The Public Policy Theory Primer

Transcription

1 A/ The Public Policy Theory Primer Kevin B. Smith University of Nebraska, Lincoln Christopher W. Larimer University of Northern Iowa V Westview Press A Member of the Perseus Books Group

2 269 INDEX Accountability, Activity element: impact analysis, Adaptive rationality, , Administrative Behavior (1947), Administrative implementation, Adoption, policy: stages andfieldsof public policy, 236 (fig.) Advantaged groups, ,204 Advocacy groups, 195 African Americans, 195 Agenda setting, 6 evolution of stages theory, 30 (table) irrationality of policy process, 188 policy change and social utility, role of emotions in decision making, 216 stages and fields of public policy, 236 (fig.) stages heuristic, 34 Aid to Families with Dependent Children (AFDC), AIDS, 220 Ambiguity, implementation studies and, American Journal of Evaluation (AJE), 153nl Anderson, Charles, Anderson, James E., 3-4,30 (table), 32 Antidemocratic nature of rationalism, Assessment of policy. See Impact analysis Auditing: process evaluations, 135 Axelrod, Robert, 228 Bardach, Eugene, ,173 Before-and-after comparison, Behavioral economics, ,229n4 Biology, 223 Bottom-up implementation theory, 56, ,173,177. See also Rationalist approach to policy Bounded rationality, 21 (table), 23 (table), 50-56,211, ,236 Branch method of decision making, Brewer, Gerry D., 30 (table) Buckley, Jack, 65 Budget game, 163 Budget processes, Burden/benefit analysis, ,203 Bureaucracy, policy implementation and, Bush, George W., ,221 Categorization driving policy design, 42-43, ,203 Causality complexity of implementation, 172 diagnostic and counterfactual approaches, impact analysis, 132, perspective approach to implementation, 166 program theory, statutory coherence hypothesis of implementation, Center perspective of implementation, ,168 Characteristics of public policy, 3-4 Charitable giving,

3 2/U Cheaters, ,221 Child abuse, 220 Choices, 237 Chubb, John, 24nl Citizen participation democratic goals of policy design, ,200 institutional rational choice, participatory policy analysis, , , policy design, , public choice, role in policy sciences, shaping policy implementation, Tiebout model, Classification of policy types, 33,41, s-m, Client orientation of rationalist policy analysis, Clinton administration, Coalitional strength, 174 Coercive power, 37-41,183,240 Cognitive psychology, 52, Collective-action problems, Common-pool resource dilemmas, 69-70, ,226 Community, 60-65, Comparison group, Complexity of implementation, 166,169 Compliance: process evaluations, 135 Conceptual challenges to policy studies, Conceptual frameworks, (table), 24n2, See also Stages heuristic; Typologies, policy Conflict, 39, ,235 Conforming, social, Congressional Budget Office, 2 Consensus: participatory policy analysis, 244 Consensus conference, Consequences, See also Outcomes Consistent preferences, 52,229n4 Constituent policy, 37-38,40^42 Constructing the Political Spectacle (Edelman), Constructionism, 204 Consumer surplus, 112,128n5 Contenders, ,204 Control, policy implementation and, 160, Control group, Co-occurrence, 141 Cooperative behavior, 210, , Coordination, failed implementation through, Correlation design, , Cost-benefit analysis (CBA), 8,13 as impact analysis, democratic values in policy design, 202 policy design, , rationalist approach to policy analysis, removing emotion from decision making, science in policy research, 13 social construction of target groups in policy design, social welfare economics, typologies theory, 39,48n3 unseen consequences of policy implementation, 130 Counterfactual approach to causality, ,147 correlation design, experimental design, 148 impact analysis, quasi-experimental design, 150 regression discontinuity design, 153n4 Co-variation, 141 Criminal justice policy, 24nl, 150,199, Crystal-ball gazing, policy analysis as, Danish Board of Technology, Data gathering: normative bias of program evaluation, 139 Deadweight loss, 112 Death penalty, 226 Decision making bounded rationality, cognitive shortcuts, 210

