PLCY 100 Midterm Flashcards (Chapters 1-5)

Public Policy

What public officials within government, and by extension the citizens they represent, choose to do or not do about public problems.

Public Problems

Conditions the public widely perceives to be unacceptable and therefore require intervention.

Policy

A purposive course of action that an individual or group consistently follows in dealing with a problem.

Policy Outputs

Formal actions that governments take to pursue their goals

Policy Outcomes

The effects that policy outputs have on society.

Government

The institutions and political processes through which public policy choices are made.

Federalism

A system of governance in which authority is shared between national, state, and local governments.

Politics

The exercise of power in society or in specific decisions regarding public policy.

Policy Analysis

The examination of components of public policy and the policy process.

Logic of Collective Action

A theory regarding interest group participation that suggests individuals would be irrational to join an interest group if it presented no opportunity for personal gain.

Contexts that Affect Public Policy

Social, Economic, Political, Governing, and Cultural

Political Culture

Widely held values, beliefs, and attitudes, such as trust and confidence in government and the political process, or the lack thereof.

Reasons for Government Involvement

Political, Moral/Ethical, and Market Failures

Market Failure

A situation in which the private market is not efficient, which can be the result of four things: a monopoly/oligopoly, externalities, information failures, or the inability to provide for the collective good.

Negative Externality

A situation in which the interactions between two parties in a market harm a third party who does not receive compensation.

Positive Externality

A situation in which the interactions between two parties in a market provide an additional benefit to a third party.

Information Failure

A lack of easily or fully available information for buyers and sellers, which is needed to enter into a transaction or exchange, which prevents perfect competition within a market.

Collective Good

Goods that are provided to the public by either the private sector or the government, which are defined by the ability (or lack thereof) to exclude people from consuming the good and the ability (or lack thereof) for joint consumption of the good. Toll goods, common pool resources, and pure public goods all fall under the collective good.

Pure Private Goods

Goods for which there is no market failure; they are both excludable and rivalrous (unable to be jointly consumed).

Toll Goods

Goods that are excludable but non-rivalrous (can be jointly consumed). Examples include cable TV services or electrical utilities, where individuals pay a fee (or toll, which is why exclusion is possible) and can simultaneously consume the same good (using the internet does not diminish the ability of your neighbors, who may have the same provider, to use the internet).

Common Pool Resources

Goods that are not excludable but which cannot be jointly consumed, such as air, water, and land. If you are breathing air, others around you cannot breathe that same air, but exclusion is not feasible since anyone can breathe air without paying for it; there are no barriers to consumption.

Pure Public Goods

Goods that are not excludable and non-rivalrous. Examples include public parks, which everyone can access and enjoy simultaneously.

Effectiveness

Whether a current policy or program, or one that is being considered, is likely to work.

Efficiency

What a policy or policy proposal costs in relation to its expected benefits to society.

Equity

The consideration of what constitutes a fair or equitable policy choice.

Political Feasibility

How government officials and other policy actors appraise the acceptability of a proposal (is it likely to be accepted?).

Policy Gridlock

A stalemate in which no policy decisions can be made because neither side is willing to compromise in a bitter dispute.

Growth of Government

Increasing size and involvement of the federal government in the daily lives of citizens. (3 cabinet-level departments at founding compared to 15 today).

Reasons for Growth of Government

Increasing size and complexity of American society (growing population, advances in science, technology, and business operations that require new government interventions), increasing public acceptance of business regulation and governmental oversight of social welfare, and a growing global role of the United States.

Checks and Balances

A system among the United States' institutions of government that prevents concentration of power (and thus tyranny) by delegating powers to different branches that limit the power of others.

Impacts of Fragmented Power

Difficult to respond to public problems in a timely and coherent way due to the possibility of divided government (different political parties controlling different branches that can check the authority and actions of each other), which requires agreement and compromise that is not always feasible.

