Term
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Definition
a relatively stable, purposive course of action or inaction followed by an actor or set of actors in dealing with a problem or matter of concern |
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Definition
those produced by government officials and agencies |
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Definition
| how government is organized, including procedures |
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Definition
| allocation of services or benefits |
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Term
| Regulatory (and self-regulatory) |
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Definition
| impose restrictions or limitations on behavior |
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Definition
| shift allocation of wealth, income, property, etc. |
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Definition
| tangible resources or substantive power |
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Definition
| little material impact → people’s cherished values |
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Definition
| if they are provided for one, they are provided for all |
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Definition
| may be broken into units and purchased |
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Term
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Definition
1. Problem identification and agenda setting
2. Formulation
3. Adoption
4. Implementation
5. Evaluation |
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Term
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Definition
| political culture and economic conditions |
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Term
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Definition
| widely held values, beliefs, and attitudes on what governments should try to do, how they should operate, and relationships between the citizen and government |
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Term
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Definition
| governments are constrained by resources, and economic conditions can create demands for policy |
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Term
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Definition
Legislatures
Identify problems, design public policies
Executives
Provide leadership, carry out laws (administrative agencies)
Courts
Uphold laws, judicial review |
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Term
| The non-governmental players |
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Definition
Interest groups/lobbyists
Identify problems, design policies, advocate policies
Political parties
Contest elections, organize platforms
Research organizations
Identify problems, design policies, advocate policies
Media
Supply information, frame issues, influence citizens
Citizens
Vote, wield indirect influence, and do all of the above |
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Term
| How does it get on the agenda? |
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Definition
| Problems → Issue → Systemic agenda, policy entrepreneurs, or mandatory items → institutional agenda |
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Term
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Definition
| the problems that public officials feel obligated to pay attention to and act on |
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Term
| Three ways to get to the institutional agenda |
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Definition
Mandatory items
Policy entrepreneur
Systemic agenda |
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Term
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Definition
| problems that public officials are required or expected to handle |
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Term
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Definition
| politicians, interest groups, and citizens who advocate issues |
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Term
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Definition
| issues people are talking and worrying about |
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Term
| how do you convince people of a problem? |
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Definition
Problem affects a lot of people
Problem is severe
Problem is simple and memorable
Can be measured
Problem is tangible
The causes of the problem are known
Individuals can’t solve the problem
A policy solution for the problem exists |
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Term
| To make it systemic or policy entrepreneur: |
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Definition
Keep incentives in mind (reputations, re-election, and good policy)
The public: keep in mind that issues go through attention cycles |
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Term
| Anthony Downs: the Issue-Attention cycle |
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Definition
1. Pre-problem stage
2. Alarmed discovery and euphoric enthusiasm
3. Realization of the cost of significant progress
4. Gradual decline in the intensity of public interest
5. Post-problem stage |
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Term
| How to convert to the institutional agenda: |
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Definition
On systemic agenda
Policy entrepreneurs are ready to advocate
Political conditions are favorable
Research and policy proposals should be ready before the window of opportunity
Powerful interests feel threatened
An abrupt crisis
Protest activity
Media coverage |
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Term
| The Family and Medical Leave Act |
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Definition
Problem: 1984, CA court struck down maternal leave law
Agenda-setting: women’s groups are outraged |
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Term
| What is policy formulation? |
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Definition
| “Developing pertinent and acceptable proposed course of action…for dealing with public problems.” |
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Term
| Problems with Policy formulation |
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Definition
Technical challenges
Laws are written in their own language
Solutions: hire lawyers, borrow language
Laws contain loopholes
Solution: staff, industry experts, revision
Strategic challenges
Policies have to be formulated in a way that will make them likely to be adopted
When formulating policies, we must use backwards induction: we must start by considering what would pass in the end |
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Term
| How to endure policy adoption |
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Definition
Stick with it
Focus on the institutional actors who are most important
Know the tools that are available to you and your allies
Bargaining: negotiation, trade
Pervasion: marshaling ideas and arguments
Command: ability to make binding decisions
Understand how political actors make decisions
Constituency
Ideology: system of beliefs about the world
Authority: experts, friends, party leaders |
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Term
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Definition
| the thing people are talking about |
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Term
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Definition
| “What is done to carry into affect adopted policies.” |
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Term
| Why is budgeting important? |
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Definition
Distributive/redistributive about flow of money
Many constituent/regulatory policies can be voided or watered down via the budget |
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Term
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Definition
