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An Introduction to the POLICY PROCESS: Theories, Concepts, and Models of Public Policy Making

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Thomas A. Birkland at North Carolina State University
Thomas A. Birkland
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Thank you for your interest in my textbook, An Introduction to
the Policy Process. As you might imagine, I am unable to post the
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... Although these seem like all-inclusive definitions, the literature is riddled with many other definitions that try to cover different aspects of what public policy is all about. Birkland (2011) points out the near impossibility of agreeing on one definition of what constitutes public policy. ...
... Theoretical frameworks range from the simplest to the most complicated. The range of the well-known public policy models and theories includes the stages model, multiple streams, punctuated equilibrium, advocacy coalition, policy diffusion, rational choice, bounded rationality, incrementalism, the network approach, the constructivist approach, the narrative policy framework, and many others (Simon 2018;Birkland 2011;Sabatier 2007). ...
Public Policy Studies and Research in the Arab World
Article
Full-text available
  • Feb 2024
Public policy studies in the Middle East and North Africa region are usually conducted either inside academic setups or within specialized and/or interdisciplinary research centers and think tanks. The field is considered relatively new, and up to this day the term may not be totally clear to the layperson. The context in which policymaking occurs in many parts of the region is not only complicated, taking into consideration the many near-failed states, but also characterized mostly by ambiguity and lack of transparency. The aim of this article is to look at some indicative trends and explore the what, where, and how of policy studies in the region, highlighting key challenges faced and achievements realized.
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... Environmental democracy encourages direct public participation from all sectors of society (including individuals, the news media, members of organizations, schools, institutional experts, business representatives, etc.) throughout the process of environmental governance (Holden 2002;Humphrey 2007). That is, from the initial identification of environmental problems to the selection of relevant policy instruments and formulation of specific policies, on to the monitoring, evaluation, and revision of policy implementation (Birkland 2005). Furthermore, the public can also request to attend policy-related information sessions and consult with officials on relevant matters, or may even choose to protest until they attain the legislative power to achieve civic autonomy. ...
Towards environmental deliberative democracy in China
Article
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  • Apr 2025
To avoid inevitable decline in public support caused by a failure in environmental governance and pollution control, it is imperative for China’s central government to find a suitable and effective system. For now, China has emerged as an exemplary case for strict environmental governance. Nevertheless, here I argue that a change is currently needed because I find environmental authoritarianism in China has been increasingly inefficient, or even scientifically flawed, and will eventually undermine China’s long-term environmental governance. As a key element of environmental democracy, the participation of public and nongovernmental organizations in the decision-making process can effectively circumvent the shortcomings of environmental authoritarianism. Here, I demonstrate the feasibility of realizing environmental democracy in China’s current stage by showing that the country has harbored social and political conditions for transformation. Finally, I provide a theoretically feasible framework for environmental deliberative democracy in China.
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... The top-down approach focuses on distinguishing between the formulation of policy and its subsequent implementation at lower levels of the organization (Sabatier, 1986;Van Meter & Van Horn, 1975). This approach is particularly suitable for studying policy design and the implementation of high-level policies (Birkland, 2020). Conversely, the bottom-up approach involves backward mapping, starting with local initiatives and mandates and following them upward through the system (Van Meter & Van Horn, 1975). ...
“A Gap Between Decision and Execution”: An Explorative Study of the Swedish Police's Experiences in Implementing the 2015 Counter-Terrorism Strategy
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  • Apr 2025
  • Eur J Crim Pol Res
This study examines the Swedish Police’s perceptions and experiences in implementing the 2015 Swedish Counter-Terrorism Strategy, focusing on the intermediary strategic level that connects political decision-making with local practitioners. Using the Consolidated Framework for Implementation Research (CFIR), the study identifies barriers and facilitators across five domains: innovation, outer setting, inner setting, individual characteristics, and implementation processes. Semi-structured interviews were conducted with 14 participants from the National Operational Department (Noa), responsible for operationalizing the strategy or its critical components. The findings highlight systemic challenges, including misalignment between top-down directives and local priorities, resource limitations, and an emphasis on outputs (e.g., equipment procurement) over outcomes (e.g., prevention effectiveness). Key barriers included resistance to change, reliance on individual initiative, and a lack of clarity, motivation, and performance-based incentives. Structural and cultural factors, such as organizational autonomy and scepticism toward external mandates, further impeded implementation. Despite these obstacles, opportunities for improvement were identified. These include align national directives with local realities by engaging stakeholders early, transferring scientific knowledge on effective implementation to practitioners, recognizing individual contributions, and developing long-term, outcome-focused strategies. This research offers critical insights into the complexities of implementing counter-terrorism strategies within bureaucratic organizations, providing valuable lessons for similar contexts globally. Future research should incorporate regional and local perspectives to capture a comprehensive understanding of implementation dynamics across organizational levels.