Furthermore, fragmented power between the states and the national government means that certain states may enjoy advantages (such as cleaner air or universal health care within that state) compared to others.

Incremental Policymaking

The norm in U.S. politics arises from fragmented power, in which changes or adjustments are made in small steps that are often taken very slowly. This could include minor amendments to existing policies or the gradual extension of a program's mandate or the group it serves.

Dual Federalism

A situation in which there is little integration of the two levels (state and national) of government, meaning the functions and responsibilities of each are distinct from one another.

Cooperative Federalism

A situation in which state and national governments collaborate on policymaking decisions; responsibilities regarding the policies are shared, and thus the lines between both levels of government are slightly more blurred.

Block Grants

An example of cooperation between federal and state governments. A transfer of federal dollars to the states in which the states that receive these funds can use them at their discretion to meet the needs of their citizens.

Categorical Grants

An example of cooperation between federal and state governments. The transfer of federal dollars to the states but with the requirement that funds be used for specific purposes (much like a funded mandate).

Unfunded Mandates

Federal requirements that are placed on state governments without funds for implementation and for which federal policymakers receive political credit.

Decentralization of Power

Transfer of policy authority from the federal government to the states. Raises questions regarding the ability of states to handle these additional responsibilities.

Separation of Powers

Governing power is shared between the executive, legislative, and judicial branches of the federal government, which makes policymaking more difficult and policy gridlock more likely.

Bicameral

The legislative branch of the United States consists of two branches, the Senate and the House of Representatives, that have distinct responsibilities regarding policymaking.

Filibuster

A mechanism that allows members of the minority party in the Senate to talk for an extended period of time in hopes of delaying, modifying, or defeating a policy proposal, which can force compromises.

Veto

A power granted to the president that allows them to reject a bill that has been approved by Congress. A presidential vocabulary word requires a two-thirds vote (supermajority) in both houses of Congress to be overridden.

Committees and Subcommittees of Congress

An elaborate system of two hundred different committees and subcommittees where policy development is concentrated. Each of these is chaired by the party that holds the majority of seats in Congress. Each also has a large staff and a specific jurisdiction over certain public policies and the executive agencies that administer them. This arrangement provides multiple venues for highlighting public problems and considering policy proposals, meaning almost any issue can garner attention on Capitol Hill. Policy gridlock occurs when these committees and subcommittees fail to agree on policy, just as it would if the same situation were to occur in the full House or Senate.

Executive Office of the President

The White House offices and agencies that assist the president in the development and implementation of the policy. These offices form a "mini-bureaucracy" that provides the president and his staff with vital information and policy ideas in their respective areas.

Federal Bureaucracy

The bulk of the executive branch, including all agencies and offices that fall under each of the cabinet departments and other offices and agencies whose mission it is to develop and implement policy in specialized areas.

Cabinet-Level Departments

The best known part of the federal bureaucracy. There are fifteen of these departments that are each managed by a secretary appointed by the president and confirmed by the Senate, and they each include subsidiary agencies.

Independent Executive Agencies

An agency that is part of the federal bureaucracy and that operates outside of the cabinet departments. Each has an appointed administrator who has major policymaking and implementation responsibilities but who may not be very isolated from political pressure from the president or Congress. These are responsible for a more focused policy area than cabinet-level departments. (Ex. NASA, which is an IEA, vs. the Justice Department).

Independent Regulatory Commission

An agency that is part of the federal bureaucracy that operates outside of the cabinet departments and that has a commissioner appointed by the president and confirmed by the Senate for fixed and staggered terms. They are thus insulated from the will of the president and other political pressures, allowing them to be more objective and unbiased in their policymaking. IRCs are typically responsible for the economic regulation of certain industries, with each IRC focusing narrowly on one industry.

Circuit Courts of Appeals

Thirteen of these are part of the federal judiciary. They are one level beneath the Supreme Court.

