Unit 1: Setting the Scene
Polity – the institutional structures characterizing a political system (e.g. rules, norms)
Politics – the study of politics concentrates on political (decision-making) processes (e.g. party political cleavages, voting behavior in legislative bodies)
Public Policy – a course of action (not individual programs) taken by a government or legislature about a particular issue
→ Factors to assess policy success or failure: Potential reactions, Appropriateness of policy tools, Capacity to implement policy
Policy Issue – a topic or area of discussion, debate, or conflict in politics.
Policy Problem – a specific policy issue that has been identified as requiring a solution or intervention.
Nature of Public Policies (Lowi):
1. Distributive (government provides to the public) – e.g. security, transport network, health system, police, judicial system → Limited conflict arises
2. Redistributive (one social group provides to another) – e.g. taxes, welfare payments → Sentiment of ‘winners and losers’; More likely to create conflict
3. Regulatory (policies only affect regulated groups/entities based on behavior) – e.g. smokers → More likely to create conflict
4. Constituent (the state’s institutions are modified) – e.g. change in rules of parliament, new agencies → Largely unperceived by the public
5. Morality – e.g. sex work, drug use, gay rights, assisted dying, gambling, abortion → Conflict is highly likely
Policy instruments and tools such as regulations, incentives, information, provisions, and nudges are implemented to influence behavior.
- Nudges – actions that gently push people towards a certain direction, no coercion involved → a form of ‘libertarian paternalism’ (affecting behavior while also
respecting freedom of choice)
Venues – arenas in which to make authoritative decisions, such as government departments, US congressional committees, and the courts.
→ Traditionally, policy networks were more ‘club-like.’ Now, there are more interest groups, media opportunities, and venues to participate in policymaking.
Street-level bureaucrats – handle the face-to-face delivery of public policy (e.g. nurses for vaccination, police for crime). → Implementation success relies on SLBs.
Policy tools can involve complex processes, using approaches like:
1. Hybrid regulation – A mix of government rules and private sector standards.
2. Self-regulation – Companies set and enforce their own rules.
3. Co-regulation – Self-regulation that public regulators oversee. (e.g. the technology sector)
Focusing events are sudden incidents that draw widespread attention to specific problems (e.g. a train crash leading to demands for stricter safety regulations).
Polanyi’s Redistributive Policy
- Polanyi’s concept of the double movement refers to the push-and-pull between market forces and social protections.
- As market liberalization progresses, there’s often an eventual reaction where society demands corrective action.
- This leads to redistributive policies aimed at rebalancing social and economic inequalities, ensuring that markets don’t undermine social welfare.
Unit 2: Superstructure and Engine Room
Superstructure – the visible, political sphere of policymaking, primarily composed of high-profile actors such as ministers, senators, and top politicians; shapes
broad policy directions and focuses on activities like building alliances, maintaining power, engaging with media, and responding to public opinion
Engine Room – the hidden, technical sphere of policymaking, where policies are formulated, refined, and prepared for implementation; consists of bureaucrats,
experts, think tanks, policy analysts, and interest groups who handle the detailed work
→ The superstructure relies on the engine room for detailed policy work to maintain legitimacy and avoid unworkable policies.
→ The engine room relies on the superstructure for resources and approval, building support before policy launches to avoid blame if things go wrong.
- Log-rolling is a practice where legislators agree to support each other's proposals to secure passage of their own
- Baptists and bootleggers – Diverse groups, like moral advocates (Baptists) and those benefiting economically (bootleggers), can unite around a common cause.
- The “Iron Triangle” forms a “closed shop” (i.e., policy monopoly)
1. specialists from bureaucracy, 2. legislative actors (e.g. congressional committees in the US), 3 interest groups
- Issue networks → Open and flexible, involving diverse actors (e.g., NGOs, public health experts, activists) who may have differing perspectives and work together
temporarily. → Opposite to “Iron triangles”
Superstructure–Engine Room Channels:
1 . Structural Channel – How a country's political structure (federalist or unitary) shapes policy implementation
- Federalist Systems (e.g., US, Germany) – Decentralized implementation, strict legal frameworks, and regional variation.
- Unitary Systems (e.g., UK, Sweden) – Centralized control, reliance on informal relationships, and flexible regulatory frameworks.
2. Situational Channel – How the salience of an issue determines whether the engine room or superstructure takes the lead
3. Procedural Channel – The rules and processes governing policy creation, approval, and implementation.
Types of interest groups:
1. Private interest groups tend to be smaller, more homogeneous, and focused on concentrated benefits.
→ Because members directly benefit, they experience fewer issues with free riding (joining the group without doing active work).
2. Public interest groups typically advocate for broader regulatory issues like labor rights, equality, or the environment. Their goals tend to serve the public good.
