Studying Public Policy: Policy Cycles & Policy Subsystems (3rd)

by kazushu414





Part 1 ∣ Methodology, Theory, and Context in Public Policy Research
Chapter 1 ∣ Introduction : Why Study Public Policy

Overview of the Book
Three dimensions(他们的互动):
Actors(interact to determine the content and process of policy-making)
Institutions(serve to constrain and influence actors` efforts)
Ideas(inform their deliberations and actions)

各种理论重视三者中某一,出现了各自矛盾的结论,so,synthesize the diverse approaches into a single point of view
通过policy system, institution regimes, policy paradigms而非重视三者(actor i i)中某一,从而创建一个more coherent perspective
see how their use can unify the apparent diversity of actors, structures, and ideas comprising the policy-making ‘universe’

staged, sequential policy cycle, unfold policy process
Sees public policy-making as a socio-political process involving successive stage from the articulation of public problems to the adoption and implementation of expected solutions to them (Schmidt,2008)

this representation of policy-making as a cycle of problem-solving attempts, which result in ‘policy learning’ through the repeated analysis of problems and experimentation with solutions

Agenda-setting, Formulation, Decision-making, Implementation and Evaluation

Public Policy Defined
policy-making is a techno-political process of defining and matching goals and means among constrained social actors
technical dimension
political dimension: since not all actors typically agree on what constitutes a policy problem or an appropriate solution
而且对problem和solution的看法也被现有knowledge限制着,as well as policy actors’ ideas,norms and principles to what they consider to be appropriate courses of action to follow

(Dye,1972)Anything a government chooses to do or not to do(隐含意思conscious,deliberate government decisions )
虽然provides no means of differentiating the trivial from the significant aspects of government activities,但有优点:
1 primary agent of public policy-making is a government
unique ability to make authoritative decision
2 A ‘negative’ or ‘non-decision’ 也是决定, 但须must be deliberate
3 public policy is a conscious choice of a government ,副作用不是public policy
the unintended consequence of policy is not public policy but merely its unexpected by-product

(Jenkins,1978)a set of interrelated decisions taken by a political actor or group of actors concerning the selection of goals and the means of achieving them within a specified situation where those decisions should, in principle, be within the power of those actors to achieve
2 recognizes that limitations on a government’s ability to act can constrain the range of options

Methodological Implications For Studying Public Policy
policy decisions do note reflect the unencumbered will of government decision-makers so much as the evidence of how that will interaceted with the constraints generated by actors,structure,and idea

how analysts explain specific public policy outcomes is influenced by the frameworks they employ
positivist : believe that reasonably objective analysis of policy goals and outcomes is possible and that these subjects can be explored with standard social science methodologies for collecting data and analyzing them
post-positive : how orientations towards policy-making as a social phenomenon can affect analytical techniques and outcomes

方法的区别就是 distinction drawn between policy analysis and policy studies
policy analysis tends to concentrate on the formal evaluation or estimation of ‘policy impacts’ or outcomes, usually by using quantitative technique such as cost-benefit analysis (CBA) or risk assessment and management,很少言及政策过程

policy studies, are broader in scope, examining not just individual programs and their effects, but also their causes and presuppositions, and the processes that led to their adoption
1 attempted to associate particular types of policies with the nature of political regimes, [….]so identifying the regime will generate insights into the policies they adopt
2 identify causal variables in public policy-making, which are sometimes referred to as ‘policy determinants’
3 analysis of ‘policy content’ as a predictor of policy processes.
idea that the nature of a policy problem and especially the solutions devised to address it often determine how it will be processed by the political system
problems are expected to be dealt with in different fashion depending whether they are primarily regulatory, distributive, redistributive, or constitutive 
degree of concentration of costs and benefits imposed on political actors by a particular policy sharps the type of policy processes

The Policy Cycle Framework: An Applied Problem-Solving Model of the Policy Process
第一个提出政策分stage的,Harold Lasswell (1956)

Lasswell(1971)   (1)intelligence(2)promotion(3)prescription(4)invocation(5)application(6)termination(7)appraisal

