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Preface

P
olicy analysis is concerned with “who gets In short, this volume is not only an introduc-
what” in politics and, more important, tion to the study of public policy but also an intro-
“why” and “what difference it makes.” We duction to the models the political scientists use
are concerned not only with what policies gov- to describe and explain political life.
ernments pursue, but why governments pursue
the policies they do, and what the consequences New to this Edition
of these policies are.
The fifteenth edition of Understanding Public Pol-
Political Science, like other scientific disciplines,
icy focuses on the policy issues confronting Pres-
has developed a number of concepts and models to
ident Barack Obama in his second term in the
help describe and explain political life. These mod-
White House.
els are not really competitive in the sense that any
President Obama has made income inequal-
one could be judged as the “best.” Each focuses on
ity a major political issue. The rise of inequality
separate elements of politics, and each helps us un-
in recent years is described and analyzed in a re-
derstand different things about political life.
vised chapter entitled “Welfare and Inequality:
We begin with a brief description of eight an-
the Search for a Rational Strategy.” But despite
alytic models in political science and the potential
rising inequality, America remains the land of
contribution of each to the study of public policy:
opportunity. Income mobility—people moving
Process model Group model up and down the income ladder—characterizes
Institutional model Elite model American society. Studies reveal that over half of
Rational model Public choice model the poorest Americans can expect to move up the
Incremental model Game theory model income scale in less than a 10-year period.
Most public policies are a combination of Obamacare remains the signature political
rational planning, incrementalism, competition achievement of the Obama administration. So
among groups, elite preferences, public choice, far it has survived various challenges, including
political processes, and institutional influences. the important question of the constitutionality
Throughout this volume we employ these mod- of the individual mandate. Chapter 8 describes
els, both singly and in combination, to describe the complex reasoning of Chief Justice John Rob-
and explain public policy. However, certain chap- erts, who held that the mandate and penalty was
ters rely more on one model than another. The really a “tax” and therefore within the constitu-
policy areas studied are: tional power of Congress to levy taxes. This de-
cision, opposed by the Attorney Generals of 26
Criminal justice Energy and states, paved the way for the implementation of
Welfare and environment
Obamacare. Initially implementation went badly
inequality Civil rights
Health care Defense policy with computer glitches obstructing enrollment;
Education Homeland security later it was revealed that millions of existing
Economic policy International trade plans were canceled for failure to meet new fed-
Tax policy and Immigration eral requirements. The President’s promise “if

