MODULE 1

PUBLIC POLICY AND PROGRAM ADMINISTRATION

Preliminaries
Module Title : Module 1 - Introduction to Public Policy
Course Title : Public Policy and Program Administration
Course Number : PA 227

Course Description :

This course covers public policy formulation and implementation including the
legislative process, administration, and evaluation of public programs.

Total Learning Time : 3 hours per week (2 weeks)

Pre-requisite : Intro to PA

Overview:

This module details the introductory concepts of public policy.

Learning Outcomes

At the end of the module, the students must:

1. Know the definition of public policy;

2. Understand the features of public policy;
3. Understand the uses of public policies; and
4. Identify types of public policies.

Indicative Content:

A. Introduction to Public Policy

1. Definition of Public Policy
2. The Features of Public Policy
3. Three Kinds of Policy
4. Three Policy Arenas
5. Three Kinds of Policymakers
6. Five Ways Elected Bodies Make Policy
7. Key Trends Today
8. The Policy Process

Pre- Assessment (Optional)

N/A

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Discussion:
Introduction to Public Policy

Understanding public policy is not all that difficult once one understands the
fundamentals.

DEFINITION OF PUBLIC POLICY

A policy can refer to a proposal, of a programmed, major decision or the refusal to make
certain decision. (Sharkanskv: 1978:7)

In other words, policy is simply actions taken or to be taken by government or private

organization. (Ikelegbe: 1996.1)

A policy option made by an individual is known as "private policy" because it affects the
person alone and no any other person. (Olaniyi: 1998:13)

However, “Public Policy” emanates from the 'public sector' including both the institutions
of central and local government and state created agencies such as water or health
authorities, commission and corporations- it may be implemented through and directed
at a wide variety of individuals and organizations which may or may not be part of the
state apparatus and which may be to a greater or lesser degree independent of state
influence or control. (Barrett and Fudge: 1981.V)

Chandlier and Plano (1988:107) defined Public Policy "as the strategic use of resources
to alleviate problems or government concerns". Similarly, Dimock, et al (1983:40)
described Public Policy as deciding at anytime or place what objectives and substantive
measures should be chosen in order to deal with a particular problem issue or innovation.
It also includes the reasons they should be chosen.

WHAT IS PUBLIC POLICY?

• A set of actions the government decides to take when
approaching a problem.
• Created to resolve a specific issue.
• Created in response to issues.
• A tool to address societal challenges.
• As a result, programs and projects are created.

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What is Policy Analysis?
It refers to an interdisciplinary effort to help decision makers in making intelligent, ethical,
and effective choices of issues and problems that can be included in the policy agenda.

The Features of Public Policy

The main features of a policy is that, first, it involves a choice. It is an important choice
or a critical or important decision taken by individuals, groups or organizations.

Therefore, there has to be several policy alternatives and policy formation involves the
development of several policy alternatives and the choice of an alternative.

Second, polices are proposed courses of actions or projected set of decisions. Policies are
prospective or are statements of future actions.

Policies states what is going to be done or would be done. It outlines a course of

contemplated or desired action in relation to certain desired objects or events in the real
world.

Third, a policy is goal oriented. It is directed at the attainment of certain end states or
objectives. A policy has certain purposes or intention.

Fourth, policies have to do with particular problems or problems areas. They are not
abstracts, but rather relate to and are actually responses to the challenges and pressures
arising from an environment. Furthermore, policies are designed and targeted at
dissolving existing or future problems or satisfying certain needs.

Finally, a policy is a course setting action. It provides the direction, the guide and the
way to the achievement of certain goals. It provides the frame within, which present and
future actions are undertaken. It is a major guideline for action. (Ikelegbe 996:2-3).

CONTEXTUAL BASIS OF PUBLIC POLICY?

• Political Context – Liberal Democracy
• Economic Context – Market Economy
• Social Context – Demographics, Social Conditions
• Cultural Context – Values, Ethics, Beliefs, Traditions

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THREE KINDS OF POLICY

Basically, there are three kinds of public policy:

• Good Policy/Good Politics

• Good Policy/Bad Politics
• Bad Policy/Good Politics.