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Auditoria de resultados e avaliação de políticas públicas: O caso das Instituições Superiores de Controlo
Article
Full-text available
  • Apr 2025
Este artigo apresenta dois instrumentos de governança pública à disposição das Instituições Superiores de Controlo (ISC), a auditoria de resultados e a avaliação de políticas, destinados a promover a accountability e a aprendizagem no desenvolvimento de políticas públicas. São fornecidas as respetivas definições e tipos e, em relação à auditoria de resultados, o documento discorre sobre a tensão entre independência e relevância das práticas de auditoria, associada às funções estilizadas de “cão de guarda” e de “cão pastor”. O ambiente regulatório para o desenvolvimento da avaliação de políticas pelas ISC é brevemente descrito. A contribuicao do artigo e o desenho de um conjunto de parâmetros e conteúdos associados a cada um dos dois instrumentos que permite a sua comparação e evolução, contrastando com a tendência da literatura que insiste na identificação de semelhanças e diferenças entre eles.
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Advocacy Coalition Framework in Fixing Road Transport Act 2018 of Bangladesh
Article
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  • Apr 2025
The Advocacy Coalition Framework (ACF), pioneered by Paul Sabatier and Hank Jenkins-Smith, provides a powerful analytical lens for understanding policy change in contested governance spaces. This study applies the ACF to examine the enactment of Bangladesh’s Road Transport Act 2018, a landmark policy reform that replaced the Motor Vehicle Ordinance of 1983 in response to the country’s escalating road safety crisis. The Act was catalyzed by nationwide student-led protests following the tragic deaths of two students in a road accident, revealing deep-rooted governance failures, public discontent, and entrenched opposition from transport sector stakeholders. This research identifies two dominant advocacy coalitions: the “We Want Safe Roads” coalition, comprising students, civil society, and the media, advocating for stricter traffic laws and greater accountability; and the Road Transport Workers' Federation coalition, resisting regulatory changes to protect industry interests. The study examines the interplay between coalition strategies, policy brokers, and external system events, demonstrating how public mobilization and media influence reshaped policy discourse and compelled legislative action. Findings underscore the incremental and conflict-driven nature of policy reform, revealing the complexity of institutional resistance, stakeholder negotiations, and enforcement challenges in the policymaking process. This case reinforces the relevance of the ACF in analyzing policy shifts in highly politicized environments and offers broader insights into the dynamics of advocacy coalitions in developing governance contexts.
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Amorim, Mayara Pereira. Políticas públicas antirracistas, racismo estrutural e programas de transferência de renda / Mayara Pereira Amorim. - Campinas: PUC-Campinas, 2022 Disponível em: https://repositorio.sis.puc-campinas.edu.br/handle/123456789/16912
Research
Full-text available
  • Dec 2022
The research found: the instrumentalization of the use of race for the systematic accumulation of disadvantages for the black population; a decrease in the income of this population caused by skin color with a focus on structural racism and, therefore, the need to think of an anti-racist economic policy; the recognition of black women as a strategic priority in the institutional designs of public policies for social development. The theme of this dissertation is justified by the immense gap between blacks and non-blacks, from the materiality of racism reflected in people's living conditions. It is verified that poverty burdens black people more and, in particular, black women, therefore, the use of methodological tools such as intersectionality combined with transversality and intersectoriality for the improvement of these policies is indicated.
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Government domination in policy making in the House of Representatives during the President Jokowi era
Article
  • Mar 2025
The rigid cycle of public policy making was ignored when the oligarchic group from the party elites controlled the agenda-setting process, which became the basis for policy making in Indonesia. This study explains how the political tradition of building consensus among political party elites and the government needs to pay more attention to the formal legislative process in the House of Representatives (DPR). The agreed consensus forms the basis for the chairperson of the commission group to control members of their party in the commission and legislative bodies to support the consensus agreed upon by their party's political leadership. This study discovered that restrictions imposed by strengthening the hierarchical leadership and elite command of political parties affected the power of the DPR. During almost two decades of Jokowi's administration, the shift in the power of the DPR has continued to occur so that it has a decreased effect in policy making to modify, replace and reject government proposals.
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Research on public policy formulation and evaluation mechanisms under the PDCA cycle model
Article
Full-text available
  • Nov 2024
This paper proposes a PDCA cycle model for public policy formulation, and proposes a public policy implementation effect prediction model and a public policy implementation effect evaluation model for the situation before and after the implementation of public policy, respectively. In the public policy implementation effect prediction model, simulation is carried out based on Data Farming of Agent simulation, and a genetic algorithm is used as the basis to determine the input parameters of the loop operation and complete the adaptive search process of the optimal solution. The DID model sets dummy variables to calculate the value of DID, and the common trend assumption is applied to link it to the policy effect. The endogenous choice model is used to evaluate public policies, and the regression synthesis method is utilized to reduce subjective interference in the selection of control group samples. The STI public policy of Hebei Province, China, is evaluated from 2019 to 2023, and its STI policy effect improves from -0.3661 in 2019 to 0.4778 in 2023, showing a continuous upward trend. In terms of policy publicity, the science, technology and innovation policy scores higher than the transportation policy by 0.16 and 0.26 in terms of the fit between public services and public needs and policy performance, while the rest of the publicity aspects are all lower than the transportation policy.
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