PPA 503 – The Public Policy-Making Process Lecture 3a – Official and Unofficial Actors and Their Roles in Public Policy

PPA 503 – The Public PPA 503 – The Public Policy-Making ProcessPolicy-Making Process

Lecture 3a – Official and Lecture 3a – Official and Unofficial Actors and Their Unofficial Actors and Their

Roles in Public PolicyRoles in Public Policy

IntroductionIntroduction

Political science traditions.Political science traditions. Institutionalism – focus on texts of constitutions, Institutionalism – focus on texts of constitutions,

laws, and other written statements of policies and laws, and other written statements of policies and the relationships between formal government the relationships between formal government institutions.institutions.

Behaviorism – focus on political motivations of Behaviorism – focus on political motivations of individuals, acting singly and in groups, often individuals, acting singly and in groups, often through polling, game theory, and statistical through polling, game theory, and statistical techniques.techniques.

Neo-institutionalism – focus on organizations and Neo-institutionalism – focus on organizations and systems in which individuals interact and achieve systems in which individuals interact and achieve political and policy goals through explicit or implicit political and policy goals through explicit or implicit rules and operating procedures.rules and operating procedures.

IntroductionIntroduction

Main categories of actors in the Main categories of actors in the policy process.policy process. Official actors – statutory or Official actors – statutory or

constitutional responsibilities.constitutional responsibilities. Legislative, executive, and judiciary.Legislative, executive, and judiciary.

Unofficial actors – participation with no Unofficial actors – participation with no explicit legal authority.explicit legal authority.

Interest groups, media.Interest groups, media.

LegislaturesLegislatures

First listed branch in the federal and First listed branch in the federal and most state constitutions.most state constitutions. Source of considerable research.Source of considerable research.

Primary function is lawmaking. Primary function is lawmaking. Number of bills and resolutions gives Number of bills and resolutions gives some idea of how busy legislatures some idea of how busy legislatures are.are.

Legislatures Legislatures

JurisdictionJurisdiction

House or House or Assembly Assembly BillsBills

House or House or Assembly Assembly ConcurrenConcurrent t ResolutionResolutionss

House or House or Assembly Assembly Joint Joint ResolutionResolutionss

Senate Senate BillsBills

Senate Senate ConcurrenConcurrent t ResolutionResolutionss

Senate Senate Joint Joint ResolutionResolutionss

U.S. U.S. Congress Congress (2001-(2001-2002)2002) 5,7675,767 521521 125125 3,1813,181 160160 5353California California Legislature Legislature (2001-(2001-2002)2002) 3.2833.283 264264 6666 2,2772,277 114114 5656

LegislaturesLegislatures

Burden eased by staff.Burden eased by staff. Bills sifted by committee structure at Bills sifted by committee structure at

both the federal and state level.both the federal and state level. Committee chairs wield significant Committee chairs wield significant

power.power. Most bills fail to move past their first Most bills fail to move past their first

committee hurdles because they are committee hurdles because they are largely symbolic gestures.largely symbolic gestures.

LegislaturesLegislatures Other critical functions performed by Other critical functions performed by

legislators that affect public policy.legislators that affect public policy. Casework – activities to help constituents with Casework – activities to help constituents with

government agencies or to gain a privilege or government agencies or to gain a privilege or benefit.benefit.

Supports reelection.Supports reelection. Oversight – Monitor the implementation of public Oversight – Monitor the implementation of public

policy.policy. Government Accountability Office – Government Accountability Office – www.gao.govwww.gao.gov. .

Studies public programs and makes recommendations Studies public programs and makes recommendations to improve efficiency, effectiveness, and accountability.to improve efficiency, effectiveness, and accountability.

Public hearings.Public hearings. Help understand issues.Help understand issues. Reveal shortcomings in current policies.Reveal shortcomings in current policies. Make political capital.Make political capital.

Legislative OrganizationLegislative Organization


California process.California process. http://www.leginfo.ca.gov/bil2lawx.htmlhttp://www.leginfo.ca.gov/bil2lawx.html..


What you see on C-SPAN does not represent What you see on C-SPAN does not represent the bulk of legislative action on policy.the bulk of legislative action on policy.

Most of the critical work on public policy is Most of the critical work on public policy is done in committees, which review legislation, done in committees, which review legislation, propose and vote on amendments, and, in the propose and vote on amendments, and, in the end, decide whether a bill will die at the end, decide whether a bill will die at the committee level or be elevated for committee level or be elevated for consideration by the full body.consideration by the full body.

