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- 2. 12 The Federal Bureaucracy and the Public Policy Process Creating and Executing the Laws
- 3. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12Learning Objectives Outline the constitutional roots of the federal bureaucracy, its organizations, and its employees 12.1 Analyze the bureaucracy's tools of implementation and their effectiveness 12.2
- 4. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12Learning Objectives Assess presidential and congressional efforts to control the federal bureaucracy 12.3 Relate politics and public policy, and differentiate the three types of public policy 12.4
- 5. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12Learning Objectives Outline the key steps in making public policy, and assess the different types of policy solutions 12.5 Assess ways in which citizens can influence the public policy process12.6
- 6. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Understanding the Federal Bureaucracy: Constitutional Origins, Organizations, and Employees Building the Federal Bureaucracy Types of Federal Organizations Types of Federal Employees Regulating Employee Conduct 12.1
- 7. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Building the Federal Bureaucracy Foundations Constitution established authority to create bureaucracy Congressional role Can create new agencies but cannot hold executive positions Determines staff and budget 12.1
- 8. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.1Alexander Hamilton Hamilton helped set many of the precedents that govern the federal bureaucracy today. A strong advocate of “execution in detail,” which involved detailed regulations that federal employees must follow Argued for an expansion in the number of federal employees as the federal government's mission expanded.
- 9. Copyright © 2015 by Pearson Education, Inc. All rights reserved. The size of the federal bureaucracy grew from just a small Cabinet that served President Washington to one that comprises 15 departments, 50 lesser agencies, the U.S. Postal Service, and the three branches of armed services. As of 2012, nearly 4.5 million people worked for the federal government.
- 10. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.1
- 11. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Types of Federal Organizations Departments 15 departments - led by cabinet-level officials Inner cabinet are the most important: Defense, Health and Human Services, Justice, State, Treasury 12.1
- 12. Copyright © 2015 by Pearson Education, Inc. All rights reserved. The Department of Homeland Security One of the 5 largest departments, guards against terrorism and responds to natural disasters 12.1
- 13. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Types of Federal Organizations Independent stand-alone agencies have fewer employees and more focused missions Independent regulatory commissions Have a specific policy mission, members are drawn from both political parties Budgets must be approved and decisions are subject to judicial review Government corporations - operate like private businesses U.S. Postal Service Amtrak 12.1
- 14. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.1Goldman Sachs The Securities and Exchange Commission is an independent regulatory commission that was created to regulate the stock market. It was accused of being negligent in monitoring accounting practices during the 2008 economic collapse.
- 15. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Types of Federal Employees Presidential appointees Manage the bureaucracy Most are appointed by the president, are not confirmed by the Senate Most resign at the end of the president’s term in office Senior Executive Service Appointed after intensive review Civil Service Designed to provide administrative continuity Andrew Jackson's “spoils system” - employees were hired because of their loyalty to the party. This loyalty system gave the president's party complete control over almost every government job. 12.1
- 16. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Regulating Employee Conduct Regulation of political participation 1939 Hatch Act - federal civil servants were prohibited from raising money for candidates and running for political office. Hatch Act revised in 1993 Permits greater political participation Ability to hold party positions Party fund-raising Campaigning 12.1
- 17. Copyright © 2015 by Pearson Education, Inc. All rights reserved. National Treasury Employees 12.1
- 18. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.1 Which of the following are the largest organizations in government? a. Government corporations b. Independent regulatory commissions c. Independent stand-alone agencies d. Departments 12.1
- 19. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.1 Which of the following are the largest organizations in government? 12.1 a. Government corporations b. Independent regulatory commissions c. Independent stand-alone agencies d. Departments
- 20. Copyright © 2015 by Pearson Education, Inc. All rights reserved. The Job of the Federal Bureaucracy Making Regulations Raising Revenue Spending Money 12.2
- 21. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Making Regulations Regulations turn policy into action Administrative Procedure Act of 1946 Publication in Federal Register “Notice and comment” period Judicial review 12.2
- 22. Copyright © 2015 by Pearson Education, Inc. All rights reserved. FIGURE 12.3: Pages in the Federal Register 12.2