Good Policy/Good Politics

Assume that you, the policymaker, have a group of ten experts evaluate a proposed
intervention to resolve a problem. Good Policy/Good Politics occurs when they conclude
that it will produce a measurable and positive outcome (good policy) — and no one is
expected to criticize you, write negative letters to the editor, send negative e-mails, or
flog you on a blog (good politics).

Good Policy/Bad Politics

The second kind of policy is Good Policy/Bad Politics. In this case, nine of the ten experts
agree that, if adopted, the proposed intervention will lead to a measurable and positive
outcome (good policy). You will be criticized, however; negative letters to the editor will
appear; and you will pay some kind of political price for advocating or supporting the
proposal (bad politics).

Bad Policy/Good Politics

The third type of public policy is Bad Policy/Good Politics. In this situation, the group of
ten experts will tell you that the proposed intervention will not get the outcome you want,
but it is still good politics.

I have found over the years that legislative bodies spend a disproportionate amount of
their time on bad policy and good politics. That is why it is so important for people to
understand and to participate in the policy process. Most policymakers want to do what’s
right and productive, but they also have to get re-elected. Therefore the policy suffers
and politics all too often prevail.

THREE POLICY ARENAS

Once one understands the three kinds of policy, one needs to understand the three
different arenas in which public policy is made in a democratic society.

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Elected Bodies

The first arena is public Elected Bodies. On the national level, there is Congress; the state
legislature on the state level; and, on the local level, the county commission, city council,
township trustees, and school boards. In each instance we elect someone from our
neighborhood to represent us in the elected body. The idea of representing a specific
geographic area is key, as policymakers are expected to be accessible to and reflective
of this constituency. The elected body comes together for a specific period of time, usually
called a session. The first order of business is establishing a consensus agenda on the
most urgent issues facing the community, whether on the national, state, or local level,
and then developing a strategy for dealing with each specific agenda item.

Elective bodies are generally very open, participatory, and deliberative. The process is
one of consensus building and compromise. Given the great complexity and diversity of
our nation, our state, and our community, it is difficult and time consuming to agree on
the agenda of priority, urgent issues, and, more specifically, on a strategy for solving the
problems that are identified. If the elected body is not successful in resolving the problem,
the problem doesn’t go away.

The Courts

If unresolved, the problem moves to the second arena we have created to make policy—
the Courts. The courts offer a completely different kind of arena for policymaking. It is
not as open, as participatory, or as consensual. Courts are an adversarial arena. You must
be or have an attorney to participate. The process is very structured and follows strict
points of law. Opponents are offered the opportunity to reach a settlement outside of the
courtroom, if the parties are willing and able to compromise. If the parties cannot reach
agreement, however, the courts will oversee a legal process that creates a winner and a
loser. Whatever the out-come, the court issues an opinion that prevails as “public policy”
until changed by a higher court or an elected body. Sometimes the court is unsuccessful
in reaching a solution—or it chooses not to act. The issue does not go away.

The Streets

Instead, the unresolved issue moves to the third arena that we have created to make
policy— the Streets. The street strategy allows for a public debate in a less formal
atmosphere. It can be as simple as writing a letter to the editor, circulating a petition, or
protesting at City Hall or the state Capitol; more active involvement might include
organizing or taking part in public marches, mass demonstrations, or even civil
disobedience. The participants in the street strategy are trying to educate the public and
policymakers about their particular issue. The posters, handbills, speeches, and actions
are all designed to increase awareness of the problem and educate the public about the
issue. If enough interest or tension is created, the various elected bodies will be forced
to take action. The streets become the forum when the elected bodies and courts fail to

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adequately address an issue. This important safety valve is provided in a democratic
society. It is no accident that when a totalitarian government takes over, its first action
is to limit freedom of assembly and freedom of speech. Over the years the civil rights
movement, women’s movement, antiwar movement, environmental movement, and the
debate over abortion policy have played out their dramas in the streets. When this avenue
is not available, violence is generally the alternative. Therefore, it is important to
understand the critical role the streets play in a democratic society and the formulation
of public policy.

