Who is responsible post, copy, - SAGE Publications Inc...Association of Amusement Parks and...

2

Public Policy and Politics

C H A P T E R

1

Who is responsible for ensuring public safety? Amusement

parks are a big business in the

United States, and millions of Americans visit them each year,

particularly large facilities such as Walt

Disney World and the Six Flags parks.

Yet the occasional accident reminds us of the risk and

possibly of the need for government intervention to

provide adequate assurance of public

safety.

iStock/D

ougLemke

chapter objectives

• Defineandexplainthenatureofpublicpolicy.

• Identifykeyconceptsassociatedwiththestudyofpublicpolicy.

• Explainthedifferentcontextsinwhichpublicpolicyismade.

• Examinethereasonsforgovernmentalinvolvementinpublicpolicy.

• Explorewhycitizensshouldunderstandpublicpolicy.

• Describethereasonsforevaluatingpublicpoliciestoday.

Copyright ©2021 by SAGE Publications, Inc. This work may not be reproduced or distributed in any form or by any means without express written permission of the publisher.

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CHAPTER 1 PublicPolicyandPolitics 3

EveryyearmillionsofpeopleintheUnitedStatesgotothemeparks,stateandcounty fairs, and other events that feature thrill rides. According to the International

AssociationofAmusementParksandAttractions,inrecentyearshundredsofmillionsofpeopleattendedthecountry’sapproximatelyfourhundredparks,withrevenueswellintothebillionsofdollars.1ThisisclearlyalargeindustrythatincludesnotonlyamusementparkgiantssuchasWaltDisneyWorldandSixFlagsbutalsoavarietyofsmaller,perma-nentlyplacedoperations.Inaddition,manytravelingoperationssetuptemporaryrideattractionsateventssuchasstateandcountyfairs.

While these parks and attractions provide safe entertainment and recreation formostvisitors,periodicaccidents—somefatal—arereportedeveryyear.InAugust2016,three separate incidentsoccurred that called intoquestion the safetyof such rides.AtSchlitterbahnwaterparkinKansasCity,aten-year-oldboydiedridingawaterslide.Afewdayslater,threepeoplefellfromaFerriswheelwhenthecarflippedatacountyfairinTennessee.Thenafewdayslater,anotherchildfellfromarollercoasteratanamuse-mentparkinwesternPennsylvania.2Thesearenotonetimeincidents.InOctober2013,anumberofpeopleweretrappedonUniversalOrlando’sHollywoodRipRideRockitrollercoaster fornearly threehours.3While therewerenoserious injuriesasaresultof thismalfunction, it showed that things can gowrongwith these sophisticated amusementrides. In somecases,accidentsordeathsdohappen, sometimesbecausemalfunctionsoccurintheequipmentandinsomeinstancesfornoapparentreasonotherthanthespe-cifichealthofthevisitor.ExamplesincludeawomanwhofellfromarollercoasterataSixFlagspark inTexas inJuly2013aswellasa summer2015death thatoccurredatWaltDisneyWorld’sMagicKingdomSpaceMountainrollercoaster,whereafifty-five-year-oldwomanlostconsciousnessuponexitingtherideandlaterdied,likelyduetohermedicalhistory.4Whenpeoplegototheseparks,theyintendtohavefun,andaccidentsinsuchvenuescangenerateallsortsofmediacoverage.NoonethinkstheycangetinjuredinDisneyWorld,homeofMickeyMouse,Goofy, theSevenDwarfs,andotherbelovedcharacters.Soonemightask,whatkindsofcontrolsorregulationsareinplacetoensureindividualsafetyintheseamusementcenters?

Theanswerinthiscaseisabitcomplicated.Itspansdifferentgovernmentlevelsandagenciesandisagoodillustrationofthecomplexityofpolicymaking.TheU.S.ConsumerProductSafetyCommission(CPSC)isaregulatoryagencyresponsibleforensuringpublicsafetyforawiderangeofconsumerproducts.Thecommissioncurrentlyregulatesoverfifteenthousandproducts,rangingfromlawnmowerstobabycribs.Italso,notsurpris-ingly,has someauthorityoveramusementpark rides.Specifically, theCPSCmonitorsthesafetyofthe“portableamusementrides”thattravelfromonelocationtoanotherandaresetupforparticularevents,suchascountyfairs.Whataboutridesassociatedwithpermanentamusementparks suchasSixFlags?Government regulationof these ridesoccursatthestatelevel,andinsomecasesstateshavenoauthority.Somestatesrequiregovernmentinspectionofparkrides,andothersdonot.Regulationmayevenvarywithinthestateitself.Floridaisaprimeexample.Whilesomepermanentparksaresignificantlyregulated,thosethathiremorethanonethousandemployeesaregenerallyexemptfromstate regulations. (This includes places such asUniversal Studios, DisneyWorld, andBuschGardens.)Whydoyouthinkthesedifferencesbetweenandwithinstatesexist?5

Senator Edward Markey, D-Mass., has long argued that there should be more systematic federalregulationofamusementparkrides.Formanyyears,he introduced


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4 PART I TheStudyofPublicPolicy

legislationthatwouldgivegreaterauthoritytotheCPSCtoregulatetheindustry,includ-ing“bigtheme”playerssuchasDisneyandUniversal.6Hehasnotbeensuccessfulgettingthislegislationpassed,withoppositioncoming—notsurprisingly—fromthemajorthemeparks,whichclaimthat federal intervention isunnecessary, that theseaccidentsoccurrarely,andthattherisksareminimal.Theyoftenalsocitethatmanyoftheaccidentsareduetothefactthat“patronshaverisk-increasing,pre-existingmedicalconditionsorfailtoheedruleslikethoseaboutstayingseatedorkeepingtheirlimbsinsidethecar.”7

How risky are these rides?According toMarkey, people die on roller coasters at ahigherratepermiletraveledthanthosetravelingbyplane,bus,ortrain.AreportbytheCenter for InjuryResearchandPolicycitedevidence that “more than93,000childrenunder18weretreatedinemergencyroomsforamusement-park-relatedinjuriesbetween1990and2010.”8FormerrepresentativeCliffStearns,R-Fla.,states,ontheotherhand,thatamusementparkridescausefewerinjuriesthanfishing.9Sowhoisright?Theanswermaybethatbothare,anditillustrateshowinformationanddatacanbehandledtocom-municatepreferredpositions.Policyanalystsoftenuseriskanalysistoexaminetheextentofaproblemandhowitcanaffectapopulation.Inthecaseofamusementparkrides,accordingtoastudybytheNationalSafetyCouncil,in2015therewere1,502reportedrideinjuriesatfixed-siteamusementparks—orabout4.8injuriesforeverymillionattendees(orlessthanoneinjuryforeverymillionrides).Thevastmajorityoftheseinjuriesarenotconsideredtobeserious;infact,onlyabout5.5percentofthemrequiredanovernightstayinahospital.10Onceagain,onemightaskifthisisasignificantnumber.Forcomparisonpurposes,theCPSCestimatedthatin2017therewereover153,000injuriesfromATVs,mopeds,minibikes,andothersuchrecreationalvehicles;over319,000injuriesplayingfootball;andnearly300,000injuriesfromexerciseandexerciseequipment—andthisisjustformales.11Basedonsomeofthesecomparisons,shouldwebeconcernedaboutthesafetyofamusementparkrides?

Anotherquestionmightbewhethergovernmentneedstobeinvolvedatallinthereg-ulationofamusementparkrides.It isclearthatsuchaccidentsdonothingtohelpthebottomlineoftheamusementparkindustry,andithasapowerfulincentivetoprovidesafeenvironmentsinordertocontinueattractingvisitors.Mighttheself-regulationthatcurrentlyoccurs,particularlyinthepermanentparks,besufficienttoensuresafety?Oristhisacasewheregovernmentregulationisneededtoprotectthepublic’swell-being?Thesearethekindsofquestionstowhichelectedandgovernmentofficialsmustrespondwhenmakingpublicpolicy.

WhilewearerelativelycertainthatmostpeopledonotconsidertheroleofgovernmentontheirfamilyvacationtoDisneyWorld,theexamplesaboveshowthatthereareavarietyofquestionsonemightraiseregardinggovernmentpolicy.Theregulationofamusementparkrides isanexampleof theconstitutional issueof federalism(defined later in thischapter);howtheperceptionofriskmayaffectdecisionmaking;and,ultimately,theroleofgovernmentinafree-marketorcapitalistsociety.Thesekindsofquestionsarefacedinnearlyallareasofpublicpolicy,andtheyillustratethediversityandthecomplexityofissuesthatarise.Ultimately,howtheseissuesareresolvedcanhaveaprofoundimpactonindividuallives.

This account of amusement park ride safety and its regulation speaks to the importanceoftheprocessofpublicpolicymaking.Thatprocessinvolvesmanydifferent


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institutions,people,andgroups.Thecomplexpolicyissuesideallyareresolvedonlyafterlonghoursofresearchanddebatethatconsidertheunderlyingbeliefsandassumptionsaswellaspertinentfacts,includinginthiscasetherelativeriskofaccidentsandinjuries.Sometimes,however,theissuesarenotresolved,ortheyariseagaininresponsetonewconcernsordata.Inaddition,apolicytypicallydealswithaparticularsliceofAmericanlife,suchasthefamilyvacation,althoughitalsomayhaveimportanteffectsonthepub-lic’sgeneralwell-being.Acrosstherangeofgovernmentactivitiestoday,itisnoexagger-ationtosaythatpublicpolicydealswithjustabouteverything,affectinglifeinwaysthatarebothobviousandsometimesdifficulttorecognize.

WHAT IS PUBLIC POLICY?

Public policyiswhatpublicofficialswithingovernment,andbyextensionthecitizenstheyrepresent,choosetodoornottodoaboutpublicproblems.Publicproblemsrefertoconditionsthepublicwidelyperceivestobeunacceptableandthatthereforerequireinter-vention.Problemssuchasenvironmentaldegradation,insufficientaccesstohealthcareservices,orasnotedaboveconsumersafetyonamusementparkridescanbeaddressedthroughgovernmentaction;privateaction,where individualsor corporations take theresponsibility;oracombinationofthetwo.Inanygivencase,thechoicedependsonhowthepublicdefinestheproblemandonprevailingsocietalattitudesaboutprivateactioninrelationtogovernment’srole.

For the amusement park ride example, governments at both the federal and state levelsshareresponsibilityinsomecases,andinothersresponsibilityforsafetyislefttoprivatebusinessesorindividuals.Thereareongoingdebatesoverwhetherornothavingtheindustryregulateitselfinthesesituationsissufficient,andwhenaccidentsdohappen,thosedebatesbecomemuchmorepublic.When it comes to safety issues,governmentmaydecidetointervene,suchasinregulationofmedications,orallowforprivateindustrytoaddresstheissue.Forexample,theU.S.DepartmentofAgriculture(USDA)mayorderarecalloftaintedmeatthatcouldbeunfitforconsumption.Butthereareothersituationswherethecompanyorindustrywillmakeitsowndecisiontorecalltheproducts,andthegovernmentmayseenoneedtointervenetofurtherprotectthepublic’shealthorsafety.

Thetermpolicyrefersingeneraltoapurposivecourseofactionthatanindividualorgroupconsistentlyfollowsindealingwithaproblem(J.Anderson2015).Inamoreformaldefinition,apolicy isa“standingdecisioncharacterizedbybehavioralconsistencyandrepetitivenessonthepartofboththosewhomakeitandthosewhoabidebyit”(EulauandPrewitt1973,465).Whetherinthepublicorprivatesector,policiesalsocanbethoughtofastheinstrumentsthroughwhichsocietiesregulatethemselvesandattempttochannelhumanbehaviorinacceptabledirections(SchneiderandIngram1997).