- 23. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Raising Revenue Federal Revenue includes: Income taxes Payroll taxes Social Security Disability Unemployment insurance Licenses, Fees, Permits Borrowing money Federal Reserve Board 12.2
- 24. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Spending Money Uncontrollable (“nondiscretionary”) spending NOT subject to Congress or President without major change in law Makes up most of federal spending Discretionary spending Subject to budget cuts, increases 12.2
- 25. Copyright © 2015 by Pearson Education, Inc. All rights reserved. FIGURE 12.4: Uncontrollable spending in 1962 and 2012 12.2
- 26. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.2 12.2 In which of the following ways do federal agencies execute laws? a. Writing regulations b. Collecting taxes c. Spending money d. All of the above
- 27. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.2 12.2 In which of the following ways do federal agencies execute laws? a. Writing regulations b. Collecting taxes c. Spending money d. All of the above
- 28. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Controlling the Federal Bureaucracy Separate Controls Shared Oversight Does the Federal Bureaucracy Work? 12.3
- 29. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Separate Controls Executive branch Restricted by checks, balances, separation of powers Does control organization, appointments, budgeting Legislative branch Controls through appropriations Confirmation of appointed officials Investigations and hearings 12.3
- 30. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Shared Oversight Presidential controls Office of Management and Budget “Central clearance system” Congressional controls Government Accountability Office Congressional Budget Office Types of oversight: “Police patrol” “Fire alarm” 12.3
- 31. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Does the Federal Bureaucracy Work? 12.3 Most Americans wary of major cutbacks Flaws in the system Management-heavy organization Outdated personnel system Slow and complex appointments process Program/agency redundancy Sagging public confidence in the executive branch
- 32. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Salmon 12.3
- 33. Copyright © 2015 by Pearson Education, Inc. All rights reserved. FIGURE 12.5: Trust in the executive branch 12.3
- 34. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.312.3 Which of the following is typically used for oversight by the executive branch? a. Department of State b. Congressional Budget Office c. Government Accountability Office d. Office of Management and Budget
- 35. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.312.3 Which of the following is typically used for oversight by the executive branch? a. Department of State b. Congressional Budget Office c. Government Accountability Office d. Office of Management and Budget
- 36. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Defining Public Policy Types of Public Policy Public policy is made through laws, judicial decisions, and detailed regulations issued by the bureaucracy. While Congress and the president enact the laws, the bureaucracy implements the laws, putting them into effect. If politics can be defined as the interaction of the people and their government, then public policy is the product of that cooperation. 12.4
- 37. Copyright © 2015 by Pearson Education, Inc. All rights reserved. How a group of people can impact public policy to affect their lives 12.4
- 38. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Types of Public Policy Distributive policies - offer benefits to all citizens Defense, Social Security, Education, Interstate highways, etc. Redistributive policies - money from one group pays for benefits to another, usually through taxes Welfare, Head Start, etc. Reverse distributive policy - reduces benefits to all groups Reductions on benefits such as Social Security Raising everyone’s taxes 12.4
- 39. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.4 12.4 Which of the following extends benefits to everyone? a. Nondistributive polices b. Reverse distributive polices c. Redistributive policies d. Distributive policies
- 40. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.4 12.4 Which of the following extends benefits to everyone? a. Nondistributive polices b. Reverse distributive polices c. Redistributive policies d. Distributive policies
- 41. Copyright © 2015 by Pearson Education, Inc. All rights reserved. The Public Policy Process Making Assumptions About the Problem Setting the Agenda Deciding to Act Deciding How Much to Do Choosing a Solution Deciding Who Will Deliver the Solution Passing a Law and Making Regulations Running the Program Day to Day The Order of Action 12.5
- 42. Copyright © 2015 by Pearson Education, Inc. All rights reserved. FIGURE 12.6: The eight steps in making public policy 12.5
- 43. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Making Assumptions About the Problem Random elements/unpredictability Influence ability to make accurate assumptions Time Speed of events can outpace assumptive models 12.5
- 44. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Setting the Agenda Defining the agenda Issues under government consideration Determined by the majority party Representative of majority's electorate Other influences on the agenda National emergencies On-going problems Think tanks 12.5
- 45. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Deciding to Act Public pressure changes with time The “issue-attention” cycle Discovery Emergence The Problem of cost Decline Exit 12.5
