Theories of and in the Policy Process

Like public administration before it, public policy has an uneasy place in the discipline of political science. The stress is most obvious in the distinction between theories that attempt to explain the policy process and theories that are useful to those who seek to operate within the policy process. Accommodating this stress within the disciplinary boundaries of political science poses a difficult challenge.     

Comparative policy agendas: a review essay

ABSTRACT

The two books that are investigated in this review essay consider new ways to explain policy processes by focusing on a spectrum of methodological approaches, theories, time periods and political systems. The first book examined investigates policy change in Australia and considers for the first time how relevant the Policy Agendas Project (PAP) is for the Australian political system. A recent contribution to the Comparative Agendas Project (CAP), the second book reviewed is a collection of comparative studies applying different methodologies and theories to analyse CAP datasets with the view to exploring how policy changes in a variety of political systems. Together these books showcase the best of PAP/CAP’s qualities to provide a common platform for cross-comparative policy change studies and standalone country-specific studies. These books are also an indispensable resource for Australian political scientists interested in the unique policy change dynamics in Australia.     

International Environmental Treaty Engagement in 19 Democracies

This study examines the regular pattern of involvement of 19 democratic states in relation to 15 international environmental treaties over the past 20 years. An attempt is made to understand what accounts for the international environmental engagement of democratic states through an empirical evaluation of four theories, specifically structural conditions, political institutions, idea-based, and international connectivity theory. Rather than case study analysis or an evaluation of a single country or theory, the value of the study is its comparative statistical evaluation of multiple indicators of four rival theories across 19 countries. Empirical findings reveal that the strongest causal forces underlying collaborative democratic state behavior are the citizenry's postmaterial orientations and executive-centered political institutions. International environmental commitments among democracies are constructed by the cultural composition of the polity and institutional rules that centralize ratification procedures, rather than by structural conditions and international forces. The study thus corroborates the idea-based theory's emphasis on the underlying values of the citizenry and the institutional theory's emphasis on domestic policy processes.     

Extremal Approaches to Estimating Spatial Interaction

Two recent theoretical approaches to the gravity model of spatial interaction are examined with emphasis on the dissimilar physical and statistical theories from which they were respectively derived. Formal relationships between the two methods are demonstrated. The two approaches jointly indicate a general method of generating new hypotheses of gravity flows. This method is discussed and evaluated, and some questions of theory comparability are explored. Comments on some of the computational features of each of the two models conclude the paper.     

Policy Narratives and Policy Processes

The Advocacy Coalition Framework (ACF) has influenced a generation of policy scholars with its emphasis on causal drivers, testable hypotheses, and falsification. Until recently, the role of policy narratives has been largely neglected in ACF literature partially because much of that work has operated outside of traditional social science principles, such as falsification. Yet emerging literature under the rubric of Narrative Policy Framework (NPF) demonstrates how the role of policy narratives in policy processes is studied using the same rigorous social science standards initially set forth by Paul A. Sabatier. The NPF identifies theories specifying narrative elements and strategies that are likely useful to ACF researchers as classes of variables that have yet to be integrated. Examining this proposition, we provide seven hypotheses related to critical ACF concepts including advocacy coalitions and policy beliefs, policy learning, public opinion, and strategy. Our goal is to stay within the scientific, theoretical, and methodological tradition of the ACF and show how NPF's empirical, hypotheses, and causal driven work on policy narratives identifies theories applicable to ACF research while also offering an independent framework capable of explaining the policy process through the power of policy narratives. In doing so, we believe both ACF and NPF scholarship can contribute to the advancement of our understanding of the policy process.     

Employers as Mediating Institutions for Public Policy: The Case of Commute Options Programs

Scholars have recently noted the role that employers can play as “mediating institutions” for public policy. Mediating institutions connect the private lives of individuals with public policy concerns by communicating societal norms to members and providing social contexts that encourage a commitment to these norms. Despite the potential importance of employers as mediating institutions for public policy, little scholarly attention has been devoted to employer mediation behavior. Accordingly, this study examines two research questions. What factors influence an employer's willingness to mediate policy problems? And how effective are employers as mediating institutions? The mediation behaviors of interest relate to employer efforts to mitigate traffic congestion and air quality problems by enabling employee “commute options,” which are alternatives to single‐occupancy vehicle commuting to work. Drawing on theories of organization behavior, the study hypothesizes that self‐interest, organizational control, and association membership will affect willingness to provide commute options. The study also hypothesizes that employers providing commute options will have lower percentages of employees that drive to work alone. Both sets of hypotheses are supported by statistical analyses of data from a cross‐sectional mail survey of metropolitan Atlanta organizations.     