vii
viii Preface

you like your healthcare plan, you can keep your rates back to 39.6 percent. Despite the president’s
healthcare plan” was broken. rhetoric about income inequality, no change was
According to national polls, the economy made in capital gains tax and dividends taxation,
remains the most important issue facing Amer- which remain less than half of the rates on wage
ica. Chapter 11 describes the near collapse of the income.
banking industry in 2008–09 and the govern- Comprehensive immigration reform passed
ment’s unprecedented efforts to avert another the Democratic-controlled Senate but failed to get
Great Depression. It attributes much of the near to a vote in the Republican-controlled House. The
disaster to the federal government’s policies in- elements of immigration reform are discussed in
cluding the actions of government corporations Chapter 12 and contrasted with current immigra-
“Fannie Mae and Freddie Mac.” The chapter tion policy of the United States. The United States
traces the long, slow, incomplete recovery—the has failed to enforce border controls and allowed
“Great Recession.” The federal government’s debt 10–12 million undocumented immigrants to live
now amounts to about $18 trillion, an amount in the country as second-class non-citizens. Spe-
in excess of $50,000 for every man, woman, and cial interests who gain from low-wage labor have
child in the nation. The economic policy chapter been successful so far in preventing comprehen-
also describes that proposals to reduce annual sive immigration reform or even full implemen-
deficits. A new section shows America’s ranking tation of current immigration laws. By executive
on the Economic Freedom Index to be dropping. order, President Obama ordered the non-deporta-
Despite years of seeming neglect, federalism tion of children brought to the United States by
appears to be experiencing a revival in the Amer- their parents (in effect enacting the Dream Act
ican institutional structure. The states are leading which had been defeated in Congress). One re-
the way in medicinal use of marijuana, in same- sult was an influx of children across our Mexican
sex marriage, and banning racial preference. All border.
three issues are covered in separate chapters. Climate change is given new extensive cover-
Crime is down from its historic highs, partially age in Chapter 13 “Energy and the Environment:
as a result of law enforcement initiatives taken Externalities and Interests.” “Cap and trade”
in states and cities in the 1980s and 90s, although proposals are described as well as the efforts of
now pressures have arisen to lessen sentences the Environmental Protection Agency to enact
and hard-nosed police practices. In education, the rules previously rejected by the Congress. A new
federal government has granted waivers to most revolution in energy production—“Fracking”—
states from the controversial No Child Left Be- promises to reduce United States dependence
hind Act. The states have come together through on foreign oil and gas, as well as reduce carbon
the National Governors Association to construct a emissions. Fracking was developed by the pri-
“common core” of desired educational outcomes. vate market, not government, which continues to
Tax policy issues have severely divided the heavily subsidize “renewable” energy sources.
Congress. The standoff between the President President Barack Obama’s drawdown of U.S.
and the Democratic-controlled Senate, and the military forces is described and assessed in a re-
Republican-controlled House is described in de- vised defense policy chapter. The chaotic conclu-
tail, including the sequestration and temporary sions to America’s participation in the Iraq and
shutdown of the federal government in 2013. Afghanistan wars are described as far as possible
President Obama succeeded in placing the blame through our date of publication. The new drone
on the House Republicans, and he succeeded in war is also described. Obama’s statements on
getting a raise in the top marginal income tax the key question of when to use military force
 Preface ix

are contrasted with earlier statements by General • PowerPoint—provides a core template of the
Colin Powell and by Presidents Reagan, George content covered throughout the text. Can eas-
W. Bush, and Bill Clinton. The final chapter on ily be expanded for customization with your
homeland security discusses the trade-offs be- course.
tween security and liberty, including surveillance • Instructor’s Manual and Test Bank— includes
by the National Security Agency, the activities of a description, in-class discussion questions,
the Foreign Intelligence Surveillance Act (FICA) and a research assignment for each chapter.
Court, and the status of “enemy combatants” Also included in this manual is a test bank of-
held at the United States prison and Guantánamo fering multiple-choice, true/false, and essay
Bay, Cuba. questions for each chapter.

Thomas R. Dye • MyTest—an electronic format of the Test

Bank to customize in-class tests or quizzes.
Visit: http://www.pearsonhighered.com
Available Instructor Resources /mytest.
The following resources are available for instruc-
tors. These can be downloaded at http://www
.pearsonhighered.com/irc. Login required.
This page intentionally left blank
Chapter 1
Policy Analysis
What Governments Do, Why They
Do It, and What Difference It Makes

Expanding the Scope of Public Policy President Barack Obama signs the Patient Protection and Afford-
able Care Act in the East Room of the White House, March 30, 2010. This health care reform bill greatly expands the
scope of public policy in America. (© Brooks Kraft/Corbis News/Corbis)

1.1: What Is Public science and the ability of this academic discipline
to describe, analyze, and explain public policy.
Policy?
This book is about public policy. It is concerned
1.1.1: Definition of Policy
with what governments do, why they do it, and Public policy is whatever governments choose to
what difference it makes. It is also about political do or not to do.1 Governments do many things.
1
2 Chapter 1

