Punctuated Equilibrium Theory Flashcards
Punctuated Equilibrium Theory (PET) provides a descriptive framework for explaining factors that lead to _________. PET is a response to the limitations of __________.
Punctuated Equilibrium Theory (PET) provides a descriptive framework for explaining factors that lead to policy change. PET is a response to the limitations of incrementalism.
PET draws from _____.
What does PET help identify in the policy process?
In response to the limitations of incrementalism, Baumgartner and Jones (1993) draw from the physical sciences, specifically from the work of biologist Stephen Jay Gould, to identify rapid and significant change after a period of stasis, in the policy process (Smith & Larimer, 2017).
Incrementalism, as espoused by Lindblom (1959) had been viewed as the mainstream approach to ______________ in the policy process, particularly in the budget arena. The assumptions of incrementalism are rooted in ________ and ________.
Incrementalism, as espoused by Lindblom (1959) had been viewed as the mainstream approach to explaining stability and small adjustments in the policy process, particularly in the budget arena. The assumptions of incrementalism are rooted in bounded rationality and linearity.
However, Baumgartner and Jones recognized that policymaking is not always ____, _______, or ______.
However, Baumgartner and Jones recognized that policymaking is not always stable, incremental, or linear but is disrupted by policy subsystem failure (stress or other actors penetrating policy monopolies or issue redefinition) and critical junctures (major wars or economic disruptions) creating subsystem shock and instability (Smith & Larimer, 2017).
According to Baumgartner and Jones, policymaking is disrupted by:
According to Baumgartner and Jones, policymaking is disrupted by:
- policy subsystem failure (stress or other actors penetrating policy monopolies or issue redefinition) and
- critical junctures (major wars or economic disruptions) creating subsystem shock and instability (Smith & Larimer, 2017).
The literature suggests that the driving force of PET and the driving force for stability is the issue of ______ and _______.
The literature suggests that the driving force of PET and the driving force for stability is the issue definition and agenda setting – as long as the issue remains unchanged, the policy subsystem is likely to remain stable. However, changes in the issue definition can alter its image, and therefore, produce changes in the policy subsystem structure, and result in policy entrepreneurs, issue networks, and advocacy coalitions “venue shopping” (targeting a different government entity, such as the courts, Congress, or the Executive Branch) to ensure a favorable government response (Smith & Larimer, 2017).
PET is effective in explaining:
PET is effective in explaining the significant and rapid changes occurring in the policy process as in line with the Lasswellian notion of policy sciences as methodologically sophisticated, interdisciplinary, and generalizable (Smith & Larimer, 2017). PET simply extends current agenda setting theories to deal with both policy stasis, or incrementalism, and policy punctuations (Weible, 2018).
List the 4 main points that can affect policy stasis or change
-Serial and Parallel Processing (Bounded Rationality)
-Positive and Negative Feedback
-Policy Images
-Information Processing
Describe how serial and parallel processing affect policy stasis or change:
Serial and parallel processing stems from Herbert Simon’s notion of bounded rationality .
Serial processing - decision making occurs in serial fashion because individuals devote conscious attention to one thing at a time. The macro political system (Congress, government officials, etc.) operate the same. In other words, policy makers cannot consider all problems and solutions at all times. They ignore most and promote few to the top of their agenda.
Parallel processing - decision structures are capable of handling many issues simultaneously, in parallel. Organizations and policy subsystems (interest groups, policy entrepreneurs, etc.) can operate in parallel.
Describe positive feedback in the policy process. Describe how positive feedback can affect policy stasis or change:
Positive feedback occurs when a change, sometimes a fairly modest one, causes future changes to be amplified. Observers often use terms like “feeding frenzy,” “cascade,” “tipping point,” “momentum,” or “bandwagon effect” to characterize such processes.
When an issue is forced onto the macropolitical agenda (policymakers), it undergoes periods of disequilibrium because small changes in objective circumstances can cause large changes in policy. Therefore, the system is undergoing a positive feedback process (Baumgartner and Jones 2002).
Subgroups can break stability to create positive feedback through three main aspects: framing, venue shopping, and focusing events.
Describe negative feedback in the policy process. Describe how can the status quo exists - negative feedback:
Negative feedback, on the other hand, maintains stability or stasis in a system, somewhat like a thermostat maintains constant temperature in a room.
Negative feedback exists (or stasis/status quo) due to:
- Macrosystem is designed to promote the status quo
- Bounded rationality = serial processing
- Creation of policy monopolies (when policymakers accept the policy’s subgroup policy definition.) Policy monopolies occur with the status quo and not bringing attention to the policy. [A disruption in the monopoly occurs when policy subsystems bring attention to the policy for change causing positive feedback.
Describe how to break Stability/Status Quo - For Positive Feedback
Subgroups can break stability to create positive feedback through three main aspects:
- framing
- venue shopping
- focusing events
Framing is how a problem is defined or how it measures choices. Venue shopping occurs when groups seek another audience for policy change, such as the courts. Lastly, the biggest contribution of PET, is the presence of a focusing event (impactful calamity) that occurs that causes a focus on the policy and presses policymakers for solutions. These focusing events facilitate the framing and venue shopping to occur for policy change.
Discuss policy images and framing:
Policy images are powerful. There is often a race to frame the issue. Framing or reframing the issue provides the audience with additional information that may reduce ambiguity and refocuses attention.
Information processing
With its foundations in both political institutions and boundedly rational decision making, Punctuated Equilibrium Theory is at base a theory of organizational information processing.
Strengths of PET
The literature suggests that PET is effective in producing applicable policy images that mobilize citizens into action, who were otherwise disengaged in the policy process. Per Weible (2008), expert-based information or science can be used to shape the agenda. Depending on the motivation of the policy actor, expert-based information/science can be used to maintain the status quo and legitimize the process or expert-based information/science can be used to challenge the legitimacy of the process to create a punctuation.
Limitations of PET
The limitation to PET is its inability to serve as a forecasting model for rapid policy change or predict the timing or outcomes of punctuations (Smith & Larimer, 2017). PET’s lack of predictability, of the policy process of policy stability and rapid policy change is due to three major factors: external system shocks are difficult to predict; punctuation does not flow in a single direction – it flows both ways; and the psychological and human elements are difficult to predict. Rational models are predictive and provide testable hypotheses about how humans make decisions, unlike models rooted in bounded rationality, such as PET.