Thelanguageusedtodiscusspublicpolicycanbeconfusing.Analysts,policymakers,andcommentatorssometimesspeakwithoutmuchclarityaboutintentions(thepurposesof governmentaction); goals (the statedends tobeachieved);plansorproposals (themeans for achieving goals); programs (the authorizedmeans for pursuing goals); anddecisionsorchoices—thatis,specificactionsthataretakentosetgoals,developplans,andimplementprograms(Jones1984).Theseelementsofpublicpolicycanbefoundin


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manydifferentlegalexpressionssuchaslaws,executiveorders,regulations,andjudicialrulings.Theyalsocanbeseeninthewaythatpolicymakers,suchaspresidents,governors,orlegislators,describehowtheyviewpublicpolicyinanygivenarea.Boththelegalstate-mentsandtheactionsofpolicymakerscandefinewhatpublicpolicyisatanygiventime.Wefinditusefulaswelltodistinguishbetweenpolicy outputs(theformalactionsthatgovernmentstaketopursuetheirgoals)andpolicy outcomes(theeffectssuchactionsactuallyhaveonsociety).

Topullsomeoftheseperspectivestogether,weofferthisdefinition:Publicpolicyisacourseofgovernmentactionorinactioninresponsetopublicproblems.Itisassociatedwithformallyapprovedpolicygoalsandmeans,aswellastheregulationsandpracticesofagenciesthatimplementprograms.Lookingatpublicpolicythiswayemphasizestheactualbehaviorofimplementingagenciesandofficials,notmerelytheformalstatementsofpolicygoalsandmeansfoundinlawsandotherexpressionsofgovernmentpolicy.Aswewillstressthroughoutthebook,thisviewmeansthatstudentsofpublicpolicyneedtoseekouttheinformationthatcantellthemwhatpolicyactuallyisatanygiventime.

Any levelofgovernment,whether federal, state,or local,maybe involved inapar-ticularpolicyeffortbecausesocialproblems,andthepublicdemandforactiononthem,manifestthemselvesfromthelocaltothenationallevel.Atthelocallevel,failingpublicschools,highcrimerates,crowdedhighways,orairpollutionmightattractenoughatten-tiontospurtheschoolboard,mayor,orcitycounciltofindremedies.Atthenationallevel,concernaboutinequitableaccesstohealthcareorhowacountryrespondstoaterroristthreatmaygalvanizepolicymakersandleadtopolicydevelopment.

Whateverthe levelofgovernment,proponentsofpolicyactionsseekamultitudeofgoalsthatalsoaffectallmembersofsociety.Forlawsthatgovernpersonalconduct,suchasspeed limits,policiesaimtorestrict individualbehaviorasaway toprotect livesorprevent injuriesandpropertydamage; that is, thegoal is topromote thepublic’swel-fareorcommongood.Aftergovernmentenactsthelaws,publicpoliciesalsoaffecthowthemandatedservicesaimedatthepublic good,suchaspoliceprotection,publicedu-cation,maintenanceofhighwaysandbridges,ornationaldefense,areprovided.Directgovernmentpaymentsareanotherformofpublicpolicy,andtheyaffectpeople’slivesontheindividualandsocietallevel.SocialSecuritypaymentsforseniorcitizens,agriculturalsubsidies for farmers, and researchgrants touniversities sustain long-term individualandcollectivewell-being.

Publicpoliciesreflectnotonlysociety’smostimportantvaluesbutalsoconflictsamongvalues.Policiesrepresentwhichofmanydifferentvaluesreceivethehighestpriorityinanygivendecision.DavidEaston (1965) captured this view inhisoftenquotedobser-vationthatpoliticsis“theauthoritativeallocationofvaluesforasociety.”WhatEastonmeantwasthattheactionsofpolicymakerscandeterminedefinitivelyandwiththeforceoflawwhichofsociety’sdifferentandsometimesconflictingvalueswillprevail.Examplescanbe found innearlyeverywalkof life:Should the federalgovernment implementacarbontaxonindustrytoreduceemissionsofgreenhousegasesandaddresshealthandclimate change concerns, even ifdoing so raises the cost ofproducts?Or should suchdecisionsbelefttothemarketplaceandindividualchoice?Shouldthefederalgovernmentupholdthemandateoftheoriginal2010AffordableCareAct(Obamacare)thatcitizenspurchasehealthcareinsuranceiftheyarenotcoveredthroughtheiremployers,asone


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waytoensure thatallcitizenshaveaccess tohealthcareservices?Shouldgovernmentcontinuetorecognizeawoman’srighttochoosetohaveanabortion,orshoulditrestrictthechoiceandinsteadpromotetherightsofthefetus?

Becausepublicpolicyoftendealswithtoughquestionslikethese,reflectingconflictsoverfundamentalhumanvalues,theresultingpoliciesaregoingtoaffectpeople’slives.Forthesereasons,wedesignedthisbookwithseveralgoalsinmind.Thefirstistohelpreadersdevelopafullerunderstandingofpublicpolicyandthewaysgovernmentsmakepolicydecisions.Thesecond is toencourage readers to lookahead to the implicationsofpolicychoices.Thethirdistofostercriticalthinkingaboutpublicpolicyandpossiblealternativecoursesofaction.Becausethis lastgoal issoimportant,weintroducebasicconceptsrelatedtopolicyanalysisthroughoutthetext.Theaimistoequipreaderswithessentialskillsinanalyticalthinkingthatwillenhancetheirunderstandingofpolicyissuesandmakepossiblemoreeffectiveparticipationinthepolicyprocess.

Developingacritical,analyticalapproachtopolicyissueshasmanyadvantagesoversimply learning the details of policy history, understanding the present legal require-mentsinvariousprograms,orgaininganoverviewofcurrentpolicydebates.Suchknowl-edgeisimportant,butitisinherentlylimited,inpartbecausepublicpoliciesanddebatesoverthemcontinuallychange,makingearlieraccountslessuseful.Incontrast,thosewholearnthebasicprinciplesofpolicymakingandpolicyanalysiswillhaveabettergraspofwhygovernmentsmaketheirdecisionsandbebetterabletoidentifythestrengthsandweaknesses inpresentpoliciesaswellas inproposals tochangethem.Individualscanapplytheseskillstothewiderangeofproblemseveryonefacesascitizensandintheirpersonallivesandcareers.

DEFINING BASIC CONCEPTS

Itisusefulatthispointtoclarifyseveraladditionalconceptsinthestudyofpublicpolicy.Theseincludegovernment,politics,andpolicyanalysis.Althoughthesetermsareincom-monusage,nouniversaldefinitionexistsforanyofthem.

Government

Governmentreferstotheinstitutionsandpoliticalprocessesthroughwhichpublicpolicychoicesaremade.Theseinstitutionsandprocessesrepresentthelegalauthoritytogovernorruleagroupofpeople.IntheUnitedStates,thefederalConstitutiondescribesthegov-ernment’sinstitutions,whichincludeCongress,thepresident,thevariousagenciesoftheexecutivebranch,andthefederalcourtsystem.Eachisgrantedspecificbutoverlappinglegalauthoritytoactunderasystemofseparationofpowers,whichwediscussinchapter2. At state and local levels, parallel government institutions develop policy for citizenswithintheir jurisdictions,guidedbytheauthoritygrantedinstateconstitutionsandinstateandlocalstatutesandordinances.TheAmericansystemofgovernanceadherestotheprincipleoffederalism,alsodiscussedinchapter2;inafederalsystem,thenationalgovernmentsharesauthoritywiththestatesandlocalgovernments.Quiteoftennationalpolicies,suchasthosedealingwithenvironmentalprotection,are implementedchiefly


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by the states throughanelaborate systemof intergovernmental relations inwhich thefederalgovernmentgrantslegalauthoritytothestatestocarryoutnationalpolicies.Inotherpolicyareas,suchaseducation,crimecontrol,andland-useregulation,stateandlocalgovernmentsplaythedominantrole.

Politics

Politics concerns the exercise of power in society or in specific decisions over publicpolicy. It has several differentbut complementarymeanings. It is used to refer to theprocesses throughwhichpublic policies are formulated and adopted, especially to therolesplayedbyelectedofficials,organizedinterestgroups,publicopinion,andpoliticalparties.Thisisthepoliticsofpolicymaking.Politicscanalsobethoughtofashowconflictsinsociety(suchasthoseoverrightstoabortionservicesorguncontrol)areexpressedandresolvedinfavorofonesetofinterestsorsocialvaluesoranother.Politicsinthiscaserefers to the issuepositions thatdifferentgroupsofpeople (gunowners, environmen-talists,healthinsurancecompanies,automobilecompanies)adoptandtheactionstheytaketopromotetheirvalues.Thesecollectionsofindividualswithsimilarinterestsoftenbecomeactiveinthepolicymakingprocess.Sopolitics isaboutpowerandinfluenceinsocietyaswellasintheprocessesofpolicymakingwithingovernment.Itconcernswhoparticipatesinandwhoinfluencesthedecisionsthatgovernmentsmakeandwhogainsandwholosesasaresult.HaroldLasswell([1936]1958)putitthisway:Politicsisabout“whogetswhat,when,andhow.”

IntheUnitedStatesandmostotherdemocracies,politicsisalsorelatedtotheelectoralprocessesbywhichcitizensselect thepolicymakerswhorepresentthem.Inthissense,politics concerns political parties and their issue agendas and the political ideologies,philosophies,andbeliefsheldbycandidatesforoffice,theirsupporters,andtheircam-paigncontributors.Thepreciserelationshipofpoliticstopublicpolicymaynotalwaysbe clear;defenders and critics of specificpolicy actionsmayoffer argumentsbased ineconomics,history,ethics,philosophy,oranynumberofotherdisciplinesweusetothinkaboutwhatisinthepublicinterest.Still,noonedoubtsthatelectoralpoliticsisamajorcomponentofthepolicymakingprocess.

Politics exerts this strong influence on policymaking, in part because elected offi-cials necessarilymust try to anticipate how their policy statements and actionsmightaffect their chances for reelection. Policymakers are therefore sensitive to the viewsof thegroupsand individualswhohelped themwinoffice in thefirstplaceandwhosesupportmaybeessential tokeeping theminoffice.Thesepolitical incentivesmotivatepublicofficialstopayparticularattentiontothepolicypreferencesoftheircoreconstit-uencies,especiallytheactivists,whilealsotryingtoappealtothegeneralelectorate.ForRepublicans, thecoreconstituencies includebusiness interests,politicalconservatives,farmers,andsuburbanandruralresidents,amongothers.ForDemocrats,thecorecon-stituencies are labor interests, environmentalists,AfricanAmericans,political liberals,residentsofurbanareas,andothers.

Politicsisalsooneoftheprincipalreasonspublicpolicyissoriddledwithconflictandwhyitcanbesodifficulttoanalyze.Considerthedebateoversmokinganditshealtheffects.Foryears,thefederalgovernmenthassoughttodiscouragesmokingoutofconcernforits


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adverseeffectsonpublichealth(Derthick2005;FritschlerandRudder2007).YetwhiletheOfficeoftheSurgeonGeneralandtheFoodandDrugAdministration(FDA)takethisposition,theUSDAhascontinueditslongtimepolicyofsubsidizingtobaccofarmers.Clearly,tobaccopolicy today—whether higher cigarette taxesmeant to curtail smoking (see chapter 6), publicadvertisingcampaignstowarnchildrenandteenagersaboutthedangersofsmoking,oractionstoregulatetobaccoasadrug—isbothcomplexandcontroversial.Decisionsareinfluencedbyapublicthat isdividedontheissue,bytheactionsof interestgroupsthatrepresentthetobaccoindustry,andbypublichealthstudiesthatareusedbyothergroupstopressforfurthergovernmentactiontoreducesmoking.Thesevariouspointsofviewandstudiesarepartsofthecontentiousprocessofsettingnewpolicydirections.

