PPA 503 – The Public PolicyMaking Process
Lecture 2a - The Context of Public
Policy: Values and Environment
Historical Development of Public
Policy
 The history of American politics and policy is
characterized by considerable change.
 The policy history of the United States is
characterized by “policy restraint”.
 The history is divided into four eras:
– A period of divided power,
– An era of state activism,
– An era of national activism, and
– An era of national standards.
Historical Development of Public
Policy
 Divided power (1787-1870).
– Weakness of national government under Articles of
Confederation, Shays’ Rebellion.
– The Constitution placed limits on scope of federal
government, but was still much stronger than the
government under the Articles. Also contained
structural impediments to radical policy.
 Division of powers and separation of powers.
 Policy conflicts tend to turn on jurisdictional questions as much
as policy questions. (Which level of government as important
as what to do).
Historical Development of Public
Policy
 Divided Power (contd.)
– Powers granted to Congress fell into two categories: management
of national responsibilities (defense) and commercial
responsibilities (interstate commerce).
– Powers broadened by “necessary and proper” clause”.
– In general, however, from the perspective of the average citizen,
the federal government was not the most important official
participant in policy making.
– Reinforced by structure, Founder’s understanding, rural nature of
the population, sparseness and homogeneity, libertarian political
philosophy, absence of industrialization.
– Embodied by conflict between Hamilton and Jefferson. History
supported Hamilton.
Historical Development of Public
Policy
 State activism (1870 to 1933).
– Industrialization and attendant increases in wealth,
poverty, crime, disease.
– Increased attempts at state regulation, but difficult for
individual states. Interstate commerce suggested
federal intervention, but federal government reluctant.
 Did pass Sherman Anti-Trust Act in 1890. Clayton Act 1914,
Pure Food and Drug Act. Many trust breakups. (Now remerging).
 Federal government supported laissez-faire economics in its
court and legislative decisions (Lochner vs. New York 1905).
– Integration of former slaves into society 1865 to 1880s.
Declined thereafter (Plessy vs. Ferguson 1896). Turned
control of issue over to states.
Historical Development of Public
Policy
 National activism (1933-1961).
– Demands triggered by Great Depression.
– Lochner rule influenced Supreme Court actions
on New Deal until 1937.
– New Deal created modern system of national
activism. Further enhanced by federal
government activity during World War II.
– National Defense system in 1950s.
Historical Development of Public
Policy
 National standards (1961 to 1981).
– Great Society.
– Scientific study of public policy impelled by
federal government’s efforts to set standards for
states and localities.
– Retrenchment caused by Vietnam and
Watergate restrictions on President.
 Budget and Impoundment Control Act.
 War Powers Act.
Historical Development of Public
Policy
 The end of big government? (1981-present).
– The election of Ronald Reagan.
– The Reagan Revolution changed the tenor of
American politics and signaled a realignment.
– These eras suggest that the American
constitution without substantial change is
flexible enough to bend, but not break in the
face of major policy upheavals.
Stability in American Politics and
Policy Making
Table 2.1. Elements of American Stability
Type
What this means
Examples in action
Ideological stability
Americans tend not to stray from
a set of ideological precepts
based largely on our national
experience.
No labor party because of some
suspicion of class warfare.
Political stability
Politics in the U.S. tends to be
fairly stable for extended periods.
Our constitutional structure has
changed little. 27 amendments.
Policy stability
Policies tend to change very little
over time.
The gradual evolution of Social
Security over sixty years.
Stability in power
Changes in power do not cause
major policy, political, or social
upheavals.
The transition from one President
or Congress to another is
generally very smooth
Source: Derived from James A. Anderson, Public Policymaking, 4th ed.
Stability in American Politics and
Policy Making
 Ideological stability means that Americans and their representatives
have not been quick to shift their basic political beliefs. Since the
founding and even before, Americans have believed in personal
liberty and equality (except for those outside the mainstream), a
generally limited government, “popular sovereignty”, the rule of law,
and respect for market economics, private property, and free
enterprise.
– Although attitudes have changed on a multitude of issues including
slavery, racial discrimination, the rights of women and children, and
voting rights, the core values have remained the same.
