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PSC 307: Public Policy Analysis

Student Notes on Thomas Dye, Understanding Public Policy

Compiled by Jeremy Lewis, revised 17 Feb. 2008, with reformatting and editing.

Chapter Numbers are presented as in tenth edition, then as in [old edition].  11th Edition added Homeland Security, 2005.
Chap. 01: Policy Analysis (2002)
Chap. 02: Models of Politics (2000)
Chap. 03 [14]: Policymaking Process (2000)
Chap. 04: Criminal Justice (2000)
Chap. 05: Health and Welfare (2000)
Chap. 06: Education (2000)
Chap. 07 [09]: Economic Policy  (2000, 2002)
Chap. 08 [10]: Tax Policy (2000 -- two versions)
Chap. 09 [11]: International Trade and Immigration (2000)
Chap. 10 [07]: Environmental Policy (2000)
Chap. 11 [03]: Civil Rights: Elite and Mass Interaction (2000)
Chap. 12 [13]: American Federalism
Chap. 13 [08]: Defense Policy (2002)
Chap. 14 [new]:Homeland Security: Terrorism  NEW, 2005, 11e.
Chap. 15 [14]: Policy Evaluation (2002, 2000)

Chap. 01: Policy Analysis
Amy West (2002)

Policy-public policy is whatever government chooses to do or not to do/ a projected program of goals, values and practices.

 -today people expect government to do a great many things for them
 -understanding the causes and consequences of policy decisions improves our knowledge of society
 -policy studies helps us learn about the linkage between social and economic conditions in society
 -policy studies incorporate the ideas and methods of economics, sociology, anthropology, psycology, history, law and public
 -public policy can be studied for political purposes to ensure that the nation adopts the "right" policies to achieve the "right" goals
 -policy analysis is finding out what governments do, why they do it and what difference, if any it makes
 -learning about the consequences of public policy is often referred to as policy evaluation
policy analysis involves
1. a concern with explanation rather than presumption
2. a rigorous search of the causes and consequences of public policy
3. an effort to develop test general propositions about the causes and consequences of public policy and to accumulate reliable
findings of general relevance.
  -questionable that policy analysis can ever "solve" America's problems
  -policy analysis cannot offer solutions to problems when there is no general agreement on what the problems are
  -it cannot solve value conflicts
  -policy analysis is one activity for which there can be no fixed programs
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Chap. 2 - Models of Politics
by Jared Lyles, 2000

1. Models of Politics - used to simplify, identify certain aspects, understand and explain policies

A. Institutional Model

  1. Describe specific institutions and certain aspects of those institutions
- structures, organization, duties, and functions B. Process Model - identify problem, set agenda, formulate policy, implementation, evaluation C. Group Theory D. Elite Theory E. Rational Model F. Incrementalism G. Game Theory H. Public Choice I. Systems Theory 2. How to Tell if the Models are Helping. Do They:
  1. Order and simplify reality
  2. Identify what is significant
  3. Congruent with reality
  4. Provide meaningful communication
  5. Direct inquiry and research
  6. Suggest explanations
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Chapter 11 [03] - "Civil Rights: Elite and Mass Interaction"
(Tiffany Tolbert , 2002) (earlier version is below)

  "Civil Rights policy is a response of a national elite to conditions affecting a minority of Americans rather than a response of
national to majority sentiments."
Mass Opinion Differences

     Most whites believe that there is little discrimination toward blacks
     Blacks believe that they are not treated equally in employment, housing, etc.
     White majority opinion only changed after civil rights policy has been implemented
     Poor, uneducated whites posses the least favorable attitudes toward blacks
     Well educated, successful whites are more concerned with discrimination and more eager to socialize with blacks
     A majority of whites believe we have enough regulations against discrimination
     Civil Rights policy reflects the views of Congress, the president and the Supreme Court
          exp.: 14th Amendment
          exp.: Civil Rights Act of 1875, passed by Congress but declared unconstitutional in 1883

Mass Resistance to Desegregation

     The branches of government get involved to enforce civil rights policy
          exp.: Civil Rights Act of 1964 - COngress threatens segregated school, with loss of federal financial assistance
          exp.: 1957 - President Eisenhower uses military force to integrate Little Rock's Central High School


     Suppose to end racial isolation in public schools
     Mass reaction - white children sent to private school, by parents
     End result - schools end up more segregated than before

Civil Rights Movement

     Supported equality of opportunity
          Ability to be able to develop one's talents and abilities

Affirmative Action

     Supports equality of results
          Sharing of incomes, jobs and material rewards, regardless of someone's economic position
               Not supported by the white mass
          Supreme Court Cases
               States vs Paradise (1987)
                    50% black quota system for promotions in the Alabama Dept. of Public Safety upheld
                    Purpose to correct past discrimination
               Richmond vs Crosen (1989)
                    Questioned affirmative action
                    Minority set aside program in Virginia violated the Equal Protection Clause of the 14th Amendment


     1880's feminism centered on the protection of women in families
     Early 20th century feminism concentrated on women's suffrage
     1970's feminism focused on the ERA to the Constitution
          Failed - was not ratified by 38 states

Civil Rights Laws

     Title VII of the Civil Rights Act of 1964 - prevents racial and sexual discrimination in hiring and promotions
     Federal Equal Credit Opportunity Act Amendment of 1974 - prohibits sex discrimination in credit transactions
     Title IX of the Education Act Amendment of 1972 - bars discrimination in admissions, housing, rules, financial aid,
     pay and staff recruitment

