Institutional model

Government institutions have long been a central focus of political science. Public
policyi s a u t h o ri t a t i ve l y d e t e rm i n e d , i m p l e m e n t e d , a n d e n f o r ce d b y t h e se
i n st i t u t i o n s. Th e relationship between public policy and government
institutions is very close. Strictlyspeaking, a policy does not become a public policy
until it is adopted, implemented, andenforced by some government institution.
Government institutions give public policythree distinctive characteristics.

First,
government lends
legitimacy
to policies. Government policies are generallyregarded as legal obligations that
command the loyalty of citizens.

Second
, g o ve rn m e n t p o l i ci e s i n vo l ve
universality.
Only government policiesextend to
all
people in a society; the policies of other groups or organizations reach only a
part of the society.

Finally,
government monopolizes
coercion
i n so ci e t y, o n l y g o ve r n m e n t ca n legitimately imprison violators of its policies.The
impact of institutional arrangements on public policy is an empirical question
thatdeserves investigation. Federalism recognizes that both the national government
and thestate governments derive independent legal authority from their own citizens.
PROCESS: POLICY AS POLITICAL ACTIVITY
Today political processes and behaviors are a central focus of political science.
Politicalscientists with an interest in policy have grouped various activities
according to their relationship with public policy. The result is a Policy process, which
outlines

Problem Identification:
The identification of policy problems through demandsfor government action.

Policy Formulation:
The development of policy proposals by interest groups, White House staff,
congressional committees, and think tanks.

Policy Legitimation

: The selection and endorsement of policies through politicalactions by Congress, the

president, and the courts.

Policy Implementation
: Th e i m p l e m e n t a t i o n o f p o l i ci e s th ro u g h o r g a n i ze d bureaucracies, public
expenditures, and the activities of executive agencies.

Policy Evaluation:
T h e e va l u a t i o n o f p o l i ci e s b y g o ve rn m e n t a g e n ci e s th e m selves, outside
consultants, the press, and the public.It has been argued that political scientists
should limit their studies of public policy to these
processes
and avoid analyses of the
substance
of policies. It is not the
content
of public policy that is to be studied but rather the
processes
by which public policy isdeveloped, implemented, and changed.
RATIONALISM: POLICY AS MAXIMUM SOCIAL GAIN
A ra ti o n a l p o l i c y i s o n e t h a t a c h i e ve s "m a xi m u m so ci a l g a i n " ; th a t i s ,
g o ve r n m e n t ss h o u l d ch o o s e p o l i ci e s re su l ti n g i n g a i n s to so ci e t y t h a t
e xce e d co st s b y t h e g re a te st amount, and governments should refrain from
policies if costs are not exceeded by gains.First, no policy should be adopted if its
costs exceed its benefits. Second, among policyalternatives, decision makers
should choose the policy that produces the greatest benefitover cost. To select a
rational policy, policymakers must(1) Know all the preferences and their relative
weights,(2) know all the policy alternatives available,(3) Know all the consequences of
each policy alternative,(4) Calculate the ratio of benefits to costs for each policy
alternative, and(5) Select the most efficient policy alternative.Rational policymaking also
requires
information
about alternative policies, the
predictivecapacity
to foresee accurately the consequences of alternate policies, and the
intelligence
tocalculate correctly the ratio of costs to benefits. Finally, rational policymaking requires
a
decision-making
system
that facilitates rationality in policy formation. Large investments inexisting programs
and policies (sunk costs) prevent policymakers from reconsidering alternatives
foreclosed by previous decisions.
INCREMENTALISM: POLICY AS VARIATIONS ON THE PAST
Incrementalism views public policy as a continuation of past government activities
withonly incremental modifications. On the contrary, constraints of time,

