Ch5. Policy Science — The Policy Process and Policy Analysis

What is Public Policy?

Public Policy:
A course of action chosen by government to address a public problem

Types of Policy (Lowi's Typology):
Distributive Policy: allocates benefits or services (grants, subsidies, entitlements)
→ Recipients benefit; costs are broadly diffused

Regulatory Policy: restricts or guides private behavior (environmental, safety regulations)
→ Regulated parties bear the burden

Redistributive Policy: reallocates wealth or income across groups
→ Resources transferred from one class to another (progressive taxation, Medicaid)

Constituent Policy: restructures government processes or institutions
→ Electoral reform, agency reorganization, constitutional amendments

The Policy Cycle

① Agenda Setting:
Social problems → government agenda
Outside Initiative: citizens / interest groups → Congress / President → policy
Inside Access: policy originates within executive agencies
Mobilization: government builds public support for its own agenda

② Policy Formulation and Decision:
Goal definition + alternative analysis + selection of the best option
Tools: cost-benefit analysis, regulatory impact analysis (required by OMB)

③ Policy Implementation:
Translating decisions into concrete actions
Top-Down: central direction; agencies follow legislative intent
Bottom-Up: street-level discretion shapes actual outcomes

④ Policy Evaluation:
Assessing results against objectives
Criteria: effectiveness, efficiency, equity
Feedback loop → policy modification, continuation, or termination

Decision-Making Models

Rational-Comprehensive Model:
Assumes complete information and exhaustive analysis of all alternatives
Selects the optimal solution
Widely criticized as unrealistic in practice

Bounded Rationality / Satisficing Model (Simon):
Decision-makers operate under cognitive limits and incomplete information
Select the first "good enough" alternative, not the theoretical optimum

Incremental Model (Lindblom):
Small adjustments to existing policy — "muddling through"
Change occurs only within the range of political consensus
Conservative and stable; well-suited to pluralist systems

Mixed Scanning Model (Etzioni):
Combines rational and incremental approaches
Broad rational scan for major decisions; incremental adjustment for details

Garbage Can Model (Cohen, March, Olsen):
Problems, solutions, participants, and choice opportunities flow
independently and connect by chance
Explains decision-making in "organized anarchies" (universities, agencies)

Variables in Policy Implementation

Factors for Successful Implementation:
Clear, consistent statutory objectives
Adequate financial and human resources
Supportive political environment
Capable implementing agencies

Sources of Implementation Failure:
Bureaucratic discretion misaligned with legislative intent
Inter-agency coordination failures
Non-compliance by target populations
Inadequate resources or unclear mandates

Street-Level Bureaucracy (Lipsky):
Front-line workers (teachers, police officers, social workers) are
de facto policymakers — they exercise substantial discretion
that shapes what citizens actually receive

Policy Compliance:
Degree to which target populations follow policy directives
Compliance strategies: information/education, incentives, enforcement

Key Concept Cards

Four Stages of the Policy Cycle ★★★★★ : Agenda setting → formulation/decision → implementation → evaluation (feedback loop). Memory tip: ADIE — Agenda, Decision, Implementation, Evaluation

Incremental Model ★★★★★ : Policy change occurs as small adjustments to the status quo. Realistic when complete rationality is impossible. Memory tip: incremental = status quo + marginal change

Garbage Can Model ★★★★☆ : Decisions result from the chance coupling of problems, solutions, participants, and choice opportunities. Memory tip: garbage can = ambiguity + coincidence

Practice Questions

Q. Why is the rational-comprehensive model difficult to apply in practice?

Complete information is rarely available (information costs, uncertainty). Human cognitive capacity is limited (Simon’s bounded rationality). Enumerating all alternatives is infeasible. Time and resource constraints force shortcuts. Real-world decisions more closely resemble the satisficing or incremental models.

Q. What is the central argument of street-level bureaucracy theory?

The actual content of public policy is largely determined by front-line workers who interact directly with citizens — not by legislators or senior managers. Because these workers exercise significant discretion (rationing services, applying judgment), they effectively make policy in practice. Teachers, police officers, and social workers are prototypical street-level bureaucrats.