- 46. Copyright © 2015 by Pearson Education, Inc. All rights reserved. FIGURE 12.7: Concerns about the environment, 2000–2012 12.5
- 47. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Deciding How Much to Do Incremental policy Small change; easiest to create Most efficient way to advance an idea Punctuating policy Requires alliances of interest groups, individuals Dramatic change Iron Triangle Issue networks 12.5
- 48. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Choosing a Solution Creation of regulations Taxation Spending Symbolic benefits 12.5
- 49. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.5 Blackwater
- 50. Copyright © 2015 by Pearson Education, Inc. All rights reserved. DecidingWhoWill Deliver the Solution Assignment of implementation is an aspect of policy-making Government Departments, agencies Nongovernment personnel Independent contractors 12.5
- 51. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Passing a Law and Making Regulations Rule-making Converts thoughts and abstractions to regulations Statement of purpose The rule Formative information Administrative discretion 12.5
- 52. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.5 Solar power
- 53. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Running the Program Day to Day Implementation process includes on-going operations: Creating regulations Supervision Evaluation As assumptions change, policy-making process begins again 12.5
- 54. Copyright © 2015 by Pearson Education, Inc. All rights reserved. The Order of Action Policy-making is constant Politics turns ideas into policy Policy termination 12.5
- 55. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.5 a. The president, interest groups, and a congressional committee b. A federal agency, the public, and a congressional committee c. A federal agency, interest groups, and the Supreme Court d. A federal agency, interest groups, and a congressional committee 12.5 Which of the following make up an “iron triangle”?
- 56. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.5 12.5 Which of the following make up an “iron triangle”? a. The president, interest groups, and a congressional committee b. A federal agency, the public, and a congressional committee c. A federal agency, interest groups, and the Supreme Court d. A federal agency, interest groups, and a congressional committee
- 57. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Citizens and Public Policy Public wariness of participation Tactics Public interest groups 12.6
- 58. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.6 Ralph Nader
- 59. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.612.6 Which citizen action is more likely to be successful in influencing public policy? a. Voting b. Supporting one leader c. Providing an alternative solution d. Joining interest groups
- 60. Copyright © 2015 by Pearson Education, Inc. All rights reserved. 12.612.6 Which citizen action is more likely to be successful in influencing public policy? a. Voting b. Supporting one leader c. Providing an alternative solution d. Joining interest groups
- 61. Copyright © 2015 by Pearson Education, Inc. All rights reserved. Discussion Question Does the federal bureaucracy serve its intended purpose? What alternatives are there in government administration? Is public policy constructed fairly? 12
Editor's Notes
- Oil from the Deepwater Horizon drilling project burns after an explosion that killed 11 people. The federal bureaucracy regulates businesses for both worker safety and environmental protection, among other reasons.
- The federal bureaucracy comprises the thousands of government agencies and institutions that administer federal laws and programs. In this chapter we will examine what the bureaucracy is, how it works, and how it is controlled. We also explore how governmental departments, agencies, and employees are held accountable to the president, Congress, and the U.S. public. Finally, we examine the overall process for making public policies and the key questions Congress and the president must answer when they decide to create new programs.
- The term bureaucracy has negative connotations, conjuring images of red tape, inefficiency, and non-responsiveness. But in fact, all large organizations are organized bureaucratically. Bureaucracies are simply large organizations in which many people with specialized knowledge are organized into a clearly defined hierarchy of bureaus or offices. Each office has a specified mission and clear rules for making decisions.
- In the Constitution, the Framers gave the president the authority to set up the federal bureaucracy, with the approval of Congress. They prohibited legislators from holding executive positions and allowed the president to nominate senior officials to manage the bureaucracy. Congress, however, could accept or reject the appointees. Congress was also given a role in creating the federal bureaucracy. Framers gave Congress the power to create new departments through legislation. Congress could also determine the number of federal employees and the budgets.
- Alexander Hamilton helped set many of the precedents that govern the federal bureaucracy today. He was a strong advocate of what he called “execution in detail,” which involved detailed regulations that federal employees must follow, and he argued for an expansion in the number of federal employees as the federal government's mission expanded.