They regulate conflict within society, they orga- in scope to encompass just about every sector of
nize society to carry on conflict with other soci- American life.
eties, they distribute a great variety of symbolic Throughout most of the twentieth century,
rewards and material services to members of government grew in both absolute size and in re-
the society, and they extract money from society, lation to the size of the national economy. The size
most often in the form of taxes. Thus, public pol- of the economy is usually measured by the gross
icies may regulate behavior, organize bureaucra- domestic product (GDP), the sum of all the goods
cies, distribute benefits, or extract taxes—or all of and services produced in the United States in
these things at once. a year (see Figure 1–1). Government spending
amounted to only about 8 percent of the GDP at
1.1.2: Policy Expansion and the beginning of the last century, and most gov-
ernmental activities were carried out by state and
Government Growth local governments. Two world wars, the New Deal
Today people expect government to do a great programs devised during the Great Depression of
many things for them. Indeed there is hardly the 1930s, and the growth of the Great Society pro-
any personal or societal problem for which some grams of the 1960s and 1970s all greatly expanded
group will not demand a government solution— the size of government, particularly the federal
that is, a public policy designed to alleviate per- government. The rise in government growth rela-
sonal discomfort or societal unease. Over the tive to the economy leveled off during the Reagan
years, as more and more Americans turned to presidency (1981–1989). The economy in the 1990s
government to resolve society’s problems, gov- grew faster than government s­ pending, result-
ernment grew in size and public policy expanded ing in a modest decline in the size of government

Figure 1–1 The Growth of Government

The size of government can be measured in relation to the size of the economy. Total federal, state, and local
government spending now exceeds 37 percent of the GDP, the size of the economy.
*Estimate from Budget of the United States Government, 2015.

50
1944
Percentage of Gross Domestic Product

Great
40 Society

World
War II Total
30
Government
Expenditures

20 World
War I Obama
Federal
10 Government
Expenditures

0
1900 1920 1940 1960 1980 1995 2005 2015*
1910 1930 1950 1970 1990 2000 2010
Year
 Policy Analysis 3

r­ elative to the economy. Federal spending was less Total government spending—federal, state, and
than 20 percent of the GDP. ­local—now amounts to about 37 percent of GDP.
The Obama Administration brought about a
dramatic increase in federal spending, much of it
in response to the “Great Recession” of 2008–2009. 1.1.3: Scope of Public Policy
Federal spending in 2009 soared to 25 percent of Not everything that government does is reflected
the GDP; this spending included a “stimulus” in governmental expenditures. Regulatory activ-
package designed to jump–start the economy (see ity, for example, especially environmental regula-
­Chapter 10). Under President Barack Obama, fed- tions and health insurance requirements, imposes
eral spending was kept close to 24 percent of the significant costs on individuals and businesses;
GDP. The nation’s 50 state governments and 90,000 these costs are not shown in government budgets.
local governments (cities, counties, towns and ­Nevertheless, government spending is a common
townships, school districts, and special districts) indicator of governmental functions and priorities.
combined to account for over 13 percent of the GDP. For example, Figure 1–2 indicates that the federal

Figure 1–2 Public Policy: What Governments Do

Government spending figures indicate that Social Security and Medicare consume the largest share of federal spending,
while education is the largest item in state and local government spending.
SOURCES: Budget of the United States Government, 2015; Statistical Abstract of the United States, 2013.

What the Federal Government Does What State and Local Governments Do

Defense Education
Social Security
and Medicare Welfare

Health, Inc. Medicaid Health

and Hospitals
Income Security, Inc.
Food stamps, welfare Highways
Transportation
Police and
Fire
Education, Training
Sanitation
Veterans

Interest Prisons

Natural Resources
Justice and Environment
Natural Resources
and Environment All Other*