1没有说政府以外actor 2评价应在termination之前

Grey Brewer(1974) (1)invention/initiation(2)estimation(3)selection(4)implementation(5)evaluation(6)termination
(1)invention/initiation  an ill-conceived definition of the problem and suggested solutions to it,第二阶段再精确计算损益
多加了 by expanding beyond the confines of government in exploring how problems are recognized
提出循环,one policy succeeds another with minor or major modification

Figure 1.1 Five Stages of the Policy Cycle and Their Relationship to Applied Problem-Solving
Applied Problem-Solving  Stages in Policy Cycle1.Problem Recognition1.Agenda-Setting2.Proposal of Solution2.Policy Formulation3.Choice of Solution3.Decision-Making4.Putting Solution into Effect4.Policy Implementation5.Monitoring Results5.Policy Evaluation
Agenda-Setting refers to the process by which problems come to the attention of governments
Policy Formulation refers to how policy options are formulated within government
Decision-Making is the process by which governments adopt a particular course of action or non-action
Policy Implementation relates to how governments put policies into effect
Policy Evaluation refers to the processes by which the results of policies are monitored by both state and societal actors, the outcome of which may be reconceptualization of policy problems and solutions

clarify the different, though interactive, roles played in the process by policy actors, institutions, and ideas
these policy actors can be termed the policy universe,…………only a subset of the policy universe—–the policy subsystem
subsystem is composed of only those actors with sufficient knowledge of a problem area, or a resource at stake

Figur 1.2 The Policy Cycle-Actor Hourglass
Key Actors InvolvedStages in Policy Cycle1.Policy Universe1.Agenda-Setting2.Policy Subsystem2.Policy Formulation3.Government Decision-Makers3.Decision-Making4.Policy Subsystem4.Policy Implementation5.Policy Universe5.Policy Evaluation
Policy cycle model’s advantages
1 facilitates an understanding of a multi-dimensional process by disaggregating the complexity of the process into any number of stages and sub-stages, each of which can be investigated alone or in terms of its relationship to any or all the other stages of the cycle
this aids theory-building by allowing the results of numerous case studies and comparative studies of different stages to be synthesized
2 the approach can be used at all socio-legal or spatial levels of policy-making, from that of local governments to those operating in the international sphere
3 this model permits examination of the intertwined role of all actors, ideas, and institutions involved in policy creation, not just those governmental agencies formally charged with the task

1can be misinterpreted as suggesting that policy-maker go about solving public problems in a very systematic and more or less linear fashion
a 阶段与阶段间各个是异质的 b policy-maker merely react to circumstances,多是利益和信念 c某些阶段会被compressed or skipped,甚至不是模型里提示的顺序 d solutions seek problems
2 it is unclear exactly at which level and with what unit of government the policy cycle model should be used
3 the model in itself lacks any notion of causation. it offers no pointers as to what, or who, drives a policy from one stage to another, and seems to assume that policy development must inevitably continue to move from stage to stage
4 it does not say anything at all about the content of a policy

Structure of the Book
it uses the concept of a policy subsystem to capture the intricate links between actors and structures involved in public policy-making

Study Questions
1.How do the simplifying framework adopted by students of public policy affect the outcomes of their studies?
2.What are the common elements found in different definitions of public policy-making?
3.What are the strengths and weakness of the policy cycle model of the public policy-making?
4.How do actors, structure, and ideas, individually and collectively ,affect public policy-making?
5.How is public policy-making related to governance?

Chapter 2 ∣ Understanding Public Policy: Theoretical Approaches

Evolution of the Policy Sciences
在大政府时代之前,studies of political life tended to focus either on the normative or moral dimensions of governing, or on the minutiae of how specific legal  and political institutions functioned
1 political philosophy, purpose og governing ,权利责任
2 程序与细节

policy science was expected to replace traditional political studies, integrating the study of political theory and political practice without falling into the sterility of formal, legal studies

multi-disciplinary——————policy science has become very much a discipline itself,with a unique set of concepts and concerns and a vocabulary and terminology of its own.既懂政策学,还懂该当政策分野
explicitly normative, policy science should not be cloaked in the guise of ‘scientific objectivity’, but should recognize the impossibility of separating goals  and means, or values and techniques