- There are four general classifications of federal organizations. Departments, the largest and most visible of these, have the most extensive missions and biggest budgets. There are fifteen departments, which are led by cabinet-level officials. The “inner cabinet” offices are considered most important and consist of the Departments of Defense, Health and Human Services, Justice, State, and Treasury.
- The Department of Homeland Security is one of the five largest departments. In addition to protecting the nation from terrorism, it manages response to natural disaster. It is also responsible for the screening lines at airports. Let’s look at this chart. What are the benefits and drawbacks of having all of these organizations housed within one department? Activity: Discuss why the Office of Homeland Security was established. Ask: To date, has the office made a positive difference in homeland security? Do you feel safer knowing that this office is operating? What should the role of the Department of Homeland Security be? How might the role of this department differ from the role the military has always played in domestic issues?
- Independent stand-alone agencies have fewer employees and more focused missions than departments. They are usually headed by an administrator or director. These agencies remain under executive control, but operate outside a department. Independent regulatory commissions have a specific policy mission, such as regulating nuclear power, and their members are drawn from both political parties. While independent regulatory commissions are protected from political pressure, their annual budgets must be approved by the president and Congress, and their decisions are subject to judicial review. Government corporations, such as the Postal Service or Amtrak, operate like private businesses and have special authority to set the prices of their services. They have greater authority to hire and fire employees.
- The Securities and Exchange Commission is an independent regulatory commission that was created to regulate the stock market. It was accused of being negligent in monitoring accounting practices during the 2008 economic collapse. As we see in this photo, the giant investment firm Goldman Sachs came under fire for betting against investment packages that it sold to clients, which allowed the firm to make money even as its clients lost. Congress began investigating the lack of federal oversight of the action in 2010, but the firm had not been punished for its behavior by 2012.
- Presidential appointees manage the bureaucracy. They head the departments and agencies, and also make major policy recommendations to both the president and Congress. Most are appointed by the president without Senate confirmation and typically resign at the end of that president's term in office. U.S. marshals, U.S. attorneys, and ambassadors to foreign nations are also appointed by the president. Most of these appointments are made on a nonpolitical basis. Career executives are appointed to the Senior Executive Service through a rigorous review process. They are selected for their skills as managers, not on the basis of their loyalty to the president. The civil service was designed to provide continuity in administration. Early on, however, civil service employees were hired because of their loyalty to the party. This loyalty system, which became known as the spoils system, gave the president's party complete control over almost every government job. In 1883, Congress abolished the spoils system in favor of today's merit system. Today, 90 percent of federal employees are now selected on the basis of merit.
- Federal employees administer laws that affect election outcomes. Therefore, most forms of political participation by federal employees are tightly regulated. Under the 1939 Hatch Act, federal civil servants were prohibited from raising money for candidates and running for political office. Congress overhauled the Hatch Act in 1993 to permit greater political participation, such as holding party positions, party fund-raising, and campaigning. However, it still retains many limits on federal employees, such as fund-raising for candidates when they are at work or running for political offices at the federal, state, or local level.
- The National Treasury Employees Union represents thousands of federal employees who work within government. Although it started out as a union for Treasury Department employees, it has expanded throughout the years.
- Now that you have learned some basic facts about the organization of the federal bureaucracy, please answer the following question about government organizations.
- Departments, headed by cabinet officials, are the most visible and well-funded organizations in the federal government, most notably the Departments of State, Defense, and Health and Human Services.
- Congress creates the departments and agencies of the bureaucracies, and give them broad guidelines, because it cannot be involved in every detail of government. How agencies carry out Congressional wishes is called implementation. Many decisions are left up to individual government employees on a day-to-day basis. Government employees have administrative discretion, and can choose how to implement congressional or executive intentions. Depending on past performance and congressional politics, this autonomy can vary widely. As you will see in this section, most agencies work in three ways: writing regulations to enforce the laws, collecting revenues through taxes, and spending money.
- Policies are converted into action by regulations that have the force of law. Put simply, bureaucratic rule-makers often act both as lawmakers as well as law enforcers when they make rules or write regulations to implement congressional acts. All proposed regulations must be published in the Federal Register. During the “notice and comment” period, anyone who will be affected by the regulation is encouraged to offer opinions about the regulations. All regulations are subject to the same judicial review that governs formal laws. This checks any potential abuse of power if agencies try to exceed their authority to execute the laws.