Itwouldbewrongtoassume,however,thatsuchconflictsmerelyreflectinconsisten-ciesingovernmentpoliciesor,worse,thattheydemonstratebadfaith.Infact,theprocessof resolving conflictshelps todeterminewhere thepublic interest lies.These conflictsillustratethedifferentpublicintereststhatU.S.policymakersattempttomeet.Promotingahealthagendathroughdecreasingsmokingwillleadtoahealthiersocietyandareduc-tion inhealthcarecosts forboth the individualandthenation.But the family farmisreveredintheUnitedStates,andCongresshasenactedmanypoliciestoprotectit.Thetobaccoindustryhasbeenabletoplayuponthispublicinterestofprotectingfarmersinitslobbyingefforts,andyetpolicymakershavebeenshiftingtheiremphasisawayfromprotectingfarmersandinfavorofregulation.In2009,forexample,CongressapprovedbroadnewpowersfortheFDAtoregulatecigarettesandotherformsoftobaccoforthefirsttime.12Morerecently,thisdebatehaspartiallyshiftedtothesafetyofe-cigarettes.Still,whetherthesubjectistobaccouse,healthcare,orhowtoreformthetaxcode,suchconflictsareakeyelementinpolicymaking.

Whetherthedebateisovertobaccosupportandpublichealth,statesupportforcol-legesanduniversities,or changes to immigrationpolicy, governmentofficials, interestgroups,andcitizenspromote theirviewsaboutwhat todo,andtheybringallkindsofinformationtobearonthedecisions.Naturally, thedifferentparticipants inthepolicyprocesscananddodisagreevigorouslyaboutthekindsofpublicpoliciesthatareneededandtheproperroleofgovernmentinaddressingtheproblems.

Thepolicymakingprocesswithingovernmentprovidesabundant,althoughnotneces-sarilyequal,opportunitiesforalltheseparticipants,orpolicyactors,todiscussproblems;toformulateandpromotepossiblepolicysolutionstothem;andtopressforformaladop-tionbylegislaturesatthenational,state,andlocallevels.Politics,aswedefineditabove,isevidentthroughoutthisprocess.

Ultimately,executiveagenciesanddepartments,suchastheFDA,ImmigrationandCustomsEnforcement(ICE),theDepartmentofDefense,oralocalpoliceorpublichealthdepartment,areresponsibleforimplementingwhatthelegislatorsenact.Heretoopoli-ticsisoftenevidentasanagencymayreflectthepoliticalvaluesandprioritiesofapresi-dentorgovernor,ortrytorespondtotheviewsofotherelectedofficials.

Policy Analysis

Analysismeansdeconstructinganobjectofstudy—thatis,breakingitdownintoitsbasicelements to understand it better. Policy analysis is the examination of components of


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publicpolicy,thepolicyprocess,orboth.Putanotherway,itisthestudyofthecausesandconsequencesofpolicydecisions.DuncanMacRaeandJamesA.Wilde(1979,4)havecalledpolicyanalysis“theuseofreasonandevidence tochoose thebestpolicyamonganumberofalternatives.”Policyanalysisusesmanydifferentmethodsof inquiryanddrawsfromvariousdisciplinestoobtaintheinformationneededtoassessaproblemandthinkclearlyaboutalternativewaystoresolveit.Thesameinformationalsoshapespublicdebateanddeliberationoverwhatactionstotake.Atheart,policyanalysisencouragesdeliberatecriticalthinkingaboutthecausesofpublicproblems,thevariouswaysgovern-mentsand/ortheprivatesectormightactonthem,andwhichpolicychoicesmakethemostsense.Doingsorequiresnotonlyknowledgeofgovernmentandpoliticsbutalsotheabilitytoevaluatethepolicyactions.Chapter6discussesthemajorevaluativecriteriausedtomakesuchjudgments.

WHY STUDY PUBLIC POLICY?

Asthediscussioninthischapterwillmakeclear,thestudyofpublicpolicyoccursinmanydifferent organizations and for diverse reasons.Policy analysts both in andoutside ofgovernmenthaveaprofessionalconcernforpublicpolicy.Thatis,theyworkondevelop-ingpublicpolicysolutionsbystudyingpublicproblemsandvariouspolicyalternativesorchoicesthatmightbemade.Scholarsatuniversitiesandresearchinstitutionssharesomeof thesame interestsaspolicyanalysts,but theymayalsobeconcernedwithbuildinggeneralknowledgeandadvancingtheory,forexample,ofthepolicyprocessortheperfor-manceofgovernmentinstitutions.Wewillrevisittheseapproachestothestudyofpublicpolicy,especiallypolicyanalysis,inchapter4.

Forcitizenswholacksuchprofessionalreasonsbutwhohavestrongpersonalinterestsingovernmentandpublicpolicy,theU.S.politicalsystemaffordsnumerousopportuni-tiestobecomeinvolved.Suchinterestsaloneareagoodreasontostudypublicpolicy,butitisnottheonlyone.Studyingpublicpolicymayhelpcitizenssharpentheiranalyticskills,decidewhatpoliticalpositionsandpoliciestosupport,anddeterminehowbesttoevalu-atedemocraticgovernance.Itmayencouragestudentstoconsidercareersinpublicpol-icy,law,orgovernment.Twoadditionalreasonsarepresentedhere:toimprovecitizens’abilitytoparticipateinpolicyprocessesandtheirabilitytoinfluencepolicydecisions.

Citizens’ Ability to Participate and Make Choices

TheUnited States is a representative democracy. Its citizens elect delegates to act forthem,but that is notnecessarily the endof citizenparticipation.Withindemocracies, citizensmayspeakoutonpolicydevelopmentandgovernmentactions.Lackofknowl-edge about public problems, policies, government decisions, or politics does not nor-mallykeeppeoplefromactinginthisway,buttheycanparticipatemoreeffectivelybyimprovingtheirunderstandingoftheissues.Duringpoliticalcampaigns,candidatesforpublicofficestate theirpositionsonthe issues throughspeechesandadvertisements—and,increasingly,throughsocialmediasitessuchasTwitterandFacebook—inhopesofpersuadingvoterstosupportthem.Voterswhostudypublicpolicyarebetterequippedto


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understandthecandidates’policyideasandtoevaluatethem—thatis,todeterminewhatimpactstheyarelikelytohaveandwhethertheyaredesirable.Ifelectionsaretoturnoninformedassessmentsoftheissuesratherthanhowgoodthecandidatelooksoncamera,policyknowledgeofthiskindisessential.

Citizens can also join with others in an interest group to learnmore about public policy.Scholarsoftenobservethatthelogic of collective actionsuggeststhatasingleindividualwouldbeirrationaltojoinaninterestgroupwhenalmostnopersonalgainfol-lows(Olson1971).Theenormousgrowthofcitizenlobbiesoverthelastseveraldecades,however,clearlyindicatesthatagreementwithagroup’sgoalspersuadesmanypeopletosignupandparticipate(J.Berry1997,1999).Interestgroupsoperateatalllevelsofgov-ernment,andoneoftheirrolesistoeducatepolicymakersandcitizensaboutpublicpol-icyissues.Forexample,manyofthem—fromtheNationalRifleAssociationtotheSierraClub—commissionpolicystudiesandusetheminthepoliticalprocesstoadvancetheirviews(Cigler,Loomis,andNownes2016;WolpeandLevine1996).Nearlyallthemajorgroupsmaintainwebsites that offer issue briefings and facilitate communicationwithpublicofficials.Thebox“WorkingwithSources:InterestGroupsontheWeb”addressestheroleofsuchgroupsinshapingpublicpolicy.

WORKING WITH SOURCESINTEREST GROUPS ON THE WEB

Interest group websites are treasure troves of policy information, but a word of warning is in order. Visitors to these sites need to be cautious about how they approach the materials and policy recommendations they find. Information on these sites is always selective; it may be limited in scope and biased in ways that a naive reader may not discern. Policy briefings and reports made available by such groups therefore merit careful and critical reading, and our goal here is to teach you how to be alert to the general political orientation of the group sponsoring the site. We start by asking about the credibility of the studies and reports you find there.

Visit the website for the Consumer Advocates for Smoke-Free Alternatives Association (CASAA) (www.casaa.org), a nonprofit consumer organization that is “dedicated to ensuring the availability of reduced harm alternatives to smoking.” From here you can click on the organization’s “Resources” link or other links to access reports and data regarding its positions on the health effects of e-cigarettes. Note especially the language in the “About Us” section regarding “honest information about those alternatives so that they [both smokers and nonsmokers] can make informed choices.”

(Continued)


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For a contrasting view, visit the website for the American Lung Association (ALA) (www.lung.org) and search for “e-cigarettes” in its search field. From here, you will see several links discussing the ALA’s position on e-cigarettes and its concerns regarding potential health consequences.

• How credible is the information you found on the two websites? Which group do you think provides less biased information, and why do you think so?

• Does either supply references to authoritative sources for the information presented, such as government reports or studies published in scientific or scholarly journals?

• How else can you judge the facts and issue positions on these pages? By comparing the different positions and the language used to defend them, can you determine which group offers the most defensible stance on the health effects of e-cigarettes?

Note: Websites are changed and upgraded frequently. The sites provided throughout this text are meant to be current; however, design changes may require you to investigate a site more thoroughly than originally assigned.

Atstateandlocallevels,citizensmayhavetheopportunitytogetmoredirectlyinvolvedinpolicymakingthroughreferendums,initiatives,orparticipationinpublichearingsandmeetings(Cronin1989),andperhapshavegreaterinfluence.Areferendumisalawpro-posedbyastateorlocalityforvoterstoapproveorreject.Aninitiativeismuchthesame,butagroupofcitizensorganizestheefforttoplaceitontheballot.Abouthalfthestatesallow citizen-generated initiatives.Naturally, the voters can better determinewhethertosupportoropposeaballotmeasureiftheyunderstandtheproposalanditspossibleeffects.Obtainingthatinformationanddevelopingasoundpositionontheissuesisoftenachallengefortheaveragevoter;itisalsoonereasoncriticsarguethatmanyinitiativesleadtobadpublicpolicy,especiallywheninsufficientthoughtgoesintothedraftingoftheproposalsorthepublicactsemotionally,orinresponsetomisleadingmediaadvertise-ments(Ellis2002).

Publicmeetingsaffordperhaps thegreatestopportunity toparticipatedirectlywithother citizensandpublicofficials to learnmoreabout localproblemsanddecidewhattodoaboutthem.Noticesofsuchmeetingsandhearingsarepostedinthelocalnews-paperoronpertinentwebsites.Thebox “WorkingwithSources:ThePublic’sPoliticalKnowledge”isanintroductiontoaprimarygovernmentsource.

(Continued)


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WORKING WITH SOURCESTHE PUBLIC’S POLITICAL KNOWLEDGE

As indicated throughout the text, the enormous amount of information available through websites makes citizen activism more feasible than ever before. After all, the potential for activism is facilitated by information as well as by individual motivation to get involved. Reliance on web sources, however, also presents a challenge: how to manage the huge amount of information.

The federal government’s site, USA.gov (www.usa.gov), is an official portal to U.S. government websites. The mission of the site is to make government more accessible and seamless and to make it easier for citizens to find the ser-vices they seek and to complete transactions online. The search engine devel-oped specifically for accessing such material is capable of sifting through a vast number of pages of information from national, state, and local governments in a fraction of a second.

A simple exercise indicates how useful USA.gov can be. Let’s assume you want to write to your senator and need to know his or her name and address. Go to the site, look under the “Government Agencies and Elected Officials” link, then select “Contact Elected Officials.” Click “U.S. senators” and choose your state, and you have the names and contact information for your two senators.

A more challenging illustration of how to navigate through USA.gov involves finding information about a public policy issue or general information. Try enter-ing “nutrition facts” into the search field. From here you can find information on how to use the Nutrition Facts Label.

Try to answer these questions:

• What is the Nutrition Facts Label, and why is it included on packaged food items?

• What is the Percent Daily Value?

• Where can you go to get information regarding food safety (use the search field)? What are the current recalls and alerts?


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Citizens’ Ability to Influence Policy Decisions

Theabilityofcitizenstoparticipateindecision-makingactivitiescanoftenleadtoinflu-enceoverthedecisionsthatresult.Policymakersandothersinvolvedinthepolicypro-cessneedinformationtounderstandthedynamicsofaproblemanddevelopoptionsforaction.Asweshowthroughoutthistext,whenexaminingpolicyalternatives,policymak-ersandotheractorsoftenmakeuseofpolicyanalysis.Themorethatcitizensareawareofsuchstudiesandtheirimplications,thebetterequippedtheyaretoplayaneffectiveroleinpolicymakingandhelptoshapethedecisionsthataremade.Oneofthemajorobjec-tivesofthistextistohelpreadersimprovetheircapacityforreadingandinterpretingsuchpolicystudies.