Approaches to Public Policy Analysis: Positivism and Post-Positivism

Positivist Approaches to Public Analysis
Welfare economic is based on notion that individuals,through market mechanisms, should be expected to make most social decisions
market is the most efficient mechanism for allocating society’s resources

market failure
exclusivity(also known as non-rival consumption)refers to transactions involving a good or service limited to the consumption or use by a single consumer,排除掉不付钱的人
exhaustiveness refers to goods and services whose consumption diminishes their availability to others
pure private goods, pure private goods, toll goods, common-pool goods

natural monopoly 有些行业不得不垄断,垄断价格损害社会福利
externalities 损益不是由行为者 自身承担
imperfect information occurs when consumers, producers lack the information to make rational decision
the tragedy of the commons
destructive competition aggressive competition between firms causes negative side effects on workers and society(食品安全,劳动条件)
(moral hazard or information asymmetries)

governments’ failures
organizational displacement将公共的目标置换为组织的目标;费用大
derived externalities, are effects that are not realized by the agency responsible for creating them, and hence do note affect the agency’s calcuations or behaviour(政府的行动把一些本来能市场提供的服务驱除了)
principal-agent problem立法与行政的gap

不考虑政治,数字计算,obsession with quantitative analysis, objective separation of facts and values, and generalizable findings independent of particular social contexts

Post-Positivism Approaches
critical theory, post structuralism, post-modernism, and social constructivism

政策不都是有明确的目标,也不是都在选最效率的means,policy goals and means are products of constant conflict and negotiation among policy-makers guided by their values and interests and shaped by a variety of contingent circumstances
post-positivism start from the assumption that there is no single incontrovertible or “objective” understanding of policy problems or solutions, as positivists claim. instead, the explicitly recognize that all knowledge is make no pretense of analytical objectivity and political neutrality but take on the role of ‘deliberative practitioners operating within a clear value framework that promotes greater social and political equity’
post追求提高民主与参与,原来则technocratic orientation ;post-.. is more a facilitator than a policy-maker or designer
参与导致一个更好的policy和更effective implementation (而很多政策由非选举的官僚作出)

argument, basic unit of analysis, discourse or discursive analysis
在argument中,define and further their ideas and interests


2 deliberation被恶意劫持
4没有clear method

Reconciling the Positivist and Post-Positivist Debate

Approaches to Public Policy Studies: Multi-Level, Multi-Disciplinary
Theorizing with Different Units of Analysis
Unit of AnalysisApproachIndividualPublic choiceCollectivityClass analysis
Group : Pluralism and CorporatismStructuresInstitutionalism and Neo-

Public Choice
public choice theory is a strong application of the rational choice framework, actor理性地追求效用
people should be treated as rational utility maximizers
each political action is analyzed in terms of individual self-interest, 政治过程市场化
一个rent-seeking过程,人人都想free ride

the result is a constant increase in the level of state intervention in the economy and society, often in form of political business cycle
(政府永远在campaign mode,选举前甜政策,选举后痛政策)政府的循环是公共选择解释不了的

2poor predictive capacity
orthodox liberalism(also called neo-conservatism or neo-liberalism)
认为institutions themselves as changeable according to actors’ preferences and were unwilling to fully recognize the durability of institutions and the pervasive impact they have on individual behaviour

Class Analysis
maximizes group interests
means of production, relations of production

interest group are the political actors that matter most in shaping policy
(Truman)latent与manifest利益,对应potential and organized group
团体间是overlaping, lack of representational monopoly,对立或许不是很明显
policies are thus a result of competition and collaboration among groups working to further their members’ collective interests

2政府当成中立的referee or umpire



intermediate strata(民族国家的兴起就是压制教会这个inter…)

pluralism, multiple groups exist to represent their respective members’ interests, with membership being voluntary and groups associating freely without state interference
corporatism,state recognition and support ,团体之间的互动少

‘New economics of organization’ ‘Institutional Analysis and Development(IAD)’—‘actor-centred institutionalism’
emphasizes the autonomy of political institutions from the society in which they exist

不是说制度cause a action,它影响problem,solution的定义,限制选项
actors追求(谁定义的?)利益in the context of existing formal organizations and rules and norms that shape expectations and affect the possibilities of their realization

不能说明origin of institutions ,or their alteration

each political system has and underlying logic and a matching set of interrelated institutions that foster certain choices and hinder others
policy preferences and capacities are best understood in the context of the society in which the state is embedded

Study Questions
1.Are the positivist and post-positivist approaches to policy analysis necessary counterweights to each other’s limitations, or can one of these frameworks yield sufficient insight on its own?
2.How should the unit of analysis be selected for understanding policy attributes?
3.Can deductive and inductive approaches to analysis be used in conjunction to study public policy ,oer must one choose between their competing logic of inquiry?