4 Index 271 human behavior explaining, incrementalism, irrationality of policy process, 188 origins of rationalism, public policy as study of, role of emotions in, Decision points in policy implementation, 160 Declaration of intent, Deconstructionism, Defining public policy, 3 4 deleon, Linda, 174 deleon, Peter, 30 (table), 174, , 195, ,204 Deliberative democracy, 121, Deliberative polling, 123,128nlO Democracy deliberative democracy, 121, democratic values in policy design, education promoting, 119 inefficiency of, 61 policy sciences, public choice equating democracy with free markets, reconciling with political implementation, values used in policy design, Dependents, ,204 Descriptive evaluation, Deviants, ,204 Diagnostic approach to causality, Diffusion theory:fieldsof policy study, 21 (table) Discourse theory, 22 (table), Dispersed decision-making system, 160 Distributive policy, 234 adaptive welfare economics to public policy study, democratic goals of policy design, Kaldor-Hicks compensation principle, 120 social construction and target groups in policy design, typologies theory, 37-39,41-42,48n3 Drug-treatment program, Drunk driving, 136 Economic Development Agency (EDA), 159,163 Economic rationality, 222 Economics alternatives to public policy studies, behavioral, 229n4 central, unifying conceptual framework, 19 fields of policy study, 23 (table) policy theory, public choice, 57 rationalist approach to policy analysis, welfare economics paradigm, Economies of scope, 192 Edelman, Murray, ,188, ,199, Education accountability, children with disabilities, 220 disadvantages of experimental design in policy evaluation, education production model correlating monetary inputs with education outputs, impact analysis, 132 implementation study, 179 outcome lines linking policy to objectives, outcomes representing problems, program evaluation, public policy as academic discipline, 1-2 school choice, 58,64-65,67-69,119, , Effectiveness of policy design, 6, ,206 Efficiency of policy design, 6 cost-benefit analysis, 120 democratic goals of policy design, Kaldor-Hicks compensation principle measuring, ,124 social framing impairing policy efficiency, 221 social surplus measuring, 128n5

5 272 Index Efficiency of policy design (continued) social welfare paradigm, 108 Tiebout hypothesis, 61 Elites, 63 Emotional intelligence, 229n2 Emotional rationality, , ,224 Emotions emotional dimensions of policy design, ,188 policy decision making, unfair behavior and punishment, wary cooperator, Energy crisis, 115 Environment of Evolutionary Adaptation (EEA), 217,219,224, 226 Epistemology, , See also Post-positivist approach to policy; Rationalist approach to policy Equity: democratic goals of policy design, ,200 Evaluation, policy, 5-7 American Journal of Evaluation, 153nl consistent preferences, 229n4 emergence of, evolution of stages theory, 30 (table) fields of policy study, 22 (table) formative and summative, implementation studies and, 157 intersubjective framework, 186 objectivity in, 192 policy design, 184 policy theory, process and outcome evaluations, program evaluation, social constructions in policy design, stages and fields of public policy, 236 (fig.) Evaluation, program, 135 diagnostic approach to causality, impact analysis and, normative bias, 139 Evolutionary process, implementation as, Evolutionary psychology alternative approaches to policy study, criminal justice policy, decision-making process, merging policy studies with, prospect theory, See also Human behavior Expectations, wary cooperator and, 219 Expected payoffs, rationalist approach to estimating, 113 Experienced utility, 229n4 Experimental design, ,153n4 Expressive utility, Fact-value dichotomy, 11-15,127n4 Failed policy: implementation studies, Failure. See Outcomes "Fast and frugal" decision-making heuristic, 218 Fields of public policy, (table), 236 (fig.) Fischer, Frank, ,188,193,199, Fishkin, James, 121,128nlO Focusing illusion, 229n4 Food resources, 217 Forester, John, Formative evaluations, The Foundation of Policy Analysis (Brewer and deleon), 30 (table) Fox, Michael J., 220 Franklin, Benjamin, ,110 Frederickson, H. George, 191 Game theory, 69-70, , Garbage can model of organizational behavior, 21 (table), 236 Goals defining policy, 240 deflection of goals leading to policy failure, descriptive evaluation,

6 Index 273 statutory coherence hypothesis of implementation, See also Objectives, policy Goggin, Malcolm, , Gore, Al, 221 Government Accountability Office (GAO), 2 Government agencies defining public policy in terms of, 3-4 multiple-level coordination leading to policy failure, policy implementation, policy sciences, 9 policy typologies and resulting politics, 38 (table), Group dynamics, 210 Group preferences, decision making based on, 216 Happiness, 213 Healthcare, Hermeneutics, 22 (table), 204 Heuristic reasoning, Hospital utilization study, 138 Housing project, Human behavior adaptive rationality, bottom-up implementation theory, 168 explaining the decision-making process, implementation as evolutionary process, 164 implementation studies, preference falsification, research design and impact analysis, role of emotions in decision making, wary cooperator, See also Evolutionary psychology Identifiable individuals, , Identity, group, 219 Image, policy, , Impact analysis, cost-benefit analysis, identifying the problem and measuring the outcome, logic and theory of, necessity of, 130 outcome evaluation, 135 program evaluation, program theory, research design, Implementation: How Great Expectations in Washington Are Dashed in Oakland (Pressman and Wildavsky), Implementation, policy, as evolutionary process, as key to policy failure, bureaucratic path of, case studies method, 16 center perspective theory, complexity of, 166, defining the problem, evolution of stages theory, 30 (table) fields of policy study, 23 (table) games approach to, impact analysis, 130 importance of understanding, job creation failure, lack of explanatory framework, 17 matrix approach, model community failure, origins and future of implementation research, periphery perspective, policy studies and, policy theory, 233,237 post-positivism, 245 process and outcome evaluations, reformers, skeptics, terminators, and testers, stages and fields of public policy, 236 (fig.) statutory coherence hypothesis of implementation, systematic study of, 156 theory construction, , Implementation and Public Policy (Mazmanian and Sabatier),