Wealsowanttobuildunderstandingofthepolicymakingprocessitselfandalertread-erstothemanyopportunitiestheyhavetomaketheirviewsknown.MostreadersmayrecognizethatCongresshaschiefresponsibilityformakingpublicpolicy.However,theymaynotbeasalerttothecriticalrolethatadministrativeagenciesplayinimplementingthelawsthatCongressenacts.WhethertheCentersforMedicareandMedicaidServicesintheU.S.DepartmentofHealthandHumanServicesortheOfficeforCivilRightsintheU.S.Department ofEducation, such agencieshave enormous influence overhowpro-gramsarerunandtheservicestheydelivertocitizens.Citizensmaybeparticularlyabletoinfluencegovernmentdecisionsatthestateandlocallevelswherepolicymakersandadministratorsareeasiertoreach.

Whetheratthenational,state,orlocallevel,citizenswhowishtobeeffectiveneedtobealerttothepoliticsofanygivensituation.Theyneedtoknowwhothemajorpolicyactorsareandthemotivesbehindthepositionstheytake.Weprovidemanyexamples in thechaptersthatfollow.Asimpleoneconcernsreformofthehealthcaresystem.SomeonewhowantstochangeitmustrecognizetheinterestsoftheAmericanMedicalAssociation,aprofessionalorganizationandinterestgrouprepresentingtheinterestsofdoctors,vari-oushealthinsurancecompaniesandtheirtradeassociations,drugcompanies,hospitals,public interestgroups,andothers.All theseorganizationshavestrongviewsonhealthcareanditspotentialreform,caneasilybemobilizedtocontactpolicymakers,andcanalsomobilizevoterstocontactpolicymakersorvoteinaparticularwayinanelection.Notsurprisingly,membersofCongressandotherpolicymakerstendtopayattentiontotheseentitiesandtaketheirpositionsintoaccount.

THE CONTEXTS OF PUBLIC POLICY

Publicpolicyisnotmadeinavacuum.Itisaffectedbysocialandeconomicconditions,prevailingpoliticalvaluesandthepublicmoodatanygiventime,thestructureofgovern-ment,andnationalandlocalculturalnorms,amongothervariables.Takentogether,thisenvironmentdetermineswhichproblemsrisetoprominence,whichpolicyalternativesreceiveseriousconsideration,andwhichactionsareviewedaseconomicallyandpoliti-callyfeasible.Someaspectsofthepolicyenvironment,suchastheU.S.systemofsepara-tionofpowersandthenation’sfree-marketeconomy,arerelativelystable.Others,suchaswhichpartycontrolstheWhiteHouseandCongress,thepublicmoodorpoliticalclimate,andmediacoverageofpolicy-relateddevelopments,canvaryconsiderablyovertime.To


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underscorehowthesevariablesshapethepolicymakingprocess,weofferabriefdescrip-tionofthesocial,economic,political,governing,andculturalcontextsofpublicpolicy.

Social Context

Socialconditionssuchasdemographics,orthecompositionofapopulation,affectpolicydecisions inmyriadways,as isevident incontroversiesoverphenomenaasdiverseasearlychildhoodeducation,childhunger,therisingcostsofMedicareandSocialSecurity,and immigration.Moreover, social conditions are dynamic, not static. Thepopulationchanges because of immigration, growth in nontraditional households, and lower orhigher birthrates.These social changes in turn alter how thepublic andpolicymakersviewandactonproblemsrangingfromcrimetotherisingcostofhealthcare.Today,forexample,seniorcitizensmakeupthefastestgrowingsegmentofthecountry’spopulation.Theirneedsdifferfromthoseinothercohorts—oragegroups—ofthepopulation,andtheyaremorelikelythanyoungercitizenstodemandthatgovernmentpayattentiontothem.OnecriticalconcernisSocialSecurity.Astheelderlypopulationincreases,policymakersfacedifficultchallenges,particularlyhowtheycanensurethesystem’ssolvencyasgreaternumbersofpeoplebegintodrawbenefitsandasmallernumberpayintothesystem.Fiftyyearsago,SocialSecuritywasagovernmentprogramthatposednospecialrisktobud-getaryresources.Now,however,publicofficialsrecognizethattheymustfindpoliticallyandeconomicallyrealisticwaystodealwithanagingpopulationandtheretirementofthebabyboomgeneration,thoseAmericansbornbetween1946and1964.

Howcitizensrelatetooneanotherintheircommunitiesalsoinfluencespublicpolicy-making.Citypolicymakershavebeentryingtoreclaimtheirdowntownareasandmakethemmorevibrantandadestinationplace.Theseeffortshavehadsomesuccessasmorepeopleareseekingoutthesemoreurbanlivingcommunities.Evenso,doeffortsofurbanrenewalandreclamationforceoutlower-incomepeoplewhocannolongeraffordhousingorrentalprices?Docitiesprovideadequateservicesforthesecommunities,ordofolksneedtodriveouttothesuburbstopurchasegroceries?Whatistheappropriatebalancebetweenresidentialandcommercialdevelopment,andshouldtaxincentivesbeusedtoencouragebusinessestolocateintheseareas?Theseperspectivescanalsoaffectpublictransportationandenvironmentalpoliciesasquestionsareaskedabouttheneedformasstransit(suchaslightrailsystemsthatservecitiesandtheirsuburbs)ortobuildnewhigh-waysorfurtherexpandexistingones.Someofthesetrendshavepromptedpublicofficialsatalllevelsofgovernmenttothinkmoreaboutthe“livability”orsustainabilityoftheircommunitiesoverthenextfewdecades(K.Portney2013).

Economic Context

Thestateoftheeconomyalsohasamajorimpactonthepoliciesgovernmentsadoptandimplement.Economicpolicydealswith inflationandunemployment,but theeconomyitselfaffectsthedevelopmentofmanyotherprograms.Forexample,astrongeconomyoftenleadstolowerunemployment,whichinturnreducestheneedforunemploymentbenefits,jobtrainingprograms,andcomparableassistance.Weakereconomiesoftenleadtodifferentkindsofdecisions.Forexample,inresponsetoaweakeconomyandlimited


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Social contexts influence policy development.

Among the social contexts that influence public policy development

is the diversity of the American population,

which has been enriched by immigration over

the years. Immigration became a key issue in the 2016 presidential campaign, with little agreement between the two parties. The

photo shows Rutgers University students at a rally in opposition to Republican president-

elect Donald J. Trump’s proposed policy initiatives

regarding immigration and the deportation of

criminal undocumented immigrants.

Albin Lohr-Jones/Pacific Press/LightRocket via Getty Images

revenues,stategovernmentsmadedifficultdecisionsregardingtheirfinancialsupportforpublichighereducation.Theexample illustrateshowachange ineconomicconditionscanaffectthedynamicsofpublicpolicymaking.AstheUnitedStatesshifts fromatra-ditional industrialeconomytoonebasedonprovidinginformationandservices,manysimilarimpactsonpublicpolicywillbecomeapparent.

Anotherwaytoappreciatetheinfluenceoftheeconomiccontextistoconsiderbud-getarypolitics.TheUnitedStatesoftenhasadeficit,withthegovernmentspendingmoremoneythanitcollectsintaxesandotherrevenues.Congresstriedformanyyearsinthepast to control or reduce the deficit, including a proposed constitutional amendmentmandatingabalancedbudget.Hypothetically,deficitsareaconcernbecausetherewouldnotbeanymoney topay fornewpolicy initiatives.Norcouldgovernmentcontinue tofundprogramswithoutincreasingtaxes,alwaysapoliticallyunattractiveoption.

ThedeficitdecreasedtowardtheendoftheClintonadministrationbutincreasedagainduetopoliciesoftheGeorgeW.Bushadministration,whichsawamajortaxcutcom-binedwithabroadeconomicslowdownin2001and2002andtheeconomictolloftheSeptember11,2001,attacks.By2009thedeficitrosetoover$1.4trillion,althoughbyfiscalyear2015itfellto$438billionpartiallyduetopoliciestoreducespendingandraiserevenueandtothesloweconomicrecovery.ButthedeficitshaveincreasedagainduringtheTrumpadministration,withfiscalyear2019projectionssuggestingadeficitof$896billionandariseto$1.3trillionby2029.13Atthefederalandstatelevels,policymakersstruggledoncemorewithtoughdecisionsonspendingprioritiesandbudgetcuts,achal-lengethatiscertaintocontinueforyears.


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Political Context

Itisimpossibletounderstandpublicpolicywithoutconsideringpolitics,whichaffectspub-licpolicychoicesateverystep,fromtheselectionofpolicymakersinelectionstoshapinghowconflictsamongdifferentgroupsareresolved.Toappreciatethepoliticalcontext,onemustbeawareoftherelativestrengthofthetwomajorparties;theinfluenceofminorpar-ties;ideologicaldifferencesamongthepublic,especiallythemoreattentivepublicssuchascommittedliberalsandconservatives;andtheabilityoforganizedinterestgroupstoexertpressure.Itisequallyimportanttoconsiderhowmuchinterestthepublictakesinthepolit-icalprocess,itsexpectationsforwhatgovernmentoughttodo,andtheleveloftrust,confi-dence,andfrustrationithasingovernment.Forexample,bothintheUnitedStatesandinotherindustrializednations,therehasbeenanotableerosionofpublictrustingovernmentinrecentdecades(Dalton2004),typicallybecauseofhistoricaleventssuchastheVietnamWar,theWatergatescandal,orgovernmentinactionthatcalledgovernmentactivitiesintoquestion.SomesupportersofPresidentTrumpquestionedwhat theyperceive tobe theever-increasingsizeandpowerofgovernment,particularlyinrelationtofederaleffortstoaddressthestrugglingeconomythroughneweconomicstimulusmeasuresandapprovalin2010ofthecontroversialAffordableCareAct.Thistrendaffectsnotonlythewaypeoplearelikelytojudgegovernmentprogramsandwhatpublicofficialsdobutalsothewaythepresscoverspublicpolicydebatesandactions.Italsoleadstolesstraditionalcandidatesattract-ingpublicsupportintheircampaignsforthepresidency,suchasDonaldTrumpandBernieSandersdidin2016,andinthecaseofTrumptobeingelectedpresident.

Inaddition,itismoreandmoreevidentthatDemocratsandRepublicans,liberalsandconservatives,holdsharplydifferentviewsaboutthelegitimacyofgovernmentactionandwhichpoliciesareacceptabletothem.Duringthe1990s,partisandifferenceswidened,andonmanypolicyissues,ideologicalpolarizationbetweenthepartiesmadegovernmentactiondifficult.Thispolarizationandtheseeminglyendlessbickeringamongpoliticiansastheytrytoresolvetheirdifferencesandfindacceptablesolutionstosociety’sproblemsmakethepublicevenmorecriticalofgovernmentandthepoliticalprocess(HibbingandLarimer2005).Ifanything,thepolarizationdeepenedasthetwomajorpartiesfrequentlyfindthemselvesunabletoagreeonawiderangeofpolicyactions,leadingtofurtherpub-licdisenchantmentwithgovernmentandpoliticsandrecordlowassessmentsoftheU.S.Congress (MannandOrnstein2012;Persily2015;Thurber andYoshinaka2015).14Anexampleofthispolarizationandtheinabilitytofindcommongroundwasthesixteen-daygovernmentshutdown inOctober2013 thathighlightedsharpdifferencesbetween theparties,particularlyinrelationtotheAffordableCareAct,andarecord-breakingshut-downthatextendedintoJanuary2019overfundingforawallalongthenation’ssouthernborderwithMexico.AnotherwastheunwillingnessoftheRepublican-controlledSenatetoholdhearingsonPresidentObama’snominationofJudgeMerrickGarlandtoreplaceJusticeAntoninScalia,whodiedinFebruary2016.