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earlier version:
Chapter 11 [03] - "Civil Rights: Elite and Mass Interaction"
(Jared Lyles, 2000)

Three main propositions:

  1. Civil rights policy is a response of a rational elite
  2. Elite opinion leads mass opinion, not vice-versa
  3. Conflict between mass and elite will define the limits of civil rights policy
Development of Civil Rights Policy Elite Power in Society Civil Rights Movement Gender Policy Abortion and the Right to Life Conclusion: Problem: shift the definition of "elite"
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Chapter 4 - Criminal Justice
(Jared Lyles, 2000)

-Crime fighting strategy is deterrence: to make cost of committing crime greater than benefits
- Strategy focuses on:

1. certainty- crime= costly punishment
2. swiftness- justice must be swift
3. severity- it has to be harsh - Author argues that crime is down and that it can be attributed to, crackdowns, community policing and longer prison sentences.
[BUT Steven Leavitt's "Freakonomics" thesis: teen street crime declined in 1990s partly owing to abortions among poor single women in 1980s.]
- Makes point that juvenile crime is on the rise and attributes it to their lax punishment. He feels as though in the juvenile sector there is an absence of deterrence
- Argues that American justice is not a deterrent - lacks swiftness, certainty and severity.
- He blames crime rate on:
1. Social Heterogeneity
2. Socialization and Control
3. Irrational Crime
4. Innate Aggression
5. Deterrence vs. Liberty
- Dye makes the point that crime ends up paying off in the criminals' eyes.
- Public now expects federal involvement in law enforcement we see this through:
  1. Law Enforcement Act of 1994
  2. Federal Gun Control Act of 1968
  3. Brady Law
- Development of policies in Criminal Justice is complicated by conflicting values.
    Due Process vs. fight crime
    - Death Penalty:
    - no deterring effect
    - falls short because of racial bias and infrequency of use
    - as crime gets worse, may become necessary
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    Chapter 5: Health and Welfare
    (Jared Lyles, 2000) [Inserts by Lewis]
  • - 35 M Poor are not principal beneficiaries of social welfare. Only 1/6 goes to low incomes.
  • - Entitlements [60% of spending]: govít benefits for which Congress has a set criteria-anyone meeting them may receive benefits.
    1. [Majority of families have one recipient.]
  • Largest amounts of entitlement spending goes to Social Security, Medicare, and Vet. & Fed. retirement
  • Rational approach to social welfare is difficult due to nature and extent of poverty
    1. SSA of 1935 helps establish a basic framework
    2. Depression produces realization that poverty is not always individuals fault, from this, comes various types of insurances:
    3. Social Security- most expensive program in federal budget
    4. Medicare- health services for the elderly
    5. Medicaid- health services for the poor (largest welfare to the poor)
    6. Food Stamps
    7. TANF, 1996: [only] Temporary Assistance for Needy families
  • Clash in Values over charity: Individual Responsibility vs. Social Compassion
  • [Liberal and conservative critics of anti-poverty programs argue over estimates of poor.]
  • [Latent poverty: those 20% who would be poor without govt benefits.]
  • [Feminization of poverty: 2/3 of poor are in single-mom families -- half of those live in poverty.
  • Especially common in black and hispanic communities.]
  • [Poverty based on income, not wealth, so elderly poor may have assets.]
  • [Causes:]
  • [Human capital theory: poor have low productivity]
  • [Inadequate demand, economic stagnation -- implies solution is growth.]
  • [Discrimination: blacks earn less than whites at same educational level.]
  • [Culture of poverty, present oriented]
  • - Can social welfare policies create poverty by eliminating incentives to work?
  • [Homelessness caused by a variety of situations: half are singles, and half  of those addicted.
  • deinstitutionalization
  • decriminalization of vagrancy and addiction
  • failure of community care.]
  • [Health care: 15% uninsured or treated by Govt, esp youg adults.
  • access issue
  • prescription drug coverage issue
  • nursing home care issue
  • cost inflation
  • defensive medicine.
  • managed care
  • patients' rights
  • Reforms: portability (Kennedy-Kassebaum Act 1996); single payer; universal insurance; open access plans.]
  • [BUT interest group challenges.]

  • - Health care reform focuses on 2 major problems: Controlling costs; Expending costs
    - Important because everyone has a stake in the national health care system

