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Book:AmericanPublicPolicy:AnIntroduction
2007CengageLearningInc.Allrightsreserved.Nopartofthisworkmaybyreproducedorusedinany
formorbyanymeansgraphic,electronic,ormechanical,orinanyothermannerwithoutthewritten
permissionofthecopyrightholder.

Chapter1:PublicPolicy:AnIntroduction
(pp.118)
PublicPolicy:AnIntroduction:ChapterOverview

JOHNGRESS/Reuters/Corbis
Publicpolicyaffectseachcitizeninhundredsofways,someofthemfamiliarandsomeunsuspected.Citizens
directlyconfrontpublicpolicywhentheyarearrestedforspeeding,buttheyseldomrememberthattheadvertising
onthetelevisionshowsthattheywatchisregulatedbytheFederalCommunicationsCommission(FCC)andthe
FederalTradeCommission(FTC).Manycitizenswhocomplainloudlyattaxtimeaboutgovernmentbureaucracy
andoverregulationhaveforgottenaboutthefireandpoliceprotectionorthepavedstreetsthatthoserevenues
provide.Indeed,publicpolicyinAmericaaffectsavastrangeofactivities,fromnuclearwarheadstobathroom
plumbing,fromarrestinglawbreakerstoprovidingmedicalcarefortheelderly.Indeed,theexpandingreachof
governmentandthethreateneddominanceofthepublicsectorovertheprivatesectorwithaccompanyingrecord
budgetdeficitsforthenationalgovernmentconstitutedamajorpoliticalissuetowardtheendofthefirstyearofthe
Obamaadministration.BythemiddleofPresidentObama'ssecondterm,America'sdebttotaledover$17trillion.
ThisbookaimstoclarifykeydimensionsofthisubiquitousinfluenceonAmericanlifeandtointroducethe
debatesswirlingarounditsmajorcontroversies.Ittakesanissueorientedapproachtothebeginningstudyof
publicpolicy.

StudyingPublicPolicy
WhatConstitutesPublicPolicy?
Eventhoughexamplesofpublicpolicycomereadilytomind,definingpublicpolicyinclearandunambiguous
termsisnoteasy.Politicalscientistshavedevotedconsiderableattentiontotheproblemwithoutreachinga
consensus.1Inthistext,thetermpublicpolicyreferstoasetofactionstakenbythegovernmentthatincludes,but
isnotlimitedto,makinglawsandisdefinedintermsofacommongoalorpurpose.Forexample,apolicyto
stimulateeconomic

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growthinatimeofeconomicstagnationmayincludetaxcutsforbusinesses,increasedspendingtoputmoneyinto
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theeconomy,oractionsbytheFederalReserveSystemtoincreasethemoneysupply.Apolicytosecurethe
countryfrompossibleterroristattacksmayincludealaw,suchastheUSAPatriotAct,whichenablesthe
governmenttolistentothephoneconversationsofpotentialterroristsaninvasionofputativeterroriststrongholds
inIraqandAfghanistanencouragingdissidentsinIrantoeffectregimechangesearchingprospectivepassengers
boardingairplanesorassassinatingknownterroristleaderswithdronestrikes.Makingpolicyrequireschoosing
amonggoalsandalternatives,andchoicealwaysinvolvesintention.ThefederalgovernmentunderPresident
Obama,forexample,chosetopursueawholesalerestructuringofoursystemofdeliveringhealthcare.The
intentionwastohaveeveryoneinsured,includingthe15percentorsowhowerenotalready,orchosenottobe,
insured.Policyisnotasingleaction,butisasetofactionscoordinatedtoachieveagoal.Suchanactionmaybe
manifestedinlaws,publicstatements,officialregulations,orwidelyacceptedandpubliclyvisiblepatternsof
behavior,suchasthevigorousimplementationofexistinglawstocontrolanddetercrime,orhavingthe
EnvironmentalProtectionAgency(EPA)issuebureaucraticregulations.Publicpolicy,however,isultimately
rootedinlawandintheauthorityandcoercionassociatedwithlaw.(Thetermspublicpolicyandpolicywillbe
usedinterchangeably.)
Threequalificationsarenecessary,however,forthisdefinitionofpublicpolicy.First,theideaofanintentional
courseofactionalsoincludesdecisionsmadenottotakeacertainaction.In2013,forexample,someleading
membersoftheRepublicanPartysoughtunsuccessfullytostopCongressfromfundingtheAffordableCareAct
(ACA).Second,therequirementthatofficialactionsbesanctionedbylaworacceptedcustomisnecessarybecause
publicofficialsoftentakecoursesofactionthatstepoutsideofpublicpolicyforexample,theysometimestake
bribesorexceedtheirlegalauthority.Suchdeedsshouldnotbeconsideredpublicpolicythatis,unlesstheyare
openlytoleratedinaparticularpoliticalsystem.Third,lawsorofficialregulationsshouldnotbemistakenforthe
wholerealmofpolicynordoespolicyalwaysmeetintendedgoals.Lawmakingisnotenoughtoestablisha
policytheimplementation,interpretation,enforcement,andimpactofpoliciesarealsopartofthepolicymaking
process.Moreover,asweshallseelaterinthischapter,quiteoftenthereareunintendedimpactstopublicpolicies.
Whatactuallyhappenswhenpolicyisputintoeffect(orimplemented)iscalledpolicyimpact.Althoughsome
politicalscientistsarguethattheseunintendedimpactsarepartofthepolicy,webelievethatitisconceptually
clearertoconsiderpolicyanditsimpactsseparately.Forexample,amajorissueeruptedinNovember2013when
millionsofAmericanslostthehealthplansthattheycouldaffordandthatservedtheirneedsbecausetheObama
administrationsoughttoimposehigherstandardsforwhatshouldbecoveredinhealthinsuranceplans.Thisissue
raisedthequestionofwhetherthegovernmentwasoverreachingthelimitsofwhatcouldbeeffectivelyshaped
throughpublicpolicy.Next,weshallconsiderthestrategiesandfactorsthatmakeitmoreorlesslikelythatthe
impactofapolicywillbewhatthepolicymakersintended.

