Chapter 4: Key Actors and the Policy Process in State and Local Governments

In this chapter, we describe state and local government policy processes and the various actors and interests that typically seek to influence those processes. Public policy and the policy process have been defined in the following way by most social scientists that study these phenomena:

Policy is what the government says and does about perceived problems. Policymaking is how the government decides what will be done about perceived problems. Policymaking is a process of interaction among governmental and non-governmental actors; policy is the outcome of that interaction. 1

From this definition of key terms, it is clear that a diverse set of actors can become involved in the making of state and local public policy. Beginning with the perception of a problem, making it an issue for government action, getting it on the government’s agenda for consideration, and finally securing relevant government action all entail the involvement of many parties sharing a stake in the form of government action taken. 2 For many state and local governments the process can become rather complex, featuring a multitude of actors engaged in one or more aspects of policymaking. Broadly speaking, one can place the actors in the state and local government policymaking process into one of two broad categories: institutional actors and non-institutional actors.

The institutional actors involved in the public policy process are governments and governmental agencies that deal with public affairs — namely, the subjects of many other chapters in this book, including legislative bodies, executive departments, and the judicial branch. Depending on the policy issue in question, there are often state and local, as well as national-level institutions involved in policy issues arising in our federal system of government. As discussed in other chapters, the United States has a very large number of such agencies and governments due to the federal (as opposed to unitary) nature of the U.S. political system. The separation of powers provided for in both our federal and state constitutions keep our governmental system decentralized; in countries such as Japan, Great Britain or France, where governmental power is more centralized, far fewer such institutional actors become involved in regional and local policymaking.

The non-institutional actors involved in the policy process, a principal focus of this chapter, are diverse and can include political parties (e.g., Republicans and Democrats), interest groups (e.g., the National Rifle Association, the Sierra Club, the National Organization for Women), social movements (e.g., the Civil Rights Movement, the Environmental Movement), non-governmental organizations (NGOs) (e.g., the League of Women Voters, Project Vote Smart), and the mass media (e.g., newspapers, radio, television, the Internet), and individual citizens. These potential actors are fiercely independent of the government and have different types of resources at their disposal, and employ varying strategies in their efforts to influence state and local public policy. This chapter will discuss each of these sets of actors and describe how they may exercise influence over state and local policy processes. More specifically, this chapter will accomplish the following goals important for a sound understanding of state and local government and politics:

Learning Objectives

• review the changing nature of the policy process in postindustrial society,
• examine how citizens can get involved in state and local government policy processes,
• discuss the role of political parties and elections in state and local politics and policymaking,
• discuss the types of interest groups present and the strategies these groups typically use in state and local policy processes,
• review the role of the mass media in policy processes,
• examine how industry and business can often exert significant influence in state and local politics,
• discuss the role of social movements in shaping state and local politics and policy processes,
• compare how policymaking processes differ between various systems including the separation of powers political system found in the U.S. and the integration of powers (parliamentary) political systems found elsewhere,
• briefly present models of how the policy-making process occurs in state and local governments,
• offer suggestions for how policy processes and actors can enhance community sustainability.

4.B – Political Participation in Postindustrial America

Contemporary studies of public participation in postindustrial societies suggest that a new style of politics has emerged over the course of the last several decades. 3 This new style of politics is characterized in major part by an expansion of what has been considered appropriate political action. Some scholars who carry out research in this area argue that support for new modes of participation arises out of some specific socio-political changes that occurred in the postwar period. 4 These scholars note that historically unprecedented economic growth, a prolonged period of prosperity, and relative political stability have created an increasingly better-educated public that places demands on government to address ever-changing problems arising in the management of postindustrial societies — including the challenge of sustainability. The contemporary grassroots citizen organizations and associated social movements that arise in this context are considerably more likely to engage in protest politics or elite challenging political activities — such as demonstrations and boycotts — than were previous generations of activists. 5

Political conflicts arising over increasingly complex issues — such as sustainable development, same-sex marriage, immigration reform and No Child Left Behind educational reform — have generated a multitude of new interest groups, many of which draw citizens into the political process via single-issue concerns as opposed to a broad philosophical orientation to proper governance. One such policy arena with this type of political conflict is found in the domain of environmental policy. 6 Traditionally, in the United States, environmental management was a process largely insulated from public scrutiny. By the 1970s, however, quite widespread concern became evident concerning the proper management of the natural environment. 7 Environmental organizations grew in size and proliferated in many economically advanced countries, and these organizations succeeded in mobilizing citizens, in challenging traditional environmental management practices, and in presenting new environmental issues for public debate. 8