7 274 Index The Implementation Game (Bardach), Incentives, 39 Incrementalism, 23 (table), 52-56,210 Individual preferences, 217 Individual welfare, 108 Informed decision making, Ingram, Helen, , "Institutional analysis and development" or IAD, Institutional design correcting for cognitive limitations, 210 Institutional rational choice, Institutional reform, 118, Instrumental learning, 198 Interpretive analysis, post-positivist approach using, Interrupted time series design, , 153n4 Interventions, 139 Intrinsic utility, 213 An Introduction to the Study of Public Policy (Jones), 30 (table) Intuitive nature of public policy, 3 Jacobellis v. Ohio, 3 Job-creation project, ,163 Johnson administration, Jones, Bryan, 223 Jones, Charles O., 30 (table), Jury trials, Kaldor-Hicks compensation principle, ,120,124 Language shaping policy, ,188 Lasswell, Harold, 8-10,12-13,20,24nl, evolution of stages theory, 30 (table) policy process, 29 policy process model, Lester, James, Liberal-rationalism, 200 Liberty: democratic goals of policy design, ,200 Lindblom, Charles, Linear problem-solving paradigm, Lipsky, Michael, Local factors, 65 Local level implementation, 161 Localities, Logic of appropriateness, 219 "Logic of appropriateness," "Looking at the Efficiency Concept in Our Time" (Schachter), 192 Lowi, Theodore, 28,36-42,45-46 Machiavelli, Niccolo, 7-8 Machiavellian intelligence, 226 Madison, James, 8 Majone, Giandomenico, Mann, Horace, Marginal groups, Market analysis education production, 119 public choice equating democracy with free markets, welfare economics, Matland, Richard, ,177 Matrix approach to implementation, Max Planck Institute for Human Development, 211 May, Peter, 193,198 Mazmanian, Daniel, ,170,178 McFarlane, Deborah, 171 Means, political, Methodology academic characteristics of public policy study, fields of policy study, (table) methodological individualism, 108 methodological sophistication of policy sciences, 9 public policyfields,13 rationalist and post-positivist approaches to policy analysis, Military applications, rationalist approach and, Mixed policy cases, Mobility, 64 Model communities project, Moe, Terry, 24nl Moral algebra method of decision making, ,110 Moral entrepreneurs,

8 Index 275 Morality policy, Multidisciplinary nature of policy sciences, 9 Multijurisdictidnal communities, Multimethodological approach to policy design, 186 Multiple actors problem, Multiple outcomes, 138 Multiple streams, 21 (table), , 234 Narrative crafting public policy, ,188 National mood, 214 National Public Radio (NPR), 219 Neuroscience, ,212, New institutionalism, 210 No Child Left Behind Act, Normative theory, 13, ,137,238 Nuclear science, Oakland, California, ,163 Objectives, policy impact analysis, implementation studies, outcome lines linking policy to, ranking policy alternatives, statutory coherence hypothesis of implementation, welfare economics paradigm, 108 Operations research, Orbell, John, Organizational process, Orientations, policy, (table) Ostracism behavior, 219 Ostrom, Elinor, 66,69-70, Outcomes correlation design, education policy, 68 failure of policy studies, impact analysis, , implementation studies and policy evaluation, 157,174 multiple outcomes and single outcomes with multiple elements, 138 outcome evaluations, outcome line, perspective approach to implementation, 165 program evaluation, 137 quasi-experimental design, 150 rationalist approach to estimating, 105,113 subjectivity of policy design, 185 typology theory and, 42 See also Impact analysis; Implementation Outputs decision making based on, 216 democratic goals of policy design, 190 education production model, 119 policy typologies theory, typologies and, 42,47 The Oxford Handbook of Public Policy, 1 Pareto principle, ,109 (fig.), 120 Parking space problem, Parkinson's disease, 220 Participatory policy analysis (PPA), , , Peer pressure, Perception, 12 Periphery perspective of implementation, Personal testimony, 220 Perspective, implementation and, Philosophy of policy. See Post-positivist approach; Rationalist approach "Piling on" game, 163 Plato, 7-8 Policy analysis deliberative democracy, emergence of, fields of policy study, 2,5-7, 22 (table) history of policy studies, 8 policy design and, policy theory, rationalist and post-positivist approaches, role of emotions in decision making, 216 See also Cost-benefit analysis Policy Analysis in Political Science (Ripley), 30 (table) Policy change,