– The acceptable range for ideology is much narrower in the U.S. than in
Europe.
 Reinforced by the single member district and the two-party system.
– Some beliefs can be contradictory. Equality and capitalism, for
example.
Stability in American Politics and
Policy Making
 Political stability is a key element of our overall
national stability. We have operated under the
same constitutional arrangement since 1789
(oldest continuously operating system with a
written constitution).
– Although many more groups have been included, the
basic rules have remained the same.
 Structure that promotes a two-party system, Presidential
election by electoral college, Senate based on state
representation, House apportioned to population.
 Reinforced by stable beliefs.
Stability in American Politics and
Policy Making
 Policy stability – Political stability produces policy
stability.
– American government and constitutional system not
designed to be quickly responsive to national needs or
desires. Checks and balances, separation of powers
 New Deal conflict, and court packing plan example.
 Clinton’s health plan examples.
– The federal system also operates to delay policy
change.
 Laboratories of innovation versus status quo orientation.
 In many senses, the constitution a
counterrevolutionary document. The Civil War
may have been more revolutionary.
Policy Restraint and Barriers to
Change
 One should not conclude that policy stability is solely the
result of the constitutional structure, or that policy change
can happen. It is just very difficult.
 Barriers to change.
– Ideological and political stability. Shared power, high barriers to
amendment, separation of powers, checks and balances.
– Basic rules and norms.
 The Senate filibuster
 Seniority
 Congressional procedural rules
– Open government and policy restraint.
 Open public meeting laws, Administrative Procedure Act, and the
Freedom of Information Act open up the process for public scrutiny and
by side effect slow down the policy process.
Policy Restraint and Barriers to
Change
 A rationale for stability.
– Deliberation and public participation are at least as
important as rapid and efficient policymaking.
– Rapid policy change can happen with the right
combination of political factors, but during normal
periods, minorities can block policy change and the
system preserves their right to do so.
– Policy does not change rapidly because most of the
public does not support such change except under rare
circumstances.
Policy Restraint and Barriers to
Change
 Fragmentation.
– Fragmentation is a double-edge sword.
 On the one hand, it requires multiple serial majorities
to promote change.
 On the other hand, it offers multiple points of access
to the policy process.
– Dimensions of fragmentation.
 Separation of powers.
 Division of powers (federalism).
Policy Restraint and Barriers to
Change
Table 2.2. The Balance of Power
Function
Congress
President
Courts
Legislative
Make laws
Recommend laws; veto
laws; make regulations
that have the force of
law.
Review laws to
determine legislative
intent, new
interpretations
Executive
Override vetoes;
legislative vetoes of
regulations
Enforce and implement
laws.
Review executive acts;
restrain executive
actions.
Judicial
Impeach judges and the
president, call witnesses
to hearings, set judicial
jurisdiction.
Pardon criminals,
nominate judges
Interpret laws.
Note: The primary function of each branch is indicated in the boxes with the diagonal lines.
Core Values and Beliefs in American
System
 Fundamental Beliefs
– Life The individual's right to life should be
considered inviolable except in certain highly
restricted and extreme circumstances, such as
the use of deadly force to protect one's own or
others' lives.
Core Values and Beliefs in American
System
 Fundamental Beliefs
– Liberty The right to liberty is considered an unalterable aspect of
the human condition. Central to this idea of liberty is the
understanding that the political or personal obligations of parents or
ancestors cannot be legitimately forced on people. The right to
liberty includes personal freedom: the private realm in which the
individual is free to act, to think and to believe, and which the
government cannot legitimately invade; political freedom: the right
to participate freely in the political process, choose and remove
public officials, to be governed under a rule of law; the right to a
free flow of information and ideas, open debate and right of
assembly; and economic freedom: the right to acquire, use, transfer
and dispose of private property without unreasonable governmental
interference; the right to seek employment wherever one pleases;
to change employment at will; and to engage in any lawful
economic activity.
Core Values and Beliefs in American
System
 Fundamental Beliefs
– The Pursuit of Happiness It is the right of
citizens in the American constitutional
democracy to attempt to attain--to "pursue"-happiness in their own way, so long as they do
not infringe upon rights of others.