THREE KINDS OF POLICYMAKERS

In addition to the three kinds of public policy and the three arenas in which to make
policy, there are three kinds of public officials, who see their role as policymakers quite
differently.

Delegate

The first kind of policymaker is a Delegate. Delegates believe themselves to be

representative of their neighborhood or district; they see their role as reflecting and
representing the views and values of their constituencies. They are very sensitive to the
polls and are always trying to understand the prevailing public opinion in their specific
districts. These public officials take the concept of “representative” literally, working hard
to reflect the interests and values of their neighbors. Delegates are acutely aware of
public opinion and polls and, consequently, tend to be more followers than leaders.
Delegates make up the majority of elected officials serving in most elected bodies.

Trustee

The second kind of policymaker is a Trustee. The trustee is someone who advocates a
specific ideology, principle, or value that they believe best serves the public and is less
interested in the prevailing public opinion. Trustees place a high value on principle and
their particular world view and are often seen as uncompromising and rigid. A liberal
Democrat and a conservative Republican would view themselves as trustees, as would
pro-choice or right-to-life advocates, even environmental advocates. The key idea here
is that trustees are concerned about public opinion and may be persuaded by information
or research that reflects their particular world views. Trustees see themselves as leaders
and enjoy policy as it relates to their world views. Trustees generally make up 10 to 15
percent of public bodies, clearly a minority but an important factor in policymaking.

Politico

The third kind of policymaker is the Politico. This person is more interested in the
campaign, trappings, and benefits of office than the particulars of public policy. Politicos

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are always looking for the next office, always campaigning, and focus little time on public
policy, except as it impacts their ability to seek and achieve another office.

As one considers impacting public policy and approaching public officials, it is important
to know how they each view themselves. One approaches a delegate differently than one
approaches a trustee. With a delegate, one would want to demonstrate broad public
support for the issue they are advocating. One would want to approach the delegate with
petitions, polls, and letters of support from important individuals. When one approaches
a trustee, however, It Is more Important to have data that support that Individual’s
philosophical orientation and enhance the public good as they see it. One approaches the
politico with an eye on the next campaign and how the issue you advocate will be
impacted by the next election. The politico will also be very sensitive to current polls.

One easy way to remember these introductory comments is to think of three Ps—policy,
politics, and personality—as all three interact in this dynamic process.

FIVE WAYS ELECTED BODIES MAKE POLICY

Public policy is traditionally made in elected bodies. Most people believe that the
lawmaking process is the beginning and end of policymaking, but it is important to
understand that there are five separate and distinct ways that public bodies make policy.

Lawmaking

The first and most obvious is Lawmaking itself. On the national level, Congress enacts
laws. On the state level, the legislature enacts laws. On the local level, elected bodies
pass resolutions and ordinances that have the force of law but are secondary to the state
and federal laws.

The lawmaking process itself is one of compromise and consensus building. Any lawmaker
can introduce any bill at any time in the legislative session. These sessions are two- year
cycles in which proposals are considered and either become law or not. Most state
legislatures consider about 4,000 bills in a two-year legislative cycle. On average, 90
percent of the bills introduced will fail and only 10 percent will become law. This is true
on the national, state, and local level. What distinguishes those ideas and bills that
become law from those that fail is twofold—aligning good policy with good politics and
the effective participation of multiple constituencies, which creates power. (Later, I will
discuss the multiple forms of power and how to effectively use power to impact public
policy.)

The average time it takes an idea to become a law, if it’s not too controversial, is three
to five years. It takes time to convince the leadership that your ideas have broad enough
support to make it to the agenda. The proposal is then sent to committee to be studied

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and refined. Input is received from every sector, and the bills are examined and approved
a line and a page at a time. In Congress and State Legislatures (with the exception of
Nebraska which has a one-house legislature), the same versions of a bill must pass both
the House and Senate.

