Public_Policy 1

Page 1

Page 2: Plan of Study Policy

• Influences on Policy

  • Understanding different influences on policy-making processes.

  • Part 1: Introduction to policy process theory, referencing Birkland text.

  • Part 2: Application of theory through review of significant domestic policy fields; reference Cochrane text and CQ Researcher articles.

• Process Model - James Anderson

  • Identification of a Problem: Recognizing issues that require governmental action.

  • Setting Decision-Making Agendas: Establishing priorities for discussion.

  • Formulating Policy Proposals: Drafting potential solutions for the identified problem.

  • Legitimizing Policy (Formalization): Gaining official approval for the proposals.

  • Implementation of Policy: Enacting the policy and putting it into action.

  • Evaluating Policy: Assessing the effectiveness and outcomes of the policy.

  • Refining Policy: Making necessary adjustments based on evaluation results.

  • Role of the policy maker and the administrators in shaping policy.

Page 3: Governance

• Governance Defined: Combination of administration and policy.

  • Administration: Viewed as the implementation of policies.

  • Policy: Provides guidance for administrators.

• Administrative Discretion:

  • The interpretation of law through the guidance that policy makers provide.

  • Policy makers guide implementation with legislative oversight.

• Objectives of Governance:

  • Efficiency: Optimal resource use in administration.

  • Effectiveness: Achieving desired results.

  • Equity: Fair distribution of resources and services.

Page 4: Federalism

• Conceptual Overview:

  • Intervention & Interaction: Examining elements like federal funding and state distribution.

• Defining Public:

  • Questions around who constitutes the public and perceptions of this group.

  • Ideal vs. Reality: Investigating if the ideal conception of the public aligns with reality.

  • Variability in definitions across policy fields and over time, exemplified through education.

Page 5: Understanding Policy

• What is Policy?

  • Questions concerning whether policy equates to laws created by legislative bodies.

  • Enforcement Importance: Policies only function when enforced.

  • Purpose of Policy: Investigating if the meaning of policy varies among stakeholders.

  • Examination of external influences on policy from non-legislative entities.

Page 6: Definitions of Policy

• Policy Definitions:

  • Eulau & Prewitt: A standing decision marked by consistency in behavior by both makers and adherents.

  • Easton: A framework for the authoritative allocation of values pertaining to society.

  • Dye: Broader perspective stating "Whatever government chooses to do or not to do".

Page 7: Characteristics of Public Policy**

• Stable Process:

  • Links policy to action aimed at goals over time by government officials.

  • Responses to public demands and can lead to either action or inaction.

Page 8: Democracy & Public Policy**

• Driven by Liberalism:

  • Public policy serves public interest and is defined through elected policy makers.

Page 9: Structure of Federalism**

• Mandates in Policy-Making:

  • Differentiate between direct vs. indirect mandates in federalism.

  • Understanding power dynamics that influence policy-making decisions.

Page 10: Power & Authority**

• Definitions:

  • Power: Ability to compel actions contrary to someone's will.

  • Authority: Legitimized power based on societal consent.

• Legitimization:

  • Based on public consent regarding political power.

  • Sovereign Authority: Derived from the will of the people without coercion.

Page 11: Power & the Constitution**

• Founders' Concerns:

  • Fear of both monarchy tyranny and populace tyranny.

  • Solution involved dispersing power to prevent concentration.

Page 12: Federalist 51**

• James Madison's Insight:

  • Highlights the need for proper checks and balances among governmental branches.

  • Government must be structured to counteract ambitions of individuals.

Page 13: Understanding Federalism**

• Division of Authority:

  • Split of power between national and state governments, each with designated responsibilities.

• Checks and Balances:

  • Each level of government maintains oversight over others, guided by enumerated powers and diverse interests.

Page 14: Constitutional Legitimization**

• Responsibilities Within Government:

  • Each governmental body has constitutionally defined roles and responsibilities.