P.2

WhyStudyPublicPolicy?
Studentsofpoliticalscienceandpublicadministrationhaveseveralreasonsforstudyingpublicpolicy.Thefirstis
theoretical:Politicalscientistsseektounderstandandexplaintheworldofpoliticsthatis,theyattemptto
developandtestexplanatorygeneralizationsaboutthepoliticalbehaviorofindividualsandinstitutions.Because
publicpolicyisapartofpolitics,politicalscientistsareconcernedwithhowitisrelatedtosuchthingsaspolitical
partystructure,interestgroups,interpartycompetition,electoralsystems,andexecutivelegislativerelations.
Politicalscientistswhoseekexplanationcallforthedisciplinetodevelopandtestexplanatorytheory.2
Asecondreasonforstudyingpublicpolicyispractical.Politicalscientistsandstudentsofpolicyapply
knowledgetosolvepracticalproblems.Publicpolicyhasbecomeincreasinglypervasiveovertimeasmeasuredby
suchdataasthepercentofthegrossdomesticproduct(GDP),whichisthevalueofallthegoodsandservices
producedintheUnitedStatesinayearandspentbythefederalgovernment.Thisfigurehasrisenfromaboutfive
percentattheturnofthecenturytoaboutaquarteroftheGDPin2010.Withtheheavyindebtednessandan
expensivehealthcarebillpassedattheendofthefirstyearoftheObamaadministration,thepercentofthegross
domesticproductinthepublicsectorreached40percentby2012asgovernmentassumedtheresponsibilityand
powertotransformmuchoftheAmericanpoliticalandeconomicsystemhence,citizensarecontinually
confrontedwithimpactofpublicpolicyontheirlivesandwellbeing.
Athirdreasonforstudyingpublicpolicy,relatedtothesecond,ispolitical.Debateandcontroversyoverpublic
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policyinAmericaarenotnew,buttodaytherangeofissuesoverwhichseriousdisagreementoccursisfargreater
thaninthepast.Thisisdueinlargeparttothespreadofeducation,whichisstronglyrelatedtopolitical
involvementandtothemobilizationofthepopulationthroughthemassmedia.Participationin,andawarenessof,
governmentanditspoliciesaregreaterthananytimeinourhistory.TheTeaPartymovementof2010exemplifies
theextenttowhichmorepeopleareinvolvedwithpoliticsandpolicythaneverbefore.Itmakessensetochannel
thisnewmobilizationofthepopulationintopathsguidedbyunderstandingandinformation.
Theemphasisofthisbookisonthesecondandthirdreasonsforstudyingpolicythepracticalandpoliticalbut
itdrawsonthefirstaswell,forintelligentpolicyselectiondependsontheanalysisandunderstandingdeveloped
bythetheoreticalfindingsofpoliticalscience.

ReasonsfortheGrowingPervasivenessofPublicPolicy
Thegrowingpervasivenessofpublicpolicyisprimarilyaconsequenceofmodernization.Modernizationentails
thedevelopmentoftechnologyandknowledgeandtheconsequentrolespecializationanddivisionoflabor.This
makesusallinterdependent.Thepioneercoulderectalogcabinwithoutoutsideassistance,

P.3

buttheerectionofamoderndwellingrequirestheexpertiseofacementcontractor,acarpenter,anelectrician,a
plumber,abricklayer,aroofer,etc.Wecanrelyonthecompetenceandperformanceofthesetradespeople,whose
workwearenotqualifiedtojudge,becausetheyaregiventheircredentialsbyanagencyofthestate.Weare
usuallyevenmoreunqualifiedtoindependentlyjudgetheworkofprofessionalssuchasphysiciansorattorneys.
Whenevernewtechnologyisdeveloped,weneedanewagencytoregulateit.
Modernizationrequirestheconcentrationofaworkforcethatwasnotneededinanagrariansociety.Thismeansan
urbanizationofmodernsociety,withitsconcomitantissuesoftraffic,publichealthandsanitation,sewageand
garbagedisposal,crime,andthemyriadwaysinwhichthechoicesthatpeoplemakeaffectothersinpatternsof
closeinteraction.
Thisexpansionoftheroleofpublicpolicyisfrustratingtomanybecauseeachnewregulationemanatingfroma
governmentagencycircumscribesourfreedomtosomeextent.Theneedsanddesiresofeachpersonmustbe
balancedagainsttheneedsanddesiresofotherswithwhomoneinteracts.Hence,governmenttreatspeople
accordingtoimpersonalprinciplesandrulesthatmayoffendone'ssenseofjusticeforoneparticularcase.
Becauseofthisfrustrationwithanexpandingpublicsector,manypeoplefeelthatgovernmenthasbecometoobig
andtoointrusive.TheTeaPartymovementmobilizinglargenumbersofordinarypeopleindemonstrationsagainst
biggovernment(whichtheysawasallegedlyoutoftouchwithordinaryfolk)exemplifiesthisfrustration.Some
peopleyearnforareturntotheseeminglysimplertimesofthegoodolddays.Yet,inmanywaysthegoodold
dayswerenotsogood.Lifetendedtobeshorterandlesscomfortableandconvenient.Opportunitiesfortraveland
communicationweresignificantlyfewer.Toreturntoaneraofamuchsmallerpublicsector,wewouldhaveto
uninventmuchofthetechnologythathasmadelifelongerandmoreenjoyable.

PolicyImpact:TheFrequentFailureofPublicPoliciestoAchieveTheirGoals
Americansarebyandlargeanoptimisticpeoplewhotendtobelievethatforeveryidentifiedproblemtheremust
beasolutionifwesimplyhavethewilltofindit.Yetdespitethegrowingpervasivenessandexpansionof
government,theactualimpactofpoliciesisalltoofrequentlynotwhatthosewhoformulatedthepolicyintended.
Thisfrequentfailureofpoliciestoachievetheirintendedimpactisduetothefollowingfactors.
First,thereisdisagreementabouttheissuesofsocietyandwhatconstitutesasocialorpoliticalproblemthatmust
beaddressedbypolicymakers.OneofthecoreissuesdividingthesocialandpoliticalLeftfromtheRightregards
theimperativesofsocialjustice.InDecember2013,PresidentObamaproclaimedthatincomeinequalitywasthe
definingissueofourtime.Doesthefactthatsomepeoplehaveagreatdealmorethanothers,eitherthrough
inheritance,

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hardwork,creativity,orjustluck,constituteaproblemthatmustberectified?Whatareone'sentitlementsinone's
society?Thesubprimelendingcrisisof20092010wasaresultofelevatinghomeownershiptoanentitlement.
Doessocialjusticerequirethatwespreadthewealtharound?
Second,forsomeissuesthereisnoplausiblescenarioonwhichthecontendingpartiesconceivablyagree.For
example,theattemptstoengineeratwostatesolutiontothetensionsintheMiddleEastbetweentheIsraelisand
thePalestinianArabshaveresultedinfailuredespitecontinuedeffortsforoversixtyyears.Theconflictisnot
aboutbordersorwhatlandswillbesetasideforPalestinianstatehood.TheArableaderswereformallyofferedsuch
astateonfiveseparateoccasions(seeChapter12fordetails)andtheyeschewedtheoffereachtime.Clearly,their
ultimategoalisnotjuststatehood.ManyArableadershavereiteratedoverandoverthattheywillneveracceptthe
existenceofIsraelasaJewishstate.Obviously,one'sexterminationisnotascenariotowhichonewilleveragree
asaresultofnegotiation.Hence,noplausibleresolutiontotheconflictexiststowhichbothpartiesmightpossibly
agree.Similarly,theoddsseemstronglyagainsttheachievementofanagreementwithIraninthe20132014
globaldiscussionsregardingthenation'snuclearambitions.Criticssuggestthatonewouldhavetostretchbeyond
thelimitsofcredulitytobelievethatIranwouldsettleforlessthanadeliverablenuclearwarhead,anoutcomethat
theSaudisandIsraeliswouldneveraccept.
Third,asolutionthatissociallyacceptablemaysimplynotexistforaproblem.Assume,forexample,thatsociety
agreesthatgreatersocioeconomicequalitymustbeengineered.Oneshouldthenaddressthecausesofsuch
inequality.Thestrongestpredictorofone'sultimatesocioeconomicwellbeingisacademicachievement.Eachstep
uptheacademicladderbringssignificantlygreaterlifetimeearnings,regardlessofone'sacademicspecialty.One
shouldthereforeengineergreaterequalityofacademicachievement,aswithPresidentGeorgeW.Bush'spolicyof
nochildleftbehind.Thispolicyassumesthateveryoneiseducable.PresidentObama'sRacetotheTop
initiativeoffersincentivestostateswillingtospursystemicreformtoimproveteachingandlearninginAmerica's
schools.Animportantmassivestudyofthecausesofeducationalachievement,theColemanReport,foundthatthe
bestsinglepredictorofeducationalachievementistheacademicachievementlevelofone'sparents.3Thus,tobest
engineerequalityofeducationalachievement,thestatewouldhavetospecifythatonlyeducatedpeoplewouldbe
allowedtoreproduce.Obviously,noreasonablyfreesocietyisgoingtospecifywhocanorcannothavechildren.
Hence,thesolutiontoourhypotheticalproblemmaytheoreticallyexist,butwouldbesociallyunacceptable.
Fourth,fall2013broughtanotherlessononthelimitsofgovernment'sabilitytoeffectivelyregulateandcontrol
largesegmentsofacomplexmodernsocietywiththeattempttoimplementPresidentObama'ssignaturehealthcare
system,theACA.(SeeChapter8foramoredetaileddiscussion.)Whileatthetimeofthiswritingthefinaloutcome
oftheActhasyettobeobserved,someseriousproblemsintheprojectedstructureandoperationofthesystem