- Why do the pages in the Federal Register continue to rise even though Congress is passing fewer pieces of legislation?
- Collection of revenue is another responsibility of the federal bureaucracy. This includes individual and corporate income taxes, payroll taxes for Social Security, Medicare, disability programs, unemployment insurance, and various licenses, fees, leases, and permits. The vast majority of federal tax revenues are collected by the Internal Revenue Service, an agency of the Treasury Department. The federal government can also borrow money by selling Treasury notes, or T-bills. The Federal Reserve Board, an independent regulatory agency often called the Fed, sets the interest rates on these notes.
- By spending money, the federal bureaucracy also implements policy. Most government spending falls under the category of uncontrollable, or nondiscretionary, spending. Social Security and Medicare receive most of this spending. Any changes to this spending would require unpopular changes in the laws. The discretionary budget includes spending for programs such as health research, highway construction, student loans, and defense. All of these programs are subject to annual increases or cuts by Congress and the president.
- Why do you think there are so many federal programs today with uncontrollable spending? Activity: Because much of the budget deficit is associated with programs administered by bureaucracies—particularly entitlement programs—have the class determine a way to cut deficit spending. Ask students to develop a list a series of cuts intended to balance the budget. List the cuts and identify the groups that will oppose them. Discuss the potential impact these groups will have on upcoming elections.
- Let’s see what you have learned about the bureaucracy’s execution of laws.
- Most agencies implement a law’s provisions through three means: (1) writing administrative regulations for enforcing the laws, which are produced through the rule-making process, (2) collecting revenues from individuals and corporations through taxes, and (3) spending money for specific programs such as benefits to individuals through Social Security and Medicare.
- The executive branch oversees federal agencies. To make them work better, most recent presidents have made bureaucratic reform an integral part of their election campaigns. However, as you will discover in this section, the bureaucratic process makes this increasingly difficult.
- Although presidents contend that they have full control over the bureaucracy, the federal system of checks and balances often restrict an executive's ability to make the bureaucracy responsive. While presidents do have significant control over bureaucracy through appointments, reorganization, and budgeting, Congress also has strong control over the bureaucracy. Congress appropriates funds, confirms personnel, authorizes new programs, and conducts investigations and hearings. Legislators often earn political credit by influencing federal agencies on behalf of their constituents.
- Monitoring government programs or organizations is known as oversight. The executive branch uses the Office of Management and Budget (OMB) for routine oversight. Before testifying before Congress, making legislative proposals, or answering congressional inquiries, departments and agencies must first get the president‘s approval. The OMB serves as a “central clearance system” and lets Congress know whether the president supports the requests of the bureaucracy. Congress conducts its own oversight, using the Government Accountability Office or the Congressional Budget Office to investigate a particular program. There are two basic types of oversight used by both Congress and the president. In the first, “police patrol” oversight, the two branches routinely observe the bureaucracy. “Fire alarm” oversight involves citizens, interest groups, or the press first discovering major problems, then demanding their attention. Using the Freedom of Information Act to gain access to documents the federal bureaucracy keeps secret, the media play a particularly important role in this kind of oversight.
- Most Americans are reluctant to support cutbacks in government activity, despite their complaints about big government. However, there are several major flaws in the bureaucracy's performance, including management-heavy organizations, antiquated personnel systems, a lethargic appointments process, and program redundancy. As a result, public confidence in the executive branch of government has declined throughout the past 10 years.
- In his 2011 State of the Union address, President Obama argued that the federal bureaucracy is filled with duplication and overlap among its many programs. He mentioned salmon as an example: the Interior Department is responsible for regulating salmon when they swim in fresh water, while the Commerce Department is responsible for salmon when they are in salt water. “I hear it gets even more complicated once they’re smoked,” Obama said.
- What might explain the long-term decline in confidence in the president and the federal bureaucracy? Why did confidence in the executive branch rise so dramatically in 2009 and fall so quickly afterwards?
- Let’s answer the following question about bureaucratic oversight before we move on to the next section.