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    Chapter 6 Education
    (Amy Garrett, 2000)
    I. Goals of Education
    A) Resolve racial conflicts and build an integrated society
    B) Inspire patriotism and good citizenship
    C) Provide Values
    D) Various forms of recreation and entertainment
    E) Reduce conflict
    F) Basically everything except educate
    II. Battling Over the Basics
    A. Citizen groups that have an interest in education
    1. Parents
    2. Taxpayers
    3. Employers
    B. Public Strongly Support:
    1. The 3 "Ďrís"
    a. Reading
    b. Writing
    c. Arithmetic
    2. Enforcing minimum standards with testing
    3. Testing teachers for mastery of basic skills
    C. SAT scores
    1. SAT scores where declining due to more students taking the test
    2. College Board recentered scores in 1996 to boost scores
    3. Now more than 500 students a year make a perfect 1600
    D. Global Comparison
    1. Performance of 500,000 U.S. 13 year olds tested compared with 42 nations was 28 in math and 17 in science.
    2. The top nations had a cultural value for education and is valued in the family
    E. Nation at Risk
    1. 1983 report by National Commission on Excellence in Education (A Nation at Risk) recommended a back to the basics reform
    a. Minimum high school curriculum of 4 years of English, 3 yrs of math, 3 yrs of social science, and ½ year of computer science
    b. 4-6 yrs of foreign language beginning in elementary school
    c. standardized testing for achievement
    d. more homework, a 7 hr school day, and a 200-220 day school year
    e. reliable grades and standardized tests for promotion and graduation
    f. "performance based" salaries for teachers
    F. Testing
    1. Minimum Competence Testing (MCT)
    a. test used for the need of remedial education or requirement for promotion or graduation
    b. about ½ the states require these test and are usually on 8th or 9th grade lv
    c. Educators fear this will start teaching to the test education
    d. some charge the test are racially biased
    G. Teacher Testing
    1. NEA opposes all teacher testing, but the AFT willing to accept competency testing only for new teachers
    III. Educational Groups
    A. Citizens vs. Professionals
    1. Citizens are often pitted against professional educators about education policy
    2. Citizen groups believe education should be a local matter through elected school boards
    3. Elected school boards do not have the knowledge to deal with todayís issues
    4. Superintendents are full time administrators who receives advice from professionals and sets the agenda for board meetings
    5. Professional educators feel politics should be left out of schools but citizens want to have control
    B.Professional educators 1. School teachers: largest group - about 2 million
    2. School administrators - most powerful
    3. Faculties of teacher colleges and dept of educations at universities
    C. Teacher Unions 1. NEA: National Education Association - largest
    2. AFT: American Federation of Teachers - small, affiliated with AFL-CIO
    D. Voters and Taxpayers 1. Voters that turn out for elections or school referendum votes
    2. The larger the voter turnout the less likely a school bill will be passed
    E. School Boards 1. Selected largely from concerned parents and civic leaders F. Racial and Religious groups 1. Groups like NAACP, National Catholic Education Conference, American Jewish Congress, etc
    2. Have fought battles over segregation, racial issues, prayer and Bible reading
    3. Community- based religious groups fight for return of traditional moral values
    IV. Federal Government Role in Education A. Traditionally education has been the responsibility of local community, later it became the responsibility of the state, federal govít is just a spectator
    B. State and local taxpayers have always borne 90% of public education costs
    C. Early Federal Aid 1. Started off as land grants and later went to free lunches then to financial aid D. ESEA 1. Elementary and Secondary Education Act 1965
    2. Single largest fedíl aid to education programs
    3. Poverty-impacted schools were principal benefactors
    E. Educational Block Grants 1. Reagan administration consolidated all education funds into the Education Consolidation and Improvement Act in 1981 into single block grants for states and communities
    2. Purpose was to give state and local districts greater discretion over the use of fedíl educational aid
    F. Head Start 1. Most popular federal educational aid program came from LBJís war on poverty
    2. Provide special preschool preparation to disadvantaged children before entering k or 1st grade
    3. No conclusive evidence it is effective but politically popular
    G. Federal Aid and Educational Quality 1. Educational achievement is dependent on how money is spent, not how much
    V. Educational Reform and Parental Choice A. Goals 2000 1. Clintonís policy designed to enhance natíl educational goals developed by Bush and state governors a. Every Child must start school ready to learn
    b. High school graduation rate will be increased to at least 90%
    c. US students become 1st in world in math and science
    d. Every adult American will become literate
    e. Every school in the US will be free of drugs and violence and will offer a disciplined environment cohesive to learning
    2. Not clear how they were to be achieved
    3. Act specifically denies govít control of curriculum, instruction, and allocation of state and local education
    B. Clinton Initiatives 1. Supported Natís testing and proposed additional federal funds for school construction, tax credits and deductions for college tuition
    2. Issue of who will set Natíl standards and how to measure achievement
    C. What works? 1. Research shows children do better when schools are seen as an extension of their families D. Parental Choice 1. Parental choice is suppose to encourage competition whis in turn encourages academic advancement
    2. Allow parents to make educators give students what they want or they risk a large loss in enrollment
    E. Charter schools 1. Community educational groups sign a charter with their school district or state authority tp establish their own school
    2. Have to show specific student achievement
    3. Results unknown b/c have few established schools
    F. Magnet Schools 1. Specialized schools in academic areas, or adopted by businesses etc
    2. Have reputation for quality and specialized instruction, recommended for inner city areas to attract white pupils
    G. Privatized Public Schools 1. A private profit-making corporation makes a contract with the school districts
    2. lower cost to school districts
    3. Opposed by public school administrators, public school teachers, and unions
    H. Educational Values 1. Vouchers that would be given to parents to spend at any school, public or prv
    2. All public and private schools would compete equally for students and state education funds would flow to those schools that enrolled more students
    3. Strong Opposition especially by professional school administrators and state and educational agencies
    4. Sat it interrupts educational planning and threatens vitality of schools
    5. Some fear public education will be undermined and divert money from public schools to private schools
    VI. Battle over school financing A. Inequality among districts 1. Money in schools depends on the amount of economic resources
    2. Most money comes from land taxes so schools with little land has little money
    B. Constitutional issue 1. Supreme court says it is not a violation of 14th amendment
    2. State courts are making legislators do something about it
    VII. Public Policy and Higher Education
    A. Public Universities
    1. 3/4 of college students go to public colleges or universities
    B. Federal Aid
    1. State government carries the major burden of higher education
    2. Fed government directly assists many college students through grants and loans
    C. Student Assistance
    1. Pell Grants
    2. Stafford Loans
    3. Perkins Loan
    4. Work Study
    5. Most financial aid is given to middle class students
    D. Research money is given to large Universities for scientific research
    VIII. Groups in higher education A. Trustees: set broad policy directions and keep higher education from becoming politically saturated by governors and legislators
    B. Presidents: chief spokesperson to maintain support and delegate responsibilities
    C. Faculty
    D. unions: AAUP-American Association of University Professors and AFT
    E. Students - least influential of all groups
    IX Reading Writing and Religion
    A. Separation of church and state comes from first amendment
    B. Does not prohibit adoption of programs that help all children
    C. Prayer is unconstitutional in almost all ways
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    Chapter 10 [7]: Environmental Policy
    (Jared Lyles, 2000)
    I Public Choice and the Environment II Environmental Externalities III Interest Group Effects IV Political Involvement V Alternative Solutions
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    Chap. 7 [9] Economic Policy
    Incrementalism at Work
    (Joey Hollis, 2002)