P.5

havealreadyappeared.Despitetheindividualmandatebackedbyafine,thereisashortfallinthenumberofyoung
andhealthypeoplejoiningandpayingintothesystem,whichisneededinordertomeetthegreaterhealthcare
needsoftheoldergeneration.Becauseoftheextensiverequirementsforcoverage,manyexistinghealthcare
policiesweredeemedunacceptabletotheACA,causingmillionsofexistingpoliciesthatservedtheneedsoftheir
beneficiariestobecanceled,whichforcedthesepeopletotrytopurchasemoreextensivepoliciesthattheycould
notafford.Third,therewasafailuretoclearlycalculatetheamountofthesubsidiestobepaidtoinsurance
companiesforinsuringlowincomecitizenstryingtobecomeinsured.Thislefttheinsurancecompanieswiththe
taskofdeterminingtheirowncompensation.Thesestructuralproblems,combinedwithfailuresinsettingup
functioningwebsites,havecausedgreatconcernandhesitationamongcitizensandofficialsalike.Theauthorsof
theACAdidnottakeintoaccountthediminishingsupplyofhealthcareprovidersinthefaceofincreasing
demandsforhealthcare.TheproblemsfacingtheACAdemonstratethelimitedcapacityofthegovernment.Itis
unabletotakeaccountof,andtopredict,themyriadoffactors,aswellastheinteractionamongthosefactors,that
makeupthecomplexAmericanhealthcaresystem.Inanattempttoregulatesuchalargeandcomplexsegmentof
oureconomy,itmustbeassumedthatalargenumberoffactorswilloperateaccordingtoplan.Thefailureofany
oneofthesefactorswillpreventtherealizationofthedesiredoutcome.ThestruggletoimplementtheACA
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epitomizestheprinciplethatunnecessarycomplexityintheimplementationofpolicyincreasesthelikelihoodof
thefailureofthepolicy.
Fifth,policiesareusuallyambiguousenoughtopermitvariousinterpretationsofthem.Themoreactorsinvolvedin
theprocessofimplementation,themorethattheoriginalintendedmeaningofthelaworpolicywillbedistorted.
Inthistechnologicallyadvancedsociety,lawmakersarefrequentlygeneralists.Asanexample,considerthe
lawyersorbusinesspeoplewholackthetechnicalexpertisetodeterminehowmuchofwhichemissionscouldbe
allowedtoprotectairquality.TheysetuptheEPAtomakethoserules.Appointedbureaucrats,selectedaccording
tothestandardofspecializationanddivisionoflabor,aremorelikelytohavesuchexpertise.Accordingly,the
politicallyaccountablepartsofthegovernmentCongressandthepresidencypassgeneralauthorizationsto
someagenciestoactuallymakethespecificdecisionsaboutwhogetshowmuchofwhat,where,andwhy.
Theattributesoftheadministrativesectorthatmakeiteffectiveinimplementingpolicyareundesirableattributes
forpolicymaking.Theattributesofthecivilserviceorpublicbureaucracyareahierarchicalstructure
specializationandthedivisionoflaboranelaboratesetofimpersonalrules,whichenhancepredictabilitybut
stiflecreativityandadaptabilityandtenureofoffice,whichinsulatesthebureaucratsfromthepublic.Moreover,
thediscretionthatbureaucratsinevitablyhaveininterpretingthelawmeansthattheintentoftheoriginal
policymakerswilllikelybechangedintheimplementationprocess.

P.6

PolicyDilemmas:TheOngoingIssueoftheRoleofGovernment
ThroughoutthesecondtermoftheObamapresidency,theapprovalratingsforboththepresidentandCongress
plummetedtoalmosthistoriclows,indicatingagrowingimpatiencewiththeseinstitutionsonthepartofthe
citizenry.Thisimpatiencegrowsfromaperceptionoffailuretoresolvemajorissuesthathavebeenplaguingthe
UnitedStatesforyearsissuesthatincludelongdrawnoutwars,apersistingstagnanteconomy,amassive
nationaldebt,soaringcostsforhealthcareandinsurancedespiteanewhealthcarebill,andtheperceptionof
governmentcoverupsofseriousmalfeasance.Thepublicdoesnotappreciatethecomplexityofthesekindsof
issuesandthearrayoffactorsthatmustbetakenintoaccountinaddressingthem.
Thedifficultyinconstructingsolutionstotheseissuesiscompoundedbythefactthatweliveinafreesocietyin
whichmanyofthefactorsaffectingtheseissuesarebeyondthereachofgovernment.Thisbookwilladdressthis
complexityandtheextenttowhichgovernmentshouldbeheldresponsibleforfindingsolutionstotheseissues.
1. Whatcangovernmentdotoincreasethechancesforapolicytoreachitsobjectives?
2. Whatprinciplescanhelpgovernmenttodecidewhatissuesoughttobeaddressedatwhatlevelinthe
publicsectorandwhatissuesshouldbestbelefttotheprivatesector?

DefiningMajorConcepts
Peopleacquireinterestsoutoftherolesthattheyplayinthesocialandeconomicsystem.Theseinterestsoften
comeintoconflict.Forexample,whatisgoodforthebluecollarworkingclassmaynotbegoodforthe
entrepreneurswhoemploythem.Theinterestsofpeoplewholiveinonegeographicalsettingmayconflictwith
theinterestsofpeopleinanothersetting.Thepointisthatthedistinctionbetweenthespecialinterestsandthe
goodofthepeopleisafalseone.Allinterestsarespecialbecausenoonecanrisecompletelyabovehisorher
socioeconomicroletopromotethegeneralinterests.
Becauseinterestsconflict,policiesthatbenefitsomewillharmorimpedeothers.Thisideathatbecausethe
resourcesofsocietyarefinite,thatonecannotallocatevaluestosomegroupswithouttakingthemfromothers,is
knownasazerosumsociety.Hence,itseemslaudabletoplacemembersofunderrepresentedgroupsindesired
rolesthattheyotherwisewouldnothaveattained,suchasadmissiontomedicalschooloraplaceincorporate
management.Foreachindividualsoplaced,however,anotherindividualwhootherwisewouldhaveattainedthe
covetedroleisexcluded.Thus,inazerosumsociety,theallocationofvaluestomembersofoneunderrepresented
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grouprequiresthatmembersofothergroupswillhavetopaythecosts.Thisofcourseincreasestheintensityof
partisanship.
Somevalues,suchasclean,unpollutedair,areatfirstglancegoodforeveryone.Theseareknownaspublicgoods.
Thesearevaluesthataresharedby

