Public Policy making An Introduction
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Public Policymaking An Introduction
Eighth EDitiON
JAMES E. ANDERSON texas A&M University
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Public Policymaking: An Introduction, Eighth Edition James E. Anderson
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Preface? ix
ChAPtER 1 The Study of Public Policy 1 The?Plan?of?This?Book? 2 What?Is?Public?Policy?? 6 Categories?of?Public?Policies? 10 Approaches?to?Policy?Study? 19 Methodological?Difficulties?in?Studying??Public?Policy? 30
For?Further?Exploration? 33
Test?Your?Knowledge? 33
Suggested?Readings? 33
Notes? 34
ChAPtER 2 The Policy-Makers and Their Environment 37
The?Policy?Environment? 41 The?Official?Policy-Makers? 50 Nongovernmental?Participants? 61 Levels?of?Politics? 73 CASE?STUDY? The?Endangered?Snail?Darter? 78
For?Further?Exploration? 80
Test?Your?Knowledge? 81
Suggested?Readings? 81
Notes? 82
ChAPtER 3 Policy Formation: Problems, Agendas, and Formulation 87
Policy?Problems? 89 The?Policy?Agenda? 95 The?Agenda-Setting?Process? 98 Nondecisions? 106 The?Loss?of?Agenda?Status? 107 Two?Cases?in?Agenda?Setting? 108 CASE?STUDY? Coal-Mine?Safety? 108
Contents
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vi Contents
CASE?STUDY? Environmental?Pollution?Control? 112 The?Formulation?of?Policy?Proposals? 114 Policy?Formulation?as?a?Technical?Process? 120 CASE?STUDY? Formulating?Policy:?The?Patient?Protection? ? and?Affordable?Care?Act? 122 A?Concluding?Comment? 127
For?Further?Exploration? 128
Test?Your?Knowledge? 128
Suggested?Readings? 128
Notes? 129
ChAPtER 4 Policy Adoption 133 Theories?of?Decision-Making? 134 Decision?Criteria? 140 The?Public?Interest? 150 Styles?of?Decision-Making? 153 Presidential?Decision-Making? 161 CASE?STUDY? Policy?Adoption:?Consumer?Bankruptcy? 165 CASE?STUDY? Policy?Adoption:?The?Family?Smoking? ? ?Prevention?and?Tobacco?Control?Act? 172
For?Further?Exploration? 174
Test?Your?Knowledge? 175
Suggested?Readings? 175
Notes? 175
ChAPtER 5 Budgeting and Public Policy 180 The?Budget?and?Public?Policy? 181 Fiscal?Policy? 187 The?National?Budgetary?Process? 188 CASE?STUDY? The?Struggle?to?Balance?the?Budget? 207
For?Further?Exploration? 220
Test?Your?Knowledge? 221
Suggested?Readings? 221
Notes? 222
ChAPtER 6 Policy Implementation 225 Federalism?and?Implementation? 227 CASE?STUDY? The?Elementary?and?Secondary?Education?Act? 229
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Contents vii
Who?Implements?Policy?? 232 Administrative?Organization? 239 Administrative?Politics? 243 Administrative?Policymaking? 249 CASE?STUDY? The?Nuclear?Waste?Disposal?Act? 258 CASE?STUDY? The?Total?Maximum?Daily?Load?Program? 259 Techniques?of?Control? 261 CASE?STUDY? The?Clean?Air?Acts?Emissions-Trading?System? 272 Compliance? 273
For?Further?Exploration? 282
Test?Your?Knowledge? 282
Suggested?Readings? 283
Notes? 283
ChAPtER 7 Policy Impact, Evaluation, and Change 290
Policy?Impact? 290 Policy?Evaluation? 295 Policy?Evaluation?Processes? 299 CASE?STUDY? The?GAO?and?Food?Safety? 302 Problems?in?Policy?Evaluation? 307 Policy?Evaluation:?The?Use?and?Misuse?of?? ? CostBenefit?Analysis? 311 CASE?STUDY? The?Politics?of?Evaluation:?Head?Start? 317 Policy?Termination? 321 CASE?STUDY? The?Policy?Cycle:?Airline?Regulation? ? and Deregulation? 325
For?Further?Exploration? 333
Test?Your?Knowledge? 334
Suggested?Readings? 334
Notes? 335
ChAPtER 8 Reflections and Observations 341 Notes? 352
Index? 355
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ix
In?Public?Policymaking:?An?Introduction,?Eighth?Edition,?the?policymaking? process?is?presented?as?a?policy?cyclea?sequence?of?functional?activities? beginning?with?problem?identification?and?agenda?formation,?and?continuing? through?the?evaluation?of?policy,?which?may?result?in?the?continuation,?modi- fication,?or?termination?of?policy.?This?may?restart?the?policy?cycle?in?a?search? for?alternatives?for?handling?a?problem.?
