Chapter 4

©2011, Cengage Learning, Brooks/ Col©2011, Cengage Learning, Brooks/ Cole Publishinge Publishing

Becoming an Effective Becoming an Effective Policy AdvocatePolicy Advocate

Bruce Jansson, University of Southern CaliforniaBruce Jansson, University of Southern California

PowerPoint created byPowerPoint created by

Gretchen Heidemann, MSW, PhD CandidateGretchen Heidemann, MSW, PhD Candidate

University of Southern CaliforniaUniversity of Southern California

School of Social WorkSchool of Social Work


Chapter 4Chapter 4Understanding the Ecology of Policy Understanding the Ecology of Policy

in Governmental, Electoral, in Governmental, Electoral, Community, and Agency SettingsCommunity, and Agency Settings


Understanding the Ecology of Understanding the Ecology of PolicyPolicy

This chapter provides a road map to legislatures, communities, agencies, and electoral politics in the United States

It orients us to the landscape so that we can better find our direction once we have started

It is germane to Task 2 of the policy framework presented in Chapter 3


Understanding the Ecology of Understanding the Ecology of PolicyPolicy

To be effective, policy advocates must understand: – how decisions are made in each of these four

arenas– how broader forces influence decision making– what rules or procedures are commonly used – who the key players are– what are the mindsets of key officials


The Players in Legislative and The Players in Legislative and Governmental SettingsGovernmental Settings

Who are the key players and what motivates them– Elected officials (politicians)– Bureaucrats (unelected officials)– Lobbyists, and the interest groups with which

they are affiliated


The Players in Legislative and The Players in Legislative and Governmental SettingsGovernmental Settings

Three Kinds of Three Kinds of Elected OfficialsElected Officials::1. Heads of Government

– Ex: mayors, governors, and the U.S. president

2. Legislators– Ex: city councilpersons, members of county

boards of supervisors, state legislators, and federal legislators

3. Officials elected to specialized public entities – Ex: school boards


Heads of GovernmentHeads of Government

The head of government (chief executive) is the elected official charged with developing an administrationWe name an administration after its leader, as in the Obama AdministrationThey are often the titular heads of their political party in their specific jurisdictionsUsually have some guiding principles that shape their approach to the central issues they confront (i.e. ideology)


The Powers of Heads of Government

They are in charge of the executive branch, comprised of agencies that implement policies

They initiate a budget, even though the legislators make many of the final budgetary choices

They develop a legislative agenda and have vast resources to help them fashion their agenda

They often use their central position as a bully pulpit

They can issue executive orders

They can can veto legislation that the legislature has approved, and often have line-item vetoes


The Powers of LegislatorsThe Powers of Legislators

They They develop, approve, and reject legislation – both in response to legislation proposed by heads of

government and to introduce their own

They determine the amount of the funds to be used for programs in a specific year

They decide the total of the appropriations for these same programs in a specific year

They often have administrative oversight over governmental programs


The Structure of LegislaturesThe Structure of Legislatures

Usually divided into two houses– Ex: House of Representatives and the Senate at

the federal level

– Ex: Senate and the Assembly at the state level

Usually, both houses must assent to legislation or a budget before it can become operative

Many legislatures convene annually, but some state legislatures convene only every two years



The length of legislatures’ sessions varies widely– Congress meets almost nonstop each year, but some

state legislatures convene only for several months

The members of each house or chamber of a legislature are elected by districts– Districts are reapportioned as the population shifts

and as the courts decide that existing district lines are unfair to specific groups