P.7

everyoneconcerned.Theycannotbeallocatedaccordingtosomecriterionofmeritorjustice.Butthecostsofsuch
valuesarenotequallyshared.Theownerofafactorywhocleansupthefactory'semissionsataconsiderablecost
haspaidadisproportionateshareofthecostsofthecleanair.Heorshedoesnot,however,getadisproportionate
amountofthatairtobreathe.Itwouldthereforeberationalforthatfactoryownertonotcleanuptheemissions.
Privaterationality,whenpursuedbyallthemembersofacollectivity,canleadtodisasterforthatcollectivity.
California,forexample,requiresthateachmotorvehiclehaveacatalyticconverterattachedtotheexhaustsystem.
Whenmostpeoplebegantoobeythatrequirement,theairqualityoverthestate'scitiesgreatlyimproved.The
converterlowerstheperformanceofthevehicle,however,andincreasesitsfuelconsumption.Itwouldthereforebe
rationalforanyonemotoristtohavethedeviceremoved.Ifeveryonedidthat,however,thecitieswouldagainbe
envelopedinsmog.Thisisacasewhenprivaterationalityconflictswithpublicnecessity.Insuchcases,
governmentmaystepintocoercepeopletoviolateprivaterationalityforthepublicgood.
Privategoodsaretheopposite.Thesearegoodsthatcanbedividedandgiventosomepersons,butnotothers.
Mostdistributionandredistributionpoliciesfallintothisclassification.Somepersonsqualifyforfoodstamps
whileothersdonot.Somestudentsqualifyforadmissiontoaselectivestateuniversitywhileothersmaybe
admittedtosecondtiercollegesortojuniorcolleges.Liberals,conservatives,andotherideologicalgroups
stronglydisagreeabouttherangeofprivategoodsthatisappropriateforgovernmenttodistribute.

ModelsofthePolicyProcess
Makingpublicpolicyisextraordinarilycomplex.Itinvolvespublicopinion,mediaattitudes,expertideas,active
citizens,businessandlaborleaders,electedrepresentatives,presidentsandgovernors,judges,andbureaucrats.
Policymakingcallsonpoliticalresources,economicconditions,popularculturalattitudes,andinternational
conditions.Whenpoliticalscientistsdoresearchinanattempttounderstandpublicpolicy,theytrytoreducethe
complexityofthepolicymakingprocesstoamanageabledegreebycreatingmodelsofpolicymakingthat
summarizetheprimaryforcesatwork.Noneofthesemodelsiscompleteandnonecapturesalloftherelationships
thatareimportant.Itisindeedthepurposeofsuchmodelstosimplifyaspectsoftherealitytheyrepresent.Noone
modelbestdescribesthefeaturesofpolicymakingineveryarea.Althoughthechaptersthatfollowdonotadhere
strictlytoanyofthesemodels,theydrawupontheprimaryqualitiesofsomepoliticalsciencemodels.
Featuresoftheinstitutionalmodelappearinthedescriptionoftheinstitutionalcontextofpublicpolicyin
Chapter2.Thismodelstressestheopportunitiesandconstraintsonpolicythatarepartoftheverystructureofthe
Americanconstitutionalorder:judiciary,bureaucracy,executives,legislatures,separationofpowers,federalism,
andsoforth.Avariantoftheinstitutionalmodelishistoricalinstitutionalism,whichcombinestheinstitutional
focuswiththeeffectoflongtermpatternsofdevelopment.Herethereisrecognition

P.8

thatearlypolicydecisionscarrylargeeffectsthroughtime,sothatpoliciesbecomepathdependent.Thecostof
changingpolicydirectionincreasesovertime.Once,forexample,astatelegislaturetakesagettoughapproachto
crimebybuildingmoreprisons,theseveryprisonsbecomeinstitutionalforcesthatpreventdifferentapproachesin
thefuture.Whatwouldthestatedowithemptyprisonsifitdecidedonadifferentapproach?4
Theelitemodelfocusesontheinfluenceoverpolicyexercisedbypowerfulindividualsorgroupstomaximize
theirowninterestsattheexpenseofcompetinggroups.ScholarswhoclaimthismodeldescribesAmericansociety
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paintascenarioinwhichthecountryiscontrolledbyasinglecoherentelitesharingadistinctsetofvalues.5
Membersofthiselitepossesssimilarattributes(white,male,andmostlyProtestant),comefromthesame
background(prestigiousprepschool,IvyLeagueuniversity),andmovefromoneleadershiproletoanother(from
corporateboardsofdirectors,toacademiaatourmostprestigiousuniversities,tothehighestranksinthemilitary).
Thismodelcontrastswiththepluralistmodel,whichstressesthatmanyeliteswithcompetinginterestsbargain
withoneanothertoaffectpolicy.Generallynoonegroupgetsallofwhatitwants.Hence,policyisanimpersonal
outcomeofthebargainingprocess.Eachofthesegroup'sinterestsandideasmustbetakenintoaccount.Bothof
thesemodelspicturetheseindividualsandgroupsbeingactiveandinfluentialacrossmanypolicyareas.The
grouporsubgovernmentmodelrecognizesthatdifferentpolicyareas,suchascrime,mustbetreateddifferently
thansocialoreconomicpolicy.Legislators,bureaucrats,experts,andinterestgroupsthatareactiveinoneareaare
oftenquitedifferentfromthoseactiveinadifferentpolicyarena.Thesegroupsformadvocacycoalitionsthatare
activeinparticularpolicyareas,butnotinothers.Undertheseconditions,policynetworksdevelopwebsof
lobbyists,committeestaffmembers,andpolicyadministratorsalldeeplyinvolvedinaparticularpolicydomain,
butnotactiveinotherpolicyareas.
Somepoliticalscientistsmodelpolicyasarationalprocess.Policymakersintherationalcomprehensivemodel
takeaccountofallinformationaboutthepolicyproblemsandofallpolicyoptions,thenselecttheoptionsthat
bestfulfillthepolicymaker'sgoals.Thismodelassumesrationalityandperfectinformationaboutchoicesavailable
andtheirimpact.Thepublicchoicemodelthinksofthoseactiveinpolicymakingasactorsattemptingtochoose
optionsthatmaximizetheirselfinterest.Theyselectpolicyoptionsthathelpthemrealizetheirinterests.Game
modelsareavariationofthisidea,focusedonsituationsofpolicychoicewithoptionsthatcannotbe
compromised.6

PolicyAnalysis
Policyanalysisisprincipallyconcernedwithdescribingandinvestigatinghowandwhyparticularpoliciesare
proposed,adopted,andimplemented.Thisisthetheoreticalsideofpolicystudies.Apolicyoptionmustbe
evaluatedinlightofwhatpolicyanalysisrevealsaboutitschancesofbeingadopted,theprobableeffectivenessor
impactoftheoption,andthedifficultiesofimplementation.