    Incrementalism in fiscal and monetary policy

    Fiscal policies- decisions about taxing, spending, and deficit levels, determined
    mostly by the President and the Office aof Budget and Management

    Monetary Policies- decisions concerning money supply and interest rates ,
    determined by the Federal Reserve

    Fiscal and Monetary policies are made incrementally, meaning that modest
    changes are made, and according to what was policy was used the preceeding year.

        -Incrementalism provides very good short term predictions of government policies
        -Policy makers do not have the time , energy or information ro review budgets every year

    Economic Theories as Policy Guides

    Classical Theory -
            -market economy that self adjusts
            -maximum productive, and stable if govt. leaves it alone
            -If there are more workers than there is demand, then wages will fall. But, businesses will want
            more workers at lower wages - thus employment is ended.
            -If demand falls, business inventories will rise and prices will be reduced to sell, until demand
            picks up again

    Keynesian Theory-
            -Great Depression of the 1930's challenged popular confidence in classical economics
            -economic stability is a product of fluctuations in demand
                    both unemployment and lower wages reduced the demands
            -only govt. can take necessary steps to expand demand by spending more and lowering taxes
            -to counter inflationary and recesionary trends, the govt. would take opposite steps

    Supply-Side Economics
            -attention to long term economic growth is more important than short-term manipulation of demand
            -economic growth increases overall supply of goods and services and thereby holds down prices
            -standards of living are improved with the availability of more goods and services at stable prices
            -free market is better equipped to bring about lower prices and more supplies
            -govt. is the problem
            -high taxes penalize hard work, creativity, investment, and savings
            -govt. regulations should be minimized to increase and supply rather than demand and consumption

    Monetary Economics
            -assumes that the suply of money in the economy heavily influences supply, demand, and prices
                (general performance of the economy)
            -Therefore, the govt., or primarily the Federal Reserve controls them money in inflationary and
                recessionary times

    Federal Reserve
            -most independent of all executive agencies
            -expand or contract the money supply through its oversight of the operation of banks in
                in the Federal Reserve system
            -No members ever removed

    The Performance of the American Economy

    Gross Domestic Product
            -nations total production of goods and services for a single year valued in terms of market prices
            -sum of all the goods and services that people purchase
            -measures the performance of the economy

    The unemployment rate is the percentage of the civilian labor force who are
    looking for work or waiting to return to or begin a job

    Inflation erodes the value of the dollar because higher prices purchase fewer goods and services

    Fragmentation in Budget Making - the OMB and the Congressional Budget Office are supposed to bring together requests and fit them into the whole.....the segmentation helps to secure political aggreement on the budget as well as reduce the burden of red tape in the process

            -are determined by past policies of Congress and represent commitments in future federal budgets
            -provide classes of people with legally enforceable rights to benefits
            -account for over half of govt. spending

    Budgetary Process
           -The President, through the Office of OMB has the key responsibilty for formulating the budget
           -The OMB sends out ceilings and floors to agencies, in which they take requests
           -After budgets are compiled, are sent to the Capitol, where reviewed by the Congressional Budget
            office, and house and Senate committees
           -Congressional approval is divided into thirteen seperate appropriations bills, covering broad
                categories of spending

    Appropriations acts provide money for spending.
    Line item veto

    IN order to avoid shutdowns, Congress grants "continuing resolutions",
    authorizing agencies to keep spending money for a specified period of time

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    Chap. 7 [9] Economic Policy
    (Marianna Roppollo, 2000)

    -economic policy is exercised through

    fiscal policies: decisions about taxation, spending and deficit levels

    monetary policies: money supply and interest rates

    -decided by federal spending levels

    -fiscal and monetary policies have small changes at existing levels

    -goals of economic policy

    growth in economic output and standards of living, full and productive

    employment of the nations work force and stable prices with low inflation

    -this type of policy making is an example of incrementalism because it uses last years spending to decide present years budgeting