  • The federal government acts through constitutional authority: Article 1, Section 8.

Page 15: Historical Perspective of Federalism**

• Timeline of Federalism Phases:

  • 1789-1865: Union in Peril.

  • 1865-1937: Qualitative Federalism.

  • 1937-present: Cooperative Federalism.

  • Use the layer cake analogy to describe different federalism phases.

Page 16: Principles of Dual Federalism**

• Key Principles:

  • National government operates via enumerated powers.

  • Limited national government constitutional purposes.

  • Each government exercises sovereign authority in its responsibilities.

  • Relationship marked by tension rather than cooperation.

Page 17: Reasons for Federal Government Growth**

• Key Drivers:

  • The Great Depression led to increased national institutions.

  • Growth of federal regulatory and administrative agencies.

  • Perception that state and local governments are insufficient to meet needs.

Page 18: Cooperative Federalism**

• Modern Federalism Model:

  • Described as a marble cake, showcasing mixed responsibilities.

  • Fiscal Federalism: Examining the interplay of government responsibilities and financial management.

Page 19: Federal Policy Influence**

• Types of Mandates:

  • Direct Mandates: Require state compliance based on constitutional authority.

  • Indirect Mandates: Conditioned on state consent and federal funding receipt.

Page 20: Theory of Fiscal Federalism**

• Government Functions:

  • Federal government captures revenue to control the economy while states allocate funds and implement programs.

Page 21: Influencing State Policy**

• Financial Incentives:

  • Federal funding acts as leverage to encourage state participation in policy initiatives.

  • Continued reliance on funding shapes state constituencies benefiting from federal programs.

Page 22: Administrative Structure**

• The Role of Government:

  • Perspectives from William Graham Summer (Libertarian), Edward Bellamy (Socialist), and Woodrow Wilson (Pragmatist) on government roles.

Page 23: Federalist 51 Reflection**

• Need for Separation of Powers:

  • Government must have inherent self-governing mechanisms to maintain control.

Page 24: Positive vs. Higher Law**

• Definitions:

  • Positive Law: Specific provisions in state constitutions.

  • Higher Law: Principles embodied in the Federal Constitution, subject to interpretation.

Page 25: Formation of American Administrative State**

• Crisis Response:

  • American administrative state emerged from crisis and adaptability rather than careful planning.

  • Analogy of the Constitution as a log cabin, with administration filling gaps as needed.

Page 26: Characteristics of Early Administrative State**

• Challenges Faced:

  • Incoherent personnel systems, weak regulatory machinery, and poor coordination.

  • Impact of the Depression Era and subsequent reforms of the 1960s.

Page 27: Political Process Participants**

• Role of Legitimization:

  • Interaction between official and unofficial policy actors over extended periods.

  • Clear definitions and terms influence the complexity of policy making.

Page 28: Policy Domains**

• Definition:

  • Refers to specific areas where various participants contest for influence and decision-making.

Page 29: Political Actors**

• Types of Actors:

  • Official Actors: Elected public officials with constitutional authority.

  • Unofficial Actors: Private interests not authorized constitutionally.

• Levels of Government:

  • Federal (US Constitution), State (State Constitution), Local (subject to state authority).

Page 30: Legislative Bodies**

• Primary Policy Mechanisms:

  • Includes Congress, state legislatures, county commissioners, and city councils, often supported by administrative staff.

Page 31: The Chief Executive**

• Role and Responsibility:

  • The chief executive is typically the sole elected official representing a political unit, responsible for oversight of administrative functions.

Page 32: Role of Courts**

• Judicial System's Function:

  • The Supreme Court and lower courts interpret law, assure constitutional compliance, and respond to challenges.

Page 33: Features of Bureaucracy**

• Key Elements:

  • Job specialization, hierarchical control, institutional knowledge, trained staff, and standard operating procedures.