P.9

Aproposalforincreasedspendingforhighschooleducation,forexample,wouldneedtobetestedagainstdata
fromtheColemanReport,whichconcludedthatincreasedspendinghadnosignificantimpactonstudent
achievementlevels.
Policyanalysisisnot,however,valueneutral.Policyanalystswanttodiscoverwhichpolicyproposalsbestfulfill
importantpublicvalues.7Thus,policyanalysisinvokessuchprinciplesasfreedom,equality,justice,decency,and
peace.Indeed,politicsoftenconcernsdebatesabouttheverymeaningoftheseterms.Thosewhowouldsharply
separatepolicyanalysisfromfundamentalsocialvaluesmakeagravemistake.Policyanalysiswithoutawareness
ofethicalperspectivesisincomplete.Thisisparticularlytruewhenevaluatingtheimpactofpolicy.Ethical
principlesmustbebroughttobearonthediscoveryofthegoodandbadeffectsofpolicy.Suchprinciplesnotonly
measuresuccessandfailure.Theyalsoprovideinsightintoconsequencesthatotherwisewouldnotberevealed.
Policyanalysiscarriedoutbypoliticalscientistscanbedistinguishedfrompolicyadvocacybypoliticians,
partisans,orinterestgroups.Advocacydiffersfromanalysis,becauseadvocacybeginswithacommitmentto
economicinterestsortoprinciplesasinterpretedbyspecificideologicalsystems,suchasliberalism,conservatism,
andenvironmentalism.Analysisshouldbetterequippolicymakerstomakepolicychoiceswhileadvocacy
attemptstoimposesuchchoicesonothers.Nevertheless,bothadvocacyandanalysisdrawuponsimilarprinciples
andgoals,andthetwointertwineintherealworldofpolitics.Althoughideologicalcommitmentscanbring
importantoverlookedvaluestopolicyanalysis,policyadvocatesaremoreconcernedtoadvancetheirideology
thantounderstandthepolicyprocess,whichisthegoalofpolicyanalysis.Thefollowingchapterswilldiscuss
differentideologicalperspectivesonpolicyatsomelengthbecausethepolicydebatesareoftenframedby
ideology.
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StagesofPolicyDevelopment
Politicalscientistsoftenuseamodelofthepolicymakingprocessthatfocusesonthestagesthroughwhichideas
andproposalsmovebeforebecomingpublicpolicy.Somepoliticalscientistscriticizethesemodelsasoverlyrigid.
Theyarguethatpoliticsdoesnotfollowtheclearlinesanddivisionsofthestagesmodel.Windowsofopportunity
forpolicycreativityopenmanytimesinunexpectedways,sothatpolicyentrepreneurshavetobereadyatany
timetojumportomovethroughstagesoftheprocessrapidly.Multiplestreamsofpolicyproposalsandpolitical
forcescanconvergeandoverwhelmcarefulpolicydeliberation.8Moreover,thesemodelshavenotgenerated
importanttheoreticalinsightsintopolicymaking.9Despitetheimportanceofsuchcriticisms,thestagesmodelisa
suggestivetool.Itisolatesvariousaspectsofpublicpolicyandhelpstofocusattentiononthem.Someofthese
aspectsarewidelyrecognizedandneedtobepartofanyintroductiontopublicpolicy.10Differentscholarslabel
thestagesdifferentlyandplacedifferentemphasisonthem,butthetermsinFigure1.1arecommon.

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FIGURE1.1StagesofthePolicyProcessAmericanPublicPolicy:AnIntroduction9eCengageLearning
2009.
Thedevelopmentofapublicpolicybeginswithapublicbeliefthataproblemexists.Thethreeprepolicystages
are(1)problemdefinitionorissuesformation,(2)policydemands,and(3)agendaformation.Beforeapolicyissue
isdefinedoradopted,aproblemofpublicconcernmustbeperceived.Forexample,inthehealthcaredebatethat
dominatedpoliticsinthefallof2013,oneofthepointsatissuewaswhetheritwasaviolationofsocialjusticethat
15percentofourpopulationofsome300milliondidnothavehealthinsurance.Theeconomiccrisisof2008was
broughtaboutinpartbyelevatinghomeownershiptoanentitlementundertheimperativesofsocialjustice.
Reasonablepeopledisagreedonthesequestions.Thus,ethicalandideologicalperspectivesplayanimportantrole
duringthisproblemperceptionstagebecausedifferentperspectiveswillseeanddefineproblemsdifferently.Due
tothecontrastingopinionsofdifferentgroups,differentformulationsoftheissuewillresult.Similarly,peoplewith
differentvaluesdisagreeastowhethersocioeconomicinequalityviolatestheconceptofsocialjusticeandis
thereforeaproblemthatmustberectified.
Thus,theissuesformationstageleadstothenextstage:policydemands.Opposingdemandsarenowmadefor
governmentaction.Gradually,asocialgiveandtakemaycoalesceintoaperceptionthatpolicymakersmustdeal
withagivenproblem,anditcompeteswithotherproblemsfortheattentionofpolicymakers.Someproblemsfailto
sustainattentioninthiscompetitionwhileothersrisetoprominence.Variousdemandsandperspectivescreatean
agendaofalternativeproposalsfordealingwithanissue.Someproposalsanddemandsnevermakeittothe
agenda,whileothersareputontheagendainalteredform.
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Agendasettingisalwaysapoliticalprocessgroupsstruggleforpowertocontroltheagenda.Becauseall
legislativeandexecutivebodiesarelimitedintheissuesthattheycanaddressatanygiventime,thepowertohave
attentionpaidtoyourissueontheagendaisinvaluable.Therefore,ideologicalandinterestgroupscompeteto
broadentheagendatoincludetheirissuesorto