The?policy?cycle?schema?is?a?workable?and?flexible?approach?to?the?study? and?analysis?of?public?policymaking,?whether?in?the?United?States?or?else- where.?In?addition,?the?text?looks?at?some?other?ways?to?study?policy?formation? (e.g.,?group?theory?and?elite?theory);?makes?some?comparisons?with?action?in? other?countries;?and?delves?into?some?of?the?logistical?aspects?of?policymaking,? such?as?majority?building,?costbenefit?analysis,?and?decision-making.
Since?the?seventh?edition?of?this?book?was?written,?various?noteworthy? changes?or?developments?have?occurred?in?American?government?and??public? policy.?National?budget?deficits?soared?because?of?the?Great?Recession?and? then?began?to?decline.?The?Patient?Protection?and?Affordable?Care?Act?and the? Wall?Street?Reform?and?Consumer?Financial?Protection?Act?were?enacted.?The? Democratic?Party,?which?won?control?of?both?houses?of?Congress?in?2008,?lost? control?of?the?House?of?Representatives?in?2010?to?the?Republicans,?partly? because?of?the?Tea?Party.?The?long?American?combat?involvement?in?Iraq? has?finally?ended,?although?violence?in?that?country?has?not.?The?long?war?in? Afghanistan?is?now?winding?down,?at?least?as?far?as?American?participation?is? involved.?In?2012,?President?Barack?Obama?decisively?won?a?second?term.
The?Obama?administration?has?a?more?leftward?tilt?than?the?predecessor? George?W.?Bush?administration.?In?Congress,?however,?polarization?of?the? political?parties?has?intensified.?The?increased?opposition?of?the?Republicans,? especially?in?the?House,?to?anything?Obama,?has?made?stalemate?common- place?in?Congress,?which?is?often?referred?to?as?a?dysfunctional?body.
The?fundamental?structure?of?the?policymaking?process?remains?as?before.? However,?in?the?last?few?years?not?much?of?significance?has?made?the?journey? through?the?policy?cycle.?That?said,?I?believe?the?policy?cycle?approach?remains? useful.?For?instance,?it?can?be?used?in?the?analysis?of?executive?policymaking,? which?seems?likely?to?gain?greater?usage?in?the?Obama?administration.
As?the?subtitle?indicates,?Public?Policymaking:?An?Introduction?is?intended? to?be?a?starting?point?for?the?study?of?public?policymaking?by?giving?some? consideration?to?all?of?the?stages?or?phases?of?the?policymaking?process.?For? those?who?wish?to?explore?various?stages?more?deeply,?the?suggested?readings? and?websites?listed?at?the?end?of?each?chapter?will?be?helpful.?After?decades?of? studying?the?policy?process,?I?still?have?much?to?learn.
Preface
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x Preface
While?I?am?fully?equipped?with?opinions?on?policy?and?politics,?I?have?tried? to?be?impartial?and?objective?in?my?treatment?of?the?many?topics?covered?in? this?book.?I?have?been?informed,?and?I?think?with?considerable?success,?by?the? principle?of?intended?neutrality?in?writing?this?book.?Analysis?rather?than? advocacy?and?teaching?rather?than?preaching?have?been?my?goals.
Organization and Updates I?have?made?many?changes,?updates,?additions,?and?a?few?deletions?
in?this?revision,?taking?into?account?new?developments?in?public?policymak- ing,?especially?at?the?national?level?in?the?United?States.?I?have?also?benefitted? from?recent?additions?to?the?scholarly?literature?on?public?policy?formation.? The?basic?framework?of?the?book,?however,?remains?intact.?
Chapter?1,?The?Study?of?Public?Policy,?has?new?material?on?distributive? policy,?elite?theory,?and?the?application?of?various?policy?approaches?to?the? Wall?Street?Reform?and?Consumer?Financial?Protection?Act.?
