Theories of the Policy Process

"Theories of the Policy Process" edited by Christopher M. Weible and Paul A. Sabatier, introduce several prominent theoretical approaches used to understand and analyze how public policies are made and changed. These theories offer different lenses through which to view the complex interactions of actors, institutions, ideas, and events that shape policy outcomes.

The main theoretical approaches highlighted in the sources include:

• The Multiple Streams Framework (MSF): This framework views policy change as the result of three independent "streams"—problems, policies, and politics—coupling together in a "policy window". It is particularly useful for analyzing agenda setting and policy choice in ambiguous and turbulent environments.

• Punctuated Equilibrium Theory (PET): This theory posits that policy processes are generally stable but are occasionally interrupted by periods of rapid, dramatic change. It emphasizes the role of policy monopolies, negative and positive feedback, and attention allocation in explaining both stability and sudden shifts in policymaking.

• Policy Feedback Theory (PFT): This approach focuses on how existing public policies, once implemented, can influence future politics and policymaking. It examines how policies create "resource effects" (e.g., benefits, costs) and "interpretive effects" (e.g., shaping beliefs, identities) that impact citizen engagement and political dynamics.

• The Advocacy Coalition Framework (ACF): The ACF explains policy change over long periods (typically a decade or more) by focusing on the competition and learning among "advocacy coalitions" within specific policy subsystems. These coalitions consist of actors who share core policy beliefs and work together to influence policy outcomes, responding to both internal and external events.

• The Narrative Policy Framework (NPF): A newer framework, the NPF, explores the role of "policy narratives" or stories in shaping the policy process. It analyzes how narratives, with their settings, characters (heroes, villains, victims), and plots, influence policy beliefs, public opinion, and ultimately policy change at micro (individual), meso (subsystem), and macro (institutional/cultural) levels.

These theories collectively provide a robust toolkit for policy process research, offering diverse perspectives on how policy ideas emerge, gain traction, are debated, adopted, and subsequently influence the political landscape.

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Frequently Asked Questions (FAQs) about Theories of the Policy Process

 

The Multiple Streams Framework (MSF)

• What is the core concept of the Multiple Streams Framework (MSF)? 

The core concept of MSF is that policy change occurs when three independent "streams"—the problem stream, the policy stream, and the political stream—converge and create a "policy window". This allows policy entrepreneurs to couple a problem with a viable solution and a receptive political environment to push for agenda change or policy adoption.

• What are the three streams in MSF? The three streams are:

1. Problem Stream: How societal conditions are defined as public problems, often signaled by indicators, focusing events (like disasters or crises), or feedback.

2. Policy Stream: A "primed" collection of ideas and solutions developed by policy experts and advocates, which are debated and refined over time, sometimes called a "policy primeval soup" or "softening-up" process.

3. Political Stream: The broader political climate, including public mood, election results, changes in administration, and the influence of interest groups and political parties.

• Who are "policy entrepreneurs" in the MSF? 

Policy entrepreneurs are advocates who invest their resources (time, energy, reputation) to promote policy solutions and facilitate the coupling of the streams. They are often critical in seizing policy windows and pushing for change.

• What is a "policy window"? 

A policy window is a temporary opportunity for advocates to push their preferred solutions onto the policy agenda. It opens when the problem and political streams are conducive, creating a ripe environment for a policy proposal to advance.

• What are some key assumptions of MSF? 

MSF operates under the assumptions of ambiguity (problems are ill-defined), time constraints (policymakers face limited attention), problematic preferences (policymakers may not have clear preferences), unclear technology (the link between actions and outcomes is uncertain), and fluid participation (actors enter and exit the policy process).

• How has MSF been applied in research? 

MSF has been widely applied, especially to agenda setting and policy choice, across various policy domains and in different governmental systems, including in the US, Europe, and international contexts.

Punctuated Equilibrium Theory (PET)

• What is the central argument of Punctuated Equilibrium Theory (PET)? 

PET argues that policy processes are generally marked by long periods of stability (equilibrium), where change is incremental, but these periods are occasionally disrupted by sudden, large-scale changes (punctuations). This dynamic reflects how political systems allocate attention and process information.

• What causes these "punctuations" or sudden changes? 

Punctuations are often triggered by shifts in policy images (the way a policy is perceived, combining factual information and emotional appeals) or changes in the institutional venues where policy is made. When a new, often negative, policy image gains traction or when an issue moves to a different institutional venue, it can disrupt existing policy monopolies and lead to rapid change.

• What is a "policy monopoly" in PET? 

A policy monopoly is a stable institutional arrangement that controls policymaking in a specific issue area. It is maintained through shared policy images and the control of information, but it can be broken by significant external or internal shocks.

• How does "feedback" relate to PET? 

PET distinguishes between negative feedback, which reinforces existing policies and structures, and positive feedback, which destabilizes policy monopolies and leads to significant policy shifts. Positive feedback often results from the spread of new policy images or attention shifts.

