Introduction to Theories of
Public Policy
 Outline
Uses of Models
Types of Models
Group Work
Dye: Uses of Models
Simplify and clarify our thinking about politics and public
policy
 Identify important aspects of policy problems
 Help us to communicate with each other by focusing on
essential features of political life
 Direct our efforts to understand public policy better by
suggesting what is important and unimportant
 Suggest explanations for public policy and predict its
consequences

1. Who participates in policy making?
2. How are policy decisions made?
3. What are the underlying assumptions of the
theory/model?
4. If the author is right, what are the consequences
for the general public of policy decisions made in
accordance with the particular theory/model?
Types of Models
There are 4 questions you should be able to
answer about each of the theories or models
you will be exposed to:
1. Institutionalism
Public policy as institutional output

Who: executive, legislative, and judicial branches

How: policy is authoritatively determined, implemented,
and enforced by these institutions (legitimacy,
universality, and coercion)

Implications/assumptions: individuals have little
impact; structure/design affects outcomes
2. Process Model
Public policy as political activity

Who: voters, interest groups, legislators, presidents,
bureaucrats, judges

How: ID problem, set agenda, formulate policy
proposals, legitimate policies, implement policies,
evaluate policies

Implications/assumptions: who participates has a
critical or determinant impact on the process
3. Group Theory
Public policy as group equilibrium
Who: interest groups, their allies in government

How: struggle among interest groups with
legislature/executive as referee to manage group
conflict and establish rules of the game

Implications/assumptions: groups will always join to
press for particular issues, all interests will have an
opportunity for representation
4. Elite Theory
Public policy as elite preference

Who: elites that have power, ability to allocate value

How: implementation of the preferences and values of
the governing elite; public officials merely carry out
policies decided on by the elites

Implications/assumptions: public is apathetic elites
agree upon norms; political action is merely symbolic;
protects the status quo
5. Rationalism
Public policy as maximum social gain
Who: decision makers (all social, political, economic
values sacrificed or achieved by a policy choice)
irrespective of dollar amount (Bentham, Mills)
 How: select policy alternative(s) that allows gains to
society to exceed benefits by the greatest amount
 Implications/assumptions: assumes that the values
preferences of the society as a whole can be known
and weighted
6. Incrementalism
Public policy as variations on the past
 Who: policy makers, legislators, others with a stake in
ongoing programs or problems

How: continuation of past government activities with
only incremental modifications

Implications/assumptions: accepts the legitimacy of
established programs; fear of unintended
consequences; sunk costs in other programs may
minimize the opportunities for radical change
7. Game Theory
Public policy as rational choice in competitive
situations

Who: players/decision makers who have choices to make and
the outcome depends on the choice made by each (assumes
rationality in making choices)

How: each player has goals and resources, a strategy
developed given possible moves of opponent, and payoff values
that constitute the outcomes of the game

Implications/assumptions: repeated plays should lead to
better policy outcomes
8. Public Choice
Public policy as collective decision making by
self-interested individuals

Who: rational self-interested individuals will in both politics and
economics cooperate to achieve their goals

How: individuals come together in politics for their own mutual
benefit; government must respond to market failures

Implications/assumptions: individuals have sufficient
information to know what is in their best interest
9. Systems Theory
Public policy as system output

Who: individuals, groups, or nations depending upon the scope
of the problem

How: environment may stimulate inputs into political system,
producing outputs and feedback
Implications/assumptions: systems implies an identifiable set
of institutions and activities in society that functions to transforms
demands into authoritative decisions requiring the support of the
whole society; implies that the elements of the system are
interrelated, that the system can respond to forces in its
environment, and that it will do so to preserve itself

10. Kingdon-Garbage Can Model

Who: participants inside and outside government

How: choice opportunity is a garbage can into which various
kinds of problems and solutions are dumped by participants as
they are generated; policy outcomes are a function of the mix of
the garbage: problems, solutions, participants, and participant
resources in the can and how the can is processed

Implications/assumptions: each of the actors and processes
can operate either as an impetus or as a constraint; streams
operate largely independent of one another
1. Institutionalism
2. Process
3. Group Theory
4. Elite Theory
5. Rationalism
6. Incrementalism
7. Game Theory
8. Public Choice Theory
9. Systems Theory