Page 34: Unofficial Actors in Policy Process**

• Role of Interests and Media:

  • Unofficial actors representing specific interests influence policy processes through their participation levels.

Page 35: Interest Groups**

• The Power of Group Mobilization:

  • Groups, rather than individuals, effectively influence policy by mobilizing and gaining visibility among policymakers.

Page 36: Cornerstones of American Government**

• Key Concepts:

  • Divided Power, Compromise, and Equilibrium emphasize characteristics needed for effective governance.

Page 37: Stability of Policy Fields**

• Punctuated Equilibrium:

  • Explains how policy fields can remain stable until disrupted by significant events, leading to new policy adoption.

Page 38: Disruption of Equilibrium**

• Focusing Events and Social Movements:

  • Factors that can shift focus and decision-making in policy fields.

Page 39: Policy Making Concepts**

• Key Interactions:

  • Long-term engagement of both official and unofficial actors within specific policy domains (e.g., education, environment).

Page 40: Policy Operatives**

• Types of Operatives:

  • Entrepreneurs (promote change), Technical Specialists (subject experts), Decision Makers (elected or administratively appointed), Mediators (influence from media/public opinion).

Page 41: Influence Dynamics**

• Understanding Influence:

  • Influence is a collective activity, necessitating sacrifices for the greater good.

Page 42: Federalist 10 - Control of Factions**

• Madison's Concerns:

  • Need for controlling inevitable factions to prevent tyranny by promoting a diverse union.

Page 43: Faction Control**

• Necessary Measures:

  • Controlling faction causes may involve limiting liberty or homogenizing opinions.

Page 44: Pluralism**

• Group Theory Model:

  • Policy outcomes are determined through competition and negotiations among various groups.

Page 45: Elitist Approaches**

• Critique of Pluralism:

  • Suggests influential elite groups dominate policy-making processes at the expense of broader interests.

Page 46: Representation Issues**

• Challenges for Lower & Working Classes:

  • Difficulty in organizing and exerting influence due to lack of resources and ineffective representation.

Page 47: Mancur Olson's Critique**

• Interest Group Dynamics:

  • Argues that groups tend to form primarily to benefit their members, hampered by issues like the free-rider problem.

Page 48: Policy Decision Models**

• Decision-Making Frameworks:

  • Rational, Community/Political Theory, and Strategic Decision-Making emphasize thorough consideration of alternatives and coordinated action toward predefined outcomes.

Page 49: Reality of Decision-Making**

• Challenges in Government:

  • Difficulties in knowing public desires, leading to trade-offs for individual gains.

Page 50: Rational Decision-Making**

• Characteristics:

  • Defined by clear objectives, full consideration of alternatives, with decisions aimed at maximizing benefits.

Page 51: Compromised Rationalism**

• Herbert Simon's Perspective:

  • Limits in human rationality necessitate refined decision making focusing on practical limits and stakeholder satisfaction.

Page 52: Community Influence**

• Group Decision-Making:

  • Emphasizes collective, community-driven choices based on personal values and cooperation.

Page 53: Political Model of Decision-Making**

• Characteristics:

  • Ambiguous objectives, changing preferences, limited evaluation of costs and benefits, prioritizing the stability of power positions.

Page 54: Public Sector Decision-Making Challenges**

• Obstacles:

  • Difficulty in agreeing on measurable outcomes, complex resource control, and political conflicts complicating effective governance.

Page 55: Incrementalism**

• Realistic Approach:

  • Adjustments based on limited information and political realities, emphasizing gradual changes in policy.

Page 56: Incremental Strategies Can Be Effective**

• Pragmatic Decision-Making:

  • Highlights targeted and intentional adjustments within existing policy frameworks.

Page 57: A + B = C Process Model**

• Policy Development Steps:

  • Identifying problems, setting agendas, formulating proposals, legitimizing, implementing, evaluating, and refining policies.