Federal District Courts

Ninety-four of these are part of the federal judiciary; they are a level beneath circuit courts of appeals.

Precedent

A tool used by the judiciary in which prior court decisions are used to guide/help make a current decision.

Public Opinion

What the public thinks about a particular issue or a set of issues at any point in time. The attentive public, or the group (typically less than 10% of the total population) who take an interest in a particular problem or policy, can be distinguished from the general public. Actions from the attentive public may impact policymaking, but the opinions of the general public tend to shape policy direction.

Avenues for Expression of Public Opinion

Answering polls and surveys, voting, attending meetings, writing or speaking to government officials, joining interest groups, and backing referendums and initiatives placed on state or local ballots.

Saliency and Intensity

How centrally important an issue is for an individual and how strong/firmly held that opinion is.

Stability

The continuation of an opinion over time. Oftentimes, public opinion is not highly stable.

Interest Groups

Organized entities that participate in policymaking through lobbying of policymakers, mobilization of the public for support, and public education campaigns. Some also engage in electioneering, which is the endorsement of certain political candidates, as well as litigation, which is the challenging of government actions in courts.

Public Interest Groups

Interest groups that are composed of citizens.

Special Interest Groups

Interest groups with a direct economic stake in public policy decisions (e.g., Google).

Nonprofits

Organizations that provide goods and services but that are neither private businesses nor government-operated. They typically operate like interest groups in that they influence and advocate for or against policies that are important to them.

Lobbying

Supplying information on policy views or summaries of policy-related studies to legislators, offering testimony in committee hearings, meeting with legislators or members of their staffs, and urging supporters to write or call legislators, all of which is done in support of, or opposition to, certain policy proposals. Essentially, lobbying is a form of advocacy that groups use to influence the policymaking process.

Role of the Media in the Policy Process

- Reporting information that informs citizens about the current state of political discourse, thus influencing public awareness/opinion.

- Shaping public opinion by covering certain news in a certain manner or intentionally avoiding other news (could even include intentionally misrepresenting certain news or presenting news that is entirely false: fake news).

Subgovernments/Issue Networks/Iron Triangles

Informal policymaking structures that focus on a specific policy area that the policy actors in said structures are concerned with. The policy actors that compose these structures are congressional committees, executive agencies, and interest groups that influence and collaborate with others to develop and influence policy in a specific area.

Policy Capacity

The ability of policymakers (especially the government) to identify, assess, and respond to public problems.

Theories of Public Policy

Elite Theory, Group Theory, Rational Choice Theory, Institutional Theory, Political Systems Theory

Elite Theory

A theory regarding how policy is formed that suggests that the values and preferences of a small, unrepresentative group of elites (including but not limited to wealthy people and governing figures) are more influential than the values and preferences of the general public as a whole in terms of shaping public policy.

Group Theory

A theory regarding how policy is formed that suggests that public policy is shaped by the interactions between competing organized interest groups (e.g., labor unions vs. manufacturers). Often criticized for underemphasizing the role of public officials who have discretion when it comes to making policy decisions and are not necessarily always subject to the influence of interest groups.

Rational Choice Theory

A theory regarding how policy is formed that suggests that individuals in the policymaking process are rational beings who will act in a way that maximizes outcomes in terms of furthering their own interests. It assumes that individual policy actors will make the most rational decision with the information that is available to them regarding a certain policy proposal. In other words, the core motivation of policy actors in public policy is the furthering of their own interests. For example, an elected official may strictly adhere to the views of their constituents regarding a controversial issue in order to increase their likelihood of reelection. It is criticized for overgeneralizing selfishness and failing to demonstrate that not all individuals will always act in a single-minded manner regarding public policy.

Institutional Theory

A theory regarding how policy is formed that emphasizes the formal and legal aspects of government structure. In other words, the way that the government is organized based on certain rules and legal powers influences the way that policy is shaped and the policy actors that interact with each other and develop said policy. For example, the bicameral structure of the United States legislature makes it difficult for controversial policies to pass when there is divided control of Congress, resulting in policy actions that are more incremental in nature, rather than radical changes.