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narrowitbyexcludingissuesthattheydonotwantconsidered.Suchgroupsmaybeelectedofficials,bureaucrats
responsibleforpolicyadministration,publicinterestgroups,orgroupsdirectlyaffectedbyparticularpolicies.The
followingchapterscallattentiontogroupsactiveintheproblemdefinition,policydemand,andagendaformation
stages.
Followingtheprepolicystages,thenextmajorstageinthedevelopmentofapublicpolicyisdeliberationand
policyadoption.Fromthepolicyagenda,decisionmakers,withtheinputofinterestgroups,policyexperts,and
constituents,debateandbargainoveralternativepolicyformulations,settlingonanalternativeoracombinationof
alternativestorespondtotheproblem.Decisionsaremade,policiesareformulated,andpolicystatementsare
issued,takingsuchformsasorders,regulations,orlaws.Clearly,thesamekindsofconsiderationsofpowerasin
thepolicyagendastagearerelevanthere.Alsoimportantistheconstitutionalandstatutorystructureofthe
institutionthatmakesthepolicydecision.Structureoftendetermineswhichoutcomeshaveagreaterchanceof
successinthepoliticalstruggle.
Policystatementsandlawmakingarenotthewholeofpolicymaking.Policydecisionsmustbeimplementeda
conceptdefinedearlierinthechapterasputtingthepolicyintoeffect.Policyimplementationmeansmoneyspent,
lawsenforced,employeeshired,andplansofactionformulated.Alawagainsttheftwouldhardlybeapolicyifno
publicresourcesweredevotedtopreventingtheftsandapprehendingthieves.Inimplementation,theintentofthe
policymakersisoftendistorted.Evenprogramsinvolvinglittleconflictcanbedifficulttoimplementifthereare
numerousparticipantswithdifferingperspectivesandifmanyparticulardecisionshavetobemadebeforethe
policyisfullyimplemented.11Asnotedpreviously,themorecomplextheimplementationprocess,themorelikely
thattheintentofthepolicywillbecomedistortedorlost.Withincreasedcomplexitytherearemoreactorswho
maynotnecessarilysharetheoriginalgoals.Successfulachievementofpolicygoalsdependsuponthetractability
oftheproblembeingaddressedbythepolicythatis,howpossibleitreallyistomakeachange.Implementation
alsodependsontheclarityofthelaw,thetalentsandfinancialresourcesavailabletothoseadministeringit,anda
varietyofpoliticalfactors,suchaspublicsupport,mediaattention,socioeconomicconditions,andtheattitudes
andresourcesofgroupsaffectedbythepolicy.12
Policyimplementationproducesimpact.Policyimpact,itwillberecalled,referstowhatactuallyhappenswhen
thepolicyisimplemented.Theimpactofapolicymaybeunforeseen,asinthecaseofbusingforraciallybalanced
schools.Whiteswereusuallyabletoavoidhavingtheirchildrenbeingbusedwithblacksbymovingtothe
suburbs,whichoftenmeantadifferentschooldistrict.Thiswhiteflightleftthecitiesandtheirschoolsmore
raciallyunbalancedthanbeforebusing.
Policyimpactisamajorcomponentoftheevaluationofpublicpolicy,whichisanimportantfocusofthistext.
Policyevaluationfocusesprincipallyontheimpactofpolicy,becauseitislargelyfromtheperformanceand
consequencesofpolicythatweassessitssuccessorfailure.Thisisthequestionofimpact.Evaluationattemptsto
assesstheoutcomesofpolicies(theeffectson

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society)inordertocomparetheoutcomeswiththepoliciesintendedgoalswhilebalancingtheactualbenefitsofa
policywithitscost.Itaskswhetherthegoalshaveorhavenotbeenmet,withwhatcosts,andwithwhat
unintendedconsequences.Forexample,policyevaluationaskswhetherthewelfarereformslegislatedin1996did
infactreducepoverty,increasework,orimprovethelivesoflowincomepersons.WithregardtothewarinIraq,it
wasnotenoughtoshowthatwewouldbebetteroffwithaproWesterngovernmentinthatcountry.Thequestion
waswhetherthatbenefitwasworththecostoflifeandmoneythatitwouldrequiretoachieveit.Apolicycanbe
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evaluatedonlyafterthosebenefitsandcostsareknown.Moreover,evaluationleadsbacktoissueformationand
policydeliberationina(nearly)endlessloop.Evaluationsofpolicyinevitablyproduceadvocatesforchangeand
otheradvocatesformaintainingthepolicyashasclearlybeenthecaseofimplementingtheACAin2013.The
socialproblemsthatstimulatepolicyresponsescanseldombecompletelyfixed.Policyismorelikeanendless
gameofMonopolythanabicyclerepair.13

AspectsofPolicyEvaluation
Policyevaluationinvolvescollectingandanalyzinginformationabouttheefficiencyandeffectivenessof
policies.Thepurposeistodeterminewhethergoalsofpolicyhavebeenachievedandtoimprovepolicy
performance.Evaluatingpolicyhasbothnormativeandempiricaldimensions.Thenormativedimensionrefersto
values,beliefs,andattitudesofsocietyasawhole,ofparticulargroupsandindividualsinsociety,andofthepolicy
evaluatorsthemselves.Personsofdifferentvaluesandideologiesusedifferentnormativeconceptstoevaluate
policy.Forexample,ifonecanassumethattherighttoproduceandpublishmaterialwithstrongsexualcontent
leadstogreatersexualpromiscuity,thenthatwouldbeacostforsocialconservatives.Itmaybelessofaproblem,
however,forsocialliberals.Evaluation,therefore,isalwayspolitical.Progressives,conservatives,socialists,
feminists,andanarchistsdifferfundamentallyintheirunderstandingofsuchconceptsandintheirrankingofthem.
Conservatives,forexample,believethatfreecompetitionandprotectionofprivatepropertyarefundamentalvalues
tobepursuedbyeconomicpolicy.Socialists,however,seejustdistributionofthesocialproductastheprincipal
value.Differentpolicyevaluatorsanddifferentpoliticalgroupswillevaluatepublicpolicydifferently.Normative
perspectivescomeintoplay,notonlyinassessingthegoalsofpolicybutalsoinanalyzinghowwellpolicy
accomplishesthedesiredgoals.
Normativeevaluation,however,isnotenough.Theempiricaldimensionthatis,understandingthefactsmust
precedejudgment.BeforepraisingordamningtheSupremeCourt'sfreedomofthepressdecisions,onemust
examinetheactualdecisionsandattempttoassesswhatdifference,ifany,theyhavemadeorarelikelytomakein
thedaytodayoperationsofthepress.Andbeforecriticizingwelfarefraud,oneshouldobtainthemostaccurate
statisticsavailableonmoneylostthroughfraudulentclaims.Policyevaluationwithoutempiricalanalysisof
policycontent,output,andimpactislikevotingfora

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baseballallstarteamwithoutinformationonplayersbatting,earnedrun,orfieldingaverages.
Specifically,policyevaluationisusedto:
1. determinewhichgoalsarebeingmetandtowhatdegree(includingunintendedconsequences).
2. identifyreasonsforsuccessandfailure.
3. allocate(orreallocate)resources.
4. makechangestoimprovepoliciesordecidetoendpoliciesthatarenotworking.
Throughtheseefforts,policymakerscanmakesurethatpoliciesaccomplishwhattheyareintendedtoandare
responsivetothepublicandelectedleaders.Table1.1suggeststhemultiplefactorsinvolvedinapublicpolicy.
Complexsocialproblems,suchascrime,theeconomy,healthcare,andforeignpolicy,havemultipledimensions
requiringmultipleapproaches.Thevariousdimensionsandthemanypolicyinitiativesrequiredtoaddressthem
meanthatmajorpublicproblemswillneverhavesinglepolicysolutions.Thereisnoonepolicyfitsallfor
respondingtoterrorism,forexample.Bordersecurity,electronicandhumanintelligence,militaryaction,disaster
preparedness,andmanyotherinitiativesarerequired.Thisalsomeansthatanymajorpolicyissuerequireschoices
andtradeoffs.Therearelimitedresourcesoftime,money,andattention.Spendingmoreonbordersecuritymay
leavelessmoneyforintelligencegathering,nottomentionlessforeducationorcrimepolicy.Profilingmorelikely
perpetratorsofterroristactivitiesmaymoreefficientlyallocateantiterroristresources,atthecostofoffending
innocentmembersoftheprofiledgroup.Assuggestedbytheconceptofthezerosumsocietydiscussedabove,
scarceresourcesdemand,inturn,carefulpolicyevaluationtomakesurethatassetsarebeingusedmosteffectively.
Policyevaluationmayberequiredbythelegislationcreatingthepolicyorbymoregenerallegislation,suchas
sunsetlaws.Thesearestatutesthatrequireeachprogramtobeterminatedatsomespecifictime(fiveortenyears,
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forexample),unlessanevaluationleadstoadecisiontocontinueit.Administrativerulesorexecutiveordersalso
mayrequireevaluation.Mostgrantinaidprogramsalsoincludearequirementthattheprogrambeingfundedbe
evaluated.Theevaluationdetermineswhethertheprogramshouldcontinueorwhatimprovementsshouldbemade
init.Publicadministratorsareresponsibleforperformancemanagement,theongoingreviewofaccomplishments
andproblems.Evaluationgoesbeyondperformancemanagementreviewsandinvolvesasystematicprocessofdata
collectionandanalysisofaprogram'sgoalachievementoveraparticularperiodoftime.Thistextcannot
accomplishthedetailedprogramevaluationdescribedhereforthepoliciesitdiscusses.Itsevaluationisata
higherlevelofgenerality.Thesameconsiderationsandconcepts,however,applytothisevaluationofgeneral
policies(suchasMedicareorcriminaljusticepolicy)astospecificprograms.
Evaluationsmaybeprocess(oftencalledformative)oroutcome(oftencalledsummative)evaluations.Process
evaluationassessestheactivitiesandstructures