    -Theories used in this type of policy making:

    macroeconomics: tries to explain economic cycles and to prescribe

    governmental policies to counter inflation and recession

    classical: view market economy as self adjusting mechanism

    Keynesian: economic stability product of fluctuations in demands, written into employment act of 1946-promotes "maximum employment production and purchasing power"

    - Reagan used Supply side economics - long term growth is more important than short term demand- free market is better equip than government to bring lower prices and supply and demand

    - Clinton used Enterprise Economics- government is responsible to stimulate growth- and invest in

    - Monetarist Economics- stability can be achieved only by holding rate of money and economic growth at the same pace

    -govnít spending has grown because of "Uncontrollable benefits" ex:

    - Social Security is the largest item in the budget while Medicare and

    Medicaid are the fastest growing

    -Burden of Debt ( p. 229) govenít spends more than it recieves in revenues and this drives up the debt..things that cause this:

    - Formal Budgetary Process & Spending Agencies p.234

    OMB in the executive office- has key responsibility for budget preparation (president has no formal powers over taxing and spending

    house and Senate budget committees- they established the CBO to review presidential budget after submission to congress

    Appropriations Act- provides money for spending, nothing can be spent w/o it

    Appropriations Committees- used for specific appropriations in both houses

    (more in the house than the senate)

    Revenue Act-House committee on ways and means and the senate finance

    committee work mostly with taxation

    Presidential Veto

    Continuing Resolutions and "Shutdowns"- any govnít agency that does not pass an appropriations act may not take money from the treasury and is obligated to shut down continuing resolutions allows a way around this

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    Chapter 8 [10]: Tax Policy
    (Jared Lyles, 2000)


    -there is no better illustration of the influence of interest groups in policymaking than natíal tax policy

    -tax laws treat different types of income differently

    -unfairness, complexity, & inefficiency of tax laws can be attributed to interest groups

    -Tax Reform Act 1986, IGs suffer defeat

    Federal Tax System

    -total revenues from taxes and fees consistently fail to match total spending by the gov

    Individual Income Taxes

    - largest single source of revenue Corporate Income Taxes - 12% fed gov income Social Security Taxes - 36% fed gov income

    - today taxpayers pay more in Social Security taxes than income taxes

    Estate and Gift Taxes

    Excise and Custom Duties

    - luxury items account for 1-2% income Taxation, Fairness, and Growth

    - progressive tax--high income pay higher percentage of incomes in taxes

    - proportionality/flat tax--all income groups pay same rate

    - universality--all types of income subject to same rates

    Economic Growth

    - high taxes discourage growth

    - argues that if taxes were reduced, might increase gov revenue bec/ encourage growth

    -Economic Recovery Tax Cut Act of 1981

      1. Reagan tax cuts take effect and nation began econ recovery
    Tax Reform and Special Interests

    - Tax Reform Act of 1986--reduction in tax rates in place of tax breaks

    -many opponents--industry, real estate, multinational corps, oil & gas, labor unions...

    Compromising with Special Interest

    -key to overcoming opposition of special interests was to offer a tax rate low enough that most people would be willing to give up deductions and preferences

    -bipartisan effort against special interests

    Clinton,Deficits, and Taxes

    - Clinton win on promise to revive econ

    - Clinton propose raising taxes on affluent, elderly, corps, &energy

    - Clinton and Reps agree to middle class tax cut in 1997

    Tax Reform and the Flat Tax

    - Flat tax--eliminate exemptions, exclusions, deductions, &special treatment with 19% tax on all form of income

    -National sales tax-- replace federal income tax and get rid of IRS; penalize consumption not production

    -IRS--"Simplifying tax laws would not only reduce cost of paying taxes but reassure taxpayer that system is fair..It would reduce the power of the IRS... taxpayers bill of rights might strengthen safeguards against arbitrary actions of IRS

    Chapter 8 [10]: Tax Policy
    Chad Hobbs, 2000

    1. There is no better illustration of the influence of interest groups in policymaking than in national tax policy
      1. Tax laws treat different types of income differently
      2. Unfairness, complexity, and inefficiency of tax laws can be attributed to interest groups
      3. Tax Reform Act of 1986, interest groups suffer defeat
    2. Federal Tax System
      1. Total revenues from taxes and fees consistently fail to match total spending by the government
      2. Individual income taxes are the largest single source of government revenue
      3. Today, people pay more in Social Security taxes than in income taxes
    3. Taxation, Fairness, and Growth
      1. Progressive taxĖhigher incomes pay higher percentage of income taxes
      2. Flat taxĖall income groups pay same tax rate
      3. UniversalityĖall types of income subject to same rates
      4. Economic growth
        1. High taxes discourage growth
        2. If taxes are reduced, might increase government revenues (supply side economics)
        3. Economic Recovery Tax Act of 1981Ėtax cuts take effect and economic recovery begins; tradeoff is that growth rate of national revenue slowed
    4. Tax Reform and the Special Interests
      1. Tax Reform Act of 1986Ėreduction in tax rates in exchange for simplified tax system
      2. Many opponentsĖindustry, real estate, multinational corporations, oil & gas, labor unions, etc.
    5. Compromising with Special Interests
      1. Key to overcoming oppositio of special interests was to offer a tax rate low enough that most people would be willing to give up deductions and preferences
      2. Bipartisan effort against special interests
    6. Clinton, Deficits, and Taxes
      1. Clinton won on promise to revive economy
      2. Clinton proposes raising taxes on affluent, elderly, corporations, and energy
      3. Clinton and Republicans agree to middle class tax cut in 1997
    7. Tax Reform and the Flat Tax
      1. Eliminate exemptions, exclusions, deductions, and special treatment with a standardized rate on all forms of income
      2. National sales taxĖreplace federal income tax and get rid of IRS; penalize consumption not production
      3. IRSĖ"Simplifying tax laws would not only reduce cost of paying taxes but reassure taxpayer that the system is fair...It would reduce the power of the IRS...taxpayersí bill of rights might strengthen safeguards against arbitrary actions of the IRS."
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    Chap. 9 [11]: "International Trade and Immigration"
    (Carrie McDonough, 2000)
    Public Policy Analysis

