Public Policy 2700

What are the basic instruments of Public Policy?

Laws and Regulations, Direct Service Provision (mail services, etc.), Transfer Payments (Social Security), Inter-governmental grants, Taxes

What is Public Policy? 

Set of deliberate decisions, decisions, actions, and inactions taken by government actors to address public issues, achieve collective goals, or regulate societal behavior. Choices. Outputs. Impacts.

broad considerations for policymakers when choosing between instruments

effectiveness, political palatability, traditions, experience

six defining characteristics of the U.S. policy context

Conservatism, Democratic Participation, Pragmatism, Wealth, Diversity

Conservatism

Tradition of limited government; skepticism toward regulation and large-scale public spending

Democratic Participation

Strong emphasis on citizen involvement, transparency, and local control in policymaking.

Pragmatism

Preference for practical solutions and compromise (“whatever works”) rather than strict ideology

Wealth (In the context of one of Peter’s traits)

Large economic capacity that enables major programs and borrowing, but also fuels consumption

Inequality

Persistent and growing disparities in income and power shape access to and influence over policy

Diversity

Increasing racial, ethnic, and cultural diversity adds perspectives and challenges to consensus-building

Ways the government is fragmented

Separation of Powers (Legislative, Executive, and Judicial Branches), Federalism (federal vs state governments), Subgovernments and Policy Networks

Why the government is fragmented

Rooted in the Constitution and Federalist Papers, was intentional to prevent tyranny, balance factions, and force compromise.

Article VI

Establishes federal supremacy over states

9th Amendment

Protects unenumerated rights (those not explicitly listed in the Constitution)

10th Amendment

Reaffirms the principle of federalism - states have broad power unless given to the federal government

Layer Cake Federalism

Powers are clearly divided between federal and state governments, like separate layers of a cake.

Marble Cake Federalism

Powers and responsibilities are mixed, with overlap between federal, state, and local governments

Picket Fence Federalism

Vertical policy networks dominate a field. power is structured less by “levels” of government and more by policy subsystems (vertical “pickets”), where federal, state, and local actors cooperate within a policy domain.

Advantages of a divided national government

Checks and balances in action which prevents dominance by one party, Encourages compromise and negotiation across party lines. Slows drastic policy swings and preserves stability.

Disadvantages of a divided national government

Gridlock causes difficulty passing major legislation (budget fights, shutdowns). Policy inconsistency when parties reverse each other’s policies (healthcare, climate). Public frustration with government inefficiency, which can lower trust in institutions

Advantages of a federalist system

Policies tailored to state/local needs and preferences. Checks on central authority: limits risk of an overly powerful federal government. Policy innovation: states as “laboratories of democracy”.

Disadvantages of a federalist system

There’s inequality in policy outcomes citizens’ rights/services vary depending on state (education funding, healthcare access). Overlapping authority/confusion: federal vs. state responsibilities can conflict (e.g., disaster response, immigration). States may lower standards (taxes, regulations) to attract business, undermining protections

Subgovernment (Iron Triangle)

The stable, mutually beneficial relationship between three sets of actors who dominate policymaking in a specific policy area

Constituent Members of the Iron Triangle

Interest Groups, Congressional Committees, Administrative Agencies

Example of an Iron Triangle

Defense policy: Defense contractors + Armed Services Committees + Pentagon

The Stages Model

Emphasis: Policymaking as a sequence of steps.

Key Stages: Agenda setting → Formulation → Legitimation → Implementation → Evaluation.

Strengths: Helps organize the process; shows who is involved at each stage.

Limits: Too neat/linear; ignores conflict, history, and messy realities of politics.

Institutional Models

Emphasis: Institutions (rules, norms, and history) shape policymaking.

Variants:

• Rational Choice: Institutions act rationally to pursue goals (cost-benefit logic).

• Normative: Behavior guided by norms, culture, and what’s “appropriate.”

• Historical/Path Dependence: Past decisions constrain future choices.

Strengths: Shows how structure and history shape policy.

Limits: Can downplay individual agency and sudden change.

Advocacy Coalition Framework (ACF)

Emphasis: Policy change results from conflicts between competing coalitions of actors who share beliefs.

Mechanism: Sharp shifts occur when one coalition overcomes another (e.g., environmental vs. industry coalitions).

Strengths: Explains how change happens in contentious issue areas.

Limits: Less useful for routine, consensus-driven policies.

“Policy Causing Politics”

Emphasis: The type of policy itself shapes political action.

Types:

• Distributive (benefits widely spread, little conflict).

• Regulatory (rules for conduct, moderate conflict).

• Redistributive (take from one group, give to another, high conflict).

• Constituent (concerns government structure).

Strengths: Links policy content to political behavior.

Limits: Doesn’t explain how policies get on the agenda or passed.

Power in Policy Making

Power in policymaking is the ability to make things happen — or stop them from happening — by influencing the agenda, decisions, or implementation

Garbage Can Model of Policymaking

Problems, solutions, and decision opportunities exist separately, and they sometimes “spill into the garbage can” together almost at random. Policy choices may not follow logic, but rather timing, chance, or chaos.