As difficult and time consuming as it is to have an idea become a law and get the bill
signed by the governor, it is important to understand that you’ve actually just begun the
policymaking process.

Budget Process

A law without a Budget is simply rhetoric. The budget-making process is as critical as the
lawmaking process. The budget process generally is an annual process that runs
independently of the lawmaking process. Each year the president, governor, mayor,
school superintendent, or township supervisor presents their annual proposed budget to
their respective elected bodies. The entire body does not consider the budget; it is
referred to an appropriations (or budget) committee. These budget committees are
generally not as representative demographically as the entire elective body, but tend to
be made up of the more senior members of the legislature. These senior members have
more experience, seniority, and power.

The appropriations committees themselves are broken into subcommittees, which parallel
the Cabinet departments on the national, state, and even local levels. So, you’ll have a
House subcommittee on education and a Senate subcommittee on education. You’ll have
a House subcommittee on state police, a Senate subcommittee on state police, and on it
goes until the entire cabinet is covered. The subcommittees are organized along partisan
lines with the majority party controlling the subcommittee in the same ratio that it controls
the particular chamber. The subcommittees and the subcommittee chairs are
extraordinarily powerful because the members are usually experts on the particular
department and have considerable influence on the policies and budget of that particular
department. It is absolutely critical to know who those subcommittee members are and
to follow their actions as the budget moves through the process.

Most subcommittees hold hearings, seek public input, and operate transparently in the
initial phases of the budget process, which generally occurs early in the year. The budget
bills get full consideration by both chambers and eventually end up in a joint House
Senate Conference subcommittee to resolve all policy differences. Those final decisions
are made in the middle of the night on the last night before the Legislature adjourns for
its summer recess, generally the night before the Fourth of July holiday. These complex
multimillion-dollar budgets are generally negotiated between the chairperson of the
House subcommittee and the chairperson of the Senate subcommittee in the middle of
the night, without anyone else knowing the details and actual line items in each bill. The
chair of the subcommittee briefs the leadership, and then the modified bill is considered
by the full Legislature and, again, enacted late in the night without the non-appropriations

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members understanding the detail or the complexity of the budget they are voting on.
This is why it’s important to be informed and engaged in the hearings, so that you
understand your relative position going into this initial period. It is also imperative to meet
with and understand the policymakers themselves, whether they see themselves as
trustees or delegates, and to get your idea or program understood by these influential
policymakers as they consider the budget options late into the night before the summer
recess. While you will not be there in person, you can still have an impact if you have
met with, informed, and persuaded the key leaders of the merits of your program or
policy.

Generally speaking, governors will not support funding a new program at 100 percent in
the first year. More than likely, the governor will recommend a modest beginning and
incrementally increase the program over a period of years. It is important to follow the
budget process over time as well.

Rule Making

As elected bodies consider legislation, they have the option of writing a complex,
comprehensive, and detailed bill that tackles all of the issues and offers specific answers
to the multiple policies involved. This strategy has the advantage of offering clarity, but
the disadvantage is that the bill is considered a page and a line at a time and must pass
both chambers exactly the same. The longer and more complex the bill, the higher the
likelihood of adding years to the process.

An alternative legislative strategy is to pass a simple, two- or three-page bill that creates
a policy framework, but leaves the detail to be worked out later. More and more
legislatures are choosing the second option because it is simpler and faster and leaves
some of the tougher decisions to the state bureaucracy. The process of formulating the
specific policy growing out of this generalized brief legislation is called the Administrative
Procedures Process or promulgating Rules and Regulations. Most states have enacted an
elongated, transparent, and painfully precise process of formulating rules and regulations
that clarify the policy.