    - 1/4 of the worldís total output is sold in a country other that where is it was made
    - US exports 11%--aircraft, computers,-- and imports 12%--automobiles
    - Comparative Advantage--what each nation produces best & shift toward making that
    - US corps want lower trade barriers around the world--lower US tariffs
    - GATT--General Agreement on Tariffs and Trade--regulate international trade
    - WTO--World Trade Organization--adjudicate trade disputes among nations
    - IMF--International Monetary Fund--facilitate trade by lending
    - World Bank--long term loans
    - NAFTA--eventual removal of all tariffs between US, Can, and Mex
    - Dumping--sale of foreign goods in US markets at prices lower than charged in home--Japanese automobiles
    - foreign trade lower US wages
    - US corps want immigration for cheap labor
    - Immigration Act of 1921--max # immigrants accepted each year
    - Immigration and Reform Act of 1986/ Simpson-Mazzoli Act---regulate employers hiring immigrants
    - aliens have no Constitutional right to come to US, but once here that have right to due process and equal protection
    - US Supreme Court mandate that state and local govít canít exclude immigrants from benefits
    - Proposition 187

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    Chapter 03 [14]: Policymaking Process
    (Amy Garrett, 2000)

    I. How Policies Are Made:

    A. Identify the problem
    B. Agenda Setting: focus the media on the situation
    C. Formulate the policy proposals
    D. Legitimize policies through governmental and political groups
    E. Implement policy through bureaucracies
    F. Evaluate policies by governmental agencies
    II. Identification: Public Opinion A. opinion-policy linkage: never know if public opinion shapes policy or if policy shapes opinion. 1. VO Key established evidence that elections, partied, and interest groups do institutionalize channels of communication from citizens to decision makers. B. policy effects: public policy shapes public opinion more often than the reverse. 1. Public opinion is unstable
    2. Few people have opinions on a great bulk of policy questions
    3. Leaders do not have precise view of opinion because they hear from elites
    C. Media Effects: 1. News believe they are public opinion but are often wrong because they confuse their opinion with that of the public.
    2. Shape public opinion by saying it is the mass opinion.
    3. Decision makers respond to news because they think it is the opinion of the people.
    D. Opinion Polls 1. Pollsters produce opinions because no one admits when they donít have an opinion on a subject. E. Instability of Opinion 1. Public opinion tends to be unstable.
    2. Never real changes, just appear as such
    F. Wording of Questions 1. Opinions vary according to the wording of the question
    2. can word things to elicit approval or disapproval
    G. Communicating with Policymakers 1. Decision makers can misinterpret opinion b/c of elite bias in info.
    2. Congress world of opinion is self reinforcing
    3. Those who write or call senators or rep. are usually more informed
    III. Identifying Policy Issues: Elite Opinion A. Elite preferences are more likely to be in accord with policy than mass opinion.
    B. Can be argued that decision makers are acting rationally to their argument.
    IV Agenda Setting and Nondecisions

    A. creating an issue, dramatizing it, calling attention to it, and pressuring government to
    do something about it are important political tactics, they are tactics of agenda setting.

    B. "nondecision making: occurs when influential individuals or groups or the political
    system itself operates in society.

    1. Happens when officials hide an issue because they fear attention to it will not be in their best interest.
    2. when political candidates and office holders feel elites will not favor it.
    3. The political system itself is structured in such a way as to facilitate resolution of some issues and to obstruct others.
    C. "mobilization of bias": set of values which operate systematically and consistently to the benefit of others.
    V. Agenda Setting and mobilizing opinion: The mass media A. Television is where a reported 2/3 of American people get their information

    B. media power:

    1. Media is a player and referee in politics

    2. sets the agenda of public discussion

    3. Concentrated with a small number of people.

    4. Not much diversity in news reporting

    C. Newsmaking: involves impt decisions on what is news and what is worthy of reporting 1. Media attention can create personalities and issues.

    2. provide cues to audience on the importance of an issue, personality, or event

    3. "Media event" arranged primarily to attract coverage and thus attention

    D. Media Effects: 1. Identifying issues and setting the agenda for policymakers

    2. influencing attitudes and values toward policy issues.

    3. Changing behavior of voters and decision makers

    4. Power of tv lies in setting the agenda for decision making

    VI. Formulating Policy

    A. policy formulation is the development of policy alternatives dealing with problems on
    the public agenda.

    B. The White House: President and the executive branch are expected to be policy
    initiators and Congress the arbitrators

    C. Interest groups: formulate their own policy or do so in association with Congress

    D. Legislative Staffs: reflect the general view of their bosses, they research issues,
    schedule legislative hearings, line up expert to testify and write and rewrite bills

    E. Think Tanks: policy planning orgs are central in coordinating points in policymaking;
    they bring together corporate and financial institutions, mass media, government officials, and intellectuals to reach a consensus on what action should take place.