- Presidents tend to use the Office of Management and Budget (OMB) for most routine oversight. The OMB is the largest office in the Executive Office of the President.
- When there’s a problem, government tries to solve it with public policy. Public policy is made through laws, judicial decisions, and detailed regulations issued by the bureaucracy. While Congress and the president enact the laws, the bureaucracy implements the laws, putting them into effect. If politics can be defined as the interaction of the people and their government, then public policy is the product of that cooperation. The individuals and groups that make the actual choices to create programs and practices are called policy makers. Some policy makers are elected officials or government employees; others are lobbyists and interest groups.
- This table shows how various groups attempt to influence public policy decisions.
- Distributive policies offer benefits to all citizens. These include the interstate highway system, education funding, national defense, and Social Security. Redistributive policies, such as welfare, poverty programs, and Head Start for poor preschool children, are federal policies that are paid by one group, usually through taxes, to benefit another group. These are sometimes referred to as “zero-sum games,” meaning one group's gain (the program's benefits) is another's loss (the program's cost in taxes). A third type, called reverse distributive policy, reduces benefits for all groups by imposing regulations on every group. Reducing Social Security benefits or raising taxes on all income levels are examples of this type of policy. Often, tools such as cost/benefit analysis are used by decision makers to compare and contrast policy proposals.
- What have you learned about the types of public policies?
- A distributive policy is a public policy that provides benefits to all groups in society. They help all groups at some level, whether rich or poor. Although some may get more benefit than others from a particular program such as Social Security, which reduces poverty among low-income beneficiaries, every group receives at least something through distributive policy.
- As you will learn in this section, the public policy process has eight steps: (1) making assumptions about the problem at the beginning, (2) setting the agenda of problems to be addressed, (3) deciding to act, (4) deciding how much to do, (5) choosing a solution to the problem, (6) deciding who will deliver the goods or services, (7) passing a law and making regulations for implementation, and (8) final implementation as an ongoing policy. Due to the complexity of passing a bill, issuing an executive order, or making a Supreme Court decision, the decision to act is often the most difficult. A non-decision, stopping the policy process before final action, is sometimes easier to make.
- Why is step three the most difficult step?
- Every government decision starts with assumptions about the future. However, it is difficult to predict what will happen in the future. Will the economy grow or decline? This unpredictability makes it difficult for the government to make accurate assumptions. The rapidity of change can make even strongly held assumptions moot in the face of major events.
- The primary decision in setting the policy agenda is choosing the problem to address. The policy agenda is the list of subjects or problems that governmental officials are considering at any given time. The agenda is primarily set by the political party in the majority, and often reflects the values of the people who elected these legislators. Some problems reach the agenda due to situations outside of politics, such as national or regional emergencies. Other continual issues, such as the economy, are the subject of ongoing government monitoring. The agenda is often set using the same criteria policy makers apply to other political decisions, such as public opinion, interest group pressure, and party ideology. Recently, policy makers have come to rely on a small number of think tanks, organizations composed of scholars who study public policy; many of these are located in Washington, D.C. A think tank exists to influence the immediate agenda; many are overtly liberal or conservative.
- Public pressure for action fluctuates substantially over time. This “issue-attention” cycle begins with the advent of a problematic concern which has yet to capture public attention. It continues with the sudden emergence of an issue as a topic for public debate. The cycle moves onward with the realization that change will incur significant cost. The greater the cost of solving a problem, the more strongly people are reluctant to change. The cycle then continues with a gradual decline of intense public interest. At this point, a weary public may recognize that change is highly unlikely because of political stalemates. The cycle ends with what has been called the “post-problem stage.” The problem moves into an area of lesser attention and occasional recurrences of interest.
- This figure shows agreement with the statement: “Protection of the environment should be given priority, even at the risk of curbing economic growth.“ What is one important reason why support for environmental action started to fall in 2008?