Ideologicaltermssuchasliberalandconservativeareoftenusedbythepublictomakesenseofpoliticsandpolicy.Thestudentofpublicpolicyneedstorecognize,however,thatthesepoliticallabelsarenotalwaysreliableguidestopredictingspecificpolicypositions.Thatis,itissimplistictoassumethatconservativesalwayswantsmallergovernmentandthat liberals alwaysprefer theopposite.Most conservativesargue for less governmentintrusionintotheeconomyanddecisionmakingwithinbusinessandindustry,butthey


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often favor a strong government role to achieve certain social goals, such as reducingcrimeorbanningabortionsandgaymarriages.Liberals,ontheotherhand,rallyagainstgovernmentthreatstocivillibertiesandindividualrightsbutareamongthefirsttocallforgovernmentregulationofbusinessactivitytoprotectconsumersandworkers,ortocontrolairandwaterpollution.AnexampleofthisincongruencewasastatementfromtheTrump administration inAugust 2018 that perhaps internet sites such asGoogle,Facebook,andTwittermayneedtoberegulatedbecauseofallegations,largelyunproven,thattheyhavesuppressedconservativeviewsandnewssupportiveoftheadministration.15 Thisapparentembraceofregulationwouldseemtoruncountertoearlierstatementsandpoliciesregardinganeedtosignificantlyreducethenumberof federalregulationsandtheirintrusionuponprivatebusiness.

Party labels themselvesmaybepoor indicatorsofpositions takenonpolicy issues.Although lesscommonnow,within themajorpoliticalpartiesonecanfind ideologicaldifferencesamongmembers:someDemocrats,particularlysoutherners,maybeconser-vative,andsomeRepublicans,particularlythosefromtheNortheastorWestCoast,maybemuchmoremoderatethanmostintheirparty.Yettodaybothparties,particularlyintheU.S.Congress,tendtobemuchmoreideologicallycohesivethanwasthecaseseveraldecadesago.Thesameistruewithintheminoror“third”-partyorganizationssuchastheGreenParty,theLibertarianParty,ortheConstitutionParty(alsolibertarian).Whetheratthenationalorstatelevel,itisentirelypossiblethatvoterdisapprovalofthetwomajorpartiesmightleadtotheriseofsuchthird-partymovements.TheTeaPartymovementofthelate2000s,forexample,reflectedastronglyconservativestance,chieflywithintheRepublicanParty,and itdidverywell in the2010elections,andperhapschanged thedirectionoftheRepublicanParty.

BecausetheUnitedStateshasaweakpartysystem,individualpoliticiansnotonlyruntheirowncampaignsforofficebutalsopromotetheirownideas.Manyfeellittleobliga-tiontosupporttheofficialpartypositiononpolicyissues,especiallywhenelectoralforcesintheirconstituenciesdifferfromthoseinfluencingthenationalparty.Inthesamevein,thepoliticalcontextcanvarygreatlyfromonestatetoanother,orevenfromonecommu-nityinastatetoanother.Somestatesandcitiestendtofavorconservativepolicies,whileotherssupportliberalpolicies.Muchdependsonthealignmentofpartyandideologicalforcesintheparticularjurisdiction,inadditiontothesocialandeconomiccontexts.

AmongthepolicyimplicationsoftheprevailingpoliticalcontextintheUnitedStatesisthecontinualchallengeofreconcilingpartisanandideologicaldifferences.Policyactorswhocannotagreeonwhatactiontotakemaydecidetodonothing,allowingsocialprob-lemstocontinueunchanged;ortheymightreachatemporarycompromisethatfallsshortofanidealsolution.ItisnotatallunusualintheU.S.politicalsystemtoseeenactmentofsuchpolicycompromises,whichmaycontainbroadorvaguelywordedcomponents.Thedetails,wherethegreatestconflictsoftenoccur,areworkedoutlater,typicallybytherulemakersandmanagersintheexecutivebranchagencies.

Governing Context

TheU.S.governmentishighlycomplex,anditsstructurehasamajorimpactonpublic policymaking. The authority to act is widely dispersed among institutions and policy


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actors.Asaresult,thetimeneededtoresolvedifferencescanbelengthy.Inaddition,theinevitablecompromisesleadtopoliciesthatmaybelessfocusedorcoherentthanmanywouldwish.

TheseparationofpowersmandatedbytheConstitutionrequiresthatanypolicydevel-opedat thenational levelbeacceptable toamajorityofCongressandto thepresident.Policymakersinbothinstitutionsmustthereforefindcommonground.Inrecentdecades,thesearchforconsensushasbeendifficultbecauseofdividedgovernment,withonepolit-icalpartyincontroloftheWhiteHouseandtheotherincontrolofoneorbothhousesofCongress.Strongphilosophicaldifferencesamongpolicymakersovertheroleofgovern-mentandtheneedtosatisfydifferingpoliticalconstituenciesoftenmakethemunwillingtocompromise.Evenwithunifiedgovernment,astheUnitedStateshadin2009and2010,itcanbedifficulttoreachacompromise.Punditsoftentalkabouttheneedforafilibuster- proofSenate,whichwouldrequireasixty-seatmajorityofthepresident’sparty.Ifpolicy-makersdigintheirheelsanddonothing,outdatedandineffectivepolicieswillcontinueinforce,andconsiderationofnewandpossiblymoreeffectivepolicieswillnotprogress.

UndertheU.S.politicalsystem,thefederalgovernmentandthestatessharegovern-ingresponsibilities.PriortotheNewDeal,theseinstitutionshaddefinedareasofgover-nance.Thesituationislesscleartoday;moreoftenthannot,stateandfederalgovernmentresponsibilitiesoverlap.Forexample,stategovernmentstraditionallywereresponsibleforeducationpolicy,butsince1960thefederalgovernmenthasbecomemoreinvolvedineducation.Itprovidesbillionsofdollarsineducationgrantstostateandlocalgovern-mentsandsubsidizesstudentloanprogramsinhighereducation,butthefundscancomewithmanystringsattached.Morerecent legislation,suchasNoChildLeftBehindandRacetotheTop,increasesfederalinvolvementineducationpolicybypushingforeval-uationofsuccessinthenation’sschools, includingsettingstandardsforwhatstudentsshouldknowandprovidingincentivestoreformstateeducationalsystems.Morerecentefforts, suchasadopting theCommonCoreStateStandards,highlight concernsaboutstandardsbeingsetcentrallyandforallstatestofollow.

Inadditiontooverlappingresponsibilities,thestatesandthefederalgovernmentfaceotherproblemsofdividedauthoritythatarisewhenfederalandstateagenciestrytodeter-minewhattheyneedtodotoputapolicyintoeffect.Sometimes,thefederalgovernmentiswillingtosharegoverningresponsibility,butnotmoney.Forexample,thefederalgov-ernmenthasgrantedauthoritytothestatestoimplementmanyenvironmentalprograms,suchasthosefallingundertheCleanWaterAct,butthestatessaythatthefundsfromWashingtonareinsufficienttocoverthecostsoftheirnewduties,creatingwhatmanycallunfundedmandates.Itisclearthatthestateshavealargerroletodayinthedevelopmentand implementationofpublicpolicy.Stateand localgovernmentshavebeen forced tostepintofillthegapleftbyashrinkingorinattentivefederalgovernment.Thisdevolu-tionofauthoritytothestatesprovidesopportunitiesforinnovation;however,itmayalsoproducea“racetothebottom”asstatescompetewithoneanothertosavemoney.Theevidenceontheeffectsofsuchdevolutionismixedtodate(Donahue1997;Rabe2019).

Americanssometimescomplainthat“governmentcan’tgetanythingdone.”InlightofthecomplexityoftheU.S.governancestructure,withitsoverlappingresponsibilitiesandpoliticaldisagreements,amoreaccuratestatementmightbethatitisaminormiraclethatpoliciesgetenactedandimplementedatall.


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Cultural Context

Political culturereferstowidelyheldvalues,beliefs,andattitudes,suchastrustandcon-fidenceingovernmentandthepoliticalprocess,orthelackthereof.Politicalculturealsoincludescommitmenttoindividualism,propertyrights,freedom,pragmatismorpractical-ity,equality,andsimilarvalues,someofwhicharedistinctlyAmerican.Thesevaluesareacquiredthroughaprocessofpoliticalsocializationthattakesplaceinfamilies,schools,andsocietyingeneral,andthatattimesseemstoreflectpopularcultureandtelevision(Putnam1995,2000).ScholarshavefoundthatsuchpoliticalculturesvarynotonlyfromnationtonationbutfromstatetostatewithintheUnitedStates,andevenfromonecommunitytoanother,asonemightexpectinadiversesociety.Theseculturaldifferenceshelpexplainthevariationinstate(andlocal)publicpoliciesacrossthenation(Elazar1984;Lieske1993)andaccountforsomeofthedifferencesinvotingbetween“red”states(Republican)and“blue”states(Democrat).Differingpoliticalcultures,particularlyinruralareas,wereonereasongivenforDonaldTrump’spresidentialvictory.Youcanseehowpoliticalcultureleadstodifferentpoliciesandperspectives inguncontrolpolicy.Somestates,suchasTexasandWyoming,have somewhat limited gun control policies compared to states such asNewYork.Anotherexampleincludespoliciesregardingtherecognitionofsame-sexmarriages,wherecertainstateshavebeensupportive (Vermont,Maine,Minnesota,andNewYork)whileothershavenotbeen(Alabama,Kansas,Wisconsin,andUtah).

Recurringbattlesoverfamilyplanningprograms, immigration,abortionrights,andinternationalpopulationpolicyreflectculturalconflicts,especiallyovertheroleofwomenin society, that have yet to be resolved. These kinds of value conflicts have translatedintoconstraintsonpolicymaking.Whilenotanewissue,partisanshipismoreapparentthanbeforeatboth the stateandnational levels.MembersofCongresshaveobservedthatpartisanrancor,ideologicaldisputes,anddecreasedwillingnesstocompromiseonpolicy issueshavemadepolicymaking farmoredifficult than itwasonlyadecadeago(Davidson,Oleszek,Lee,andSchickler2020).Asaresult,governmentoftenfindsitselfdeadlocked,completelyunabletodealeffectivelywithissues.Theinabilitytosolvepublicproblemsfurthererodesthepublic’strustingovernmentanddiminishesitswillingnesstogetinvolvedinthepoliticalprocess.16

THE REASONS FOR GOVERNMENT INVOLVEMENT

Whenthepublicandpolicymakersbelievethatgovernmentneedstointervenetocorrectasocialproblem,theycreateoralterpolicies.Butthisdoesnotmeanthematterissettledper-manently.The rationales offered for government involvement inpublicpolicywerehighlycontestedinthepast,andtheycontinuetobetoday.Theargumentsforandagainstgovern-mentinterventionintheeconomyandinpeople’slivesdrawfrompoliticalphilosophiesandideologies,specificbeliefsaboutpolicyneeds,andthepositionsthatareadvocatedbypoliti-calpartiesandinterestgroups.Theseargumentsoftenareadvancedduringtheprocessesofagendasetting(todiscourageorencourageaction),policyformulation(wherethespecificformofinterventionisdesigned),orpolicylegitimation(wheretherationaleforinterventionmaybedebated).Thethreeleading,andsomewhatoverlapping,rationalesforgovernmentinterven-tionarepoliticalreasons,moralorethicalreasons,andeconomicsandmarketfailures.