    1. Brookings Institute
    2. American Enterprise Institute
    3. The Heritage Foundation
    4. Council on Foreign Relations
    VII. Policy Legitimation The proximate policymakers A. the president, congress, congressional committees, White House Staff, and interest groups are main focus

    B. the open, public, stage of policymaking

    C. conclude it is a process of bargaining, competition, persuasion and compromise

    D. decisions of the policymakers center around means rather than ends of policy

    VIII. Party Influence on Public Opinion

    A. makes relatively little difference in the major direction of public policy whether Dem

    or Rep dominate the political scene

    B. they are more committed to winning office than advancing policy positions IX. Policy Implementation: the Bureaucracy A. implementation is the continuation of politics by other means

    B. Implementation and Policy making: all the activities designed to carry our the policies

    enacted by legislative branch. Create new org., assign responsibilities, 1. These orgs translate laws, spend money, and perform tasks, etc.

    2. much of the actual policymaking occurs within these orgs

    C Regulation and Policymaking: develop formal rules and regulations 1. Publish rules in the Federal Register( see pg 331 for list of requirements) D. Adjudication and Policymaking: bureaucrats decide whether a person, firm, corp., comply with the laws

    E. Bureaucratic Discretion and Policymaking: most bureaucracy is performing routine tasks but they decide how to apply these tasks.

    F. Policy Bias of Bureaucrats: personal beliefs inspire bureaucrats to expand powers, functions, and budgets of their agencies

    X. Policy Evaluation: Impressionistic vs Systematic A. Systematic (Sophisticated) model: a feedback link that identifies problems, and set the process in motion again - systematic rarely occurs

    B. Impressionistic: come from interest groups complaints, legislative hearings, media stories, and citizens complaints - stimulate reform

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    Defense Policy
    by Jake Graffeo, 2002

    -each nation must have its own defense policy: assess threats
                                                                          develop strategies
                                                                          appropriate forces/budget

                        CONFRONTING NUCLEAR THREATS
    -Deterrence: maintains nuclear peace, emphasizes 2nd strike capability, psychological defense,
    fear of retaliation
    -Strategic Weapons: TRIAD defense (ICBMs (Minuteman), sub-based missles (Trident
    missles), manned bombers (B-52 bombers)
                                                -"second strike capability"

                             ARMS CONTROL GAMES
    SALT I- (strategic arms limitation talks), 1972 between US and USSR, 1st effort to limit
    nuclear weapons and ABS (anti-ballistic missle systems)
    SALT II- (1979), "over-all limit" on nuclear launch vehicles(bombers and missiles, but subs
    START- (strategic arms reduction talks), reductions in nuclear weapons, equality, verification
    with long- and short-term notice
    START I- (1991), agreement on long-range missiles
    START II- eleminates 1st-strike nuclear attack by beginning to reduce amount and only have
    reactionary nuclear defenses

                           POST COLD WAR NUCLEAR
    -minimal deterence- dismantling of all old weapons
    -non deterrable threats- terrorists, rougue generals/unauthorized launches, accidental launches
    -spread of mass terror weapons- Iran, Iraq, Libya
    -Ballistic Missile Defense(aka Star Wars)- weapons in space to be used as defense (i.e.,
    lasers/missiles to shoot down incoming missiles/bombers)

                         NATO AND EUROPEAN SECURITY
    -NATO- (north atlantic treaty organization), U.S. and allies, opposed by Warsaw Pact (USSR
    and other communist allies)
    -collapse of eastern communism- reduced threat on western europe and U.S
    -Germany Reunited-balances power in Europe
    -USSR crumbles- Soviet Union collapses, Warsaw pact folds

                               REGIONAL THREATS
    -Middle East- (Iran, Iraq, Libya, Syria)
    -Asia- (Tawain, North Korea)

    -punish terrorists and terrorist-sponsered nations
    -dissuade other nations from using or supporting terrorists

                         WHEN TO USE MILITARY FORCE
    -protect interests- (support of vital national interests with defined objectives
    -sufficient strength to fight/win war
    -have support of US people
    -last resort

                           DETERMINING FORCE FACTORS
    -should be threat driven (respond to threats)
    -"1&1/2 war readiness"- should be able/ready to fight and win one major war and still have
    enough reserves to fight a smaller battle
    -investments help defend and deter