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TABLE1.1ConceptsinPolicyAnalysis
Concept

Definition

Illustration

Implementation Stepstakentoputapolicyintopractice

Hiringpolicebuildingprisons

Outputs

Measurableresultsofpolicyadoptionand
implementation

Numbersofpoliceconvictionrates

Impacts
(outcomes)

Actualeffectsthatpolicyoutputshaveonsociety Crimeratesfeelingsofsafetyandsecurity

Direct

Apolicy'simpactonitsintendedpopulation

Impactoncriminalsorpotentialcriminals

Indirect
(externalities)

Policy'simpactonindividualsandgroupsother
thanintendedpopulation

Impactonfamiliesofpersonsinprison

Intended

Consequencesanticipatedbyapolicyorprogram Higherarrestandconvictionrates

Unintended

Consequencesnotanticipatedbyapolicyor
program

Greaterpublicassistanceusagebyprisoners
families

Shortterm

Outcomesevaluatedshortlyafterpolicyis
implemented

Changesincrimerateduringtheyearaftera
policychange

Longterm

Outcomesevaluatedafterpolicyhasbeeninplace Changesincrimerateover10years
foralongertime

Policy
evaluation

Processofassessingimpactsofapolicy

Assessmentofeffectivenessofaprogram
intendedtoreducecrimerate

Empirical
dimension

Evaluationbypolicy'smeasurableoutputsand
outcomes

Crimestatisticsprisonstatisticsconviction
rates

Normative
dimension

Evaluationbypolicy'seffectonvalues,beliefs,
andattitudes

Effectofpolicyonfreedom,justice,security,
andfamilystability

Costbenefit
analysis

Comparesbenefitsofaprogramwithcostsof
implementingit

Moneyspentcrimeratereduction

Direct

Costsandbenefitsfromallocationofresourcesand Prisoncostsrecidivismrateofpersons
impactonotherthanintendedpopulation
releasedfromprison

Indirect
(externalities)

Costsandbenefitsfromallocationofresourcesand Economicprosperityincommunities
impactonotherthanintendedpopulation
housingnewprisonspublicassistancecosts

CengageLearning

TABLE1.1ConceptsinPolicyAnalysisCengageLearning

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ofthepolicyimplementation.Theprocessesmayinclude,forexample,whetheracommunitypolicingprogram
followsprocedure,howmanypoliceareassignedtotheprogram,orwhatkindofpatrolispracticed.Outcome
evaluationsfocusontheimpactofthepolicyorprogram.Thus,outcomeevaluationofacommunitypolicing
policywouldexaminewhethertherewasanimpactoncrimeintheneighborhood,suchasreductioninburglaries
ormuggings.Bothformsofevaluationarenecessaryforacompleteassessmentofthepolicy.14Itwouldnotmake
muchsense,forexample,toknowthatcommunitypolicingwasnotworking,butnotknowwhy.Thus,itwouldbe
importanttoknowthatitisnotworking(outcome)andwhatprocessesledtothefailuresothattheprocessescan
becorrected.
Inordertoconductanevaluation,itisnecessarytoplanahead.Asinwritingaresearchpaper,itgoesmuch
smootherifaplanisdevelopedinadvance.Itisthereforenecessarytodecidewhatpurposetheevaluationserves.
Isittofocusonprocessoroutcome?Whatisthegoalofthepolicyorprogram?Whatdoestheevaluationneedto
determine?Whatassumptionsarebeingused?Howmuchmoney,time,andpeopleresourcesareavailableforthe
evaluation?Whatindicatorsormeasuresaregoingtobeused?Howwilltheinformationbecollected?Howwill
unexpectedcircumstancesbehandled?Whatisthescheduleforcompletion?Whatusewillbemadeoftheresults?
Theseessentialquestionsneedtobethoughtthroughbeforebeginningtheevaluation.Oncetheyhavebeen
addressed,theevaluatorneedstodecideontheevaluationmethodortooltouse.
Costbenefitanalysiscomparesthebenefitsoroutcomesoftheprogramwiththecostsofimplementingit.The
benefitsandcostsmaybestatedindollarterms,allowingfordetermininghowmuchtheoutcomescost.Whileon
thesurface,itmayseemeasytodeterminecostsandbenefits,itismuchmorecomplicated.Directcostsand
benefitsmaybeeasytodetermine.Indirectcostsandbenefits,however,areanothermatter.
Directcostsandbenefitsrelatetothespecificallocationofresourcesandtheimpactontheintendedpopulation.A
plantodevelopalightrailsysteminanurbanareapresumablywouldbedesignedtoimprovecommuting.Itmight
alsohavethegoalsofreducingpollutionanddecreasingtheneedforroadsandhighways.Theamountofmoney
spentonthesystemandthedisruptioncausedtoresidentsandbusinessesalongtheroutearedirectcosts.Indirect
costsmightincludethelossofbusinesstoareasnotservedbythelightraillineandtheincreaseintimeneededfor
deliveryofgoodstobusinessesalongthelinesbecauseofmorelimitedaccess.Theincreaseinthevalueof
propertyalongtheroutemaybeanindirectbenefittoownersofthepropertybutanegative,indirectimpacton
thosewhorenttheproperty.Theseindirectcostsandbenefitsarealsocalledexternalities,orspillovereffects.So,
inevaluatingaprogramorpolicy,itisnecessarytoconsiderallthecostsandbenefits,notjusttheobviousdirect
costsandbenefits.
Policiesalsohavelongtermeffectsandshorttermimpacts.Bothneedtobeconsideredinevaluation.Similarly,
somepolicieshavesymbolicimportance.Thedecisiontobuildanewfootballstadiumforaprofessionalteammay
havegreat