These processes require public hearings, extended public comment, and a guarantee of
a written response to every individual who testifies over the period of review.
Unfortunately, consumers and advocates, who are traditionally active and engaged in the
lawmaking process and somewhat in the budget-making process, generally stay away
from the rules and regulation process because it is so intimidating and precise. Special
interest groups have lobbyists, research resources, and budgets to fully engage in the
complex and precise rule-making process. While citizen advocates feel comfortable
dealing with broad policy issues and are willing to talk to their elected officials, they
generally are less comfortable with the nitty-gritty detail. Special interest groups often
succeed in reversing or significantly modifying the intent of original legislation because

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they have the time and resources to shape the details. (It is not uncommon for the rule-
making process to go on for five to seven years.)

Oversight

Another policy-making arena in elected bodies is the Oversight Committee. These time-
limited committees are created to look at a specific problem or issue and make
recommendations to the full body. Oversight committees have the advantage of cross-
fertilization with members from multiple standing committees and the appropriations
committees of the legislative body. The process of creating an oversight committee
involves simply finding enough interested legislators to commit the time and effort
involved in the process—and convincing the leadership of either the House and Senate,
or both, to create, staff, and provide resources so that oversight can be effective. Once
created, their task is to define a problem, look at alternative solutions, hold public
hearings, create public awareness, and make recommendations to the full body; then to
advocate and follow through, getting those recommendations adopted as policy.
(Examples of policy issues that have been effectively addressed by oversight committees
include the medical malpractice insurance crisis, homelessness, environmental
contamination, and lead paint extraction.)

Sunset Option

The final way that elected bodies make policy is through Sunset, referring to the concept
that some kind of automatic review or termination is built into a policy. For example, the
first mandatory seatbelt legislation had a provision that the bill would terminate after five
years, giving the legislature the option to reenact it only if it were proven to be successful.
(The final version excluded that provision but it was an important part of the early
discussion of the policy.) Legislatures often enact laws that expire after a given number
of years. The idea is to give the policy a chance, then re-enact it only if proven successful.

Another sunset strategy is to create a new program and an automatic review, but not
termination, after five years. The idea behind the review is to create some kind of
evaluation and accountability within the policy-making process. While accountability is
important, it should be noted that many constitutional offices and their departments are
exempt from sunset (e.g., secretary of state, attorney general); the politics are that you’re
not going to sunset the state police or the prison system or popular established programs.
The tendency is to focus the sunset process on more vulnerable, less popular human
service programs. Nevertheless, sunset is an important policy tool.

To Summarize

To recap, then, we have a Lawmaking process that is open, participatory, and consensual,
taking three to five years; a less participatory, annual Budget process; a five- to seven-
year Rule- Making process; an Oversight process that allows for an evaluation and

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judgment on the effectiveness of the law, budget, and rules; and the potential to Sunset
a program or policy. Conceptually, these legislative processes fit together. Ideally, a
lawmaker helps formulate the law, participates in the budget, helps provide oversight,
and is engaged in any serious sunset review of the policy or program. This happens when
you have an extraordinarily talented and fully engaged policymaker who is committed to
follow through during this extensive process. (Term limits, enacted in many states,
severely hamper the ability of elected officials in playing this role. So, more than likely, a
special interest group ends up providing continuity and advocacy over time. Power clearly
has shifted to the special interests and the bureaucracy.)

KEY TRENDS TODAY

Now that we understand the three different kinds of policy, the three arenas around
which policy is made, the three different ways that policymakers view themselves, and
the five different ways that elected bodies make policy, let’s look at some key trends that
are impacting policymakers on the national, state, and local level.

The Futurists

Let’s begin with the observations of many futurists.

Adapting To Change

Basically, futurists are saying that everything is changing and that change is accelerating.
All institutions (i.e., business, social, political, educational, and even the family) are being
challenged and must change, innovate, and adapt. The institutions that survive and thrive
will have several things in common: they will be organized around the autonomy of the
individual; provide customized, flexible programs and services; and be committed to self-
actualization, eliminating barriers and enabling people to participate at the level that
facilitates their potential. (You see this phenomenon particularly in the disability
community whose members insist that barriers preventing their full participation be
corrected, or that devices be created, to allow maximum contribution.) Workers engaged
and empowered to undertake bottom-up decision making will fully embrace adaptability
and innovation. This is the essence of Deming’s1 work and the continuous, quality
improvement process.