Regulatory capture is a risk in which interest groups unduly influence regulators, leading to policies that benefit the group rather than the public.
In pluralist systems, power is evenly distributed among different groups in democracies, creating a marketplace where interest groups compete for influence.
In corporatist systems, policymaking is more cooperative than competitive. Only a few privileged interest groups are granted access to the policy process, unlike in
pluralist systems where many groups compete for influence. (e.g. Trade Unions)
Lobbying tactics:
- Inside lobbying occurs when interest groups engage directly with politicians or bureaucrats to influence policy from within the political system.
- Outside lobbying occurs when interest groups exert influence through public channels, such as using the media to sway public opinion and put pressure on
policymakers.
Unit 3: Institutional Context
NATO Framework: Governments have four key policy tools, each serving a distinct function in policy implementation (Nodality, Authority, Treasure, Organization)
1. Nodality – The government's central role in disseminating and gathering information; is crucial for influencing public behavior and raising awareness.
2 . Authority – The government enforces laws and standards, ensuring compliance via regulations, prohibitions, and standards
- Command-and-control regulation – non-compliance results in penalties (e.g., environmental fines)
- Cooperative regulation – allows industries (e.g. technology) to self-regulate under a government-set framework
- Economic regulation – addresses cartels, pricing, taxes, business licenses, etc.
- Social regulation – addresses health, safety, environmental protection, consumer rights, etc.
→ Although regulation can be inexpensive, monitoring the implementation may incur more costs.
3. Treasure – The government uses financial tools to shape behavior through voluntary participation (e.g. grants, subsidies, tax incentives)
4. Organization – Governments can directly provide goods and services, such as education, healthcare, defense, and infrastructure
Prospect Theory – Interest groups, whether representing consumers, producers, or the public, react negatively to losing policies that benefit them.
Types of Policy Styles:
National approaches → proactive (shaping policy) or reactive (responding to issues); consensus-building or imposed decisions; collectivism (group welfare) or
individualism (individual rights); equality of output or equality of opportunity.
Public-Private Relations → can be formalized (structured) or ad hoc (informal); interest groups involved in policy formulation and implementation.
1. Statist (e.g., France) – High formalization and low participation. → The policy is top-down, with little input from interest groups.
2. Pluralist (e.g., US) – Low formalization and low participation. → Interest groups have minimal formal involvement, and policymaking is more fragmented.
3. Corporatist or Meso-Corporatist (e.g., Austria, Netherlands, Sweden) – High formalization and high participation.
→ Private groups are heavily involved in policy, often over the long term, contributing to both the design and implementation of policies.
4. Clientelist or Liberal Corporatist (e.g., Switzerland) – Low formalization but high participation
→ Private groups have significant influence, but relationships and processes are less formalized.
Comprehensive Rationality – Decision-makers rank-order their policy preferences and select the most appropriate one based on a thorough analysis.
Bounded Rationality – Instead of aiming for the optimal solution, decision-makers settle for a satisfactory one.
Incrementalism – Policies evolve incrementally by making small adjustments to existing ones, representing compromises among various groups.
Electoral Systems (Lijphart):
Majoritarian system – Power is concentrated in the hands of a few
→The first-past-the-post (FPTP) electoral system exaggerates majorities and centralizes power in one political party, leading to more decisive governments.
In FPTP, voters vote for individuals, not a list or a party.
→ Interest groups compete with each other to get access to the government (Pluralism).
→Types of majoritarian systems: Unitary majoritarian (e.g. France, UK), Federal majoritarian (e.g. US)
Consensus system – Power is dispersed across parties
→ The proportional representation (PR) electoral system often leads to the formation of party coalitions through bargaining and compromise to get a majority in
government, which allows for more inclusiveness. It creates strong national parties focused on securing a large share of the national vote, making them less
susceptible to regional or sectoral demands and reducing the relevance of local interests.
→ Types of consensus systems: Consensual unitarian (e.g. Scandinavia, Netherlands, Italy, Sweden), Consensual federal (e.g. Germany, Switzerland)
Richardson Disputes Lijphart → Richardson argues that decision-making is similar across states regardless of the electoral system. He argues that the size and
scope of states require policy to be devolved to less senior bureaucrats (e.g. interest groups), who enter into alliances in return for expertise (policy communities).
- Policy communities – close, long-term relationships between interest groups and public officials, based on the exchange of information for influence; often maintain
stability by limiting external engagement and keeping policies incremental; new entrants are socialized (conform and adopt similarly
preferences, frame problems the same way, etc.)
- A frame is used to define a policy’s image. By framing the problems as technical details left to implement, the policy community limits the perception that wider
involvement is necessary. Framing involves emphasizing certain aspects of a problem while downplaying others, shaping perceptions of causes and blame.
- Policy image is how an issue is understood and discussed as a policy problem.