Political Systems Theory

A theory regarding how policy is formed that emphasizes the role of the environment, namely the ongoing economic, social, and cultural context, in shaping public policy. According to this theory, the environment interacts with the policy process via inputs, or the demands that are expressed by public opinion and interest group pressures, that result in policy outputs. It also emphasizes the role of feedback from the public regarding policy outputs and outcomes in terms of shaping policy change.

Policy Cycle/Policy Process Model

The continuous, or cyclical, process through which public policy is created. This cycle includes 6 stages: problem definition and agenda setting, policy formulation, policy legitimation, policy implementation, policy evaluation, and policy change.

Problem Definition and Agenda Setting

The first stage of the policy process model where problems are identified and their causes are defined (which is often extremely complicated, since the political perspective of an individual influences the way they perceive and define a problem), and the problem garners enough attention to be placed on the agenda of policymakers, after which policy action to address the problem becomes likely. There is significant competition for space on the agenda, meaning that an identified problem is not guaranteed review or action on behalf of policymakers. Agenda setting is influenced by four factors: required policy actions, the problem stream, the policy stream, and the political stream.

Nonissues

Problems that fail to gain attention and be placed on the agenda.

Agenda Denial

The intentional exclusion of certain policies from the agenda by political organizations that favor suppressing them due to certain biases.

Systemic Agenda

The issues that the public is aware of and may be discussing but which have not yet been placed on the governmental agenda, where they will be given attention and consideration from policymakers.

Institutional or Government Agenda

The problems that policymakers are actively giving serious attention and consideration to.

Required Policy Actions

Policies that are automatically placed on the government agenda since they are actions that the government is required to deal with, such as the annual budget or the confirmation of executive appointments. These problems take up a significant amount of the time that is available to policymakers.

Problem Stream

The information that is available regarding a problem, including who it affects and in what ways. This factor influences the ability of a policy to be placed on the agenda: the larger the scope of a problem and the more information that is available regarding the problem, the more likely it is to be placed on the government agenda during the process of agenda setting.

Policy Stream

The various policy alternatives that provide potential solutions to the problem. In other words, what can be done about the problem? This factor influences the ability of a policy to be placed on the agenda: if there are few or no possible policy solutions, it is unlikely that a problem will ever be placed on the agenda during the process of agenda setting.

Political Stream

The current political climate and public mood. This factor influences the ability of a policy to be placed on the agenda: if a highly controversial issue, such as abortion rights, is raised during a period of conservative domination of politics, it is unlikely that the problem will ever be placed on the agenda during the process of agenda setting.

Policy Formulation

The second stage of the policy cycle, in which various proposed policy solutions and courses of action to address a public problem that has been placed on the government agenda are developed by policymakers.

Policy Legitimation

The third stage of the policy cycle, in which policy solutions are approved and thus given legal force and are also authorized and justified in order to give legitimacy to the action as a proper exercise of government power, ensuring public acceptance. Just because a policy was approved and given legal authority does not mean it underwent the process of legitimation, such as in the case of budget riders (hidden policy actions that are buried within budget bills and other mandatory policy actions). This process can be difficult in the modern age due to low public approval of Congress as an institution, leading many to question the legitimacy of the policies that it produces. In order to fully undergo the process of legitimation, in addition to achieving a majority vote or legal sanction by a recognized authority, a policy must also be consistent with the Constitution and other existing laws, compatible with US political culture and values, and have popular support.

Policy Implementation

The fourth stage of the policy cycle in which formal actions are taken to put a policy that has been passed into effect (passing a policy does not immediately mean that said policy will be followed or enforced; policy implementation is what ensures this). Most frequently, policy implementation sees the use of regulations, which are rules with the force of law that govern the operation of a particular government program/policy. Thus, policy implementation is the stage in which real intervention and consequences are seen within society.