The majority party appoints the chairs of all committees and has a majority of the members on each committee of that chamberThe majority party in each house elects the presiding officer of that chamber (i.e. President of the U.S. Senate, Speaker of the House)– They decide when specific measures will be debated

on the floor– They have the authority to establish committees,

assign members, and appoint chairs– They have the power to decide where to route specific

bills for deliberation



A 2nd tier of powerful leaders: The floor Leaders– They include the majority leader and the

majority whip – They are also elected by caucuses – Shepherd legislation through floor

deliberations – Decide which measures their party will

support or oppose



A 3rd tier of powerful leaders: the Committee Chairs – They are members of the majority party – They have considerable power over the fate

of legislation in their committees



The minority party often has considerable power in a specific chamber– It has its own leader who can mobilize support

of or opposition to pieces of legislation– The minority party is allocated seats on all

committees of a chamber in proportion to its share of the chamber’s total membership

– Its members sometimes obtain a majority vote on a committee by teaming with committee members of the majority party



Legislatures are divided into specialized committees– Ex: the Ways and Means Committee processes

Social Security, Medicare, and tax legislation

Many pieces of legislation go to multiple committees when they pose issues that cut across committee divisions

Chairpersons may either be elected by the committee’s members or appointed by the chamber’s presiding officer


The Legislative ProcessThe Legislative Process

A bill starts in one chamber, progresses from committees to a floor debate and then a vote. It is then referred to the other chamber, where it follows a similar course. After the 2nd chamber enacts its own version, representatives seek a common version. If the conference committee creates a joint version, each chamber must ratify it. It then goes to the president (or governor), who signs it into law or vetoes it. – Congress can override a veto if each chamber musters a two-

thirds vote. – Otherwise, the legislation dies.


Unelected OfficialsUnelected Officials

Bureaucrats are Bureaucrats are unelected public officials who work in government agencies in city, county, state, and federal jurisdictions

They are either political appointees or civil servants



Political appointees – High-level persons appointed to top jobs by

heads of government– They serve at the pleasure of the heads of

government– They become spokespersons and

representatives of their mentor– They are likely to have the same ideology as

their mentor



Civil ServantsCivil Servants– Obtain their jobs through competitive exams,

often working their way up the hierarchy– Are the engines of government bureaucracies

administer programs

draft regulations

collect data

disburse funds to programs

– Often have close ties with legislators


Lobbyists and Interest GroupsLobbyists and Interest Groups

LobbyistsLobbyists– Professional advocates who represent

interest groups or causes– They voice their perspectives to legislators

and to officials in the executive branch of governments

– Powerful lobbyists represent interest groups with considerable money and clout

– Shoestring lobbyists represent groups with relatively little money and clout



Lobbyists’ character shapes their effectiveness– They need reputations as straight shooters– They must be persistent and not let defeats deter them

Their power hinges on the groups they representThe can gain power by offering:– Carrots (rewards and incentives)

Campaign contributionsVolunteersTechnical assistance on issues

– Sticks (implied or actual threats)Withdrawal of carrotsEndorsement of opponents



Interest groups with scant resources can augment their power by building a reputation for the quality of the technical information they give legislators– Ex: Children’s Defense Fund and the Center

for Budget and Policy Priorities

The develop credibility for their research and their principled positions


Connections Among Connections Among Lobbyists, Legislators, and Lobbyists, Legislators, and

BureaucratsBureaucratsSo-called iron triangles sometimes link civil servants, legislators, and lobbyists (or interest groups) when the legislature considers specific issuesThey may share similar points of view and past patterns of collaborationThey cooperate and bargain to develop a mutually acceptable policy, and may pool their resources to seek its enactment


Public OpinionPublic Opinion

Public opinion is part of an environment of Public opinion is part of an environment of uncertaintyuncertainty

It It can end a politician’s career and bring down an administration

It is difficult to measure; even accurate polls cannot predict future changes in public opinion


Advocacy GroupsAdvocacy Groups

Advocacy Groups place pressure on decision makers in city councils, boards of supervisors, and state and federal legislators.