All Other*

0 5 10 15 20 25 30 35 0 5 10 15 20 25 30 35
Percentage of Total Federal Percentage of All State–Local
Spending for Various Functions Spending for Various Functions
*Includes science, energy, agriculture, housing, *Includes housing and community development,
community development, international affairs, parks and recreation, governmental administration,
and general government. and interest.
4 Chapter 1

government spends more on senior citizens—in 1.3.1: Description

­Social Security and Medicare outlays—than on
First, we can describe public policy—we can
any other function, including national defense.
learn what government is doing (and not do-
Federal welfare and health programs account for
ing) in welfare, defense, education, civil rights,
substantial budget outlays, but federal financial
health, the environment, taxation, and so on.
support of education is very modest. State and ­local
A factual basis of information about national
governments in the United States bear the major
policy is really an indispensable part of every-
burden of public education. Welfare and health
one’s education. What does the Civil Rights
functions consume larger shares of their budgets
Act of 1964 actually say about discrimination
than highways and law enforcement do.
in employment? What did the Supreme Court
rule in the Bakke case about affirmative action
1.2: Why Study Public programs? What do the Medicaid and Medicare
programs promise for the poor and the aged?
Policy? What is actually mandated in the Patient Protec-
tion and Affordable Care Act—"Obamacare"—
Political science is the study of politics—the study
and what has the Supreme Court said about it.
of “who gets what, when, and how?”2 It is more
What agreements have been reached between
than the study of governmental institutions, that
the United States and Russia regarding nuclear
is, federalism, separation of powers, checks and
weapons? How much money are we paying
balances, judicial review, the powers and duties
in taxes? How much money does the federal
of Congress, the president, and the courts. And
government spend each year, and what does it
political science is more than the study of political
spend it on? These are examples of descriptive
processes, that is, campaigns and elections, vot-
questions.
ing, lobbying, legislating, and adjudicating.
Political science is also the study of public
­policy—the description and explanation of the causes
1.3.2: Causes
and consequences of government activity. This focus in- Second, we can inquire about the causes, or de-
volves a description of the content of public policy; terminants, of public policy. Why is public pol-
an analysis of the impact of social, economic, and icy what it is? Why do governments do what
political forces on the content of public policy; an they do? We might inquire about the effects of
inquiry into the effect of various institutional ar- political institutions, processes, and behaviors
rangements and political processes on public pol- on public policies (Linkage B in Figure 1–3).
icy; and an evaluation of the consequences of public For example, does it make any difference in
policies on society, both intended and unintended. tax and spending levels whether Democrats or
Republicans control the presidency and Con-
gress? What is the impact of lobbying by the
1.3: What Can Be special interests on efforts to reform the federal
tax system? We can also inquire about the ef-
Learned from Policy fects of social, economic, and cultural forces in

Analysis? shaping public policy (Linkage C in Figure 1–

3). For example: What are the effects of chang-
Policy analysis is finding out what governments ing public attitudes about race on civil rights
do, why they do it, and what difference, if any, it policy? What are the effects of recessions on
makes. What can be learned from policy analysis? government spending? What is the effect of an
 Policy Analysis 5

Figure 1–3 Studying Public Policy, Its Causes and Consequences

This diagram (sometimes referred to as the “systems model”) classifies societal conditions, political system
characteristics, and public policies, and suggests possible linkages between them.

Society Political System Public Policy

Institutions,
processes,
behaviors
A B
E F

Social and C Public

economic policies
conditions D

Including: Including: Including:

Wealth and income Federalism Civil rights
Inflation, recession, unemployment Separation of powers Educational policies
Educational achievement Checks and balances Welfare policies
Environmental quality Parties Health care policies
Poverty Interest groups Criminal justice
Racial composition Voting behavior Taxation
Religious and ethnic make-up Bureaucracy Spending and deficits
Health and longevity Power structures Defense policies
Inequality, discrimination Congress, president, courts Homeland security

Linkage A: What are the effects of social and economic conditions on political and governmental
institutions, processes, and behaviors?
Linkage B: What are the effects of political and governmental institutions, processes, and behaviors
on public policies?
Linkage C: What are the effects of social and economic conditions on public policies?
Linkage D: What are the effects (feedback) of public policies on social and economic conditions?
Linkage E: What are the effects (feedback) of political and governmental institutions, processes, and
behaviors on social and economic conditions?
Linkage F: What are the effects (feedback) of public policies on political and governmental institutions,
processes, and behaviors?