| direct or mandatory: entitlement programs, interest on debt, statutory spending |
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Term
| Budget and Accounting Act of 1921 |
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Definition
Required the president to prepare an annual budget and submit it to Congress
Created the Office of Management and Budget (OMB) to assist the President
Created the Government Accountability Office (GAO) to assist Congress in auditing expenditures |
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Term
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Definition
| Preparation, authorization, execution, audit |
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Term
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Definition
Agencies develop budgets
Agencies send budgets to OMB
President makes the final decision
Documents are sent to Congress |
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Term
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Definition
Budget is divided into 12 bills
12 subcommittees of the House Appropriations Committee review the budget, hold hearings, and make recommendations
These recommendations are almost always adopted by the committee then by the House
The Senate take the budget and focuses on holding hearings on “items in dispute”
A joint Conference Committee resolves differences
The President can sign or veto
Can’t line-item veto→ Yes or No |
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Term
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Definition
Appropriations (authorizations) become outlays (or expenditures)
Presidents have sometimes tried to impound (withhold) funds, but impoundments have usually been overturned by the courts |
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Term
| Congress seldom deviates much from the President’s budget |
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Definition
Budgeting is usually incremental, that is, decision focus on small changes from the previous year’s budget
Because budgets are passed as large, omnibus bills
It’s easy to sneak things in that wouldn’t pass by themselves
Because it’s easier to give than to take away
The budget has been growing and growing |
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Term
| Over 100 agencies of various kinds |
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Definition
Employ about 2.8 million people
Executive Branch is organized into 15 executive departments with sub branches
Independent regulatory commissions
Federal Reserve, Postal Service, NASA |
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Term
| Discuss the actors who influence implementation |
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Definition
Official actors
Legislatures
Courts
Executives
Hold hearings
Write clearly-worded legislation
Hammer-clauses → forces people to do things
(Senate) extract promises from appointees
(President) fire people
Unofficial Actors
Interest groups
Political parties
The mass media
Citizens
Lobby agency officials
Engage in agency-run adjudication
File a law suit
Street-level bureaucrats
“the individuals who carry out and enforce the actions required by laws and public policies”
police officers |
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Term
| how to survive implementation |
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Definition
Know your audience
Agencies differ vastly in ideology, ability, and openness
Different internal organizations
Respect your audience
Sometimes laws are vague
Agencies have wide discretion
Get in the game early
The most consequential decisions are often made immediately after new legislation is passed or an agency is created
Throw a fit if you have to
Most agencies are controlled by the legislature and executive agencies
All agencies can be sued for failing to faithfully execute the law
All agencies care about their reputations
Don’t give up |
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Term
| What is program evaluation? |
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Definition
| a systemic study to asses how well a public program is working |
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Term
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Definition
Describe how laws are implemented
Measure performance
Estimate impact
Asses efficiency and cost
Compare benefits to cost |
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Term
| Who evaluates/uses evaluations? |
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Definition
General public
Politicians
Congressional/White House staff
Congressional committees
GAO/OMB/CBO/CRS
Public agencies
Interest groups
Government contractors/private researchers |
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Term
| The evaluation process: 5 steps |
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Definition
Clarify programs’ goals and strategies/Define program and structure
Develop evaluation questions
Process evaluations
Outcome evaluations
Net impact evaluation
Benefit-cost evaluation
Develop evaluation design
Collect information about programs and the environment
Analyze information |
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Term
| Forms of Congressional evaluation |
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Definition
Constituent service/evaluation
Member/staff activities
Committee staff reports, hearings, and bill markups
GAO/CBO/CRS reports
Agency reports
Lobbying |
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Term
| GAO, “The Congressional Watchdog” |
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Definition
$45 billion saved
$500 budget
80% recommendations are implemented
3,200 full-time employees |
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Term
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Definition
| Some policy outcomes affect the policy making process itself |
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Term
| How does policy feedback work? |
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Definition
Resources/incentives are created for interest groups
Give groups resources to mobilize (money or power)
Alter government’s capacity
Create resources and incentives for citizens
Shape what policy makers know
Shape what citizens know |
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Term
| Resources/incentives are created for interest groups |
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Definition
Incentives mobilize groups to want more
Medicare and the AARP
Can create counter-mobilizations
Bush tax cuts
Give groups resources to mobilize (money or power)
Labor unions in Wisconsin |
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Term
| Alter government’s capacity |
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Definition
Future prospects for policy implementation are improved
More expenditure increases revenue, which is a cycle
Increase bureaucracy |
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Term
| Create resources and incentives for citizens |
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Definition
They can affect major life choices → lock in a particular path of policy development
Ex. Highways and suburban sprawl |
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Term
| Shape what policy makers know |
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Definition
Awareness of problems higher
Knowledge of alternatives
Ex. Budget, the poor laws |
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Term
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Definition
Some policies generate a lot of attention (NASA)
Some policies are essentially invisible (tax subsidies)
Some policies are traceable to their sources (tariffs)
Some policies are not traceable (food prices)
Some policies affect citizens’ political engagement (Motor Voter; GI Bill) |
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Term
| Discuss how to survive policy feedback |
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Definition
How will the policy affect interest groups? Do I want them to be strong/weak?