Applying Policy Process Theories to Environmental Governance Research: Themes and New Directions

Policy scholars have effectively leveraged policy process models, theories, and frameworks to respond to a variety of important environmental questions. For example, how do environmental issues arrive on the agendas of policymakers? What factors contribute to environmental policy change? What are the designs and effects of institutions (e.g., policies or cultural norms) on environmental governance? In this review, we survey the field of policy process scholarship, focusing on environmental governance, with three objectives. The first objective is to catalog the policy process models, theories, and frameworks most often featured in studies of environmental governance. The second is to capture the methodological choices commonly employed in the application of these models, theories, and frameworks in environmental domains. The third is to identify how these approaches deal with issues central to environmental governance research, including time, space, and policy scale. We aim to identify trends and strategies for integrating key considerations of scale into empirical policy process scholarship.     

Measuring Complex State Policies: Pitfalls and Considerations,with an Application to Race and Welfare Policy

Welfare policy is multidimensional because of the political compromises, competing goals, and federalist structure underpinning it. This complexity has hindered measurement and, therefore, the comparability of research on race and welfare policy. This paper describes a measurement strategy that is transparent, replicable, and attuned to matching the assumptions of statistical models to the policy process. We demonstrate that this strategy leads to more nuanced conclusions regarding the relationship between minority caseloads and the flexibility of state welfare policies. The strategy and recommendations are adaptable to research agendas that scholars bring to the comparative study of welfare in the U.S. states, countries, or other units—and to other complex policies enacted in federal systems.     

Themes and Variations: Taking Stock of the Advocacy Coalition Framework

A policy process framework that has been developed to simplify the complexity of public policy is the advocacy coalition framework (ACF). This essay reports on an analysis of 80 applications of the ACF spanning nearly 20 years. The review shows that the ACF is applicable to various substantive topics, across various geographical areas, and with other policy process theories and frameworks, including the stages heuristic. The most commonly tested hypotheses involve policy change, learning, and coalition stability. Although the hypotheses tend to be confirmed, questions remain about the membership, stability, and defection of coalition members; about the causal mechanisms linking external events and policy change; and about the conditions that facilitate cross-coalition learning. Emerging areas of research include policy subsystem interdependencies and coordination within, and between, coalitions.     

The Effects of Risk,Beliefs, and Trust in Education Policy Networks: The Case of Autism and Special Education

There are multiple theoretical accounts of how actors address problems of collective action in policy networks, but the two most prominent hypotheses are the risk and belief homophily hypotheses. The risk hypothesis claims that relational structures (e.g., bridging, bonding) depend on the benefits actors receive from uncooperative behavior, while the belief homophily hypothesis claims that relational ties form around shared policy beliefs. This study incorporates the case of autism and special education policy, a subsystem best characterized by Berardo and Scholz's (2010) conceptualization of a low-risk environment, to test hypotheses about the influence of risk, policy beliefs, and trust on the formation on relational ties in education policy networks. Utilizing data from a 2016 network survey of public and private special education stakeholders in Virginia, results from exponential random graph models provide support for the effects of bridging structures, beliefs related to the medical model of disability, and social trust on strong (collaboration) and weak (information/advice) relational ties in policy networks. The findings reinforce the importance of using policy networks to understand how actors build connections across multiple jurisdictions and policy sectors to mitigate problems of coordination in policy decision making and implementation.     

The multiple streams framework in a nondemocracy: The infeasibility of a national ban on live poultry sales in China

In response to calls to apply the multiple streams framework to nondemocracies, this article adapts the framework to an authoritarian context and applies it to a case study of live poultry sales in food markets in China, a key issue in epidemic prevention. Using a dataset consisting of Chinese policy documents, Chinese news articles, World Health Organization data, and secondary literature, the study shows that despite the public health threat posed by live poultry sales and despite high-level political support, a national-level permanent ban has not been adopted because it is technically infeasible, financially inviable, and inconsistent with existing norms and values. The study suggests that—despite the country's top-down governance style and lack of political pluralism—policy preferences expressed by members of the policy-making elite are not necessarily adopted in authoritarian China. Future research should test the proposed hypotheses in other policy areas and other authoritarian contexts.     

Political Alignments,Political Economy and Political Change in Australia 1890-1940

This paper explores the applicability of class-coalitional explanations to broad patterns of public policy in Australia at the turn of the century and during the Great Depression. It argues that this approach, with its strong comparative emphasis, does shed light on the 'historic compromise' between capital and labour established after Federation and provides some useful hypotheses about Australia's failure to 'break with orthodoxy' in the 1930s. In particular, it provides an important comparative framework for understanding the nature and role of the labour movement in Australian history, and a corrective to prevailing interpretations. The paper also argues, though, that evidence from the Australian case calls into question simple factor-endowment models of political change.     

