Birkland Chapter 10

failure of political institutions

"policy failure is simply a symptom of more profound ailments within our institutions," such as the breakdown of political party power, devolution of power from congressional leaders to the committees and subcommittees.

first era

1960s-70s. Studies focused on individual case studies and didn't create a more generalized theory that could be applied to and tested with other cases.

eras of policy implementation research

3

accurate theory of causation

A policy will fail if it's not based on sound causal theory

double-loop learning

A type of learning that involves not only thinking about how a policy or process works, but also about the fundamental assumptions of that policy

explanations for policy failure

Alternatives to policies tried, the impact of changing circumstance, relationships of one policy to another, the boundary question, excessive policy demand, realizable policy expectations, accurate theory of causation, choice of effective policy tools, the vagaries of implementation, failure of political institutions.

the impact of changing circumstance

Changing circumstances can render policies less successful, such as energy policies that provided price relief before they created dependency on oil and natural gas.

bottom-up approach

Considers the abilities and motivations of the lowest-level implementers, and tracks policy design from that level to the highest levels of government. Recognizes that goals are ambiguous rather than explicit and may conflict not only with other goals in the same policy area, but also with the norms and motivations of the street-level bureaucrats. _____________-_________ approaches value understanding how conflict can be alleviated by bargaining and sometimes compromise the likelihood of achieving policy goals. Second, it doesn't require that there be a single defined policy in the form of a statute or other form. Rather it can be thought of as a set of rules and norms, such as "energy policy" or "criminal procedure" that shape the ways in which government and interest groups address these problems. Views implementation as working through a network of actors rather than a rigidly specified process. Possible flaws: (1) It has been argued that the model over-emphasizes the ability of street-level bureaucrats to act in a particular way based on their professional norms and obligations, by the resources available to them, and by legal sanctions that can be applied for noncompliance. Cops who use too much discretion can lose their jobs. States that fail to implement key features of federal policy put themselves at risk of losing substantial amounts of money, so states bring their agencies into compliance (e.g., No Child Left Behind)

alternatives to policies tried

Failure needs to be assessed in terms of the option to let present trends continue, and in terms of the likelihood that other options would have been more or less successful.

choice of effective policy tools

Ineffective tools will likely yield failure, but the choice of tools is often a function of compromise or ideological predisposition.

single-loop learning

Learning about how a policy or process works, and making adjustments to that policy or process without studying or questioning the fundamental assumptions of that policy or process

political learning

Learning about making more effective political arguments in policy debate. Strategy for advocating a given policy idea or problem.

second era

Mid 1970s. Sought to create systematic theories of policy process that were generalizable to many cases, rather than focused on one or a few cases. As this research progressed, one could discern two different research approaches: top-down and bottom-up.

problems with top-down

Multiple objectives: How do we measure the US Forest Service's efforts when the agency administers the forests to serve "multiple uses?" Environmentalists and recreational users battle logging interests over which aspect of forest policy should be emphasized by the USFS. Assumption that there's a single national government that can successfully structure policy implementation and provide for the direct delivery of services. But most policies made by the federal government require state and local government cooperation. States are often reluctant to surrender their powers to Washington. Street-level bureaucrats may often refuse to implement policy that comes from the top

relationships of one policy to another

Policies are interrelated, and these relationships must be taken into account. For example, a stricter policy against illegal immigrants may endanger broader policy goals surrounding our relations w/ Mexico, such as oil supplies or drug interdiction

top-down assumptions

Policies contain clearly defined goals against which performance can be measured. Policies contain clearly defined policy tools for the accomplishment of goals. The policy is characterized by the existence of a single statute or other authoritative statement of policy. There is an "implementation chain" that "starts with a policy message at the top and sees implementation as occurring in a chain." Policy designers have good knowledge of the capacity and commitment of the implementers. Capacity encompasses the availability of resources.

realizable policy expectations

Policies sometimes fail when they go beyond what we know what we can achieve now. But ambitious policy making can be the result of "speculative argumentation" that seeks to induce innovation. The stated purpose of a policy may not be the actual purpose; there may be more symbolic goals than substance.

Boundary Question

Political boundaries (between states, for example) will influence policy success

vagaries of implementation

The problems inherent in policy implementation can contribute to policy failure.

excessive policy demand

We may expect too much from policies

instrumental policy learning

learning about the effectiveness of policy tools and interventions. Centers on implementation tools and techniques.

social policy learning

learning about the social causes of problems and the possible interventions to solve those problems

policy learning

relatively enduring alterations of thought or behavioral intentions which result from experience and which are concerned with the attainment (or revision) of policy objectives types: political learning, social __________ ________, instrumental _____________ _________.