New Definitions of “Community”

The futurists are also saying that the nexus of power, the center of decision making, has
shifted or devolved from the federal government, where it was pervasive in the 1940s
through the 1960s; it then shifted to the states in the 1970s, 1980s, and even 1990s.
Today, new regions are evolving that are defined by labor markets, not political
boundaries, and led by the business community, not the political leadership. These new

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regional configurations are engaged with universities and are arranged through non-
governmental organizations (both for-profit and nonprofit). This is a significant change
and a common element of those communities that are thriving in America today.

Aging Population and Legacy Costs

One of the overriding trends is the aging of America’s population.

The Aging and “Baby-Boom Generation” Factors

The economic and political implications of the aging of America are best understood when
one focuses on how dramatically this has developed in the last few decades. In the middle
of the last century, you were considered old if you were 50 or older. Today, those 65 to
75 are called the “young old”; those 75 to 85 are the “middle old”; and those 85 and
older are the “old old.” The fastest growing portion of our population today is the “old
old” category, increasing at a rate of four times the national average. To see how
graphically this has changed in the last several years, let’s look at 1950.

Case-in-Point: In 1950, if you were 65, your chance of living to age 90 was
7 percent. In 2000, if you were 65, your chance of living to 90 increased to
33 percent. Because people are living longer, it should be no surprise that
currently one million Americans are 100 years old or older. While this fact is
interesting, it becomes troubling when one looks at the labor market
supporting this aging cohort.

In 1950, 17 people worked to support each retiree—by paying social security

and taxes, producing goods and services, and providing a social safety net.
By 2000, the number of people working to support each retiree dropped to
3. By 2020, projections show only 2 workers per retiree because of the
pending retirement of 77 million Baby Boomers (those born between 1945
and 1960.) As people age, more is spent on health care; consequently, issues
of how to pay for health care will become a much bigger policy issue.

Health Care Costs

Health care costs are the fastest growing segment of all state budgets. Medicaid is a
state- administered program that provides health insurance for the poor, the blind, and
disabled; it receives a lot of attention as legislatures wrestle to control those cost. But
states also pay public employee and retiree insurance, school teachers’ insurance, and
provide health care for prisoners and those in mental facilities. Taken together, these
costs are squeezing all state budgets and causing cuts in education and other human
services.

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The burden of increased health care cost is not limited to state budgets. Congress is
struggling with the uncontrolled growth of Medicare and trying to figure out how to serve
45 million Americans who are currently uninsured. Nationally, health care represents 15
percent of America’s GNP, almost double the rest of the world. Annual health care cost
increases have been averaging 12 to 15 percent, double and triple the rate of inflation.
This cost crunch will require the attention of policymakers for years to come.

On the positive side of the pending Baby Boomers’ retirement is the fact that 50 percent
of the current workforce will be eligible to retire in the next ten years, creating enormous
employment opportunities for those who have the necessary skills. As Boomers age and
spend more on health care, the impact will be felt in the economy as well. The health
care industry is one of the most rapidly growing sectors of the economy. Health care jobs
will be plentiful, with most specialties experiencing shortages. In many communities, if
not most, health care is already the single largest employer. Furthermore, our mature
manufacturing sector is at a significant disadvantage internationally as it competes
against foreign competitors from countries that have tax-supported, national health
insurance and therefore no health care cost associated with their products.

Economic Costs

While the legacy cost associated with the aging workforce burdens the manufacturing
sector, there are three other trends impacting the overall economy.