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Political Reasons

Thepublic andpolicymakersmaydecide that government should intervene to solve aproblem for political reasons. The reasons vary, but often they reflect a notable shiftin public opinion or the rise of a socialmovement pressing for action.After the 1954SupremeCourtdecisiononpublicschoolsegregation inBrown v. Board of Education of Topekaandtheriseofthecivilrightsmovement,forexample,thefederalgovernmentbegantoactoncivilrights.PresidentLyndonJohnsonpersuadedCongresstoadoptnewpolicies to prevent discrimination againstminorities, including theCivilRightsAct of1964.Inthe1960s,thefederalgovernmentbegantheMedicareprogramaftermorethantwentyyearsofpublicdebateinwhichcriticsarguedthatsuchactionswerenotlegitimateforgovernmentandthattheyconstitutedasteptoward“socializedmedicine.”Duringthe1960sand1970s,thefederalgovernmentalsosubstantiallyincreaseditsinvolvementinconsumerprotection,automobilesafety,andenvironmentalprotectionbecauseofrisingpublic concern about these issues.More recently, sensing a shift in the political envi-ronmentregardingconcernsaboutsame-sexmarriage,manystates (Washington,NewYork,andVermont,amongothers)enactedlegislationlegalizingsuchmarriages.TheU.S.SupremeCourtruledin2015thatsame-sexmarriagewasconstitutionallyprotected,andbythattimesomethirty-sevenstateshadlegalizedit.17

Moral or Ethical Reasons

Inadditiontothepowerofpublicopinionorasocialmovement,certainproblemsandcir-cumstancesmaydictatethatgovernmentshouldbeinvolvedformoralorethicalreasons.Inotherwords,governmentactionisseenastherightthingtodoevenwithoutpublicpressure.Someportionofthepopulationormembersofanorganizedinterestgroupmaybeunwillingtowitnesssufferingfrompoverty,hunger,orhumanrightsabuses,eitherathomeorabroad,andwantthegovernmenttodosomethingaboutit.Theymayjoingroupstolobbypolicymakersorcontactthemdirectlytopersuadethemtoact.

Therearemanyexamplesofgovernmentactingprimarilyformoralorethicalreasons.Aswediscussinchapter9,SocialSecuritywasadoptedtoensurethattheelderly,thedis-abled,andtheminorchildrenofdeceasedordisabledworkershadsufficientincomeandwouldnotsufferfromtheravagesofpoverty.DebateoverthefutureoftheSocialSecuritysystemcontinuesthismoralargument.SimilarmoralvaluesliebehindtheUnitedStates’long-standing support of familyplanningprogramsandeconomic assistance indevel-opingnations. These operations have beendefended as essential to promotingmuch-needed economic development that could rescue people from desperate poverty. TheBushadministrationofferedmanydifferent reasons for itsdecision in2003 to invadeIraq,butheretooparallelmoralargumentswereadvanced,includingtheneedtoremovedictatorSaddamHusseinfrompowerandtopromotethegrowthofdemocracyandfree-dominthatnation.ThemoralimperativeofensuringhealthcareforallwasaprimaryreasonofferedbysupportersoftheAffordableCareAct,orObamacare.Naturaldisastersoftensparksuchaninterestforgovernmenttostepintohelppeopleaffectedbyfloods,tornadoes,orotherevents,aswasparticularlyevidentfollowingthedevastationofcom-munitiessuchasHoustonandPuertoRicofromhurricanesin2017.


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Economics and Market Failures

Inapurecapitalistormarketsystem,mosteconomistswouldnotconsidertheplightoffamily farmerswho cannot competewith large agribusiness or the challenges that facemanyothersmallbusinessesalegitimatereasonforgovernmentintervention.Theywouldarguethatgovernmentintrusionintothemarketplacedistortstheefficiencywithwhichacompetitivemarketeconomycanallocatesociety’sresources.Insuchamarket,voluntaryandinformedexchangesbetweenbuyersandsellersallowthemtomeettheirneedseffi-ciently,especiallywhenlargenumbersofpeopleareinvolved,sothatthemarketoperatesfairly.Inthisworld,competitionsetsthefairmarketvalueonhouses,cars,andothergoods.

Economistsacknowledge,however,thatasituationknownasmarket failurewarrantsgovernmentintervention.Amarketfailureoccurswhentheprivatemarketisnotefficient.Marketfailuresfallintofourtypes:theexistenceofmonopoliesandoligopolies,externali-ties,informationfailure,andinabilitytoprovideforthepublicorcollective good.

Amonopolyoroligopolyexistswhenoneorseveralpersonsorcompaniesdominatethemarketandcancontrolthepriceofaproductorservice.Examplesabound.Itisararecommunitythathasmorethanonecabletelevisionoperatororelectricpowercompany.Monopoliesof thiskindarecalled“natural”or“technical”because theyareessentiallyunavoidable.TherewouldbelittlesenseinhavingmultiplecableTVoperatorsorpowercompaniesinanaverage-sizedcityifgreaterefficiencycanbeachievedbyhavingasinglecompany invest in thenecessary infrastructure.Governments usually accept this kindofmonopolybutinstituteregulationstoensurethatthepublicistreatedfairly.Yetthebalancebetweengovernmentregulationandeconomicfreedomforthemonopolyisthesubjectofongoingdebate.

Externalitiesarethedecisionsandactionsofthoseinvolvedinthemarketexchangethataffectotherparties,eithernegativelyorpositively.Anegative externalityoccurswhentwoparties interact inamarketand,becauseof that interaction,athirdparty isharmedanddoesnotgetcompensation.Pollutionisanegativeexternality.Forexample,consumersenterintoanagreementwiththeutilitytoprovideelectricity.Intheabsenceofgovernmentregulation,theutilitymaydecidetousetheleastexpensivefuel,mostlikelycoal.Whencoalisburned,itsendspollutantsintotheatmosphere,whichsettledown-windandmaycausehealthproblemstoathirdparty.Thethirdparty,notthetwopartiesinteractingintheelectricitymarket,paysthecostsofthosehealthproblems.Ideally,thehealthcarecostsassociatedwithelectricityproductionwouldbeconsideredpartofthecostofproduction,andgovernmentinterventionmayensurethatthishappens.Throughenvironmental regulation, thegovernment requiresutilities to installpollutioncontroltechnologyontheirplantstolimittheamountofpollutantsemitted.

A positive externalityoccursthesamewayasanegativeexternality,butthethirdparty gains something from the two-party interactionanddoesnothave topay for it.Highereducationisapositiveexternality.Somepolicymakersarguethatbecausesocietybenefitsfromawell-educatedpopulation,itshouldbewillingtoprovidefinancialsupporttoencouragepeopletocontinuetheireducation.Manystategovernmentssubsidizehighereducationtuitionfortheirlocalinstitutions—admittedlyatasignificantlylowerlevelnowthaninthepast.Forexample,NewYorkimplementeditsExcelsiorScholarshipprogram,which provides “tuition awards to eligible students attendingNewYork State’s publiccollegesanduniversities(SUNYandCUNY).”Alongwithotherfinancialaidprograms,


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thescholarshipallowsqualifiedstudentstoattendcollegetuition-free.StudentsqualifyforExcelsioriftheirfamily’scombinedfederaladjustedincomefallsbelow$125,000(in2019–2020).18 Studentsmustmaintain good standing in school and complete at leastthirtycreditsayear.19 Inessence, thisbenefit increases students’ incomesandenablesthemtoaffordmoreschooling.

Information failureisthethirdkindofmarketfailure.Accordingtothetheoriesofmarketoperation,tohaveperfectcompetition,willingbuyersandsellersmusthavealltheinformationneededtoenterintoatransactionorexchange.Whentheinformationisnotfullyoreasilyavailable,amarketfailuremayoccur.Attimes,theconsumers’lackofcomplete informationaboutaproductorservicedoesnotpresentamajorproblem:consumerscanadjusttheirbuyingbehavioriftheybelievethereissomethingwrongwiththegoodsorservicestheypurchased.Whenthelackofinformationleadstheconsumertosuffersignificantfinancialorpersonalloss,thegovernmentmaystepin.Aclearexampleof suchgovernment intervention is its regulationofprescriptionandover-the-counterpharmaceuticals.Withoutgovernment,consumerswouldfinditimpossibletofigureoutwhethermedicaldrugsaresafeandeffective.ThefederalPureFoodandDrugActof1906established themodern FDA and authorized it to test proposed drugs to ensure theirsafetyandefficacy.TheFDAandUSDAmayissuepublicwarningsorrecallsoffooditemsthatmaycausesickness,suchasalertsprovidedforcertainvarietiesofGoldfishcrackersand saladsandwraps soldat stores suchasTraderJoe’s andKroger in2018,and forromainelettucenationwideinlateNovember2018.Afourthkindofmarketfailureoccurswhenmarketscannotprovideforthepublicgood,alsocalledthecollectivegood.Apublicorcollectivegoodisdefinedbytwocriteria:theabilitytoexcludesomeonefromgettingthegoodandtheabilitytojointlyconsumethegood.ExclusionwithintheU.S.economytypicallyoccursthroughpricing.Ifanindividualcanchargeforagoodorservice,thenheorshecanexcludesomeonefromgettingit.Goodsthatcanbejointlyconsumedarethoseinwhichoneperson’sconsumptiondoesnotpreventanotherfromalsoconsumingit.Thetwocriteriacanbedisplayedasatypology(seeFigure1-1)ofprivategoodsandpublicgoodsthatclarifiestherangeofwhatanalystscallcollectivegoods.

Exclusion IsFeasible

JOINT CONSUMPTIONNO JOINT CONSUMPTION

1Pure private goodsExamples: computers, automobiles, houses

3Common pool resourcesExamples: air, water, grazing land, oceans, fisheries, wildlife

Exclusion IsNot Feasible

2Toll goodsExamples: cable TV services, electrical utilities

4Pure public goodsExamples: national defense, public parks

figure 1-1 Private Goods and Public Goods


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A pure private good,asdefinedinthefigure,referstoagoodthat isprivateandforwhich there isnomarket failure. It represents thenormal,day-to-day interactionsbetweentheprivatesectorandconsumers.Theotherthreekindsofgoodsrefertononpri-vateorpublicgoods,andtheysignalconditionsthatmayrequiregovernmentinterven-tiontoalleviatethemarketfailure.

Toll goodscanbejointlyconsumed,andexclusionisfeasible.Anobviousexampleisautilitysuchaselectricityorcableservices.Oneperson’suseofcableservicesdoesnot preclude another person’s use, but a cable company’s charges may exclude low- income individuals. Earlier, we identified such goods as naturalmonopolies. To keepessentialservicesaffordable,governmentintervenesbyregulatingprices.Foryearspublic utilitycommissionsregulatedpricesthatelectriccompaniescouldchargetheirconsumers. Experimentsinelectricitymarketderegulationhavetriedtocreatemorecompetitionandchoicesforconsumers,buttheyhavenotalwayssucceeded.

Common pool resourcesaregoodsthatcannotbejointlyconsumedandforwhichexclusionisnotfeasible.Forexample,environmentalscientistswriteabouta“tragedyofthecommons,”whichcomesaboutfromuseofnaturalresourcessuchasair,water,graz-ingland,fisheries,andthelike.Thetragedyisthateachindividualseekstomaximizehisorheruseofthecommonpoolresourceswithoutregardtotheirdegradationordepletionbecausenooneownsthem.Suchindividualbehaviormayleadtothelossoftheresourcesforall,evenwheneachpersonwouldbenefitfromtheircontinueduse.Toensurethepres-ervationofthesesharedgoods,governmentintervenes.Itrequiresindividualstohavealicensetofish,whichmayprecludesomefrompartakinginthegood,butthefundsraisedthrough the licensing fee canbeused to restock thefishery.Governmentmayalso setcatchlimitsondifferentspeciestopreventoverfishing,anditrequiresrancherstopayafeetoallowtheircattletofeedonpublicgrazingland.Forcommonpoolresources,gov-ernment’sroleistodeveloppoliciestoensuretheircontinuanceorsustainability.Withoutgovernment,thepublicwouldlikelydepletethesegoods.

Finally,pure public goodscanbejointlyconsumed,andexclusionisnotfeasible.Theywouldnotbeprovidedatallwithoutgovernmentinterventionbecausetheprivatesectorhasnoincentivetoprovidethem.Nationaldefenseandpublicparksareexamples.Forthesekindsofgoods,governmentinterventionisnecessarytoensurethegeneralpub-lichasthem.