- A small change in an existing program is known as an incremental policy. Incremental policies are generally the easiest to create and the most frequent response to calls for change. Punctuating policy creates a dramatic change in the government's role. Punctuating policies often depend on alliances of various groups and individuals to be successful. Alliances called iron triangles have existed for decades. An iron triangle comprises a federal department or agency, a set of loyal interest groups, and a congressional committee. All three sides of the triangle work together; each side supports the other two in some way. However, iron triangles have largely been replaced by looser collections of participants in issue networks. Issue networks cooperate for a specific cause and then disband. As the issue-attention cycle moves forward, they concentrate power in the relatively small number of individuals who organize and maintain them. These networks are composed of interest groups, members of Congress, and outside lobbyists. It has been argued that the rise of well-financed issue networks is a form of elitism, in which a very small number of players control much of the action.
- Policies are intended to address problems and provide solutions. To solve most public problems, the government has three options. It can write regulations to set standards and penalties for noncompliance. It can use taxes both to raise money and encourage certain behaviors. Or, it can spend money to provide goods, services, or benefits to the public. These three solutions provide tangible benefits, such as highway construction, clean air, or better education. Other solutions provide symbolic benefits. The government might address a problem by setting up a committee or highlight the need for action. While symbolic benefits can spur citizen action, they are sometimes just a way to make a non-decision and avoid action.
- Private firms provided most security services to protect U.S. diplomats during the Iraq War. In 2007, employees of Blackwater, Inc., were charged with the unprovoked killings of Iraqi citizens during one of its patrols. Blackwater later changed its name first to Xe Services then to Academi in an effort to improve its reputation.
- Making a decision as to who will implement the program is one aspect of choosing a policy solution. However, sometimes this is performed by extra-governmental personnel. In addition to the work of departments and agencies, the government often uses a substantial workforce of contractors, institutions of higher education, state and local employees, and charities to achieve its policy goals.
- Legislation is the most efficient and lasting way to pass a policy. While invisible to most citizens, rule-making, the process for creating regulations, comes near the end of the policy-making process. It is the necessary step in transforming abstract ideas and language into precise regulations. When a bill is signed into law, it is sent to the appropriate department or agency which then drafts a proposed rule. The rule itself generally consists of a statement of purpose, the actual rule, and a review of any research or legislative language that shaped it. This process allows several opportunities for lobbyists to obtain leverage points. As neither the Constitution nor the Administrative Procedure Act provide a time limit, the process can also be delayed. The bureaucracy often has enormous administrative discretion due to the ambiguity of some legislation.
- A collection of solar panels gathers power in Napa Valley, California. As the federal government has tightened its regulations on the use of dirty fuels in electric plants, it has increased grants and loans for the development of solar power. The effort reflects a blend of regulation and spending as solutions to global climate change and air pollution.
- The process of implementation includes regular operations. Managing a federal department or agency, making regulations, supervising contractors, and evaluating impact are all part of the ongoing procedure. The policy-making process begins again as assumptions change and the issue-attention cycle ensues.
- Policy-making is a process which is always in motion. There are any number of factors at play at any given time: competing problems, solutions, political actors, citizens, pressure, and resources such as money, public support, and administrative energy. Policy ideas, shaped by citizens, interest groups, and politicians, often remain institutionalized; politics ties these various aspects together into a public policy. Some policies are efforts to terminate a program. Termination stops a policy that is operating. Termination is typically very difficult because members of Congress, interest groups, citizens and agencies often benefit from a program's existence, even one that is no longer necessary.
- Iron triangles used to be significant part of the policymaking process. Let’s see what you have learned about their composition.
- In an iron triangle, each side supports the other two. Interest groups give contributions to congressional members; these members pass legislation that supports the interest groups. Legislation protects or increases the agency's budget.
- Citizens are often uneasy about participating in policy-making. While voting can be effective, if not crucial, in making one's voice heard, citizens must employ a variety of tactics, including joining interest groups, writing letters, sending e-mails, confronting legislators at community meetings, and even running for office themselves. They can also join public interest groups that support or oppose government policy action, as exemplified by Ralph Nader, whose efforts to influence the policy process on behalf of consumers are substantial. In the end, clear ideas for alternative policy makes public action more successful.
- Ralph Nader was a major force in creating pressure for consumer protection. He created many of the tactics used to achieve public policy impact during his 40 years of public service.
- Let’s check what you have learned about how you, as a citizen, can influence public policy.
- While all of these actions are important, citizens have the greatest likelihood of influencing public policy by presenting a solution for legislators to consider.