One of the most critical elements of legislative One of the most critical elements of legislative organization is the organization on party lines.organization is the organization on party lines.

Legislature – Critiques of Public Legislature – Critiques of Public Policy ProcessPolicy Process

Many people argue that legislatures Many people argue that legislatures are out of touch with the people.are out of touch with the people.

To understand why legislatures work To understand why legislatures work as they do, you need to understand as they do, you need to understand two elements of the legislature: the two elements of the legislature: the nature of the members of the body nature of the members of the body and the organization and nature of and the organization and nature of the branch itself.the branch itself.

Legislature – Critiques of Public Legislature – Critiques of Public Policy ProcessPolicy Process

The primary goal of the typical legislator is The primary goal of the typical legislator is reelection. Casework allows legislators to reelection. Casework allows legislators to please voters.please voters. Home style and hill style.Home style and hill style.

Legislatures are decentralized institutions, Legislatures are decentralized institutions, especially Congress.especially Congress. Committees and subcommittees.Committees and subcommittees. Decentralization and centralization of party Decentralization and centralization of party

leadership.leadership. Issue networks and policy subsystems.Issue networks and policy subsystems.

Legislatures – Implications for Legislatures – Implications for Policy MakingPolicy Making

Decentralization and casework focus Decentralization and casework focus makes complex and change-oriented makes complex and change-oriented legislation difficult to pass.legislation difficult to pass.

The Executive BranchThe Executive Branch

For the sake of discussion, the executive For the sake of discussion, the executive branch can be considered in two parts: the branch can be considered in two parts: the administration, staff, and appointees; and administration, staff, and appointees; and the bureaucracy.the bureaucracy.

Advantages of an elected executive in the Advantages of an elected executive in the policy process.policy process. Veto power.Veto power. Unitary branch of government.Unitary branch of government. Media and public attention.Media and public attention. Informational advantage over the legislature.Informational advantage over the legislature.

The Executive BranchThe Executive Branch

Elected executive limitations.Elected executive limitations. ““Power to persuade”.Power to persuade”. The size of the Executive Office of the The size of the Executive Office of the

President.President. Elected executive’s focus on agenda-Elected executive’s focus on agenda-

setting.setting.

Administrative Agencies and Administrative Agencies and BureaucratsBureaucrats

Characteristics of bureaucracy.Characteristics of bureaucracy. Fixed and official jurisdictional areas.Fixed and official jurisdictional areas. Hierarchical organization.Hierarchical organization. Written documentation.Written documentation. Expert training of staff.Expert training of staff. Career, full-time occupation.Career, full-time occupation. Standard operating procedures.Standard operating procedures.

Key complaints about bureaucracy.Key complaints about bureaucracy. Size.Size. Red tape.Red tape.


What Do Government Agencies Do?What Do Government Agencies Do? Government agencies provide services Government agencies provide services

that are uneconomical for the private that are uneconomical for the private sector (public goods – free-rider sector (public goods – free-rider problem).problem).

Public goods are indivisible and Public goods are indivisible and nonexclusive.nonexclusive.

Complaints tend to focus on speed, Complaints tend to focus on speed, efficiency, and effectiveness of public efficiency, and effectiveness of public service delivery.service delivery.


Bureaucracy and the problem of Bureaucracy and the problem of accountability.accountability. The key problem is the question of accountability. The key problem is the question of accountability.

Most public employees are appointed on merit, not Most public employees are appointed on merit, not accountability to elected officials.accountability to elected officials.

Early thinking focused on separation of politics and Early thinking focused on separation of politics and administration.administration.

Modern thinking: Agency decisions are political Modern thinking: Agency decisions are political and in the realm of administrative discretion.and in the realm of administrative discretion.

Problem: no single, agreed-upon definition of the Problem: no single, agreed-upon definition of the public interest.public interest.

Administrative discretion: ability to make decisions Administrative discretion: ability to make decisions with minimal interference.with minimal interference.

The CourtsThe Courts

The ability to interpret legislative and The ability to interpret legislative and executive actions: judicial review.executive actions: judicial review.

Courts are the weakest because their Courts are the weakest because their authority rests on the legitimacy of authority rests on the legitimacy of the law and their ability to argue the law and their ability to argue their case.their case.

Legislatures and executives initiate Legislatures and executives initiate public policy, while courts react to public policy, while courts react to the practical effects of such policies.the practical effects of such policies.

Unofficial Actors and Their Roles in Unofficial Actors and Their Roles in Public PolicyPublic Policy

Individual citizens.Individual citizens. Low political participation.Low political participation.