increasingly older population on the Social does public policy make in people’s lives? We
Security and Medicare programs? In scientific might inquire about the effects of public policy
terms, when we study the causes of public pol- on ­political institutions and processes (Linkage
icy, policies become the dependent variables, F in Figure 1–3). For example, what is the effect
and their various political, social, economic, of continuing high unemployment on Republi-
and cultural determinants become the indepen- can party fortunes in Congressional elections?
dent variables. What is the impact of economic policies on the
president’s popularity? We also want to exam-
ine the impact of public policies on conditions
1.3.3: Consequences in society (Linkage D in Figure 1–3). For ex-
Third, we can inquire about the consequences, ample, does capital punishment help to deter
or impacts, of public policy. Learning about the crime? Does existing unemployment benefits
consequences of public policy is often referred discourage people from seeking work? Does in-
to as policy evaluation. What difference, if any, creased educational spending produce higher
6 Chapter 1

student achievement scores? In scientific terms,

when we study the consequences of public ­policy,
1.5: Policy Analysis
­p olicies become the independent variables,
and their political, social, economic, and cul-
and the Quest for
tural ­i mpacts on society become the dependent
­variables.
Solutions to America’s
Problems
1.4: Policy Analysis It is questionable that policy analysis can ever
“solve” America’s problems. Ignorance, crime,

and Policy Advocacy poverty, racial conflict, inequality, poor housing,

ill health, pollution, congestion, and unhappy
It is important to distinguish policy analysis from lives have afflicted people and societies for a long
policy advocacy. Explaining the causes and con- time. Of course, this is no excuse for failing to
sequences of various policies is not equivalent work toward a society free of these maladies. But
to prescribing what policies governments ought our striving for a better society should be tem-
to pursue. Learning why governments do what pered with the realization that solutions to these
they do and what the consequences of their ac- problems may be very difficult to find. There are
tions are is not the same as saying what govern- many reasons for qualifying our enthusiasm for
ments ought to do or bringing about changes in policy analysis.
what they do. Policy advocacy requires the skills
of rhetoric, persuasion, organization, and ac-
tivism. Policy analysis encourages scholars and
1.5.1: Limits on Government
students to attack critical policy issues with the Power
tools of systematic inquiry. There is an implied First, it is easy to exaggerate the importance,
assumption in policy analysis that developing both for good and for ill, of the policies of gov-
scientific knowledge about the forces shaping ernments. It is not clear that government pol-
public policy and the consequences of public pol- icies, however ingenious, can cure all or even
icy is itself a socially relevant activity, and that most of society’s ills. Governments are con-
policy analysis is a prerequisite to prescription, ad- strained by many powerful social forces—pat-
vocacy, and activism. terns of family life, class structure, child-rearing
It must be remembered that policy issues are practices, religious beliefs, and so on. These
decided not by analysts but by political actors— forces are not easily managed by governments,
elected and appointed government officials, nor could they be controlled even if it seemed
interest groups, and occasionally even voters. desirable to do so. Some of society’s problems
Social science research often does not fare well are very intractable.
in the political arena; it may be interpreted, mis-
interpreted, ignored, or even used as a weapon
1.5.2: Disagreement over the
by political combatants. Policy analysis some-
times produces unexpected and even politically Problem
embarrassing findings. Public policies do not al- Second, policy analysis cannot offer solutions
ways work as intended. And political interests to problems when there is no general agree-
will accept, reject, or use findings to fit their own ment on what the problems are. For example, in
purposes. ­educational policy some researchers assume that
 Policy Analysis 7