9 276 Index Policy design allocation and distribution of values, democratic values, ' design-process paradox, fields of policy study, (table) multimethodological approach to, 186 social constructions and target populations, stages and fields of public policy, 236 (fig.) subjective nature of, testing design theories, Policy Design for Democracy (Schneider and Ingram), Policy entrepreneurs, 199 Policy evaluation. See Evaluation, policy Policy implementation. See Implementation, policy Policy learning, 198 "The Policy Orientation" (Lasswell), 9 Policy Paradox (Stone), 189 Policy process. See Process, policy Policy research. See Research design; Research question Policy sciences as policy studies, 241 democratic values in policy design, 200 fracturing of, history of policy studies, 8-10 policy orientations, 20 public choice, rationalist approach, ,113 Policy streams, 21 (table), ,234 Policy studies characteristics of, failure to produce unified theory, fractured nature of policy sciences, implementation studies, origins of program evaluation, 134 public policy as study of decision making, theoretical contributions, Policy Studies Journal, 43 Polis model, , 238 Political entrepreneurs, 199 Political learning, 198 Political science, 8,17-18, 21 (table) Political spectacle, Politics allocation of values, defining, ,247n3 design policy, 186 fields of policy study, (table) implementation as extension of, 163 importance of perception in, 12 policy causing, 25n4,28,37-41,45 policy typologies and resulting politics, 38 (table) political power of target groups, post-positivist critique of rationalism, Politics, Values, and Public Policy (Fischer), 184 Positivism, , Post-positivist approach to policy, decision-making process, 223 democratic values in policy design, diagnostic approach to causality, 143 education production, impact analysis, ,139 implementation theory, interpretive nature of, 121 policy design, 206 policy theory, 233,238 positivism and, program theory, rationalist approach and, rejecting public choice, 59 strengths and weaknesses of, Preference falsification, Pressman, Jeffrey, 16-17, ,178 A Pre-View of the Policy Sciences (Lasswell), 30 (table) Priestly, Joseph, The Prince (Machiavelli), 7-8 Procedural rationality, Process, policy constructing a unified policy theory, 29-32

10 Index 277 defining public policy fields, 5-7 design-process paradox, emergence of, implementation studies and policy evaluation, 157 policy process model, policy sciences, 9 Process evaluations, Production, education as, Program evaluation. See Evaluation, program Program theory, 22 (table), , Prohibition, 166 Propaganda, 8-9 Prospect theory, Psychological mechanisms, Public administration, 18,127n4. See also Implementation Public Administration Review, 192 Public choice, 23 (table), 24n3, 56-61, Public good, 13-14, Public interest, 5,107 Public policy causing politics, 25n4,28,37-41,45 characteristics of good policy theory, 28-29,36,43-44 defining, 3-4 See also Evaluation, policy; Implementation, policy; Policy analysis; Policy design Public policy studies academic and professional areas of, 1-2 defining thefieldsof, 5-7 history of, 7-11 Public Policy-Making (Anderson), 30 (table) Punctuated equilibrium, 21 (table), 56, ,224 Punishment, 69-70, Pure policy cases, Purposive nature of policy, ,240 Qualitative methodology, 137, Quantitative methodology, 13-14, ,133 Quantitative program evaluation. See Impact analysis Quasi-experimental design, , 153n4 Randomization of subjects, , 153n4 Ranking system, , Rational actor model, 66,223 Rationalism adaptive rationality, decision making, decision-making process, emotions overriding, explaining human behavior, institutional rational choice, rational comprehensive model of decision making, 53 social exclusion, Rationalist approach to policy antidemocratic nature of, cost-benefit analysis, critique of post-positivism, decision-making process, design-process paradox, impact analysis, implementation theory, origins of, policy design, , policy theory, 233, positivism and, strengths and weaknesses of, successful and failed applications of, welfare economics paradigm, Rationality, bounded, 21 (table), 23 (table), 50-56,211, ,236 Reality, 242 Reason, political, Redistributive policy, 37-38,41-42, 48n3, ,234 Reformers of implementation studies, Regression discontinuity design, 153n4 Regulative policy, 37-39,41-42,48n3, 144,234 The Republic (Plato), 7-8 Reputational utility,