How will the policy affect administrative capacity?
How will the policy affect citizens who make “locked-in” choices?
Will this affect policy changes in the future? Other possibilities?
Easier/more difficult for citizens to hold government accountable?
Policy-making is never really over |
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Term
| Congress is more unpopular now |
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Definition
| than it ever was before since Gallup began surveying in 1954 |
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Term
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Definition
| 49 bicameral, 1 unicameral (49 to 424 members) |
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Term
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Definition
| (3,033), cities (>18,000), special districts (>14,000 school districts) |
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Term
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Definition
| Federal→2.5 trillion, State → 1 trillion, Cities → 1.5 trillion |
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Term
| Congress: Powers Enumerated |
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Definition
| Raise revenues, regulate interstate and foreign commerce, coin/borrow money, declare war, impeach (House) and remove (Senate) public officials, approve treaties and appointees (Senate), propose amendments to the Constitution |
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Term
| Implied Congressional powers |
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Definition
Implied:
Necessary and proper clause
Article 1, Section 8, Clause 18
• Anything necessary/proper to execute its powers
Commerce Clause
Article 1, Section 8, Clause 3
Regulate commerce with foreign nations, among the several states, and the Indian tribes |
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Term
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Definition
without the majority party leadership
the support of committee leaders to pass stuff |
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Term
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Definition
| 20 standing committees in each chamber |
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Term
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Definition
Approximately 20 for representatives, 40 for senators
Chief aide, press secretary, legislative assistants, correspondents, case workers
Staff members often stand in for members of Congress |
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Term
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Definition
Typically in 3,000-4,000 range in the Senate
600-700 votes in the Senate
their workload has never been higher than it is now |
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Term
| Congress: legislative process |
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Definition
Introduction
Referral
Committee Action (hearings, markup)
Report
Scheduling
Floor Debate
Passage (in both chambers) |
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Term
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Definition
Constrain behavior, won’t risk re-election
Legislator/constituency attitudes are correlated
Direct/anticipated
Independent consequences: advertising, credit-claiming, and position-taking
Collective consequences: delay, symbolism, provincialism, and clientelism |
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Term
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Definition
Help solve collective action problems
Coordinate a single platform |
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Term
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Definition
Allows legislators to specialize
Pursue: good public policy, prestige within congress, prestige with constituency |
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Term
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Definition
Lobbyists don’t buy votes
Counteractive lobbying
Interest groups lobby their would-be opponents and demobilize/counteract them → not vote for you, just prevent them from stopping you
Buying time
Educate/mobilize your supporters |
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Term
| Executives provide an important check against the legislatures and courts |
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Definition
Represent constituent interests (unlike courts)
Represent the entire constituency (unlike legislatures) |
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Term
| Presidential enumerated powers |
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Definition
Command of the military
Issuing pardons
Making treaties (with the Senate)
Appointing executive officials (with the Senate)
Making recommendations to Congress
Supervising the execution of laws
Vetoing new legislation |
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Term
| other presidential powers |
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Definition
Executive privilege: the ability to withhold information from the public in matters of national security
The Bully pulpit: the ability to elevate any issue onto the national political agenda |
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Term
| The President and Congress |
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Definition
The threat of a veto (or an override)
Persuasion and bargaining
Proclamations and executive orders
Signing statements
Less than 1% of federal employees can be fired by the President |
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Term
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Definition
Must be a natural-born citizen and at least 35 years old
Elections held quadrennially (starting in 1792) on the Tuesday between November 2 & 8
Indirect vote: citizens cast ballots for a state of delegates to the Electoral College according to rules established by each state
4 presidents failed to win a plurality |
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Term
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Definition
Constitutional powers: President of the Senate can cast the tie-breaking vote
Succeeds the president (9 of our 43 presidents)
Sometimes in/out of the loop |
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Term
| Executive Office of the President |
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Definition
Created in 1939 by FDR
Chief of Staff (top aide)
Ex: Council of Economic Advisors, NSA
Cabinet
The VP and heads of the 15 Executive Departments |
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Term
| The two presidencies thesis: |
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Definition
President has more power over foreign policy
Traditional, Constitutional, and statutory authority
Able to act faster than Congress
Fewer interest groups
Veto bargaining
Gives president the power to shape policy
Pushes policy to the President’s preferences
Works in reverse: the Senate has final say over many presidential appointments |
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Term
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Definition
| ability of bureaucracy to propose/enact new policies that are not the preferred policies of the Executive branch of Congress |
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Term
| what is the structure of the federal judiciary? |
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Definition
State trial courts>state appeals courts>state supreme courts
tax courts/US district courts>US court of appeals
Claims court/court of international trade>federal circuit court of appeals
military courts>court of military appeals |