Shift to Information and Service Economy

First, the U.S. is shifting from a manufacturing to an information and service economy.
In 1950, 60 percent of jobs were available to the unskilled; by 2000 only 15 percent of
jobs were available to the unskilled. Today, even the most basic employment requires
higher math, science, and social skills. Manufacturing, the mainstay of the twentieth-
century economy, is not going to disappear; but, through increased use of technology, it
takes far fewer workers to produce more and higher-quality products. Manufacturing
productivity increased dramatically in the last decade, while manufacturing employment
continued to decline; that trend will continue. Additionally, the economy is becoming
much more technological and workers more highly skilled. Having post- high school
training, whether it be through a university, community college, or some skilled training,
has become an absolute necessity. We have now added a new dimension to participation
in our economy, dual literacy. You must be functionally literate—able to read, write,
understand basic math—and technologically literate, meaning that you are comfortable
with computers, robots, and other forms of technology. No longer will one be able to be
a high school dropout and get a good job in the new and ever-changing, technological
economy. The flip side of this new equation is the possibility of being dually illiterate,
meaning that you are neither functionally literate—able to read and write—nor
technologically literate, comfortable with computers, robots and technology. This dual
illiteracy phenomenon is something we must come to understand and solve. With the

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aging of America and the pending retirement of an additional 77 million baby boomers,
it is imperative that anybody who is able to work have the skills necessary to participate
fully in the economy.

New Learning Fundamentals

Will Daggett, an international expert on education and the workforce, calls for “future
basics.” Professor Daggett believes that every student coming out of high school must
have three years of technical reading and writing, at least two years of applied physics,
a year of statistics, a year of logic, and at least one foreign language. These future basics
are currently the norm in European and Asian high schools. These countries place a
premium on science and math and have clear policies that encourage emerging and
technical training in areas that America has lost ground in over the last few decades. This
has serious policy implications for us all.

An International Workplace

A third way our economy is changing is that it is becoming international. In auto

manufacturing, the Big Three are no longer General Motors, Ford, and Chrysler; the Big
Three employers in Michigan are McDonald’s, Wendy’s, and Kentucky Fried Chicken.
Toyota has already overtaken DaimlerChrysler and Ford and is challenging General Motors
as the number-one automaker in the world. One out of six American workers currently
works for a foreign-owned company. Thomas Friedman’s hot selling book, The World Is
Flat, is required reading in every Board Room in America and should be required reading
for every American.

===

So, key trends impacting policymakers on the national, state, and local levels are the
aging of America and an economy that is shifting from manufacturing to one that is
international, technological, and service based. While we have traditionally looked to the
federal government for solutions to the complex problems facing our society, the locus
has shifted to new regional configurations led by business leaders through
nongovernmental organizations. This last feature creates enormous opportunities for
participation, engagement, and impact on the local level.

Secondary Trends

Two other trends need to be highlighted.

Prison Growth

The first is the enormous growth in prison populations across America. The Department
of Corrections has the fastest-growing budget in most states and is taking up a larger
share of state spending. While it is good politics to be “tough on crime” and put more

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people in prison, the consequences must be understood. Policymakers are confronted
with either raising taxes or making deep cuts in higher education, revenue sharing, health
care, and other discretionary human service programs. Prisons are becoming a major
public policy debate, which takes on a special edge when one considers that the people
going to prison are basically young, poor, minority males. It is a national disgrace that
more young, minority males are in prison or on parole than are enrolled in our institutions
of higher education. It’s cheaper to send a young person to Harvard than it is to send
them to prison, yet the prison building goes on unabated. From a policy viewpoint, we
know that these young, minority males have three things in common: they dropped out
of school, have substance abuse problems, and, most importantly, were abused as
children. With that knowledge, we ought to be able to develop public policy initiatives
that reduce the crime rate, drop-out rate, substance-abuse rate, and child abuse rate.
We must invest in these young people instead of destroying their ability to work and
participate in this economy by putting them in prison. Which category of public policy do
you think the prison debate revolves around? Good policy/good politics? Good policy/bad
politics? Or bad policy/good politics? Knowing that 77 million baby boomers will retire in
the next decade makes it imperative that we intervene early and make sure that everyone
who is able gets the skill sets they need to participate in this increasingly complex,
technological, and international economy. We simply cannot afford to have a generation
of minority youth in prison and unproductive.