Voting.Voting. Other forms of participation: campaigning, Other forms of participation: campaigning,

contacting, etc.contacting, etc. Despite this, citizens can be mobilized:Despite this, citizens can be mobilized:

Recall election in California.Recall election in California. Generally speaking, individuals want the Generally speaking, individuals want the

most services for ourselves while paying most services for ourselves while paying the least taxes for those services.the least taxes for those services.


Interest groups.Interest groups. Interest groups have been part of the Interest groups have been part of the

political scene since the founding.political scene since the founding. Madison and the dangers of faction.Madison and the dangers of faction.

Since the 1960s the number of groups Since the 1960s the number of groups has greatly expanded.has greatly expanded.

Transportation, mass communication, Transportation, mass communication, expansion of government.expansion of government.

Few legal barriers to the creation of Few legal barriers to the creation of groups.groups.


Interest groups.Interest groups. The power of interest groups varies.The power of interest groups varies.

Knowledge, money, information.Knowledge, money, information. Group size, peak associations.Group size, peak associations. Intensity, direct economic interest, Intensity, direct economic interest,

ideological commitment.ideological commitment. Social movements (combinations of interest Social movements (combinations of interest

groups).groups).


Types of interest groups.Types of interest groups. Institutional versus membership groups.Institutional versus membership groups. Economic (private) versus public interest Economic (private) versus public interest

versus ideological groups.versus ideological groups. Benefits, free-rider problems.Benefits, free-rider problems.

Activities of interest groups.Activities of interest groups. Lobbying.Lobbying. Campaign contributions.Campaign contributions. Access (well-off).Access (well-off). Mass mobilization, protest, and litigation.Mass mobilization, protest, and litigation. Riots and protest marches.Riots and protest marches.


Political parties.Political parties. Functions.Functions.

Voting cues.Voting cues. Transmission of political preferences.Transmission of political preferences. Creation of packages of policy ideas.Creation of packages of policy ideas. Organization of the legislative branch.Organization of the legislative branch.

Think tanks and other research Think tanks and other research organizations.organizations. Brookings, Cato, Urban Institute, Rand, Brookings, Cato, Urban Institute, Rand,

American Enterprise Institute.American Enterprise Institute. Ideological, scholarly, and methodological distinctions.Ideological, scholarly, and methodological distinctions.


Communications media.Communications media. The news media are important actors in the The news media are important actors in the

policy process.policy process. Newspapers – National versus regional versus local.Newspapers – National versus regional versus local. TV is the central news medium. Older population, TV is the central news medium. Older population,

networks; younger population, cable news.networks; younger population, cable news. Entertainment programming can be equally important.Entertainment programming can be equally important.

Movies, t.v., videogames.Movies, t.v., videogames.

Media’s primary function in policy process is Media’s primary function in policy process is agenda-setting. Media coverage correlates agenda-setting. Media coverage correlates with institutional attention.with institutional attention.


Communications media.Communications media. News media are not just passive actors.News media are not just passive actors.

Interest try to arouse media focus.Interest try to arouse media focus. Time and space constraints require Time and space constraints require

discretion.discretion. Profit-driven businesses.Profit-driven businesses. Competitive biases of news gathering: Competitive biases of news gathering:

dramatic and narrative qualities of the story.dramatic and narrative qualities of the story.


Subgovernments, issue networks, and Subgovernments, issue networks, and domains.domains. Policy domain is the substantive area of policy Policy domain is the substantive area of policy

over which participants in policy-making compete over which participants in policy-making compete and compromise.and compromise.

The political culture and legal environment The political culture and legal environment influence the domains.influence the domains.

Policy community inside the domain consists of the Policy community inside the domain consists of the actors actively involved in policy making in that actors actively involved in policy making in that domain.domain.

Iron triangles one way of organizing the policy community.Iron triangles one way of organizing the policy community. Issue networks may be more accurate description.Issue networks may be more accurate description.


Subgovernments, issue networks, and Subgovernments, issue networks, and domains.domains. Prying open policy networks (major corporate Prying open policy networks (major corporate

interests usually dominate).interests usually dominate). But, policy change is possible by prying open a But, policy change is possible by prying open a

domain.domain. Focusing events.Focusing events. Social movements and mobilization.Social movements and mobilization. Exploiting the decentralization of American Exploiting the decentralization of American

government.government. Going public.Going public.

Documents

PPA 503 – The Public Policy-Making Process Lecture 3a – Official and Unofficial Actors and Their Roles in Public Policy