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Term
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Definition
the power to hear a case for the first time
Breach of Constitution, federal laws, international actors, federal government, interstate conflict |
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Term
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Definition
| Power to review a lower court’s decision |
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Term
| How does a case get to the Supreme Court? |
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Definition
In 2008, the court received 7,738 petitions
It issued 230 decisions (3%) |
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Term
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Definition
The Supreme Court must have jurisdiction
The person must submit a petition for a writ of certiorari
If four judges agree to hear the cases, they grant the petition and the case is scheduled |
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Term
| How does the Supreme Court decide a case? |
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Definition
After writ of cert is issued and the case is scheduled
Lawyers from each side submit briefs
Outsiders submit amicus curiae briefs
Justices individually read the briefs
Judges interrogate lawyers
On Friday, the justice deliberate in secret and vote on the outcome
The Supreme Court then issues a decision (or decisions)
Can be unanimous, majority, concurring, dissenting |
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Term
| Worst Supreme Court Justice ever |
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Definition
Gabriel Duvall
Issued one opinion: “I dissent” |
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Term
| Can judges really make public policy? |
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Definition
The judicial branch plays a massive role in making public policy by enforcing it/striking down a law
Judicial branch plays a major role in implementation |
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Term
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Definition
The right of federal courts to declare laws of Congress and acts of the President unconstitutional
Asserted in Marbury vs. Madison |
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Term
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Definition
The right of federal courts to have the final say in constitutional questions
Definitely not in the Constitution; gradually accepted by politicians for reasons of political convenience |
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Term
| Strict constructionist view |
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Definition
| Judges should only apply to the rules that are stated in or clearly implied by the language of the constitution |
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Term
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Definition
| Judges should discover the general principles underlying the constitution and its often vague language |
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Term
| What can you do to change policy via the judiciary? |
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Definition
Launch a test case in jurisdiction where you’re sure to be found guilty
If it’s not overturned, you have to serve the sentence
Griswold v Connecticut (1965)
Submit an amicus brief in a pending case
Pay the legal fees |
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Term
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Definition
They solve collective action problems in the political process
Policy-making process is lengthy and complicated by checks and balances
Complicated by the federalist structure of government
Political leaders need some way to join together and pass policy
They need a way to communicate their positions to citizens
Modern democracy is unthinkable without political parties (Schattschneider) |
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Term
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Definition
Parties have distinct, coherent platforms
They win elections because of platforms
They work together to implement platforms |
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Term
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Definition
They develop distinct, coherent platforms
Candidate-centered elections focus on candidates not parties
Politicians are concerned first and foremost with re-election
Parties facilitate many functions vital to the policy-making process
Parties make sense of this |
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Term
| When there isn’t a two-party system: |
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Definition
Lack of clear distinctions between candidates
Low voter turnout
Disorganized and chaotic factionalism
Unpredictable public policy |
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Term
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Definition
| organizations that try to influence public policy |
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Term
| Parties in the Electorate |
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Definition
Direct control over election administration
Set the rules about party registration
Closed primary, semi-closed primaries, open primaries
Conventions
Nominate candidates and adopt a platform
Indirect influence over elections
Elections at all levels of government are structured by political parties |
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Term
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Definition
All 50 states, most counties (state/local)
Primary goal is providing assistance to campaigns
Polling, GOTV
National party organization
DNC/RNC
National Republican Congressional Committee and Democratic Congressional Committee
Campaigns have a lot of resources |
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Term
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Definition
Formal leaders
Majority leader, whip
Caucuses: legislators meet regularly to pursue objectives
Policy committees: subsets of legislators meet |
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Term
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Definition
| A public policy intended to prevent monopoly and maintain competition in the economy |
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Term
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Definition
| The view that public policies are determined by a small segment of society, such as an upper class, uncontrolled by the mass of citizens. |
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Term
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Definition
| A theory holding that policies result from conflict and struggle among political interest groups. |
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Term
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Definition
| Theory that holds that public policies result from the pursuit of self-interest by citizens and officials |
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Term
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Definition
| Law based on judicial decisions and custom and usage rather than on statutes |
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Term
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Definition
| A private organization or group that strives to influence the actions of governmental officials. |
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Term
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Definition