Page 58: Policy Agenda**

• Dimensions of Policy Agenda:

  • Ranges from vague issues to concrete decision agendas that transform into laws.

Page 59: Actors and the Agenda**

• Competing Interests:

  • Official actors representing public interests versus unofficial actors with private aims.

Page 60: Agenda Setting Competition**

• Control Dynamics:

  • Limited resources heighten competition for agenda placement, enabling specific groups to dominate the discourse.

Page 61: Social Construction of Reality**

• Reality of Problems:

  • Consensus is necessary for issues to be recognized by the government as problems affecting the public.

Page 62: Use of Power**

• Power Dynamics:

  • Different forms of power manifest in agenda placement processes, influencing governance and policy outcomes.

Page 63: Forms of Power/Authority**

• Types Identified:

  • Positive, negative, and latent powers illustrate diverse influences on policy agendas.

Page 64: Policy Formation**

• Process Overview:

  • Development of mechanisms to address public issues follows agenda placement.

Page 65: Alternative Selection Process**

• Competitive Nature:

  • Many alternative proposals exist, with rational methods often constrained by political compromise.

Page 66: Solutions and Alternatives**

• Proposed Solutions:

  • Various approaches like public funding for job creation, direct job initiatives, and tax reduction strategies to promote economic growth.

Page 67: Acceptability of Alternatives**

• Criteria for Alternatives:

  • Must be technically feasible, affordable, and politically acceptable to gain traction in policy discussions.

Page 68: Factors Influencing Formulation**

• Knowledge of Effects & Causes:

  • The presence or absence of information significantly influences policy formulation typologies.

Page 69: Policy Formulation Approaches**

• Typologies Explained:

  • Routine (high knowledge of effects/cause), Incremental (status quo adjustment), Creative (innovative solutions), Conditional responses, and Craftsmanship (ad-hoc responses).

Page 70: Weber's Legitimate Authority**

• Three Types:

  • Traditional, Charismatic, and Legal/Rational authority frameworks establish legitimacy in governance.

Page 71: Constitutional Authority**

• Legitimization:

  • Actions grounded in constitutional law receive general public acceptance, ensuring the legitimacy of government actions.

Page 72: Characteristics of Legitimacy**

• Public Perception:

  • Citizens must see government authority as legitimate and comply willingly with enacted policies.

Page 73: Majoritarian vs. Non-Majoritarian Legitimating**

• Action Legitimacy Sources:

  • Majoritarian actions reflect popular legislative activities, whereas non-majoritarian actions may arise from court or bureaucratic decisions.

Page 74: Legitimization by Law**

• Procedural Legitimacy:

  • Support from legislative review processes ensures bills are scrutinized, promoting accountability.

Page 75: Generality vs. Specificity in Legislation**

• Drafting Laws:

  • Laws written broadly facilitate multiple interpretations, impacting political compromise.

Page 76: Administrative Law Making**

• Rules and Regulations:

  • Administrative rules possess the force of law, with established procedures enacted under the Administrative Procedures Act.

Page 77: Judicial Review as Legitimacy Test**

• Role of Courts:

  • Judicial actions protect individual rights and shape policy through rulings on constitutional legitimacy.

Page 78: Policy Implementation**

• Nature of Implementation:

  • Translates legislative intentions into action, ensuring alignment with legal principles.

Page 79: Principal/Agent Paradigm**

• Relationship Dynamics:

  • Policymakers (principals) trust administrators (agents) to implement policies effectively.

Page 80: Implementation Approaches**

• Top-Down vs. Bottom-Up:

  • Top-down approaches may lack local sensitivity; bottom-up approaches favor local adaptation but risk deviations.

Page 81: Hierarchical Coordination**

• Importance of Communication:

  • Effective communication between levels of government is crucial for performance and localized responsiveness.

Page 82: Performance Management Components**

• Key Elements:

  • Clear measurable outcomes, performance indicators, appraisals, performance incentives, and resource allocation linked to performance.