These three reasons for government intervention—political,moral and ethical, andeconomicormarketfailure—arenotexhaustive.Otherreasonsmaypresentthemselves,andthesethreemaynotbemutuallyexclusive;thatis,policymakersmayfavorgovern-mentactionforoneormorereasonsatthesametime.Thereasonsalsomaychangeovertime:policiesareadoptedandchangedinacontinuouscycle,whichispartofsociety’sresponse to public problems and efforts tofind solutions.Government intervention issimplyoneoftheseoptions.Whensuchinterventionnolongerworksornolongermakessense,policiesmaybechangedinfavorofprivateactionorfreemarketsonceagain.Muchof themovement towardderegulationoffinancialmarkets in the 1980sandof energymarkets in the late1990sreflectedsuchviews.Theadverseconsequencesofderegula-tion surrounding thefinancialmarketspromptedanew roundofpublicdebate in thelate 2000soverwhat kindof government interventionbest serves thepublic interest.CongressenactedtheDodd-FrankWallStreetReformandConsumerProtectionActin


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2010asaresultofdiminishedfaithintheabilityofWallStreetfinancialinstitutionstolimitthekindsofriskyinvestmentsthatcontributedheavilytothenationalandglobaleconomicturmoilof2008and2009.

THE PRACTICE OF POLICY ANALYSIS

Thereisonelasttopicwewouldliketointroduceinthischapter.Thisisthevalueofpolicyanalysisasawayofthinkingaboutpublicpolicy.Aswenotedearlier,policyanalysisisusuallydescribedasasystematicandorganizedwaytoevaluatepublicpolicyalternativesorexistinggovernmentprograms.Often it involvesapplyingeconomic toolsandotherquantitativemethodsormeasures (BardachandPatashnik2016).Policy analysismaythereforeseemtosomestudentsofpublicpolicytoholdlittlerelevancetoanyoneexceptpolicyspecialists,butinrealityeveryoneusessuchanalysisinmanyday-to-dayactivities.Buyingacar,selectingacollegecourse,ordecidingonarestaurantfordinnerallrequirethinkingabouttheprosandconsassociatedwiththeavailablechoices,includinghowtospendmoney.

The Many Uses of Policy Analysis

Policy analysis can be used throughout the policy process, but it becomes especiallyimportantintheformulationofpoliciesandevaluationofprogramsaftertheyareimple-mented.Inassessingapublicproblem,policyanalysismayassistindescribingitsscope,

AP Photo/Mark J. Terrill

Market failure and food safety. The United States experiences an unusually high number of food contamination scares. The photo shows romaine lettuce sitting on produce shelves following a November 2018 warning from health officials in the United States and Canada telling people to stop eating romaine lettuce because of a new E. coli outbreak.


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suchasthepercentageofpublicschools thatare failing.Whendevelopingalternativesandchoosingadirection,adecisionmakercanuseanalysis toassess the feasibilityofthechoicesbasedoneconomic,administrative,political,andethicalcriteria.Thesamemethodscanbeusedtoevaluateaprogramtodetermineitseffectivenessorwhetherithasachieveditsexpectedresults.

Inshort,policyanalysisrepresentsanattempttodissectproblemsandsolutions inwhatisusuallydescribedasarationalmanner.Bythis,practitionersmeanthattheybringinformationandsystematicanalysistobearonpolicyissuesandtrytoshowhowagivensetofgoalsandobjectivesmightbeachievedmostefficiently.Someanalystsrefertothisas“evidence-basedpolicy.”20Publicpolicygoalsandobjectivesareusuallydeterminedinapoliticalprocess—forexample,howmuchthegovernmentiswillingtopayforhealthcareservicesfortheelderly—butanalysiscanhelppolicymakersweighcompetingideasabouthowbesttodeliversuchservices.

Policyanalystsarguethattheirsystematicanalysesshouldbegivenseriousconsider-ationasacounterweighttothetendencyofpublicofficialstomakepolicychoicesbasedontheirpartisanpositions,ideology,orsupportfromimportantconstituenciesandinter-estgroups.Theypointtoinconsistenciesinpublicpolicyortowhatsomewoulddescribeasunwarrantedorinefficientpolicyactions.Forexample,whydoesthefederalgovern-mentgive subsidies to farmersgrowing tobaccowhile it also tries to reduce smoking?WhydoesCongresscontinuetosubsidizeminingandtimberharvestingonpubliclands,whichcausesenvironmentaldamageandcoststaxpayersmorethantherevenuestheseactivitiesearn?WhydomembersofCongressvotetospendpublicmoneyonprojectstheyfavor(suchasahighwayorbridgeintheirdistrict,ordefenseinstallations)andatthesametimecomplainaboutthegovernment’swastefulspending?Theanswersliemostlyininterestgroupandconstituencypressuresthatelectedofficialsfinddifficulttoresist,particularlywhenthepublicfailstotakeaninterestinsuchdecisions.

Citizens’ Use of Policy Analysis

Ordinarycitizensandorganizationsalsocanbenefitfrompolicyanalysis.Citizenswithaninterestinpublicpolicyorthepoliticalsystemmaymakedecisionsbasedontheirgen-eralpoliticalviews;forexample,liberalsusuallyfavorgovernmentregulationtoimprovetheenvironment.Butmostpeoplewouldunderstandthebenefitofafocusedstudyofaparticularprogramorproposalthatputasidepersonalpoliticalviews.Perhapsthelib-eralenvironmentalistwillcometoquestionwhetherregulationisthebestwaytoachieveenvironmentalgoals.Aconservativemightbemovedtoreassesswhetherstringentlawsthatputfirst-timedrugoffendersinprisonforyearsmakesensegiventheveryhighcostofincarceration.

It is not unusual for individuals or interest groups to use information developedthroughpolicyanalysistoreinforcetheargumentstheymaketogovernmentpolicymakers. Anorganizationwilloftendangleitslatestresearchoranalysistoconvincepolicymakersthatthegroupiscorrectinitsbeliefs.Forexample,thefollowinginformationwasgath-eredfromthewebsiteoftheEnvironmentalDefenseFund(EDF)(www.edf.org),discuss-inghumanresponsibilityforclimatechange.Theinformationonthewebsitequotedthe2013IntergovernmentalPanelonClimateChangereport:


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� 95percent—thescientificcertaintythathumansaretoblame

� 3feet—theamountsealevelscouldriseifclimatechangecontinuesunabated

� 7.2degreesFahrenheit—thehighestpredictedsurfacetemperatureincrease by2100

Bycitingthesepresumablyobjectivestatistics,theEDFhopestomovethedirectionofclimatechangepolicytowardmoredirectactiontoreducegreenhousegases.

TheEDF’sopponentsinthebusinesscommunityorthefossilfuelindustrywillcircu-lateinformation,sometimesfromthesamestudies,thatbolsterstheirargumentsabouttheuncertaintyof theclimatechangescienceand thehighcosts imposedonsociety ifpolicies and regulations are overly restrictive. It is not unusual for groups opposed toclimate changepolicy or other environmental issues toquestion the scientificbasis ofthestudies,orraisetheissuesofcoststocomply,andthuscallintoquestiontheneedforrestrictiveaction.

Presentedwithconflictingassumptionsandinterpretations,studentsofpublicpolicyneedtobeawareofthesourcesofinformationandjudgeforthemselveswhichargumentisstrongest.Thisbookprovidesthetoolsandtechniquestohelpstudentsmakeinformedjudgments.Inparticular,chapters4through6coverthemajorapproachestopolicyanal-ysis and someof themethods, such as cost-benefit analysis and risk assessment, thatmakeclearwhatthestudiessayandhowthefindingsrelatetopolicychoice.

Forpolicymakers,policy analysis is an essential tool for thedevelopmentofpublicpolicy and its evaluation.For citizens interested inpublic affairs, it provides away toorganizethoughtsandinformationtobeabletobetterunderstandthealternativespre-sentedandthepossible implicationsofthesechoices.Individualsdonothavetoknowhowtoconductcomplexeconomicanalysistorecognizetheimportanceofusingawiderangeof informationwhenmakingdecisions; they justneed tobeable to thinkaboutproblemsandsolutionsfromdifferentperspectives.Thebox“StepstoAnalysis:HowtoInterpretPolicyStudies”offerssomesuggestionsforhowtointerpretthepolicystudiesyouencounter.

STEPS TO ANALYSISHOW TO INTERPRET POLICY STUDIES

Policy analysis is pervasive and critically important for the policymaking pro-cess at all levels of government. To determine which studies are credible and which are not, and which might be used as a basis for making policy decisions,

(Continued)


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How to Decide Which Policy Is Best: Using Multiple Criteria

Astheexamplescitedinthissectionsuggest,muchofthecontroversyoverpublicpolicy,frominternationalaffairstoprotectionofpublichealth,reflectsconflictsoverwhichval-uesaremostimportant.Doesprotectionofnationalsecuritywarrantsomeinfringementonindividualrights?Ifso,towhatextent?Shouldwecontinueorexpandpublicprograms(suchassupportofhealthcareservicesunderMedicaid)evenwhentheybecomeverycostly?ShouldwebuildawallontheMexicanborderasawaytocombatimmigrationconcernsregardlessofcostoreffectivenessinlimitingillegalentryintotheUnitedStates,orshouldcostandeffectivenessplaynoroleinthisdecision?Whenprogramsinanyarea(suchasnationaldefense,agriculturalsubsidies,environmentalprotection,orthewaronterrorism)arenotaseffectiveastheyshouldbe,shouldweendthem,oratleastchangethemsotheyarelikelytobemoreeffective?

Allthesequestionssuggestthatcitizens,analysts,andpolicymakersneedtobeawareofthemultiplecriteriathatcanbeusedtojudgethemeritorvalueofgovernmentpoli-ciesandprograms,andofproposedpolicyalternatives.Wesuggestthatfourcriteriainparticular deserve serious consideration: effectiveness, efficiency, equity, and politicalfeasibility.Effectivenessreferstowhetheracurrentpolicyorprogramoronethatisbeingcon-

sideredislikelytowork.Thatis,howlikelyisitthatthepolicy’sgoalsorobjectiveswillbeachieved?Inmanypolicyareas,suchastheenvironment,nationaldefense,andenergy,effectivenessmaybeaffectedbyaproposal’stechnicaloradministrativefeasibility.Thatis,itmakesadifferencewhetheraproposalistechnicallypossible(forexample,cheap,abundant,andcleanenergysources)orwhetheranagencycanadequatelyimplementit.

students of public policy need to hone their analytical skills. How to do this? One way is to ask questions such as the following:

• What is the purpose of the study, and who conducted it?

• Does it seek and present objective information on the nature of the problem and possible solutions?

• Does the information seem to be valid, and what standard should you use to determine that?

• Is the report’s argument logical and convincing?

• Does the report omit important subject matter?

• Does the study lay out the policy implications clearly and persuasively?

We will address these kinds of questions throughout the book when summa-rizing studies.

(Continued)


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Efficiencyreferstowhatapolicyorpolicyproposalcostsinrelationtoitsexpectedbenefitstosociety.Italsoissometimesdescribedasadesiretorealizethegreatestpos-siblebenefitoutofthedollarsthatgovernmentspends.Thus,consideringapolicypro-posal’seconomicfeasibilitymeansaskingwhetheritis“affordable”orwillbeconsideredagooduseofpublicfundsinanerawhenallprogramscompeteforsuchfunds.ManyconservativesopposedtheAffordableCareActof2010becauseofitshighcosts,andmanychallengedthesignificanttaxcutsfromtheTrumpadministrationinpartbecauseoftheirhighcostsinlostfederalrevenue.Morerecently,therehavebeenchallengeseventofed-eralsupportduringtimesofnaturaldisasters.

Equityreferstotheconsiderationofwhatconstitutesafairorequitablepolicychoice.Itmaybeawaytoconsiderhowaprogram’scostsandbenefitsaredistributedamongcit-izens(thatis,fairlyornot).Thinkofwhobenefitsorgainsfromdecisionstoraiseorlowertaxes,whetheritwouldbefairtohavetaxpayerspickupthefullbillforcollegetuitionatpubliccollegesanduniversities,orwhowouldbemostaffectedbyadecisiontoreinstateamilitarydraft.Thecriterionofequityisalsoawaytothinkaboutwhoisallowedtopartic-ipateinpolicymakingprocesses,suchaswhogetstovoteorwhogetstospeakatapublichearing.Thatis,itisaboutwhethertheprocessisopenandfairtoallconcerned.Duringthe2016presidentialprimary,therewerecomplaints,raisedprimarilybyDonaldTrumpandBernieSanders,thatthedelegatedistributionprocesswasunfair.