Chapter?2,?The?Policy-Makers?and?Their?Environment,?surveys?the?politi- cal?environment,?or?context?of?policymaking,?and?presents?the?official?and? unofficial?participants?in?the?policy?process.?Material?has?been?added?on?politi- cal?culture,?social?change,?the?President,?and?the?communications?media.? I retained?the?Snail?Darter?case,?because?though?old,?it?is?seminal.
Chapter?3,?Policy?Formation:?Problems,?Agendas,?and?Formulation,? examines?policy?problems?and?agendas,?agenda-setting?processes,?and?the?for- mulation?(or?crafting)?of?policy?proposals.?These?are?the?pre-adoption?aspects? of?the?policy?process.?Here?one?will?encounter?new?material?on?policy?prob- lems,?issue?definition,?agenda?denial,?an?updating?of?coal?mine?safety?and?pol- lution?control,?and?a?new?case?study?of?the?Affordable?Care?Act.
Chapter?4,?Policy?Adoption,?centers?on?decision-making?processes?and? criteria?and?the?adoption?of?policies.?Here?one?will?find?new?and/or?updated? material?on?public?opinion,?filibustering?in?the?U.S.?Senate,?and?the?Israeli? election.?A?new?case?study?is?included?on?the?Family?Smoking?Prevention?and? Tobacco?Control?Act.
Chapter?5,?Budgeting?and?Public?Policy,?discusses?the?national?budgetary? process?because?of?its?importance?for?the?substance,?implementation,?and?impact? of?public?policies,?which?I?try?to?make?more?apparent.??Budgetary?numbers?are? updated.?There?is?a?new?example?on?the?ever-popular?Animal?and?Plant?Health? Inspection?Service?and?on?the?budgetary?process,?per?se.?The?ongoing?saga?of?the? struggle?for?a?balanced?budget,?which?becomes?more?partisan,?complicated,?and? seemingly?hopeless?as?time?goes?on,?has?been?modified?and?updated.
Chapter?6,?Policy?Implementation,?roams?over?much?ground?to?provide? understanding?of?the?implementation?or?administration?of?public?policies.? Changes?here?include?new?material?on?the?President?and?implementation,? agency?rule-making,?the?failed?Nuclear?Waste?Disposal?Act,?tax?expenditures,? and?libertarian?paternalism.
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Preface xi
Chapter?7,?Policy?Impact,?Evaluation,?and?Change,?probes?the?effects?of? policies,?their?evaluation,?and?possible?termination.?Numerous?limited?modi- fications,?additions,?and?deletions?have?been?made?here.?There?is?more?on? food?safety,?Head?Start,?and?policy?termination.?The?concluding?case?study? on??airline?deregulation?has?also?been?updated.?Does?the?air?traveler?in?coach? really?feel?better?off?
Chapter?8,?Reflections?and?Observations,?goes?beyond?stating?conclu- sions.?It?is,?rather,?an?informative?essay?on?the?American?policymaking?pro- cess,?adding?new?information?to?the?topic.
Companion Website An?exciting?feature?of?this?edition?is?the?texts?companion?website,?
which?provides?additional?resources?for?instructors?and?students.?The?Instruc- tor?website?includes?PowerPoint?slides?for?classroom?presentations,?ideas?for? classroom?activities,?suggested?paper?topics,?and?an?Instructors?Manual,?while? the?Student?website?has?flashcards?for?reviewing?text?terms,?crossword?puz- zles,?tutorial?quizzes,?and?chapter?outlines.?Access?the?companion?website?at? login.cengage.com.
Acknowledgments I?wish?to?express?my?appreciation?to?all?who?have?assisted?in?the?prep-
aration?of?this?edition.?At?the?request?of?Cengage?Learning,?several?scholars? provided?pre-revision?reviews.?They?provided?many?good?ideas?and?suggestions? for?change?and?improvement.?I?did?not?agree?with?everything?that?came?at?me,? nor?was?I?able?to?respond?positively?to?some?of?their?recommendations.?Over- all,?though,?they?helped?greatly?in?this?revision.?My?thanks?go?to?the??following? professors?for?reviewing?the?text?and?offering?their?evaluations,?comments,? and?suggestions:
Mike?Abels?(University?of?Central?Florida)?
Jeffrey?M.?Brauer?(Keystone?College)
William?Doyle?(Vanderbilt?University)
Shankar?Prasad?(NYU?Wagner)
Stephen?Sussman?(Barry?University)
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