Growth of Tax Expenditures

The other trend that is going on in most legislative bodies across America is the growth
of tax expenditures. Tax expenditures are special provisions enacted into the tax code
that create special incentives, or loopholes, to exempt a particular service, business, or
industry from the tax burden. While these tax expenditures can promote good policies—
installing solar energy on your home, encouraging hydrogen cars, and facilitating home
ownership, each loophole forfeits tax collection for that particular service or product,
which means that the federal, state, or local budget must absorb cuts in other areas to
make up for these lost revenues. Tax expenditures are second to prisons as the fastest
growing part of state spending. Most importantly, they are not subject to periodic review
nor to the annual budget process that we discussed earlier.

THE POLICY PROCESS

Democracy is not a spectator sport. So, let’s shift gears and look at how elective bodies
go about making policy and how an individual can impact that process. Think of elected
bodies as large stadiums. In the arena are the policymakers who are armed with a tool
called the vote. Each day the policymaker goes into the arena and struggles, debates,
persuades, and eventually votes on the public policy.

The process is very open and participatory. Each day the legislature and the Congress
publicize the issues that will be considered on that day. One can observe this process on

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cable television (e.g., C-SPAN) and see the reporting of the results through the traditional
news media. What is not so obvious is the power and influence of other people who
participate in the policymaking while sitting in the stands.

The Actors

Basically, there are three sets of actors or warriors who also participate in the
policymaking process.

Special Interest Groups

First are the special interest groups. These groups generally represent a specific interest,
business, or point of view. They are represented by sophisticated lobbyists who are armed
with weapons as well. The lobbyist provides expert information that can be used to
persuade policy- makers to agree with their point of view. That information is also used
to educate and inform the public of their point of view. Lobbyists also have enormous
power because they have money to buy policymakers lunch, to entertain, to persuade,
and to influence campaigns.

State Government Departments

The second set of warriors sitting in the balcony are the departments of state
government. Each department has a “legislative liaison” whose job it is to follow the
process and educate the policy- makers and the public. The departmental legislative
liaison’s powerful tool is expert information, which is supposed to be neutral, not self-
serving, and in the best interest of the entire community.

Consumers, Citizens, and Taxpayers

The third set of warriors are the consumers, interested citizens, and the taxpayers. Some
groups are organized and sophisticated, like Common Cause, the National Rifle
Association, and the senior citizen network, AARP. All kinds of citizens groups organize to
follow, observe, and participate in the policymaking process. The power of this warrior
group is seen in their ability to generate large numbers of people who are informed, get
actively involved in the policy process, and vote regularly.

Policy into Law

When all three groups agree—the special interest groups, the department liaison, and
the consumer groups—their power coalesces around the policy, and it becomes law. It is
good politics and generally good policy if all three of these groups are in agreement.
Unfortunately, these groups don’t always agree nor get along with each other; they are
often at odds.

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An effective policymaker will work to get at least two of the three groups to support the
evolving consensus or compromise policy. The politics are to at least get the special
interests and the consumers on the same page. The departments and the expert “neutral”
information they represent do not carry the same weight as the well-financed lobbyists
representing the special interest and the powerful influence of organized consumers who
vote. Power is the bottom line!

In summary:

The most important point that can be made is that the democratic process is a
participatory process; it works best when all of the interests are involved and engaged
and part of the process. If consumers and taxpayers get discouraged—give up and walk
away from the policymaking process—power goes by default to the special interests.
Thomas Jefferson once said that “The best cure for an ailing democracy is more
democracy.” Democracy is best served by getting people involved, organized, and
focused.

References:

“A Public Policy Primer”

From: Hollister, D. 2007. A Public Policy Primer: How to Get Off the Sidelines and Into
the Game. Michigan: Institute for Educational Leadership, pp. 1-9.
https://files.eric.ed.gov/fulltext/ED510117.pdf

“Public Policy and Program Administration” by Rommel R. Regala, Ph.D. Catanduanes

State University College of Arts and Sciences.

Prepared by:

ATTY. TOCHE VIC B. DOCE, RN, MAN, DPA

Part-Time Faculty

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