raising achievement levels (measures of verbal not really possible to conduct some forms of
and quantitative abilities) is the problem to which controlled experiments on human beings. For
our efforts should be directed. But educators often ­example, researchers cannot order children to go
argue that the acquisition of verbal and quantita- to overcrowded or underfunded schools for sev-
tive skills is not the only, or even the most import- eral years just to see if it adversely impacts their
ant, goal of the public schools. They contend that achievement levels. Instead, social researchers
schools must also develop positive self-images must find situations in which educational depri-
among pupils of all races and backgrounds, en- vation has been produced “naturally” in order
courage social awareness and the appreciation of to make the necessary observations about the
multiple cultures, teach children to respect one causes of such deprivation. Because we cannot
another and to resolve their differences peace- control all the factors in a r­ eal-world situation,
fully, raise children’s awareness of the dangers of it is difficult to pinpoint precisely what causes
drugs and educate them about sex and sexually educational achievement or nonachievement.
transmitted diseases, and so on. In other words, Moreover, even where some experimentation
many educators define the problems confronting is permitted, human beings frequently modify
schools more broadly than raising achievement their behavior simply because they know that
levels. they are being observed in an experimental sit-
Policy analysis is not capable of resolving uation. For example, in educational research it
value conflicts. If there is little agreement on what frequently turns out that children perform well
values should be emphasized in educational pol- under any new teaching method or curricular
icy, there is not much that policy research can con- innovation. It is difficult to know whether the
tribute to policymaking. At best it can advise on improvements observed are a product of the
how to achieve certain results, but it cannot deter- new teaching method or curricular improve-
mine what is truly valuable for society. ment or merely a product of the experimental
situation.

1.5.3: Subjectivity in
Interpretation 1.5.5: Complexity of Human
Third, policy analysis deals with very subjective Behavior
topics and must rely on interpretation of results. Perhaps the most serious reservation about pol-
Professional researchers frequently interpret the icy analysis is the fact that social problems are so
results of their analyses differently. Social science complex that social scientists are unable to make
research cannot be value-free. Even the selection accurate predictions about the impact of proposed
of the topic for research is affected by one’s values policies. Social scientists simply do not know enough
about what is important in society and worthy of about individual and group behavior to be able to give
attention. reliable advice to policymakers. Occasionally policy-
makers turn to social scientists for “solutions,” but
1.5.4: Limitations on Design social scientists do not have any. Most of society’s
problems are shaped by so many variables that a
of Human Research simple explanation of them, or remedy for them,
Another set of problems in systematic policy is rarely possible. The fact that social scientists
analysis centers around inherent limitations give so many contradictory recommendations is
in the design of social science research. It is an indication of the a­ bsence of reliable scientific
8 Chapter 1

knowledge about social problems. Although some We doubt that there is any “model of choice”
scholars argue that no advice is better than con- in policy analysis—that is, a single model or
tradictory or inaccurate advice, policymakers still method that is preferable to all others and that
must make decisions, and it is probably better that consistently renders the best solutions to public
they act in the light of whatever little knowledge problems. Instead we agree with political scientist
social science can provide than that they act in the Aaron Wildavsky, who wrote:
absence of any knowledge at all. Even if social sci-
Policy analysis is one activity for which
entists cannot predict the impact of future policies,
there can be no fixed program, for pol-
they can at least attempt to measure the impact icy analysis is synonymous with creativ-
of current and past public policies and make this ity, which may be stimulated by theory
knowledge available to decision makers. and sharpened by practice, which can be
learned but not taught.3

1.6: Policy Analysis as Wildavsky goes on to warn students that

solutions to great public questions are not to be
Art and Craft expected:

Understanding public policy is both an art and a In large part, it must be admitted,
craft. It is an art because it requires insight, cre- knowledge is negative. It tells us what
ativity, and imagination in identifying societal we cannot do, where we cannot go,
problems and describing them, in devising pub- wherein we have been wrong, but not
lic policies that might alleviate them, and then in necessarily how to correct these errors.
After all, if current efforts were judged
finding out whether these policies end up making
wholly satisfactory, there would be little
things better or worse. It is a craft because these
need for analysis and less for analysts.
tasks usually require some knowledge of eco-
nomics, political science, public administration, There is no one model of choice to be found in
sociology, law, and statistics. Policy analysis is re- this book, but if anyone wants to begin a debate
ally an applied subfield of all of these traditional about different ways of understanding public
academic disciplines. ­policy, this book is a good place to begin.