| A political subsystem comprising a government agency, congressional committees, and some interest groups that is resistant to external influences |
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Term
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Definition
| Those governmental powers possessed by the states on the basis of the Tenth Amendment. |
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Term
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Definition
| The unlawful use of force, violence, and intimidation against civilians in a society to advance political or ideological goals. |
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Term
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Definition
| Problems that have a broad effect, including consequences for persons not directly involved. |
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Term
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Definition
| A judicial decision rule that holds that precedents established by previous cases should be followed in deciding current cases |
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Term
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Definition
| A legally binding policy statement issued by the president on the basis of his or her constitutional or delegated authority. |
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Term
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Definition
| The exchange of support by persons interested in different matters often called “mutual back-scratching.” |
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Term
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Definition
| Previous decisions and actions that limit what one can do in the future |
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Term
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Definition
| Special provision in tax laws that lessen the impact of tax changes or increases. |
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Term
| appropriations legislation |
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Definition
| Following authorization legislation, this law actually makes money available to support government programs. |
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Term
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Definition
| Expenditures made by government agencies on the basis of borrowing and contracting authority, and which circumvent the normal appropriations process. Also includes entitlements. |
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Term
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Definition
| Provisions included in laws that are intended to compel agencies to take actions. |
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Term
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Definition
| A temporary group, created by the chief executive, consisting of public officials and/or private citizens who study and make recommendations on a problem. |
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Term
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Definition
| An informal or ad hoc group of citizens and officials used to examine and/or propose action on a problem. Used by some presidents |
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Term
| Interest groups/lobbyists are ubiquitous in the policy-making process |
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Definition
|
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Term
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Definition
| those who stand to gain or lose more than others as a result of public policy |
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Term
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Definition
| organizations that try to “influence” public policy |
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Term
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Definition
| actions intended to influence policy outcomes |
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Term
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Definition
Economic groups: seek monetary benefits, restraints on rivals, relief from regulation
Businesses, trade, labor
Policy groups: seek goals that benefit the broader group
Ideology, public interest, think-tanks, foundations
Campaign groups: influence the outcome of elections
PAC’s, sec. 527 groups |
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Term
| Why do interest groups form? |
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Definition
Communications revolution
Expansion of government activity
Collective action theory: concentrated benefits and displaced costs = strong incentives for interest groups
Economic specialization and social diversity
Disturbance theory: as society becomes more complex, stable social arrangements are disturbed; those who are harmed organize to try to restore what’s lost
Policy entrepreneurs
Entrepreneur theory: groups form from desire of a dedicated organizer |
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Term
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Definition
Not heavily regulated
Form and disband quickly
Jump into politics temporarily |
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Term
Total number of registered federal lobbyists in 2011:
Total spending on registered federal lobbying in 2011:
Duke spent |
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Definition
12,633
$3.3 billion
$442,165 (0.01% of total) on 2 full-time lobbyists |
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Term
| What makes interest groups powerful? |
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Definition
Financial resources
Advertising
Campaign donations
Membership
Voters/campaign workers
Disruptive action
Policy expertise
Drafts of legislation
Advice about policy, politics
Familiarity with policy-making process
Revolving door: lobbyists are former government officials/staff
Grasstops lobbying: enlisting support of people with personal connections to a lawmaker
General prestige and reputation
Ex. Heritage Foundation vs. KKK |
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Term
Recruiting members
Interest groups have to offer a benefit |
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Definition
Material: items/services with monetary benefits
Purposive: desirable policy outcomes
Solidarity: intangible rewards arising from the act of associating
Free rider problem: if benefits are collective goods, many will choose to not participate and still enjoy the benefits
Selective incentives: benefits that are private goods; only members can enjoy them |
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Term
| James Madison, Federalist 10 |
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Definition
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Term
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Definition
Pluralist theory: interest groups represent citizens’ concerns in our porous political process
Interest groups advocate citizens’ demands outside of elections
They enable people to concentrate resources on a common purpose
Interest groups are a manifestation of our freedom of speech |
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Term
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Definition
People don’t recognize that the groups they’re affiliated with are interest groups
Salvation Army lobbies on gay marriage and prayer in schools
Elite theory: interest groups disproportionately represent the middle and upper classes
Skewed against working class, women, and racial minorities
This costs a lot of money |
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