1. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. CHAPTER 3: THE HISTORICAL AND STRUCTURAL CONTEXTS OF PUBLIC POLICY MAKING An Introduction to the Policy Process 1

2. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. OVERVIEW: THE CONSTITUTIONAL ORDER AND PUBLIC POLICY 2

3. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. The changing constitutional order Much has changed since the Founding But much about our constitutional structure is stable – Federalism – Separation of powers – The rule of law – Commitment to individual liberty – The sanctity of property – Civil rights 3

4. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. The central idea of the Constitution The people are sovereign The Constitution constrains government, not the people The constitutional order changes to address inequities and problems – The understanding of an indivisible union – Treatment of African Americans and women – Treatment of unpopular minorities The Japanese in WW II Others? 4

5. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Comparing our constructional order How does our system compare with? – China – Iran – The former USSR? – Canada? What are the important distinguishing features of our constitutional order? 5

6. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Constant Features of the American System Difficult to change constitutional system Rules and norms of the legislature and other bodies Public support for stability The system is highly fragmented – Separation of powers – Federalism 6

7. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. HISTORICAL EVOLUTION OF THE CONSTITUTIONAL ORDER 7

8. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Robertson and Judd: Historical eras of policy Divided Power 1789-1860 State Activism 1870-1936 National Activism 1936-1960 National Standards 1960-1980? The End of Big Government – 1980-? 8

9. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Divided Power: 1789-1860 Much responsibility was with state government—why? – The nation was rural – Sparsely populated and homogenous – Based on limited federal government – Valued individual liberty and private property – Not much industry yet 9

10. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Divided Power: 1789-1860 There were greater demands on government when – The nation urbanized – Population grew – Greater demands were placed on government – The Civil War required strong national action The Federal government still had considerable power – Article 1, section 3 10

11. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. State Activism: 1870-1936 Demands of the industrial revolution – Social strife due to industrialization The integration of slaves into the labor pool The birth of the labor movement – Class differentiation – Perceived abuses of business and the drive to regulate it Anti-trust Workplace safety 11

12. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. State Activism: 1870-1936 Policy achievements – The Civil War Amendments – The Civil Rights Acts – Creation of the Interstate Commerce Commission – The Pure Food and Drug Act – Creation of the Federal Reserve – Business regulation at the state and federal levels 12

13. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. State Activism: 1870-1936 Less successful than it might have been – Business power arrayed against it – The Supreme Court and the Lochner doctrine – The federal role—Theodore Roosevelt and the Progressives Antitrust and consumer regulation – Continued restraint through the 1920s due to Lochner 13

14. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. National Activism: 1936-1960 The great depression and demands for action Action was blocked by the Supreme Court until 1937 – “The switch in time that saved nine” and the “court packing” plan Numerous government agencies: FCC, CAB, SEC, FDIC, FHA, TVA, etc. 14

15. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. National Activism: 1936-1960 The depression and WW II eras = a basis for active federal government – Demobilization and the GI Bill – The post-War economic boom – Cold war and remobilization 15

16. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. National Standards: 1960-1980? The reinvigoration of national activism in the 1960s – Johnson’s “Great Society” Programs – These were changed to “standards” Continued activity in federal policy making – Creation of the EPA and environmental laws – Wage and price controls – Energy policy Considerable power was returned to the states – Nixon’s “New Federalism” – The reassertion of congressional power after 1974 16

17. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. The End of “Big Government”? 1980- today Started by Ronald Reagan? – Started by Jimmy Carter – Examples: Deregulation of airlines, trucking – Greater concerns with deficits Is government really that small anyway? – Yes, if we look at employees – No, if we look at spending Does the Bush Administration promote smaller government? – Not with respect to terrorism and the DHS 17

18. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Big government: What is too big? How do we define “too big”? – Spending? Presumably, some people like spending – Regulation? Are there reasons for regulation? – Other things that make government “too big”? 18

19. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Summary The federal government started small relative to the states The federal government steadily gained power throughout history Still, states matter! Perhaps we are in an era of more obviously shared power between the states and feds. 19

20. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Public policy in the Constitution Article 1, section 8 Does this limit Congress’s power? Does government go beyond the Constitution’s mandate? 20

21. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Features of the American system Ideological and political stability Basic rules and norms Open government and policy restraint Fragmentation 21

22. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Reasons for stability in policy making Ideological and political stability Fragmentation Basic rules and norms Open government and policy restraint 22

23. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Ideological and political stability We tend to believe in small, limited government If not this, we at least believe in small, limited actions We tend to be ideologically committed to free enterprise and the protection of private property 23

24. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Basic rules and norms The Constitution – Designed to be, in many ways, antidemocratic and pro wealth, business, property Americans’ desire for order and stability A historical legacy of order and stability Our cultural disposition to limited change 24

25. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Open government and policy restraint More participation means more blocking Many interest groups block ideas rather than generate new ones 25

26. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Fragmentation Power is divided among – three branches of government – Two political parties – Fifty states (each with three branches) – Over 80 thousand local governments! – Thousands of interest groups, citizens groups, and so on Consequences: maybe it’s hard to get things done 26

27. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. A rationale for stability Why is stability in policy making a good thing? How might our stability impede progress? Do you think Americans prefer stability or change? 27

28. From Thomas A. Birkland, An Introduction to the Policy Process, 3 rd ed. Armonk, NY: M.E. Sharpe. Some final points The Constitution is a framework, not an absolute set of rules The system is somewhat democratic in design. How? Is the system truly democratic? – Has it ever been? – What are the undemocratic features of our system? 28