Given the difficulty ordinary citizens have in dealing with the scientific complexities of environmental issues, the process by which democratic societies confront complex scientific and technical issues involving the broader public interest is important to understand. The formation of NGOs and interest groups is critical in this respect. The emergence of community-based interest groups and social movements has been characterized as an “eruption from below,” with demands for increased citizen input in the decision-making process lying at their base. 9 Interest groups and community-based advocacy groups have pushed for increased democratization as a fundamental component of public policy. In doing so, the activities of interest groups illustrate the inherent tensions existing between a politicized, issue-driven segment of the electorate and “expert” decision-makers operating in the realm of natural resource policy. 10

The prominent political scientist Ronald Inglehart argues that there are two distinct forms of political participation that should be recognized. 11 The “elite-directed” mode of political action is represented by socio-political institutions, such as political parties, bureaucratic agencies, labor unions, and industry associations that are hierarchical in nature and mobilize citizens into action in a coordinated, “top-down” fashion. In contrast to this familiar pattern of citizen mobilization is the elite-challenging mode of political action, a pattern of political activity that is generally more issue-specific operates outside traditional political channels, and tends to make use of unconventional and sometimes disruptive tactics in an attempt to influence public policy. 12

Elite-challenging activism is a form of political action that usually addresses specific policy goals such as a community opposition to the location of a prison in a town or city. 13 Sometimes this type of community-based political activism has been called “NIMBY” politics (i.e., Not in My Backyard). In the area of elite-challenging environmental activism, Rothenberg has described this particular form of political action in the following terms:

Nonviolent resistance is often an important part of environmental action: lying across the road to block the onslaught of bulldozers, chaining oneself to the floor of a valley as the dammed waters start to rise. These can be powerful forms of protest. The press will take notice, and the public will follow, so the world will learn of your cause. If you are willing to lay your life on the line, they think, you must be quite convinced of the correctness of your position. 14

According to the highly regarded political scientist David Truman, industry groups that perceive threats to existing values often are put on the defensive by such tactics. 15 One example of this is the tobacco industry after the demonstration of a link between smoking and cardiac and pulmonary disease. In response to the elite-challenging behavior of consumer, environmental, and social equity advocacy groups (e.g., National Association for the Advancement of Colored People, Sierra Club), industry groups are motivated to establish communication networks and create a common front against new policies that might negatively affect their ability to conduct business as usual. Instead of competing against one another as a market-based economy model would predict, industry-wide groups (e.g., Cattle Ranchers, Wheat Growers, Automobile Manufacturers and Retailers, Real Estate interests) often focus on their lowest common denominator of common interest and work in concert to take advantage of political opportunities to oppose these new groups. Such “coalitions of convenience” have indeed become quite commonplace in many conflicts coming before U.S. state and local governments. The emergence of new “elite challenging” forces in American society has led to the creation of a broad array of interest groups, citizen groups, political party factions, and government agencies becoming active in the state and local government policymaking process. Each of these types of key actors will be addressed briefly in the chapter sections to follow.

4.C – Interest Groups

All postindustrial nations, including the United States, are experiencing explosive growth in the number, scope of concerns, and size of interest groups seeking to influence public policy. 16 Community-based interest groups and other grassroots organizations concerned with a variety of public policy issues are variously labeled as public interest groups, 17 citizen groups, 18 or social movements. 19 These particular terms are used to distinguish between citizen and community-based groups, which as a whole differ in their goals from groups representing either business or professional interests. According to the noted economist Mancur Olson’s seminal work The Logic of Collective Action, 20 such not-for-profit groups typically experience considerable difficulty organizing and mobilizing action. Groups of this type usually seek collective benefits that are often non-material, such as preserving endangered species or promoting civil rights and are inclusive rather than exclusive in nature (that is, the benefit sought will accrue to everyone regardless of their contribution to securing it). Despite these rather formidable obstacles, however, public interest groups have grown dramatically in number and in size in virtually all U.S. states and in urban and rural areas alike in recent decades, and they have become important players in the American state and local government public policymaking process.

Interest groups are highly diverse in terms of their size, the resources at their command, the scope of interest and activities in which they engage, their policy preferences, and their organizational form. They can be involved in a host of state and local government policy issues, including the areas of environmental protection, poverty reduction, public safety, child health and welfare, gender equity, and transportation system reform. Such groups can be of the large-scale membership type organized nation-wide, or they can be community–based and focused on local conditions. International organizations (commonly referred to as ‘international nongovernmental organizations, or INGOs), issue-focused think tanks (e.g., The Heritage Foundation, the Vera Institute), and activist organizations (e.g., Habitat for Humanity, Doctors without Borders, the Union of Concerned Scientists) also often engage in policymaking in U.S. state and local governments on a selective basis. According to David Korten of the People-Centered Development Forum, many community-based and grass-roots public interest groups have been effective advocates of public policies that are intended to promote sustainability:

…the environment, peace, human rights, consumer rights and women’s movements provide convincing examples of the power of voluntary action to change society. This seeming paradox can be explained by the fact that the power of voluntary action arises not from the size and resources of individual voluntary organizations, but rather from the ability of the voluntary sector to coalesce the actions of hundreds, thousands, or even millions of citizens through vast and constantly evolving networks that commonly lack identifiable structures, embrace many chaotic and conflicting tendencies, and yet act as if in concert to create new political and institutional realities. These networks are able to encircle, infiltrate, and even co-opt the resources of opposing bureaucracies. They reach across sectors to intellectuals, press, and community organizations. Once organized, they can, through electronic communications, rapidly mobilize significant political forces on a global scale. 21

Although interest groups differ quite widely in their human, financial, and organizational resources, 22 in general it can be said that community-based and grassroots groups tend to be understaffed and poorly financed in comparison with organizations that represent private sector interests such as the petrochemical industry, the pharmaceutical industry, the telecommunications industry, the insurance industry, agricultural commodity groups, etc. 23 Most community and grassroots nonprofit groups are managed by either an unpaid or poorly compensated staff and claim very few official members, although some have developed large memberships and/or long lists of generous financial contributors and have hired skilled researchers, lawyers, and organizational managers. 24 Moreover, interest groups can have two fundamentally different types of memberships — one composed exclusively of individual citizens, and another consisting of representatives of large institutions, business firms, or state and local governments. 25

Some observers of interest groups also note that there is an increasing use of professional agents such as lobbyists and political consultants, professionals (often former elected public officials) who are adept at influencing policy processes and mobilizing support or posing opposition to public policy initiatives. 26 According to the research conducted by political scientist Andrew McFarland, it is as much the skill of such agents that determines the groups’ success as it is their size of membership or financial resources. 27

Another source of influence and success in the policy process is the formation of coalitions of interests. Such alliances feature numerous smaller groups or businesses as members rather than individual citizens. These coalition-type groups can become a formidable political force due to their pooled financial resources and their freedom from dependence upon highly variable individual membership dues. Another source of group strength identified by political scientist Jack Walker is the role of powerful patrons who are located outside of the group but who provide critical financial and social networking resources. 28 The support of the many private foundations (e.g., the Nature Conservancy, the Russell Family Foundation, the Northwest Area Foundation, the John D. and Catherine T. MacArthur Foundation), of wealthy individuals (e.g., Bill Gates, Paul Allan, Norton Simon, etc.), and of government agencies (e.g., Environmental Protection Agency, Booneville Power Authority, U.S. Department of Energy) allows some environmental and public health groups to reduce their reliance on individual memberships dues.

A variety of strategies developed to influence the policy process have been identified by social scientists who study the policymaking process in state and local government. Central among these strategies are the various forms of lobbying of elected officials and governmental agencies, the organizing of grassroots activists to mobilize public opinion, the building of coalitions with other like-minded groups, and the making of strategic financial contributions to supportive politicians. 29 The specific strategy (or combination of strategies) used by a particular organization is influenced by various factors, including the types and amounts of resources available to it, the perceived effectiveness of the strategies available, and the governmental structure in place. Large memberships give interest groups an advantage in letter writing, in the staging of public demonstrations, and in the training of volunteers to carry out grassroots activities. In contrast, those organizations possessing few members but commanding large budgets generally wish to focus on influencing the election of key decision-makers or lobbying such decision-makers after the holding of elections. The latter has been the preferred strategy for industry and commercial interests, and as a result, many industrial interests have benefited significantly from governmental programs and from government subsidies.

Regardless of the size of their budgets and memberships, however, Berry observes the following about interest groups: “ (they) have strong reasons to convince people at the grassroots of the righteousness of their arguments, believing that changed public opinion will eventually lead to changed elite opinion.” 30 This long-term perspective is especially the case in the advocacy of sustainability, in light of the fact that issues of sustainability are becoming popular among citizens in postindustrial countries. 31

Table 4.1 provides information derived from a 2015 random sample survey of public interest groups and NGOs involved in the promotion of civil society, or civic engagement and public education on public affairs. 32 The diversity of resources used by advocacy groups working in civil society is apparent, as well as the heavy reliance on members and volunteers to raise the resources needed and carry out necessary group activities. Around two-thirds of the groups taking part in the survey have some type of membership in an advocacy group, including individual and institutional members; and virtually all of the groups spend a substantial amount of their time pursuing resources rather than directly advocating on behalf of their public policy objectives.