– Common Good The public or common good
requires that individual citizens have the
commitment and motivation--that they accept
their obligation--to promote the welfare of the
community and to work together with other
members for the greater benefit of all.
Core Values and Beliefs in American
System
 Fundamental Beliefs
– Justice People should be treated fairly in the
distribution of the benefits and burdens of
society, the correction of wrongs and injuries,
and in the gathering of information and making
of decisions.
– Diversity Variety in culture and ethnic
background, race, lifestyle, and belief is not only
permissible but desirable and beneficial in a
pluralist society.
Core Values and Beliefs in American
System
 Fundamental Beliefs
– Truth Citizens can legitimately demand that truth-telling
as refraining from Iying and full disclosure by
government be the rule, since trust in the veracity of
government constitutes an essential element of the
bond between governors and governed.
– Popular Sovereignty The citizenry is collectively the
sovereign of the state and holds ultimate authority over
public officials and their policies.
– Patriotism Virtuous citizens display a devotion to their
country, including devotion to the fundamental values
and principles upon which it depends.
Core Values and Beliefs in American
System
 Constitutional principles.
– Rule of Law and Judicial Review Both government
and the governed should be subject to the law.
– Separation of Powers Legislative, executive, and
judicial powers should be exercised by different
institutions in order to maintain the limitations placed
upon them.
– Representative Government The republican form of
government established under the Constitution is one in
which citizens elect others to represent their interests.
Core Values and Beliefs in American
System
 Constitutional principles.
– Checks and Balances The powers given to the different branches
of government should be balanced, that is roughly equal, so that no
branch can completely dominate the others. Branches of
government are also given powers to check the power of other
branches.
– Individual Rights Fundamental to American constitutional
democracy is the belief that individuals have certain basic rights
that are not created by government but which government should
protect. These are the right to life, liberty, economic freedom, and
the "pursuit of happiness." It is the purpose of government to
protect these rights, and it may not place unfair or unreasonable
restraints on their exercise. Many of these rights are enumerated in
the Bill of Rights.
Core Values and Beliefs in American
System
 Constitutional Principles
– Limited Government The powers of government may
not be used to restrict fundamental freedoms including
life, liberty, and property.
– Freedom of Religion There shall be full freedom of
conscience for people of all faiths or none. Religious
liberty is considered to be a natural inalienable right that
must always be beyond the power of the state to confer
or remove. Religious liberty includes the right to freely
practice any religion or no religion without governmental
coercion or control.
Core Values and Beliefs in American
System
 Constitutional Principles
– Federalism Power is shared between two sets
of governmental institutions, those of the states
and those of the central or federal authorities,
as stipulated by the Constitution.
– Civilian Control of the Military Civilian
authority should control the military in order to
preserve constitutional government.
Information Management in Public
Policy
 The environment of public policy in the United
States has changed dramatically because of the
advances in information technology.
 In 1813, Congress made provision for the
protection of state documents by requiring that
copies of important legislative documents be made
available to selected universities, state libraries,
and historical societies.
 The origin of the federal depository library system.
Information Management in Public
Policy
 By 1945, the USGPO was doing eight
mailings per day to each of 418 depository
libraries.
 Beginning in 1980s and 1990s, the USGPO
began the shift to microfiche.
 In the 2000s, the USGPO is not the only
source of information and most
documentation is now electronic.
The Cold War: Origins of
Information Technology in the U.S.
 Colossus computer – 1943. Codebreaker.
 ENIAC – 1942—1946. Ballistics
calculations.
 UNIVAC 1 – weighed 8 tons. - Sold to
Census Bureau. First commerical sale.
– U.S. Navy and Atomic Energy Commission
bought the next two.
– First private sector purchaser – General
Electric.
The Cold War: Origins of
Information Technology in the U.S.
 Mainframe computing – 1970s
– IBM 370.
– IBM 7090, first transistorized computer.
 Personal computer – 1980s
– Apple
– IBM PC
– Ended the use of mainframe computing by
government.
The Cold War: Origins of
Information Technology in the U.S.
 Advanced Research Projects Agency
(ARPA) within Department of Defense.