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    Chap. 14 [new]: Homeland Security: Terrorism  NEW, 2005, 11e.
    by Jeremy Lewis, 2004
  • The Nature of Terrorism
  • Deterrence assumes rational enemies unwilling to suffer destruction
  • 9/11/01 attacks directed against civilians
  • Terrorism attacks noncombatants to gain publicity, impose fear.
  • Democratic leaders are especially vulnerable and must sacrifice some liberties
  • Global terrorism has increased and become more destructive, supported by states.
  • The War on Terrorism
  • Political support for US administration soared in short term
  • Airlines lost custom, Security provided by new TSA.
  • USA PATRIOT Act: surveillance unleashed; property seizures; detention without trial; aliens reporting; crime to harbor terrorists; enemy combatants not POWs.
  • US Supreme Court (2000): detainees entitled to judicial hearing.
  • Dept of Homeland Security
  • Oct 2001 EO: Tom Ridge coordinator of Office of Homeland Security.
  • 2002: new Dept created from: Customs; INS; Border Patrol; TSA; Coast Guard; Secret Service; & FEMA.
  • Security Advisory System scale from low threat to severe, with required security responses.
  • Difficult to integrate 200,000 workers from 22 agencies.
  • FBI, CIA and DOD remain outside, merely coordinated.
  • Fighting Terrorism with Intelligence
  • Must collect, analyze and disseminate intelligence to consumer agencies.
  • Independent agency: CIA
  • Agencies within DOD: DIA, NSA, NRO, NIMA, 4 armed services agencies.
  • Agencies within other depts: State, Energy, Treasury, FBI, Homeland Security.
  • Director of Central Intelligence.
  • Prepares PDB and NIE reports.
  • Supervises CIA including covert ops but these consist mostly of economic aid and military training.
  • Does not supervise other agencies.
  • Integrating Foreign and Domestic Intelligence
  • 1947 NS Act banned CIA domestic activities, had only to give info to FBI for enforcement.
  • Patriot Act permits both agencies separately to conduct domestic surveillance.
  • FBI has put top priority on counter-terrorism, but prevention may conflict with traditional law enforcement processes and with civil liberties.
  • Security versus Liberty
  • War against terrorism will be a long one.
  • Historic wartime measures have infringed on civil liberties
  • Civil war suspension of habeas corpus
  • WW1 Espionage Act and imprisonment of Eugene Debs
  • WW2 Japanese internment
  • Costs to liberty: surveillance, seizures, detentions, military tribunals, DARPA's data mine.
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    Chap. 15 [14, 15] Policy Evaluation
    (by Marianna Roppolo, 2000 -- more notes below )

    -Policy evaluation is learning about the consequences of public policy

    -Policy evaluation research is the objective, systematic, empirical examination of the effects of policy goals.

    Impact of policy is measured through:

    1) target group
    2) impact on group other than the target group
    3) future
    4) direct Costs
    5) indirect costs

    -Everything pertaining to policy has to be measured both symbolically and tangibly.
    - Politics used to be: Who gets what, when and how
    - Politics has become: who feels what, when and how

    Ways govnít agencies review policies: 1) hearings and reports
    2) site visits
    3) comparison with professional standards
    4) evaluation of complaints
    What govnít can do about evaluations: -must weigh cost against benefits
    -comparing what has happened with the policy against what would have happened with out it
    -Comparison between areas with the policy to that without the policy
    Experimental policy research:

    - some believe that experimenting with policy idea is best to do before implementing, but this
    beings about some serious questions:

    1) Are programs predisposed to produce specific results?
    2) People behave differently when they know they are being watched: how effective is the experiment taking this into account?
    3) Small group experiments may produce different results than when introduced to a larger participating audience.
    4)Politics play a role in what is studied and what policies are implemented: People can interpret findings differently and often times research is politically motivated.
    Why evaluations fail: 1) Goals are hard to define
    2) govnít agencies are prone to try to show positive impact and don't want to find evidence that shows otherwise
    3) studies require time, money and man power that is not available
    How do they explain negative findings 1) effects are long range and hard to measure
    2) effects are subtle and hard to measure
    3) research is bias and that causes true effects to be hard to find
    Limits of public policy: 1) some problems do not have solutions
    2) expectations set are hard to achieve
    3) to solve problems of one group may cause problems for another
    4) some problems have more than one cause
    5) some policies are more costly than the problems
    6) political system is not structured for rational decision making
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    Version by Kristin Goodrich, 2002

    1. Policy evaluation: learning about the consequences of public policy
    2. impact of policy
         1. target group situation
         2. non target groups
         3. future as well as immediate conditions
         4. direct cost in terms of money and resources devoted to the program
         5. indirect cost, societal
    3. policy impact is not the same as policy output: impact is concerned with all
    variables, output is concerned with monetary and target group production
    4. an assortment of long term and short term goals for a program must be
    established in order to keep a program on schedule
    5. often people rate the effectiveness on the government by programs
    implemented but not on the actual on the enforcement of the program
    6. public policy has transformed from who gets what, when and how to a focus
    on image
    7. television has had an impact on public policy by transforming it in to a focus
    on appearance to the public
    8. because of the transformation and wide coverage of public policy , there has
    been a rejuvenation of national pride and support of the American people to the
        example: Civil Rights Act 1968
    9. Types of public policy reviews:
         1. Hearings and reports: public policy administrators are asked to report to
    the chief executives on the effectiveness of their program, often they over
    exaggerate the progress and under exaggerate the cost
         2. site visits: administrators observe the sites of the programs and rate
    their management as well as their compliance with guidelines
         3. program measure: covers program outputs
         4. comparison of professional standards: compares various programs against
    each other to determine their effectiveness in out puts
         5. systematic program evaluation: done with measuring the effect if the
    program was not established
         6. before and after comparison: measures the atmosphere of the target
    group before the program is establishes and the difference after the program is
         7. projected trend line versus post program comparison: takes a period of
    time and measures hoe the target group is doing and compares that with the
    same amount of time with the program installed, this is effective because it
    measures all variables, including the environment change in that time period and
    it considers the effect on the target group as well as the non target groups

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