Chapter 3 ∣ The Policy Context

Introduction: Institutions, Ideas, Actors
以前的理论都没说policy content


level of policy Debate Affected
Cognitive(Causal)Program IdeasPolicy ParadigmsLevel of Ideas AffectedNormative(Value)Symbolic FramesPublic Sentiments
Figure 3.1 Ideational Components of Policy Contents
Symbolic frames and public sentiments tend to affect the perception of the legitimacy or ‘correctness’ of certain courses of action, while policy paradigms represent a ‘set of cognitive background assumption that constrain perceive as useful and worth considering’.’Program ideas’ largely represent the selection of specific solutions from among the set designated as acceptable within a particular paradigm

The Political-Economic Context
business actor比较牛

supplementary or residual state
corrective state 凯恩斯主义


Policy-Making in the Liberal-Democratic Capitalist State

Political-Economic Structures and Public Policy
社会团体的分裂会增加state的policy autonomy,减少policy capacity
最理想是state society双强,且合作

Political Systems and Public Policy
federal or unitary
parliamentary or presidential

Domestic Policy Actors
Elected Politicians
executive or legislators

the public


political parties

interest or pressure groups

think-tanks and research organizations

mass media

academic policy experts and consultants

The International System and Public Policy
International Actors and Regimes
international regime, ‘sets of governing arrangements’ or ‘net-works of rules, norms, and procedures that regularize behaviour and control its effects'(成文法,不成文法)
shaping actors preference(限制选项)
政策领域的特性(希望接受国际or not)

globalization or internationalization
1.policy spillover 以前孤立的政策sector 开始有关联
2.policy transfer.学习他国经验,尤其是注目 transnational epistemic communities and NGO
3. new channel

Super power

Policy Subsystems and Policy Regimes: Integrating Institutions,Ideas, and Actors
policy subsystem, capture the interplay of actors, institutions, and ideas in policy-making

Policy Subsystems
policy universe, aggregation of all possible international, state and social actors and institutions that directly or indirectly affect a specific policy area
the actors and institutions found in each sector or issue area can be said to constitute a policy subsystem within the larger political economic system

为了 capture the manner in which ideas, actors, and institutions interact in the policy process
(多元主义的批评)sub-government, 一群actor的grouping, iron triangles
(Heclo) issue network, 另一个极端,larger, much less stable ,had a constant turnover of participants, and were much less institiitionalized than iro triangles
(Rhdes) network varied according to their level of ‘integration’, stability of membership, restrictiveness of membership, degree of insulation from other networks and他们掌握的资源
(Hamm) internal complexity, functional autonomy, levels of internal and external co-operation
(Wiks and Wright) highly integrated networks would be characterized by stability of memberships and inter-membership relations, interdependence within the network and insulation from other networks
(Heinz)Hollow cores , no clear leadership

(Sbatier and Jenkins-smith)advocacy coalition consists of actors from a variety of public and private institutions at all levels of government who share a set of basic beliefs(policy goals plus causal and other perceptions) and who seek to manipulate the rules, budges and personnel of governmental institutions in order to achieve these goal over time
combined the role of knowledge and interest
core of their belief system,consisting of views on the nature of humankind and the ultimate desired state of affairs, is quite stable and holds the coalition together

大部分actor engaged mainly in the struggle over ideas, as members of knowledge or idea-base discourse or ‘epistemic’ communities, while only a subset of that group(a policy network)is engaged in the active and ongoing formulation and consideration of policy options and alternatives

Figure 3.2 The Policy Universe and Policy Subsystems


Number of idea sets

yesHegemonic CommunityFractious CommunityDominant idea setnoContested CommunityChaotic Community
Figure 3.3 A Taxonomy of Discourse Communities


number of members

statestate corporatist networksstate pluralist networksDominant actorsocietalsocial corporatist networkssocial pluralist networks
Figure 3.4 A Taxonomy of Policy Networks