P.16

symbolicimportancetotheresidentsofacity.Thestadiumprojectmayhavebeenjustifiedinpartonthebasisof
makingaworldclasscityandwouldbeanintendedsymbolicbenefit.Unintendedandlongtermcostscanbe
illustratedbytheIraqWar.WithoneoutofsixsoldierswhoservedinIraqsufferingsomedegreeofposttraumatic
stressdisorderormajorhealthproblem,likelylongtermincreasesinhealthcarecosts,drugabuse,familyviolence,
suicide,mentalillness,andcrimemustbeconsideredlongtermcosts.
Costsandbenefitsofsomeprogramsaredifficulttomeasure.Howdowemeasurethebenefitofpublicgoods,such
ascleanair?Businessesmaywanttomeasureitinoneway:thecosttothem.Thiswouldincludesuchthingsasthe
costofcleanburningfuel,suchasnaturalgasinsteadofcoal.Cleanairadvocates,however,maywanttomeasure
itintermsoftheincidenceofmedicalproblemsinthecommunitiesaffectedbythequalityoftheairneara
manufacturingplant.Stillothersmayfocusontheaestheticsofthecommunityandthepresenceorabsenceofa
browncloudoverthearea.TheObamaadministrationhasbeenstronglyinfluencedbypublicsectorunions.The
powerfulenvironmentallobbyhasbeeninfluentialinkeepingPresidentObamafromauthorizingtheconstruction
oftheKeystoneoilpipelinefromCanadatoGulfrefineriesdespitethelikelycreationofthousandsofprivate
sectorjobs.Similarly,debatesoverwhethertofacilitateembryonicstemcellresearchortomakeamorningafter
birthcontrolpillavailableoverthecounterillustratetheinterweavingofpoliticalreasonswithscientificdatain
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theadoptionandevaluationofpolicies.
Programevaluationisconductedbyvariousagenciesorofficials.Atthenationallevel,theGovernment
AccountabilityOffice(GAO)conductsevaluationoffederalgovernmentprograms,usuallyattherequestof
membersofCongress,asitisanagencyofCongress.GAOmayinitiateevaluationsonitsown,andmanyofthe
evaluationsrequiredinthelegislationsettingupprogramsareitsresponsibility.TheCongressionalBudgetOffice
(CBO)andCongressionalResearchOffice(CRO)alsoconductmanyevaluations.Moststateshaveanauditing
agencyresponsibleforevaluation,orhavelegislativecommitteeswithsuchresponsibilities.Localgovernments
useavarietyofsimilaragencies.Governmentsoftenalsocontractwithindependentcontractorstoconduct
evaluations.Theresultofallofthemistheevaluationreport.Itthenistheresponsibilityofmanagersand
policymakerstomakeeffectiveuseoftheevaluations.Politicsaffectshowtheydoso.
Policiesdonotgoonforever(thoughsomeappearto).Policieschangeovertime.Forexample,welfarepolicy
changedfundamentallyinthe1990s.Policiessometimesareterminated.Theirreasonforbeingpasses,and
legislaturesendthem,althoughitisfareasiertocreateoradoptpoliciesthantoendthem.Moreinterestsclearly
benefitfromapolicythanaredirectlyharmedbyit,asthecostsofapolicyareusuallyspreadoveranumberof
segmentsofsociety.Itiseasiertograntbenefitsthantoremovethemhence,theinexorablegrowthinthesizeand
scopeofgovernmentcontinues.Theprocessesinvolvedinchangingandterminatingpoliciesarethesameasthose
involvedinpolicymaking.

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PublicPolicy:AnIntroduction:Summary
Publicpolicyreferstoaspecificintentionalactofgovernmenttodosomethingandincludesthedecisiontonotdo
something.Scholarsstudypublicpolicytounderstandhowitiscreatedandimplementedaswellastounderstand
whateffectpolicyhas.Todoso,scholarshavedevelopedvariousmodelsofthepolicyprocess.Thesemodels
emphasizedifferentaspectsofpolicy,butmostincludesomeformofstagesorstepsinthepolicyprocess.
Evaluationofpolicyisusedtodeterminewhetherornotitisworkingandtohelpindecidinghowtoimproveor
endthepolicy.

PublicPolicy:AnIntroduction:Resources

AssociationforPublicPolicyAnalysisandManagement:www.appam.org
CongressionalBudgetOffice:www.cbo.gov
FedStats(GovernmentStatistics):www.fedstats.gov/index.html
ProjectVoteSmart:www.votesmart.org
PublicAgenda:www.publicagenda.org
StatisticalAbstractoftheUnitedStates:www.census.gov/compendia/statab/
U.S.GovernmentAccountabilityOffice(GAO):www.gao.gov

Footnotes
1.JamesE.Anderson,PublicPolicymaking:AnIntroduction,7thed.(Boston:Cengage,2011).
2.Forexample,KimQuailleHill,InSearchofPolicyTheory,PolicyCurrents,7(April1997):19.
3.JamesColeman,EqualityofEducationalOpportunity(EEOC)1966.AnnArbor,MI.InterUniversity
ConsortiumforPoliticalandSocialResearch.
4.SeeJacobS.Hacker,TheDividedWelfareState:TheBattleoverPublicandPrivateSocialBenefitsinthe
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UnitedStates(NewYork:CambridgeUnivesityPress,2002),Chapter1forasummaryofthemodelandits
applicationtosocialpolicy.
5.C.WrightMills,ThePowerElite(NewYork:OxfordUniversityPress,1956).
6.Foraconvenientsummaryofmodelsandtheirdevelopment,seeJosephStewart,Jr.,DavidM.Hedge,andJames
P.Lester,PublicPolicy:AnEvolutionaryApproach,3rded.(Belmont,CA:Wadsworth,2008),Chapters49.
7.SeeRobertA.Heinemanetal.,TheWorldofthePolicyAnalyst:Rationality,Values,andPolitics,3rded.
(Chatham,NJ:ChathamHouse,2001)DeborahStone,PolicyParadox:TheArtofPoliticalDecisionMaking,3rd
ed.(NewYork:Norton,2011)andHenryJ.Aaronetal.,eds.,ValuesandPublicPolicy(Washington,DC:
BrookingsInstitution,1994).
8.SeetheinfluentialworkofJohnW.Kingdon,Agendas,Alternatives,andPublicPolicies,2nded.(NewYork:
Longman,2010).
9.SeeDeborahStone,PolicyParadox:TheArtofPoliticalDecisionMaking,3rded.(NewYork:Norton,2011)
PaulA.Sabatier,TowardBetterTheoriesofthePolicyProcess,PS:PoliticalScience&Politics,24(June1991):
147156andPaulA.Sabatier,ed.,TheoriesofthePolicyProcess,3rded.(Boulder,CO:WestviewPress,2014).
10.MoredetaileddiscussionofthesestagescanbefoundinAnderson,PublicPolicymaking.SeealsoCharlesL.
CochranandEloiseF.Malone,PublicPolicy:PerspectivesandChoices,4thed.(Boulder,CO:LynneRienner
Publishers,2009).
11.SeethepioneeringstudybyJeffreyL.PressmanandAaronWildavsky,Implementation,3rded.(Berkeley:
UniversityofCaliforniaPress,1984).
12.PaulA.SabatierandDanielMazmanian,TheImplementationofPublicPolicy:AFrameworkforAnalysis,in
StellaZ.TheodoulouandMatthewA.Cahn,eds.,PublicPolicy:TheEssentialReadings(EnglewoodCliffs,NJ:
PrenticeHall,1995),153173.
13.Stone,PolicyParadox,261.
14.JodyFitzpatrick,JamesSanders,andBlaineWorthen,ProgramEvaluation:AlternativeApproachesand
PracticalGuidelines(NewYork:Pearson,2011).

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2007CengageLearningInc.Allrightsreserved.Nopartofthisworkmaybyreproducedorusedinany
formorbyanymeansgraphic,electronic,ormechanical,orinanyothermannerwithoutthewritten
permissionofthecopyrightholder.

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