Multiple Streams Model (Kingdon) of Policy Making

Builds off the Garbage can model but adds the three P’s. Structured chaos — problems + policies + politics must align.

Policy Entrepreneur

An individual (inside or outside government) who invests time, energy, and resources to push a policy idea forward.

What is Agenda Setting?

Agenda setting is the first stage of the policymaking process. It is the process of determining which issues/problems gain the attention of policymakers, the media, and the public.

Systemic Agenda

All issues widely perceived by the political community as meriting public attention and within government’s legitimate authority.

Institutional Agenda

Issues that are actively under consideration by formal policymaking institutions.

common ways in which issues get on the agenda

Pluralist (marketplace of ideas -many voices compete) Elitist = dominated by powerful few State-Centric = bureaucrats/committees push issues.

Key Factors That Influence Agenda Access

Scope and Impact of the Problem, Identity of the Affected Population, Geographic Concentration, Visibility and Salience, Framing and Linkage, Symbols and Values, Policy Entrepreneurs

Biggest players in policy formulation

Bureaucracy (Administrative Agencies), Congress (Members & Committees), Interest Groups & Lobbyists, Think Tanks, Policy Entrepreneurs

Think Tank

An organization that conducts research, writes reports, and develops policy proposals to influence government decision-making

Center for American Progress (CAP)

Progressive/liberal think tank focusing on equity, opportunity, and progressive economic/social policies. Goal is to influence policy debates in line with progressive values, Shape the political agenda, and provide research and framing that policymakers can use to justify legislation.

How Information and Knowledge Affect Policy Formulation

The more information and causal knowledge policymakers have, the more routine and incremental their policy formulation will be. The less they have, the more uncertain, risky, and creative the process becomes. 

• High Information + Low Knowledge of Causation → Conditional Formulation

  • Lots of data available, but unclear how policy inputs produce outcomes

Routine Formulation

High Information + High Knowledge of Causation

Policymakers have solid data and know how causes link to outcomes.

Conditional Formulation

High Information + Low Knowledge of Causation → Conditional Formulation

Policymakers have solid data and know how causes link to outcomes.

Craftsman Formulation

Low Information + High Knowledge of Causation

Clear understanding of cause-effect relationships, but limited information about the current situation.

Creative Formulation

Low Information + Low Knowledge of Causation

Both data and causal understanding are weak.

Legitimacy

the public’s acceptance that government actions are appropriate, proper, and authoritative.

Main routes of Legitimitation

Legislation (Congress/State Legislatures), Regulation / Rulemaking (Agencies), Courts (Judicial Review), Direct Democracy, Executive Action (Executive Orders)

Partisan

Voting along party lines; leaders count on this type of loyalty.

Logrolling

Legislators trade votes: “I’ll support your bill if you support mine.”

Pork Barrel Politics

Adding special projects or funding for legislators’ home districts/states to secure their votes.

Procedural Legitimacy

the idea that how government makes decisions is as important as what decisions it makes — examples: courts, voters, legislation, regulation

Referendum

A measure referred to voters by the legislature for approval or rejection. Legislature —> The People

Initiative

A measure placed on the ballot directly by citizens through petition/signature gathering. The People —> Legislation

Executive Orders

Official directives issued by the President to federal agencies. They carry the force of law in directing how agencies interpret and implement statutes, but they cannot create new law — only clarify or execute existing authority

• Less legit

President’s Cabinet

Vice President, 15 Department Heads (State, Treasury, Defense, Justice (Attorney General), Interior, Agriculture, Commerce, Labor, Health and Human Services (HHS), Housing and Urban Development (HUD), Transportation, Energy, Education, Veterans Affairs, Homeland Security) and other Cabinet officials 

Major Organizational types in the Federal Government

Executive Departments (most visible, headed by secretary), Executive Office of the President (Inner circle advisors), Legislative Organizations (Agencies created by Congress to support its work), Independent Executive Agencies, Independent Regulatory Commissions, Foundations (research, arts), Public Corporations (Government-owned businesses with boards and stock held by the government), Quasi-Governmental Organizations (Mix of public and private)

Government Accountability Office

Audits, investigates, and evaluates how federal money is spent.

Congressional Budget Office (CBO)

Estimates the cost of legislation, projects deficits/surpluses, and produces economic outlooks.

Congressional Research Service

Provides research and policy analysis for members of Congress and their staff.

Federal Budget Process

OMB Spring Review (Executive Branch) → President’s Budget Request (outlines spending priorities) → Congressional Budget Resolution → 302(a) and 302(b) Allocations → Congressional Appropriations (12 appropriations subcommittees write bills funding specific agencies and programs)

Congressional Budget Committees

Set the Blue Print for budgets

Appropriations Committee

12 subcommittees write the detailed spending bills

Differences between Budget Committees and Budget Committees

Budget Committees = the blueprint (overall totals).

Appropriations Committees = the builders (program-by-program funding).

Sequestration

an automatic, across-the-board cut in government spending.

Reasons sequestration happens frequently

Political Deadlock, Budget Control Mechanism, Chronic Deficits, Short-Term Fixes