• Where has PET been applied in research? 

PET has been extensively applied to study budgetary processes, showing that most budget changes are incremental but punctuated by large, infrequent shifts. It has also been used to analyze policy change across various domains and in diverse countries, including the US and European Union.

Policy Feedback Theory (PFT)

• What is Policy Feedback Theory (PFT)? 

PFT examines how public policies, once adopted, influence subsequent political processes and outcomes. It suggests that policies are not just the endpoint of a political process but also act as causes, shaping citizens' political attitudes, behaviors, and the political agenda itself.

• What are "resource effects" and "interpretive effects"? 

PFT identifies two main types of policy feedback effects:

1. Resource Effects: Policies can provide or withhold resources (e.g., financial benefits, services, rights) that can enable or constrain political participation and collective action by different groups.

2. Interpretive Effects: Policies convey messages and shape understandings about who deserves what, who is responsible for problems, and the role of government, thereby influencing citizens' identities and political beliefs.

• How do policies "shape politics"? Policies can shape politics by:

◦ Altering political resources: Providing benefits can incentivize certain groups to participate, while imposing burdens can demobilize others.

◦ Defining political identities: Policies can reinforce or challenge group identities (e.g., "citizen," "immigrant").

◦ Restructuring institutions: Policies can change the rules and procedures of government, affecting how future policy is made.

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What types of policies have been studied using PFT? 

PFT has been applied to a wide range of policies, including social welfare programs (like Social Security and Medicare), civil rights policies, immigration policies, and education policies.

• What is the future direction for PFT research? 

Future research aims to better understand the conditions under which different types of policies produce specific feedback effects, explore the interplay between PFT and other policy theories, and conduct more comparative studies across different political contexts.

The Advocacy Coalition Framework (ACF)

• What is the primary focus of the Advocacy Coalition Framework (ACF)? 

The ACF is designed to explain policy change, particularly major and minor changes, over long time horizons (typically 10-20 years or more) within specific policy subsystems. It emphasizes the role of competing "advocacy coalitions".

• What are "advocacy coalitions"? 

Advocacy coalitions are groups of actors from various public and private organizations (e.g., government agencies, interest groups, researchers, media) who share a common set of policy beliefs (values, causal assumptions, and problem definitions) and coordinate their actions to influence policy within a specific policy subsystem.

• How does policy change occur according to the ACF? 

Policy change in the ACF is driven by two main pathways:

1. Policy-Oriented Learning: Coalitions learn and adapt their strategies based on new information and experiences, which can lead to shifts in their secondary beliefs and, occasionally, policy core beliefs.

2. External System Events: Significant events outside the policy subsystem (e.g., socioeconomic changes, shifts in public opinion, changes in governing coalitions) can alter resource allocations or constraints, triggering policy change.

• What is the role of "belief systems" in ACF? 

Belief systems are central to the ACF. They are hierarchically organized, comprising:

◦ Deep Core Beliefs: Fundamental, normative, and ontological axioms, resistant to change.

◦ Policy Core Beliefs: Basic causal assumptions and policy preferences, more susceptible to change than deep core beliefs.

◦ Secondary Beliefs: Specific instrumental decisions and policy preferences, most amenable to change through policy-oriented learning.

• Where has the ACF been applied? 

The ACF has been applied globally to understand policy processes in diverse domains such as environmental policy, health policy, education, and social policy, both within single countries and in comparative research.

The Narrative Policy Framework (NPF)

• What is the central premise of the Narrative Policy Framework (NPF)? 

The NPF focuses on the importance of "policy narratives" (stories) in understanding the policy process. It argues that humans make sense of policy issues and influence others through narratives, which are fundamental to human cognition.

• What are the key components of a policy narrative? 

According to the NPF, a policy narrative typically includes four core elements:

1. Setting: The context or background of the policy problem.

2. Characters: Policy actors categorized as heroes (who promote solutions), villains (who cause problems or obstruct solutions), and victims (those harmed by the problem or villain).

3. Plot: The sequence of events, actions, and solutions related to the policy issue.

4. Moral of the Story: The underlying message or policy solution being advocated.

• How does the NPF analyze policy narratives? 

The NPF employs three levels of analysis:

◦ Micro-level: Focuses on individual perceptions and processing of narratives.

◦ Meso-level: Examines how narratives are constructed and interact within policy subsystems and among policy actors.

◦ Macro-level: Considers how narratives operate within broader institutional and cultural contexts.

• What is the role of policy entrepreneurs in the NPF? 

Policy entrepreneurs are crucial in the NPF as they are the actors who craft, disseminate, and promote policy narratives to influence public opinion, mobilize support, and shape policy preferences among policymakers.

• What types of research questions does the NPF address? 

The NPF helps researchers understand how specific narratives gain traction, how they compete with opposing narratives, and how they ultimately influence policy beliefs, public support for policies, and policy outcomes.