Examples include: – community groups– coalitions– think tanks– public interest groups– groups of consumers– professional groups like NASW


The Electoral ProcessThe Electoral Process

The electoral process is the institutionalized guts of any democracy

It provides a nonviolent way of solving the problem of succession to office

It is competitive because it is a win-lose conflict where only one candidate can win



The precise format of elections are described in legal statutes and regulations that prescribe: – how candidates get on ballots– how votes are counted– how runoffs are held– how campaigns can be financed– how long the terms of office are



Getting elected to public office generally Getting elected to public office generally involves:involves:

1.1. Early maneuveringEarly maneuvering

2.2. Running a campaignRunning a campaign

3.3. Implementing a public service careerImplementing a public service career


The Environment of Public The Environment of Public Servants: Elected OfficialsServants: Elected Officials

For various reasons, you might have reelection on For various reasons, you might have reelection on your mind throughout your tenureyour mind throughout your tenureYou will look at most issues with an eye to their You will look at most issues with an eye to their effect on your reelectioneffect on your reelectionYou will spend hours wondering about the general You will spend hours wondering about the general public’s preferencespublic’s preferencesYou will nervously eye the statements and positions You will nervously eye the statements and positions of potential opponents in the next electionof potential opponents in the next electionNonstop campaigning will make you sensitive to the Nonstop campaigning will make you sensitive to the political ramifications of certain choicespolitical ramifications of certain choices


The Environment of Public The Environment of Public Servants : Elected OfficialsServants : Elected Officials

In addition, yIn addition, you are a member of several major committees and subcommittees

You must read technical reports and briefing papers

You make weekly trips back to your district to meet with constituents

You try to raise funds for your reelection bid

Your party pressures you to go along with policies and procedures you dislike


Shortcuts: Aides, Lobbyists, and Shortcuts: Aides, Lobbyists, and PrioritiesPriorities

Aides manage the bulk of your interactions with constituents, lobbyists, and othersYou hire specialists to deal with legislative matters, handle constituent demands, and for fund-raising and public relationsYou develop priorities by taking some pieces of legislation seriously, and only giving glancing attention to othersYou decide to expend your political capital on issues that will bring you large political dividends when you come up for reelection


The Calculus of ChoiceThe Calculus of Choice

Eight factors that shape legislator’s choices:Eight factors that shape legislator’s choices:1. Electoral considerations

2. Existing and potential opponents

3. Personal values and life experiences

4. Wanting to obtain credit for initiating a measure

5. Hoping to become a personal expert

6. Attending to the public interest

7. Political feasibility

8. Habit or tradition


The Mindset of Nonelected The Mindset of Nonelected Officials: Public AppointeesOfficials: Public Appointees

Appointees will not usually support, at least openly, legislation that their mentors would not approveThey often make choices in a relatively ambiguous context– They might provide technical assistance on a

measure, attempt to influence it to avoid veto, or engage in defiance and support a measure not supported by their mentor

They are likely to be interested in the facets of a measure that they will be called on to implement


The Mindset of Nonelected The Mindset of Nonelected Officials: Civil ServantsOfficials: Civil Servants

View themselves as professionals with specific expertise, and are not under the same compulsion to act politicalYet they also work in a political environment– They must be sensitive to the desires of the high-level

political appointees they work under

They can provide indispensable technical information, such as reports, studies, and data germane to writing a proposalTheir cooperativeness is often related to their personal disposition, their values, and their perceptions of the advocate


Advocating for ResourcesAdvocating for Resources

When seeking legislation that establishes new programs or regulations, advocates should remember:– Such legislation is enacted by authorizing committees

that write and enact legislation– Appropriations committees decide what resources to

allocate to specific programs and departments– Resources for social policies hinge upon the kind and

level of tax revenues that governments collect


The Law and Social PolicyThe Law and Social Policy

The courts assume a major role in social policy

They issuing many rulings that directly impact social policies

Policy advocates can use legal strategy to obtain specific objectives


The Political Economy of Social The Political Economy of Social AgenciesAgencies

Policy advocates must be familiar with Policy advocates must be familiar with organizational processes to understand organizational processes to understand how social agencies workhow social agencies work

Reality #1: Agencies require ongoing, regular resources to meet their payrolls and other overhead costs