11 278 Index Research design impact analysis, , program theory, 147 Research question characterizing public policy study, 20 defining, 104 fields of policy study, (table) impact analysis, Resource allocation adaptive welfare economics to public policy study, administrative implementation, 174 common-pool resource dilemmas, 69-70, ,226 democratic goals of policy design, diversion of resources leading to policy failure, economies of scope, 192 efficiency of policy, perspective approach to implementation, 166 post-positivism, social construction of target groups, statutory coherence hypothesis of implementation, Results-driven management, 191 Ripley, Randall B., 30 (table) Risk, 221 Root method of decision making, Sabatier, Paul, 15-16,33-35,47-48, , ,178, Sanctions, 39 "Satisficing," 54 Schattschneider, E. E., 37 Schneider, Anne L., , Schneider, Mark, 65 School choice, 58,64-69,119, , Scientific method, 17-18, Security: democratic goals of policy design, Self-selection, correlational design and, Signature, 142 Simon, Herbert, Simplicity characterizing good theory, Single outcomes with multiple elements, 138 Skeptics of implementation studies, Small business, 195 Small pox eradication, 174 Smith, Adam, 8 Social choice, 108,112, Social constructions, policy design and, ,206 Social exclusion, Social learning, 198,204 Social outcomes, 191 Social pressure, 217,229nl Social problems, 5-7, Social psychology, 212, Social science centralized theory, program evaluation, 134 rationalist approach to policy analysis, theoretical failings of, Social security, 110,221 Social support, 213 Social surplus, 128n5 Social utility, 213 Social values. See Values Social welfare common-pool resource dilemmas, policy effectiveness, quantifying, 107 social construction of recipients, wary cooperator model, welfare economics paradigm, 109 (fig.) welfare to work, 218 Soss, Joe, ,201 Sovereignty, Stages heuristic, ,236 (fig.) as theoretical failure, contribution to policy theory, criticism of, evolution of, 30 (table) fields of policy study, 21 (table) policy process model, 29-32

12 Index 279 Standard Social Science Model, 224 Status-seeking, 226 Statutory coherence hypothesis of implementation, 166, Stewart, Potter, 3 Stone, Deborah, 17-18, , , Streams, 21 (table), ,234 Street-level bureaucrats, Subjective nature of policy design, ,200 Subobjectives, Substance of policy, Substantive rationality, Success. See Outcomes Summative evaluations, Surplus, 128n5 Symbolic elements of policy, , 188,205 The Symbolic Uses of Politics (Edelman), 184 Systems theory:fieldsof policy study, - 21 (table) Target population periphery theory of implementation, 168 social constructions in policy design, , statutory coherence hypothesis of implementation, subjective nature of policy design, use of narrative in policy design, 188 Task environment, Tax policy: wary cooperator model, Taxonomic policy classification, Technocracy, policy sciences as, Technocratic elite, 56,121 Temporal precedence, 141 Tenacity game, 163 Terminators of implementation studies, Teske, Paul, Testers of implementation studies, Theoretical framework, 233 Theory construction, 14-19,28-29,36, 43-44, Three Mile Island, 214 Tiebout, Charles, Tiebout hypothesis, 57-60,67,72, Tokenism game, 163 Top-down implementation theory, , ,173,177 Tractability of a problem, Transmission of objectives, Typologies, policy, as theoretical failure, criticism of, elements of, Unambiguous model of rational decision making, 193 Urban model communities project, Utilitarianism, 22 (table), ,124, 200 Values allocation and distribution of, , democratic values in policy design, , driving policy analysis, driving rationalism, 114, fact-value dichotomy in public administration, 127n4 monetary values of cost-benefit analysis, 120 policy analysis addressing, 102 policy design addressing, , policy sciences, post-positivist critique of rationalism, rationalist view of, 105,242, symbolic and emotional dimensions of policy design, Vietnam War, 13,115 Vouchers, school. See School choice Waldo, Dwight, 178 War on Poverty, 13,115

13 280 Index Wary cooperator model, Wildavsky, Aaron, 16-17, , Wealth distribution, ,178 Welfare, social. See Social welfare Wilson, James Q., 24n 1,139,199 Welfare economics paradigm,'22 (table), Wilson's Laws, ,124, Windows, policy, 236 White, Ryan, 220 World War II,