Political feasibility concerns how government officials and other policy actorsappraise the acceptability of a proposal. Most often, references to political feasibilityreflectajudgmentaboutwhetherelectedofficials(forexample,membersofCongressorstatelegislators)arewillingtosupportapolicyproposal.Inademocracy,policymakersmustconsiderthepreferencesandpotentialreactionsofthepublic,interestgroups,andothergovernmentofficialswhendevelopingpolicies.

Thesecriteriaarenotmeanttobeexhaustive.Others,suchasethicalacceptabilityorconsistencywithpoliticalvaluessuchasindividualfreedomorcivilliberties,mayalsoberelevant,dependingontheissueathand.Inaddition,thesecriteriamaynothaveequalweightinthedecision-makingprocess.Publicofficialsactingonnationaldefenseandfor-eignpolicyissues,forexample,rarelyconsidereconomiccostsasparamountinreachingdecisions.Personalfreedommightbetheprimaryconsiderationforsomewhenconsider-ingpoliciesinareassuchasabortionrights,guncontrol,crime,andtheprivacyofemailandcellulartelephonecommunications.Chapters4through6morefullyexaminethesecriteriaandthetoolsusedtoevaluatethem.

CONCLUSIONS

Thebasic conceptsof the studyofpublicpolicyandpolicyanalysis introduced in thischapterprovide the foundation forunderstandinghowandwhypublicpolicy ismade.Throughtheseconcepts,youwillcometofullygraspboththeactorsinvolvedinpolicy-makingandtheactionstheytake.Understandingthedistinctionbetweengovernmentandpolitics,forexample,willhelpyoutounderstandhowthesetermsinteractandinterrelate.Publicpolicyisnotmadeinavacuum.Thereareamyriadofvariablesthatcanaffecthowaproblem is defined and the choices examined to solve it.Knowing, for instance, the


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politicalpartymakeupofCongressoryourstatelegislaturewillprovidesomeinformationregardingwhattypeofgovernmentactivitymaybedeemedacceptable.Understandingchangingdemographicswithinyourcommunitycanprovideinsightintowhatissuesarelikelytobebroughtforwardforaction.

Therearemanyreasonswhygovernmentsatanyleveldecidetointercede.Theserea-sons,suchastheexistenceofamarketfailureorconcernsabouttheethicsofasituation,allowustobetterunderstandtherationaleforgovernmentaction.Ultimately,ascitizenswhoareaffectedbymultiplepublicpolicieseverydayofourlives,weshouldnotonlywanttoknowmoreaboutthehowandwhyoftheirdevelopment,butalsobeabletoactivelyparticipateifwechoosetodoso.Thischapterprovidedsomeofthebasicstobeginthisjourney.

The remainder of Part I continues an analysis of the big picture: the institutionsinvolvedandwaystoapproachpublicpolicy.Chapter2introducesthegovernmentinsti-tutionsandactorsinvolvedinpolicymakingandhowtheyinteract.Chapter3explainstheprevailingmodelsandtheoriesusedtostudypublicpolicy,focusingonthepolicyprocess.

PartIIisadeparturefromotherpolicytextsinitsthoroughcoverageofpolicyanalysis.Inadditiontoanoverviewofpolicyanalysis,chapter4presentsthedifferentwaysprac-titionerscarryitout.Chapter5stressesproblemanalysis,orunderstandingthenatureofpublicproblems,theircauses,andsolutions.Italsoconsidersthevariouspolicytoolsavailabletogovernmentsandhowtothinkcreativelyaboutpolicyalternatives.Chapter6 describes the leadingmethods of policy analysis and summarizes themost frequentlyusedcriteriatojudgetheacceptabilityofpolicyproposals.

ThesixchaptersofPartIIIcombinethematerialfromthefirsttwosectionstodelveintosubstantivepolicytopics.Eachchapterfollowsthesameformattoillustratehowtothinkcriticallyandconstructivelyaboutpublicpolicy.Thesechaptershighlightthenatureoftheproblem,providebackgroundonpolicydevelopment,discussdifferentperspectivesonpolicy change, and indicatehow studentsmight think about and assess the issues.Chapter13isabriefconclusionthatemphasizestheroleofcitizenparticipationinpolicychoices.

Theendofeachchapterincludesdiscussionquestionstoassiststudentsinexaminingtheimplicationsofthematerial,shortlistsofsuggestedreadingsandusefulwebsites,andkeywords.Becauseof the transitorynatureof the internet, readers should expect thatsomewebaddresseswillneedtobeupdated.Attheendofthebookisareferencelistforalltheworkscitedintheindividualchapters.

Sharpen your skills with SAGE Edge at http://edge.sagepub.com/kraft7e. SAGE Edge for students provides a personalized approach to help you accomplish your coursework goals in an easy-to-use learning environment.


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DISCUSSION QUESTIONS

1. Haveyoueverjoinedaninterestgroup?Ifso,whydidyoudoso?Whatbenefitsdidyouexpecttoreapfromjoining?Doyouagreewiththe“logicofcollectiveaction”?WhatdoyouthinkpeoplegetfromparticipatingininterestgroupsliketheSierraClubortheNationalRifleAssociation?

2. Considerthepolicystartedin2018thatseparatedthousandsofmigrantchildrenfromtheirparentswhentheycrossedthesouthernborder.WhatkindsofpoliciesareacceptableandunacceptableintheUnitedStates?Howshouldmoralargumentsbeweighedinsuchdecisions?Howmightonedefinewhatismoralandwhatisnot?

3. Ofthevariousevaluativecriteriadiscussedinthechapter,effectivenessandefficiencyaremostoftendiscussed.Whyisequitynotconsideredasoften?Forwhattypesofpolicyissuesshouldequitybeaprimaryconcern?Usingtheseexamples,howwouldyouevaluateequityconcerns?

4. Stategovernmentshavegenerallyreducedtheirsupportforpublichighereducation.Discusstheeconomic,political,andmoralreasonsbehindastategovernment’sdecisiontodothis.

KEYWORDS

collectivegood 22

commonpoolresources 24

effectiveness 28

efficiency 29

equity 29

federalism 7

informationfailure 23

logicofcollectiveaction 11

marketfailure 22

negativeexternality 22

policyoutcomes 6

policyoutputs 6

politicalculture 20

politicalfeasibility 29

politics 8

positiveexternality 22

publicgood 6

publicpolicy 5

pureprivategood 24

purepublicgoods 24

tollgoods 24

SUGGESTED READINGS

James E. Anderson, Public Policymaking: An Introduction,8thed.(Stamford,Conn.:Cengage,2015).Aleadingtextonthepolicyprocessthatdescribesmultipleperspectivesonpoliticsandpolicymaking.

Thomas A. Birkland, An Introduction to the Policy Process: Theories, Concepts, and Models of Public Policy Making,4thed.(NewYork:Routledge,2016).Anotherconciseandreadabletextonthepolicyprocess,withconcretecasesandillustrations.


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William Ker Muir Jr., Freedom in America (Washington,D.C.:CQPress,2012).Aunique,perceptive,andwell-writtenanalysisoftheconceptofpowerandhowitaffectsthewaysAmericanpoliticalinstitutionswork.

Deborah Stone, Policy Paradox: The Art of Political Decision Making,3rded.(NewYork:Norton,2012).Anoriginalandprovocativeassessmentoftheroleofpolicyanalysisinthepoliticalprocess.

SUGGESTED WEBSITES

www.appam.org.HomepagefortheAssociationforPublicPolicyAnalysisandManagement,withusefullinkstothestudyofpublicpolicyandmanagement,graduateeducationinthefield,andpublicservicecareers.

www.apsanet.org.HomepagefortheAmericanPoliticalScienceAssociation,withinformationonacademicstudyofpublicpolicyandrelatedfieldsinthediscipline.

www.ipsonet.org.PolicyStudiesOrganizationhomepage.

www.policylibrary.com.PolicyLibraryhomepage,withlinkstoworldwidepolicystudies.

www.publicagenda.org.Aguidetodiversepolicyissuesandpublicopinionsurveys.

www.usa.gov.Thefederalgovernment’sportaltogovernmentsites.

NOTES

1. Readerscanfindinformationonthelargerparks’attendanceatThemedEntertainmentAssociation(TEA)andAECOM,“ThemeIndexMuseumIndex2016,”availableatwww.teaconnect.org/images/files/TEA_235_103719_170601.pdf.

2. See“BoyHurtonPennsylvaniaRollerCoaster,Week’sThirdAmusementParkInjury,”Reuters,August11,2016.

3. SeeDesireeStennett,“12RescuedfromUniversalRipRideRockitRollerCoaster,”Orlando Sentinel,October9,2013.

4. SeeSandraPedicini,“WomanDiedafterRidingSpaceMountainatDisneyWorld,StateReportShows,”Orlando Sentinel,October23,2015.

5. Toexplorethesestatedifferencessomemore,checkouttheSaferparkswebsite:www.saferparks.org.

6. Formoreinformation,seeDanPing,“BillSeeksFederalOversightofThemeParkAttractions,”Orlando Business Journal,December3,2007.

7. SeeIanUrbina,“WhenThrillRidesAreRealRisks,”New York Times,July26,2014.

8. SeeIbid.

9. “ThemeParkRegulationCrippled,”Washington Post,December6,2007.

10. NationalSafetyCouncil,“Fixed-SiteAmusementRideInjurySurvey,2015Update,”August2016,availableatwww.nsc.org/Portals/0/Documents/NSCDocuments_Corporate/Ride-injury-update .pdf.

11. SeeU.S.ConsumerProductSafetyCommission,“NEISSDataHighlights—2017,”availableathttps://www.cpsc.gov/s3fs-public/2017-Neiss-data-highlights.pdf.

12. SeeDuffWilson,“SenateApprovesTightRegulationoverCigarettes,”New York Times, June11,2009.

13. SeeCongressionalBudgetOfficeprojectionsatwww.cbo.gov/topics/budget.

14. Onpublicdisillusionmentwithgovernmentandpolitics,see“PublicTrustinGovernment:1958–2019,”aPewResearchCenterreportreleasedinApril2019,availableatwww.people-press.org/2019/04/11/public-trust-in-government-1958-2019/.Thestudyfoundthatin


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responsetothequestionofwhetherpeople“trustthegovernmentinWashingtontodowhatisright‘justaboutalways’or‘mostofthetime,’”only3percentchosethefirstanswerandonly14percentthesecond,foratotalof17percent.In1958,fullythree-quartersofthepublictrustedthegovernmentinthisway.

15. SeeAdamSatariano,DaisukeWakabayashi,andCeciliaKang,“TrumpAccusesGoogleofBuryingConservativeNewsinSearchResults,”New York Times,August28,2018.

16. MorrisFiorinahasarguedthatmostAmericansaremoderateintheirpoliticalviewsandnotaspolarizedasthepoliticalactivistsandpartyleaders.SeeFiorina(withSamuelJ.AbramsandJeremyC.Pope),Culture War: The Myth of a Polarized America(NewYork:PearsonLongman,2004).

17. Formoreinformation,seehttps://www.governing .com/gov-data/same-sex-marriage-civil-unions-doma-laws-by-state.html.

18. In2020–2021andthereafter,theeligibleadjustedincomeamountisalso$125,000.AdditionalinformationregardingtheExcelsiorScholarshipprogramcanbefoundatwww.suny.edu/smarttrack/types-of-financial-aid/scholarships/excelsior/.

19. Formoreinformation,seewww.hesc.ny.gov/pay-for-college/financial-aid/types-of-financial-aid/nys-grants-scholarships-awards/the-excelsior-scholarship.html.

20. See,forexample,NancyCartwrightandJeremyHardie,Evidence-Based Policy: A Practical Guide to Doing It Better(NewYork:OxfordUniversityPress,2012).


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