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