The Implementation of Public Policy: Still the Missing Link

Although theories of public policy and theories of governance both seek to establish relationships between policymaking and its consequences, they do not complement each other very well. Public policy models tend to de-emphasize that which governance theories tend to emphasize: the influence on government performance of implementation, broadly described as the actions taken by those engaged in administration (including managers at all levels, those engaged in service delivery, and third-party agents) after a policy has been lawfully promulgated by elected officials and interpreted by the courts. A comparison of a recently developed theory of public sector performance with several prominent theories of policymaking suggests that multilevel governance theories can supply what continues to be the missing link in public policy theories. At the same time, governance theories might be enriched by the process modeling of public policy theories.     

The Effects of Beneficiary Targeting on Public Support for Social Policies

We assess the tendency for the public to use group‐centric policy evaluations with evidence from a survey experiment concerning two issues within the social policy domain, health care and aid to cities. By randomly varying target group identity within each issue and using both negatively and positively regarded groups our evidence shows that differences exist in the tendency for members of the public to use group‐centric heuristics. Group‐centric evaluations are related to party identification and political ideology. Across both issues conservatives and Republicans are more likely than liberals or Democrats to adopt a group‐centric heuristic. Partisan and ideological differences suggest that established theories miss the mark by emphasizing how universal policy designs are preferred to designs that target unpopular groups.     

The Effect of Persuasive Messages on Policy Problem Recognition

Prior theories of individual behavior in recognizing public problems have centered on the role of policy entrepreneurs; institutional effects; information; and cultural, political, and social pressures. Our extension of these theories suggests that policy problem recognition is an attitudinal evaluation process. If the information is considered valid and the new attitude is negative in valence, then a policy problem is recognized. To test this theory, we use an embedded experiment in a national survey to measure the effect of persuasive messages on the concern for global warming. We find that the negativity of the message and the credibility of the source of the message both affect the level of increase in concern for global warming. Further, the impact of the message from the source is conditional based upon the recipient's ideology. This suggests that policy problem recognition is attitudinal and thus incorporates both analytical and affective components.     

The Intersection of Narrative Policy Analysis and Policy Change Theory

Narrative policy analysis and policy change theory rarely intersect in the literature. This research proposes an integration of these approaches through an empirical analysis of the narrative political strategies of two interest groups involved in policy debate and change over an eight‐year period in the Greater Yellowstone Area. Three research questions are explored: (i) Is it possible to reconcile these seemingly disparate approaches? (ii) Do policy narrative strategies explain how interest groups expand or contain policy issues despite divergent core policy beliefs? (3) How does this new method of analysis add to the literature? One hundred and five documents from the Greater Yellowstone Coalition and the Blue Ribbon Coalition were content analyzed for policy narrative strategies: identification of winners and losers, diffusion or concentration of costs and benefits, and use of condensation symbols, policy surrogates, and science. Five of seven hypotheses were confirmed while controlling for presidential administration and technical expertise. The results indicate that interest groups do use distinctive narrative strategies in the turbulent policy environment.     

The International Monetary Fund and its New Economics

This article focuses on a key element of the IMF's agenda for change: the repackaging of its economics of crisis around inflation targeting. It examines how this new policy regime redefines the political economy of the IMF's policy advice, and contextualizes it by focusing on Eastern Europe, the region worst affected by the global financial crisis which began in 2007. The article compares the conditionalities designed under the new and old policy regimes and argues that the mainstreaming of inflation targeting reproduces the IMF's function within a neoliberal political economy. It shows how, depending on the role of the IMF in the policy process, the models that inform policy are employed differently. During ‘normal’ times, models engender a contractionary bias that favours speculative capital. When acting as ‘lender of last resort’, the IMF retains the traditional emphasis on fiscal contractions, paying only lip service to its new economics of crisis while further ignoring crucial questions of macroeconomic policy coordination or the destabilizing potential of short‐term capital inflows.     

The economic planning advisory council: The reality of consensus

The Hawke federal Labor government continued the process of national reconciliation and consensus‐formation begun by the National Economic Summit by institutionalizing group/government intermediation and consultation within the Economic Planning Advisory Council (EPAC). This paper looks at the development of the policy which led to the establishment of EPAC to determine what was expected of such a body. The objects and functions of the council are then examined to determine whether its operation increases the efficacy of consensus in government policy‐making. The formal institutionalization of interest groups into the policy process opens up questions about the relevance of theories of corporatism to this innovation in the Australian political system and the findings of this paper in regard to EPAC are discussed in this context to ascertain whether there is evidence of corporatism inherent in these arrangements. Finally, consideration has been given to the question of whether EPAC and consensus have changed the relationship between sectional interests and the government in the Australian political system.