information, andcost prevent policymakers from identifying the full range of policy
alternatives and their consequences. Incrementalism is conservative in that
existing programs; policies, andexpenditures are considered as a base, and
attention is concentrated on new programs and policies and on increases, decreases, or
modifications of current programs.Policymakers generally accept the legitimacy of
established programs and tacitly agree toc o n t i n u e p re vi o u s p o l i ci e s . S e co n d ,
p o l i c ym a ke rs a cc e p t th e l e g i ti m a c y o f p re vi o u s policies because of the
uncertainty about the consequences of completely new or different policies known
programs when the consequences of new programs cannot be
predicted.Conflict is heightened when decision making focuses on major policy
shifts involvingg re a t g a i n s o r l o ss e s , o r " a l l -o r -n o th i n g ," " ye s- o r -n o "
p o l i c y d e c i si o n s . Th i s se a rc h
usually begins with the familiar-that is, with policy alternatives close to current
policies.Only if these alternatives appear to be unsatisfactory will the policymaker venture outtoward more radical policy innovation.
5. GROUP THEORY: POLICY AS GROUP EQUILIBRIUM
Politics is really the struggle among groups to influence public policy. The task of the
politicalsystem is to
manage group conflict
by(1) establishing rules of the game in the group struggle,(2) arranging compromises
and balancing interests,(3) enacting. According to group theorists, public policy
at any given time is the equilibriumreached in the group struggle.This equilibrium
is determined by the relative influence of any interest groups. Group theory
purports to describe all meaningful, political activity in terms of the group struggle.
Policymakersa r e v i e w e d a s c o n s t a n t l y r e s p o n d i n g t o g r o u p
p r e s s u r e s b a r g a i n i n g , n e g o t i a t i n g , a n d compromising among competing
demands of influential groups. Politicians attempt to form amajority coalition of
groups. Parties are viewed as coalitions of groups. Second,
overlapping group membership
helps to maintain the equilibrium by preventing anyone group from movingtoo far from
prevailing values. Individuals who belong to anyone group also belong to other
groups, and this fact moderates the demands of groups who must avoid offending their
memberswho have other group affiliations. No single group constitutes a majority in
American society.The power of each group is checked by the power of competing
groups.
6. ELITE THEORY: POLICY AS ELITE PREFERENCE
Public policy may also be viewed as the preferences and values of governing elite? Elite
theorysuggests that the people are apathetic and ill informed about public policy, that
elites actuallyshape mass opinion on policy questions more than masses shape elite
opinion. Thus, public policy really turns out to be the preferences of elites. Policies flow
downward from elites tomasses; they do not arise from mass demands.Only non-elites
who have accepted the basic elite consensus can be admitted to governing circles.
Elites share consensus in behalf of the basic values of the social system and the
preservation of the system. Public policy does not reflect the demands of masses but
rather the prevailing values of the elite. Active elites are subject to relatively little direct

influence from apathetic masses. Elitesinfluence masses more than masses influence
elites.
What are the implications of elite theory for policy analysis? The values of elites may be
very"public regarding." Second, elitism views the masses as largely passive, apathetic,
and illinformed; mass sentiments are more often manipulated by elites, rather than elite
values beinginfluenced by the sentiments of masses; and for the most part,
communication between elites andmasses flows downward.
7. PUBLIC CHOICE THEORY: POLICY AS COLLECTIVE DECISION MAKING
BYSELF-INTERESTED INDIVIDUALS
Public choice is the economic study of non-market decision-making, especially the
application of economic analyses to public policymaking. Traditionally,
economics studied behavior in themarketplace and assumed that individuals
pursued their private interests; political science studied behavior in the public arena and
assumed that individuals pursued their own notion of the publicinterest. This theory
assumes that all political actors voters, taxpayers, candidates, legislators,
bureaucrats, interest groups, parties, bureaucracies, and governments-seek to
maximize their personal benefits in politics as well as in the marketplace.
Enlightened the self-interest leadsindividuals to a constitutional contract
establishing a government to protect life, liberty, and property. Second,
externalities
a re a n o th e r re c o g n i ze d ma r ke t f a i l u re a n d j u st i f i ca ti o n f o r g o ve rn m e n t
i n te r ve n t i o n . P u b l i c ch o i c e th e o r y h e l p s to e xp l a i n wh y p o l i ti ca l p a rt i e s
a n d candidates generally fail to offer clear policy alternatives in election campaigns.
Public choicetheory also contributes to out understanding of interest groups and their
effects on public policy.In short, interest groups, like other political actors, pursue
their self-interest in the political marketplace.
8. GAMETHEORY: POLICY AS RATIONAL CHOICE IN COMPETITIVESITUATIONS
Game theory is the study of rational decisions in situations in which two or
more participantsh a ve c h o i ce s to ma k e a n d th e o u t co m e d e p e n d s o n th e
c h o i c e s ma d e b y e a ch . Pe rh a p s th e connotation of a "game" is unfortunate,
suggesting that game theory is not really appropriate for serious conflict situations.
Game theory is an abstract and deductive model of policymaking. Thechoices are
frequently portrayed in a "matrix"-a diagram that presents the alternative choices of
each player and all possible outcomes of the game. The actual outcome depends on
the choices of both Player A and Player B. Payoffs are frequently represented
by numerical values; thesenumerical values are placed inside each cell of the
matrix and presumably correspond to thevalues each player places on each
outcome. Because players value different outcomes differently,there are two numerical
values inside each cellone for each player.Consider the game of "chicken." Whoever
veers is "chicken." For example, one player may prefer death to dishonor in the game