Summary: Policy Analysis

There are a variety of definitions of public policy. 3. A systems model relates societal conditions
But we say simply that public policy is whatever to political institutions and processes, and to
governments choose to do or not to do. policy outcomes.
1. Policy analysis is finding out what govern- 4. Policy analysis is often limited by disagree-
ments do, why they do it, and what differ- ments over the nature of societal problems,
ence it makes. by subjectivity in the interpretation of re-
2. The scope of public policy has expanded as sults, by limitations to the design of policy
governments do more things and grow in research, and by the complexity of human
size. behavior.
Chapter 2
Models of Politics
Some Help in Thinking
About Public Policy

Food Stamp Expansion The Supplemental Nutrition Assistance Program (SNAP), known as food stamps, is
America’s fastest growing welfare program. As recently as 2010, only 17 million people received food stamps. Today
over 50 million people do so. This “non-incremental” growth in a federal program challenges the notion that public
policies change slowly. (StockAB/Alamy)

2.1: Models for Policy plane, for e­ xample, or the tabletop buildings
that ­p lanners and ­a rchitects use to show how

Analysis things will look when proposed projects are

­c ompleted. Or a model may be a diagram—a
A model is a simplified representation of road map, for ­e xample, or a flow chart that
some ­a spect of the real world. It may be an ­p olitical scientists use to show how a bill
actual physical representation—a model air- ­becomes law.
9
10 Chapter 2

2.1.1: Uses of Models provides a separate focus on political life, and

each can help us to understand different things
The models we shall use in studying policy
about public policy. Although some ­policies ap-
are c­ onceptual models. These are word models that
pear at first glance to lend t­ hemselves to expla-
try to
nation by one particular model, most policies are
• Simplify and clarify our thinking about poli- a combination of rational planning, incremen-
tics and public policy. talism, interest group activity, elite preferences,
• I d e n t if y i m p o r t a n t a s p e c t s o f p o l i c y game playing, public choice, political processes,
­problems. and institutional influences. Following is a brief
description of each model, with particular atten-
• Help us to communicate with each other by
tion to the separate ways in which public policy
focusing on essential features of political
can be viewed.
life.
• Direct our efforts to understand public policy
better by suggesting what is important and
what is unimportant.
• Suggest explanations for public policy and
2.2: Process
predict its consequences. Policy as Political Activity
Political processes and behaviors are a cen-
2.1.2: Selected Policy Models tral focus of political science. Political science
studies the activities of voters, interest groups,
Over the years, political science, like other scien-
­legislators, presidents, bureaucrats, judges,
tific disciplines, has developed a number of mod-
and other political actors. One of the main pur-
els to help us understand political life. Among
poses is to discover patterns of activities—or
these models are the following:
­“ processes.” Political scientists with an inter-
• Process model est in policy have grouped various activities
• Institutional model ­according to their relationship with public pol-
icy. The result is a set of policy processes, which
• Rational model
usually follow the general outline shown in
• Incremental model
­Table 2-1.
• Group model The process model is useful in helping us to
• Elite model understand the various activities involved in pol-
• Public choice model icymaking. We want to keep in mind that policy-
making involves problem identification (defining
• Game theory model
problems in society that deserve public atten-
Each of these terms identifies a major conceptual tion), agenda setting (capturing the attention of
model that can be found in the literature of po- policymakers), formulating proposals (devising
litical science. None of these models was derived and selecting policy options), legitimating policy
especially to study public policy, yet each offers a (developing political support; winning congres-
separate way of thinking about policy and even sional, presidential, court approval), implement-
suggests some of the general causes and conse- ing policy (creating bureaucracies, spending
quences of public policy. money, enforcing laws), and evaluating policy
These models are not competitive in the sense that (finding out whether policies work, whether they
any one of them could be judged “best.” Each one are popular).
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