Policy Formulation, Adoption, and Implementation

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Policy Formulation, Adoption, and Implementation

• Peters, Chapter 4-6

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Stages of the Policy Process

• Problem Definition (Issue formation)
• ?
• Agenda Formation
• ?
• Policy Adoption
• ?
• Policy Implementation
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• Policy Evaluation
• ?
• Problem Re-Definition

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Stages of the Policy Process

• Problem Definition (Issue formation)
• ?
• Agenda Formation
• ?
• Policy Adoption
• ?
• Policy Implementation
• ?
• Policy Evaluation
• ?
• Problem Re-Definition

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The Politics of Policy Adoption

• Political scientists have found that
  policy-making is often driven by three sets of
  factors
• Personal ideology
• Constituent demands / Public Opinion
• Special interests

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Political Ideology

• An ideology is an organized collection of
  ideas/opinions

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Political Ideology

• An ideology is an organized collection of
  ideas/opinions
• A political ideology is a set of ideals,
  principles, doctrines, myths or symbols of a
  social movement, institution, class, or large
  group

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Political Ideology

• Political ideologies are concerned with many
  different aspects of a society
• the economy
• education
• health care
• labor law
• the justice system
• the provision of social security and social
  welfare
• trade
• the environment
• immigration
• race
• use of the military
• patriotism
• established religion

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The Ideological Distribution in the United States
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The Ideological Distribution in the United States
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The Ideological Distribution in the United States
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The Ideological Distribution in the United States
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The Ideological Distribution in the United States
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The Ideological Distribution in the United States
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The Ideological Distribution in the United States
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The President

• Since most legislation must ultimately be passed
  by Congress, the presidents power lies in his
  ability to persuade (Congress, the public).

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The President

• Since most legislation must ultimately be passed
  by Congress, the presidents power lies in his
  ability to persuade (Congress, the public).
• This power is highly dependent upon public
  opinion regarding presidential performance
  (presidential approval ratings)
• Do you approve or disapprove of the way that the
  president is handling the job.

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The President

• What drives presidential approval?
• Time (Honeymoon)
• The Economy
• International/Domestic security threats/crises
  (Rally round the flag)
• Major policy successes/failures
• Scandals

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Congress

• The Congress (especially the House) is
  theoretically the branch of government that is
  closest to the people (and hence most democratic).

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Congress

• The Congress (especially the House) is
  theoretically the branch of government that is
  closest to the people (and hence most
  democratic).
• However, a number of factors intervene in this
  connection between Congress and the people, thus
  leaving much room for interest groups to exert
  influence.

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Congress

• Low visibility
• correctly identifying name and party of
• 1st Senator 53
• 2nd Senator 36
• Representative 41
• Far fewer people actually pay attention to what
  they do!

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Congress

• Low turnout in congressional elections 35-50
• Extremely high rates of re-election (and
  re-election margin)
• Franking privilege
• 350,000 in election funds (avg)
• Travel Allowance
• Casework thru congressional staffs
• Decentralization of power (subcommittees) has led
  to greater use of pork spending
• Money campaign spending

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The Courts

• The judiciary is the least democratic branch, yet
  it can wield enormous power at times through
  judicial review, or the power to declare a law
  null and void.

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The Courts

• The judiciary is the least democratic branch, yet
  it can wield enormous power at times through
  judicial review, or the power to declare a law
  null and void.
• Although generally thought of as relatively
  apolitical, judges are highly partisan and their
  decisions are often correlated with personal
  ideology.
• Party Affiliation gt90 from party of appointing
  Pres
• Partisan activism 60-70 were major party
  activist

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Interest Groups

• Interest groups are private organizations that
  try to shape public policy

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Interest Groups
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Interest Groups
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Think Tanks

• Objective research organizations or interest
  groups?
• University of Michigan Libraries Think Tanks
  website

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Summary of Policy Formulation and Adoption

• The policy process is highly complex and often
  unpredictable
• Multiple actors
• Multiple/Competing agendas

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Summary of Policy Formulation and Adoption

• The policy process is highly complex and often
  unpredictable
• Multiple actors
• Multiple/Competing agendas
• Need for legitimation of policy choices results
  in a dependence on the political process
• Stability, rather than change, is the norm

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Kingdons Model of Policy Change

• Policy process and policy streams
• Problem streams
• Policy streams
• Political streams
• Policy windows
• Occur when the three streams intersect
• Often facilitated by focusing events

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Implementation

• Definition Policy put into action
• A variety of government/private organizations and
  actors are responsible for implementation of
  government policies
• Often granted significant discretion
• Accountability is limited

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Implementation

• Major reasons why policies fail

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Implementation

• Major reasons why policies fail
• Lack of information by policymakers leads to
  faulty policy design

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Implementation

• Major reasons why policies fail
• Lack of information by policymakers leads to
  faulty policy design
• Lack of support for policy by actors in the
  implementation process (veto points)
• Federal vs. state/local (values, finances)
• Bureaucratic politics - Political appointees vs.
  career staff competing/overlapping jurisdiction
• Interest group politics (capture)

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Iron Triangles (Subgovernments)
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Implementation

• Major reasons why policies fail
• Lack of information by policymakers leads to
  faulty policy design
• Lack of support for policy by actors in the
  implementation process (veto points)
• Federal vs. state/local (values, finances)
• Bureaucratic politics - Political appointees vs.
  career staff competing/overlapping jurisdiction
• Interest group politics (capture)
• Policy adoption is motivated by factors unrelated
  to designing an effective policy solution

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THE END
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Policy Legitimation

• Legitimacy a belief on the part of citizens that
  the current government represents a proper form
  of government and a willingness on the part of
  those citizens to accept the decrees of the
  government as legal and authoritative.
• (Back)