– Over 12 years, major governmental initiatives
reconstructed telecommunications infrastructure
and provided foundation for the Internet.
– Data communications technology (air defense).
– Communications satellite development.
– ARPAnet 1969 – first cooperative computer
network.
Architecture of Federal Information
Policy, 1946-1980
 Administrative Procedures Act of 1946.
– Federal Register, electronic 1993.
 Federal Records Act of 1950.
– Preserve documentation of the organization,
functions, policies, decisions, procedures, and
transactions of agency.
 The Freedom of Information Act of 1966.
– Right to public access to government
information.
Architecture of Federal Information
Policy, 1946-1980
 The Technology Assessment Act of 1972.
– Office of Technology Assessment, later superseded by
other technology agencies.
 The Federal Advisory Committee Act of 1972.
– Timely notice in Federal Register of advisory committee
meetings.
 The Privacy Act of 1974.
– Protects privacy of individuals identified in information
systems maintained by federal agencies.
Architecture of Federal Information
Policy, 1946-1980
 The Government in the Sunshine Act of 1976.
– Public entitled to fullest information on decision-making
processes of federal agencies.
 Presidential Records Act of 1978.
– Made presidential records public rather than private.
 The Paperwork Reduction Act of 1980.
– Mandated an information resource management (IRM)
approach to federal data.
From BITNET to FIRSTGOV: Growth
of the Internet 1981-2000
 BITNET (1981) – Because It’s Time NETwork.
– Cooperative network situated at CUNY.
 NSFNet (1986) – Managed with IBM, MCI, and
Merit Network. 10,000 hosts by 1987.
 Combination of ARPANet, BITNET, and NSFNET
provided infrastructure for the Internet.
 1984 – Domain Name System (DNS) and Uniform
Resource Locators (URL).
From BITNET to FIRSTGOV: Growth
of the Internet 1981-2000
 Internet Corporation for Assigned Names and Numbers
responsible for civilian URLs, FTP, lookup files. Military
responsible for .mil, Feds responsible for .gov, and foreign
countries for the suffixes.
 In 1992, federal government repealed acceptable use
policy allowing commercialization of the Internet.
 1992 – Supreme Court prohibited Internet sales taxation
for companies without physical presence in state.
 1993 – Federal funding of internet ends.
 1995 – Concept of the “Digital Divide.”
 2000 – FirstGov.gov, portal to all government information.
Policy Issues in the Information Age,
1986-2005
 Public access to information.
 Public participation in e-government,
including public comments on federal
regulations.
 Accessibility for disabled. Rehabilitation Act
Amendments of 1986.
 Individual privacy. Matching regulated but
more match since 9/11.
Policy Issues in the Information Age,
1986-2005
 Modernizing education. Increased technology
infrastructure.
 Regulating e-vice.
– Child Online Protection Act of 1998 (unconstitutional).
– Child Pornography Prevention Act of 1996
(unconstitutional).
– Prosecutorial Remedies and Tools Against the
Exploitation of Children Today Act of 2003 (PROTECT).
– Child Obscenity and Pornography Prevention Act of
2003
– Many more acts.
Policy Issues in the Information Age,
1986-2005
 Securing intellectual property.
– Digital Millennium Copyright Act of 1998, extended to
digital media. Fair use for universities. Prohibited
removal of copyright management information from
digital media.
 Electronic voting.
– Shift from paper ballots, but many security issues.
 Regulating the outsourcing of IT jobs.
– Raises information security issues.
Securing E-Government, 1986 2005
 Guaranteeing security of cyberspace key issue.
 1980s mostly computer crime.
 1990s, architecture for securing cyberspace
against foreign and domestic enemies.
 Presidential Decision Directive 63 (Protecting
America’s Critical Infrastructure).
 Government Information and Security Reform Act
of 2000.
 9/11.
Securing E-Government, 1986 2005
 USA Patriot Act of 2001.
 Cyber Security and Research Act of 2002.
 Amendments to Fair Credit Reporting Act to
reduce identity theft.
 OMB – Information Systems Council to
coordinate sharing of terrorist information.
 9/11 Commission – separate, secure
network for federal information sharing.