Policy Evaluation

The fifth stage of the policy cycle in which policies and programs are assessed in order to determine whether they are working well or not. Typically, the government wants to know if the costs of the policy are offset by the benefits and if the policy had the intended outcome within society.

Policy Change

The sixth stage of the policy cycle, in which changes are made to public policies based on the evaluations that were previously conducted. These changes typically include the modification of policy goals or the means that are used to achieve said goals.

Punctuated Equilibrium Model

A model of policy change that suggests there are long periods of policy stability that are punctuated by volatile short-term policy changes that result from newly emergent challenges or conditions that disrupt the status quo.

Policy Instruments

Tools that policymakers use to address a particular issue or problem when they deem that government intervention is necessary. These include regulation, government management, education and persuasion, taxing and spending, and market mechanisms.

Regulation/Regulatory Policy

Regulation acts as both a policy instrument and a policy typology, which makes it very unique. As a policy instrument, regulation is a government decree that requires citizens or other entities (such as corporations) to do something or prevents them from doing so. Regulations impose sanctions in the case of failure to comply, including fines and imprisonment. As a policy typology, regulatory policy is a government restriction of individual choice to keep conduct from transcending acceptable bounds.

Government Management

This policy instrument comes in the form of direct government management of resources and services that are necessary but which, typically, the private sector fails to provide. Examples of policies that the government enforces through direct management include national defense as well as public education.

Taxing and Spending

This policy instrument comes in the form of government taxation or spending to achieve policy goals and objectives. Social Security is an example of government spending that is used to enforce a policy, and taxing cigarettes to discourage smoking is an example of government taxation that is used to enforce a policy.

Market Mechanisms

This policy instrument comes in the form of the use of market incentives to achieve policy goals and objectives. An example of this is the provision of marketable permits in exchange for compliance with the Clean Air Act Amendments of 1990.

Education and Persuasion

The policy instrument is defined by public education campaigns that the government uses in order to educate citizens and persuade them to act a certain way. This could include a presidential appeal to Americans following a natural disaster that encourages them to support relief efforts.

Policy Typologies

Three categories of policy actions that describe what is being done by said policy actions. These categories are distributive policies, redistributive policies, and regulatory policies.

Distributive Policies

Individual programs or grants that a government provides without regard to limited resources or zero-sum situations. Essentially, there are no losers when these policies are implemented, since resources are distributed to individuals without taking them away from others. Often, these types of policies are referred to as pork barrel policies, as they are the types of policies that elected officials work to secure for the benefit of their constituents.

Redistributive Policies

A policy that redistributes resources throughout society and that has winners and losers that are associated with its approval, making these types of policies controversial and difficult to adopt. Examples of this would be affirmative action or tax policies.

Competitive Regulation

A type of regulatory policy that refers to the regulation of specific industries and their practices.

Protective or Social Regulation

A type of regulatory policy that refers to the protection of the general public from activities that occur in the private sector.

Rational Decision Making

A model of how individuals make decisions. It states that we define problems, indicate the goals and objectives to be sought, consider a range of alternative solutions, evaluate each of the alternatives to clarify their consequences, and then recommend or choose the alternative with the greatest potential for solving the problem.

Rational-Comprehensive Approach

The approach to policy analysis that utilizes the process of rational decision-making based on complete, or comprehensive, information regarding a problem.

Incremental Decision Making

The approach to policy analysis that utilizes the same steps as rational decision-making but which does not require in-depth, comprehensive analysis due to the preference of making modest, gradual changes to policies rather than drastic ones. This approach is considered more realistic in policy due to constraints such as pressure from interest groups and constituencies to resolve problems quickly.

Steps in the Policy Analysis Process

Define and analyze the problem, construct policy alternatives, choose evaluative criteria, assess the alternatives, and draw conclusions.