When resources dry up, agencies have When resources dry up, agencies have several options:several options:– go out of existence– downsize– merge with other agencies– renegotiate their relations with the external

world by changing their mission, their fund-raising strategies, or their marketing strategies



Social agencies were subjected to a particularly harsh set of realities in the 1980s and 1990s

Large numbers of social agencies have to compete for the scarce resources of foundations, corporations, and private donors



Reality #2: Social agencies receive clients Reality #2: Social agencies receive clients from many different sourcesfrom many different sources– Directly through word of mouth, advertising,

and outreach programs– Through referrals from other agencies, courts,

probation departments, etc.– Interorganization exchanges



Reality #3: Reality #3: Demographic, cultural, social, and technological factors affect agencies– shifts in population– changes in public opinion– new perceptions of social problems

These changes influence the extent to which people use agency services, the social problems they have, and the agencies they believe are relevant to their problems



Reality #4: Legislation imposes procedural Reality #4: Legislation imposes procedural requirements on social agenciesrequirements on social agencies– Americans with Disabilities Act– Mandatory reporting laws– Restrictions on the use of restraints– Informed consent to treatment– Anti-discrimination laws– Accrediting regulations



Reality #5: Social agencies face pressure Reality #5: Social agencies face pressure from many sourcesfrom many sources– Community groups, organized groups of

clients, or individual clients often request or demand policy changes

– The mass media can portray “horror stories” about services that clients have or have not received

– Competition from the broader community



Reality #6: Social agencies must develop Reality #6: Social agencies must develop strategies to negotiate and manage relations strategies to negotiate and manage relations with their political and economic environmentswith their political and economic environments – Build relationships with existing and potential funders– Develop services that appeal to sufficient numbers of

clients to provide revenues– Satisfy external funders that their services meet

specific evaluative criteria– Develop public relations campaigns to attract funders

and clients to the agency– Modify their services as competitors encroach on their

traditional sources of clients



Reality #7: Social agencies must attend to Reality #7: Social agencies must attend to their internal operationstheir internal operations– build and maintain a staff– design programs– mediate internal disputes and conflicts– develop decision-making processes– produce budgets– attend to logistical tasks– maintain their facilities


The Political Economy of Programs and Social Work UnitsMany social workers work in large Many social workers work in large organizations dominated by other organizations dominated by other professions, or in specialized units within a professions, or in specialized units within a broader social service organizationbroader social service organization


The Political Economy of Programs and Social Work UnitsReality #1: Programs and units depend on Reality #1: Programs and units depend on their host organizations for resources and their host organizations for resources and for permission to perform specific roles or for permission to perform specific roles or functionsfunctions– The political and economic factors that

impinge on the host organization influence the subsidiary programs’ ability to command resources and mandates from that host organization


The Political Economy of Programs and Social Work UnitsReality #2: Reality #2: Some program units within larger agencies derive funds from both the host organization and special external funders– The directors and staff need to be attentive to

both sets of funders to ensure the program’s survival


Mapping Agencies’ PoliciesMapping Agencies’ Policies

Agencies must have policies (rules, regulations, Agencies must have policies (rules, regulations, protocols, priorities) in order to:protocols, priorities) in order to:– Describe the agency’s mission and activities to

outsiders– Communicate to clients which services they can

obtain and for how long– Let clients know their rights, and what protections or

safeguards are in place– Govern the relationships among staff members – Establish clear priorities, which are reflected in the

agency budget



Internalized policies establish specific rules, such as: – intake procedures– staffing requirements – content of services– reporting mechanisms– general statements about the program’s purposes

An agency that has a number of externally funded programs will also have multiple sets of externally established policiesCourt rulings can also shape agency policies



Mission statements establish the agency’s general philosophy

Agencies also set certain objectives, goals, or priorities

Annual budgets serve as policy statements; they shape priorities by distributing resources to various programs

Many other policies are fashioned through informal systems and networks (i.e. informal policies)

