completion.

What are the disadvantages of Tall Hierarchies?

Limits creativity and information sharing.

What are the advantages of Flat Hierarchies?

Collaboration, creativity, and a sense of value for everyone.

What are the disadvantages of Flat Hierarchies?

Slow decision-making, the need for consensus, and unclear roles.