Policy Regimes
Combining policy paradigms and policy subsystems
a policy regimes can be seen to embody each of the salient characteristics of a policy context at a given point in time
it can be thought of as combining a common set of policy ideas(a policy paradigm) and a common or typical set of policy actors and institutions organize around those ideas (a policy subsystem)
long-standing patterns

Chapter 4 ∣ Agenda-Setting
早期认为problem had an ‘objective’ existence , waiting to be ‘recognized’ by government (当他们的能力提升时)
recognition is very much a socially constructed process since it involves the creation of accepted definitions of normalcy and what constitutes an undesirable deviation from the status

problem recognition is not a simple mechanical process of recognizing chllenges and opportunities, but a sociological one in which the ‘frames’ or sets of ideas within governments and non-governmental actors operate and think are of critical significance

The Objective Construction of Policy Problems: The Role of Social Conditions and Structures
socio-economic conditions led to the emergence of particular sets of problems to which governments eventually responded
policy problems and issues originate in the level of ‘development’ of a society, and that particular sets of problems are common to state at similar levels of development of a society(经济结构决定政策)

convergence thesis suggests that as countries industrialize, they tend to converge towards the same policy(同质化)
认为agenda setting是随着经济发展而自动完成的
resource dependency model (treated political and economic factors as an integral whole),经济的资源,带来了政治诉求
‘political economy of public policy’
political business cycle, 根据经济周期决定政治行为

The Subjective Construction of Policy Problems: The Role of Policy Actors and Paradigms
problems are constructed purely in the realm of public and private ideas, detached from economic conditions or other macro-social processes such as 工业化

world views or ideologies
principled beliefs and causal stories

clash frame
pre-existing ideological constructs applied to specific day-to-day circumstances

political spectacle
naming problems, blame conditions and actors, and claim specific vantage points

Combining Ideas, Actors, and Structures in Multi-Variable Models of Agenda-Setting
Funnel of Causality漏斗型因果関係、试图涵盖所有变量

Issue-Attention Cycles
public policy making often focused on issue that momentarily capture public attention and trigger demands fro action,很多议题没有解决又退出公共视线
media ‘new cycle’

Modes of Agenda-setting
system or informal agenda consists of all issues that are commonly perceived by members of the political community as meriting  public attention and as involving matters within the legitimate juridiction of existing governmental authority
insititutional or formal agenda
(怎么从systemic进入到institutionnal, 前者discussion,后者action)
issues are first initiated ,their solutions are specified, support for the issue is expanded,and, enters agenda

Liberal pluralist  outside initiation model
Totalitarian mobilization model
Corporatist inside initiation model

Linking Agenda-Setting Modes to Content: Policy Windows and Policy Monopolies
policy entrepreneur 在agenda setting时机(policy windows)设定议题

streams of problems policies and politics
1 problem stream refers to the perceptions of problems as puvlic issue requiring government action
2 set of solution
3 political stream is composed of such factors as swings of nation mood, administrative turnover, group pressure
policy entrepreneur把三者合一,coupling policy solutions and policy problems together with political opportunity

1routinized 2discretionary 3spillover 4random

policy monopoly 不容改变

agenda-setting can be seen as the dynamics between insiders and outsiders


subsystem type

oldstatus quocontestedideasnewredifinginnovative
Typical Agenda-Setting Modes

Chapter 5 ∣ Policy Formulation: Policy Instruments and Policy Design
The Phases of Policy Formulation
appraisal, dialogue, formulation, consolidation

substantive constraints
procedural constraints

不仅technically capable but also politically acceptable and administratively feasible

The Substance of Policy Formulation: Policy Instruments
Taxonomies of Policy Instruments

nodality(信息优势,位置优势) authority treasure organization

Common Policy Tools by Category
Nodality or Indormation-based Instruments
public information campaigns
Exhortation (suasion)
benchmarking and performance indicator
commissions and inquiries

Authority-based policy instruments
Command-and-control regulation
delegated or self-regulation
advisory committees

Treasure-based policy instruments
Subsidies: Grants, Tax incentives, loans
Financial disincentives: taxes and user charges
advocacy, interest group, and think-tank funding

Organization-based policy instruments
direct provision
public enterprises
family, community and voluntary organization
market creation
government reorganizations

The Nature of Policy Alternatives


Chapter 6 Public Policy Decision-making