Each agency employee has a set of personal approaches to his or her work (i.e. personal policy preferences)


The Players in Organizational The Players in Organizational SettingsSettings

Most organizations have a Most organizations have a hierarchyhierarchy::– The chain of command that gives high-level

executives such powers as creating policies, hiring staff, and making budgets

– The division of labor, or specialization, divides staff into units that focus on specific tasks

– This is sometimes associated with control, rigidity, and fragmentation

– But hierarchies also serve positive purposes


The Players in Organizational The Players in Organizational SettingsSettings

Hierarchy and the distribution of power in an Hierarchy and the distribution of power in an organization is often depicted in an organization is often depicted in an organizational chartorganizational chart

However, it may overstate or understate the However, it may overstate or understate the power of specific individualspower of specific individuals

We need to understand the interactions among We need to understand the interactions among the staff of an organizationthe staff of an organization– We can do this by conceptualizing organizations as

transparent overlays, placed on top of one another


Overlay 1: Overlay 1: The Organizational ChartThe Organizational Chart

We can infer a person’s perspective from her/his position– Top executives are concerned about the budget

implications of specific choices– Lower-level professional staff emphasize budget

implications for clients and staff workloads– Supervisors may share the perspectives of both

higher-level and lower-level personnel– Program directors view policy choices and agency

budgets only from the perspective of that program


Overlay 1: Overlay 1: The Organizational ChartThe Organizational Chart

The board of directors makes many important policy decisions: – establishes the agency’s high-level policies– hires its executive director– oversees the development of personnel

policies– examines the agency’s budget– serves as the general overseer


Overlay 2: Budget PrioritiesOverlay 2: Budget Priorities

Examining budget trends in organizations is useful for:– Establishing the organization’s priorities– Deducing the power that each unit has

However, budgets can sometimes be misleading


Overlay 3: Boundary Spanners Overlay 3: Boundary Spanners and Mission Enhancersand Mission Enhancers

Boundary spannersBoundary spanners are persons who have links are persons who have links with institutions, officials, and agencies that can with institutions, officials, and agencies that can bring substantial resources to an agencybring substantial resources to an agency– Such people enhance the agencies’ resources and

often derive power from these roles

Mission enhancersMission enhancers promote goals that highly promote goals that highly placed persons in organizations favorplaced persons in organizations favor– Units or staff whose activities are peripheral to the

organization’s central objectives are likely to have less power


Overlay 4: Informal Relationships among Organizational MembersProximity in the organization’s hierarchy does not tell us about patterns of friendship and trust, enmity, or social distance

Persons will often band together to enhance their power within an organization– Ex 1: Ongoing informal clusters of persons who share

knowledge and who support one another– Ex 2: Groupings that are constructed during specific

controversies or crises


The Political Economy of The Political Economy of CommunitiesCommunities

Reality #1: Many kinds of communities existReality #1: Many kinds of communities exist

Reality #2: Communities have vertical and Reality #2: Communities have vertical and horizontal dimensionshorizontal dimensions

Reality #3: The mass media often assume a Reality #3: The mass media often assume a pivotal role in local communitiespivotal role in local communities

Reality #4: Many kinds of policy issues develop Reality #4: Many kinds of policy issues develop in communitiesin communities

Reality #5: The community politics of many Reality #5: The community politics of many issues can be highly conflictingissues can be highly conflicting


Different Layers of Government Different Layers of Government and Policyand Policy

Different policies and resources exist at Different policies and resources exist at each level - federal, state, local, each level - federal, state, local, community, and agency - for any given community, and agency - for any given issueissue

Policy advocates have to understand Policy advocates have to understand specific policies and funds that exist at specific policies and funds that exist at each level so that they can tap resources, each level so that they can tap resources, and know the policies they wish to changeand know the policies they wish to change

Chapter 4

Education

cengage learning

brooks cole publishing

structure of legislatures

state legislatures

majority party

heads of government

legislators ex

specific year