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The Dynamics of Public Policy: A systems Model
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Stages Stages of public policy problem identification and definition
agenda setting policy formulation policy legitimation policy implementation policy change policy evaluation
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Policy Process Model Policy Cycle
Problem definition/ Agenda setting Policy evaluation feedback Policy formulation Policy change Policy implementation Policy legitimation
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Stage One: Identifying Problems
There are always a lot of problems and they can be defined in different ways. Relatively few identified problems receive attention
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A political problem involves
A perception that something is wrong A belief that the problem can be ameliorated by public action
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Why Do Some Problems Receive Attention?
A. Problems-- that become an agenda item Issues that government officials and/or the public focus on (fuel economy, clean air, unemployment) Issues mandated by law and/or commonly monitored (annual reports to Congress, child vaccinations, education outcomes, international events) Focusing events: the attacks on 9/11 and Hurricane Katrina brought attention to America’s preparedness for disasters
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Politics and Participants
B. Politics Problem becomes focus of attention because of a change in administration—Romney versus Obama C. Because of the participants: Important people or groups are interested in the problem president and staff congressional leadership media powerful interest groups judiciary
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Four types of Issue Agendas
Agendas can be classified in four groups… periodically recurring issues sporadically recurring issues crisis-based issues new or “chosen” issues
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Agendas as Political Power
Establishing the agenda means control over policy Political power can be used to alter the agenda Political power can be used to keep issues off the agenda
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Agenda Setting Problem stream Opportunity for agenda items
Policy stream Political stream
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Policy Formulation begins with Problem Definition
Can the problem or problems be defined? What is the major problem or problems that need to be solved? Is there agreement on the basic problem or problems? More often than not, agreement is lacking or disputed.
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Stage Two: Policy Formulation
Define policy alternatives that can be debated. Who’s involved? Very fragmented in American system. Members of Congress Executive/Bureaucracy Government Staffs Interest groups Judiciary
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Who designs or writes policies?
The public bureaucracy—government agencies Select committees Think tanks Interest groups—generally very important Members of Congress and their staffs
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How are Policy Options or Solutions vetted?
Technical Feasibility/costs Consistency with community values Support from important groups Anticipation of future problems or constraints Debates between the political parties
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Example: Welfare Reform
Problems Identified and Debated Increases in the number of unemployed people on welfare Increases in the number of children born out-of-wedlock Increases in parental abandonment Increase in welfare costs
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Democratic Party Plan Require work of able-bodied adults and make sure work pays a decent wage Improve child support enforcement Set up programs to prevent unwanted pregnancies (sex education) Support work for adults with child care and health care services Create public service and subsidized jobs
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Republican Plan Cap welfare spending Turn welfare over to the states
Set lifetime limits on how long healthy adults can receive welfare Allow states to use strong sanctions to force change in habits Deny assistance to teens who become pregnant Eliminate aid to legal immigrants
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Compromise: New Legislation Passed in 1996
Caps spending on central welfare program--TANF Turns welfare over to states, but sets guidelines Requires supported work of healthy adults Puts a lifetime limit on welfare enrollment Requires both parents to accept responsibility for children Funds abstinence sex education for teens Denies welfare to most legal immigrants A compromise but one that gave the Republicans most of what they wanted.
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Stage Three: Policy Legitimation
Policy has a better chance of being implemented as intended if it is considered to be legitimate It is legitimate if: Citizens agree that government action is required and appropriate—but there might be a lot of disagreement
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Stage Four: Policy Implementation
Activities that put policies into effect Passing the required laws Formulating rules and regulations Allocating a budget Setting deadlines Assigning enforcement or implementation authority
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Implementation Often Involves Delegation
To carry out the policy agencies may delegate power to other government entities or even private subcontractors.
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Delegation of Authority Occurs when:
Government confers upon an administrative or private subcontractors rulemaking power that it could exercise itself. Delegation of Authority -- What is it? Delegation of power refers technically to actions whereby a legislature confers upon an administrative agency certain tasks and powers the legislature would and could itself exercise if that were not impracticable (Lowi, 1979; pp. 92). Important constitutional issues -- traded separation of powers for a system that concentrates power to one branch that is more remote from popular control. Congress has substituted the principle of due process (opportunity to participation) to rationalize the delegation. Congress has substituted procedural requirements to compensate for substantive failings.
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Limits on Discretion Administrative Procedures passed into law limit the authority of implementing agencies Congress and the executive branch establish oversight procedures and requirements Example: The food stamp program in Texas
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Presidential Oversight of Policy Implementation Includes
Appointment Power Budgetary Power Reorganizations Guidelines for Enforcement Executive Orders Required evaluations Presidential Oversight Occurs through the appointment of senior agency personnel, establishing guidelines for enforcement activities, reorganization, budgets..... Ideological appointments can go a long way toward controlling a federal agency. Role of OMB. Presidential review of rulemakings through E.O and Council on Competitiveness.
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Congressional Oversight of Implementation Includes
Committee Hearings Budgetary Power Investigations (General Accounting Office) Informal (phone calls, letters, etc.) Enactment of a statute Deadlines Manner in which Congress checks up on what agencies are doing. Oversight ensures that those to whom authority is delegated remain responsive. Oversight can be considered a way in which Congress influences agency behavior. Can constrain agencies. Variety of Oversight Tools -- enactment of a statute, hearings, investigations, legislative vetoes Legislative Veto -- Primary Purposes: - Facilitate the sharing of executive and congressional power in areas where decision making responsibility is hard to allocate; - Permit the president to make managerial and budgetary decisions subject to congressional review; -Allow Congress to delegate broad powers but still exercise some control over agency actions. Why was this such an attractive tool? Could still reverse decisions, could pass blame around and claim credit, safeguard congressional power. In 1983, the Supreme Court ruled in INS v. Chadha that the legislative veto violated Article I of the Constitution.
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Stage Five: Evaluation of Change
Different types of changes direct vs. indirect short-term vs. long-term Evaluation puts information back into the policy process—this is called feedback. Normally a policy has to be in effect for some time (even years) before its impact can be measured.
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Developing Evaluation Criteria: Some Examples
Effectiveness, efficiency, fairness, political feasibility Are their unintended consequences Decide which criteria fit the problem(s)
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Evaluation may include
Measurement of Change Listing of positive and negative changes Listing of changes that still need to be accomplished Cost-Benefit Analysis: How much has change cost? What is the ethical impact of the law? Analysis -- examining costs, cost-benefit analysis, cost-effectiveness, balance risks and benefits. Role of OMB -- Has assumed responsibility for defining the way in which the costs and benefits of initiatives are estimated. Executive Order ) potential benefits to society from the regulation outweigh the potential costs; 2) regulatory objectives shall be chosen to maximize net benefits; 3) among approaches, the alternative involving the least net cost to society shall be chosen; 4) agencies are to maximize the "aggregate net benefits to society". Provides the president with a mechanism to oversee regulatory agencies. These procedures are only to be followed if allowed by the statute.
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Stage Six: Feedback Information and data on impact of law or regulation is communicated to government officials and public. Feedback plays a role in shaping amendments to exiting laws or the passage of new laws. This is the learning stage.
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Incrementalism Since most policy problems are addressed in incremental fashion –addressing part of the problem but not all of it- The feedback loop often results in the process starting over, often building on the laws that have been implemented. Sometimes the feedback process results in rejecting the old approach in favor of a new direction.
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Policy Process Model Policy Cycle
Problem definition/ Agenda setting Policy evaluation feedback Policy formulation Policy change Policy implementation Policy legitimation
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