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Originally Processed With FOIA(s): FOIA Number: S S FOIA MARKER This is not a textual record. This is used as an administrative marker by the George Bush Presidential Library Staff. Record Group/Collection: Donated Historical Materials Collection/Office of Origin: Frieden, Lex, Collection Series: Printed Materials Subseries: Manuals OA/ID Number: 52103 Folder ID Number: 52103-011 Folder Title: "Public Policy in an Older America: Guide to the Issues" [2006] Stack: Row: Section: Shelf: Position: THE CENTURY FOUNDATION 41 E. 70TH STREET - NEW YORK, NY 10021 News (212) 535-4441 WWW.TCF.ORG Contact: Christy Hicks ~ Phone: (212)452-7723 ~ E-mail: [email protected] FOR IMMEDIATE RELEASE Aging Baby Boomers Won't Bust the U.S. Economy A New Publication from The Century Foundation Offers the Basics for Understanding the Real Issues of Public Policy in an Older America The coming retirement of the baby boom generation is a topic that engenders much discussion and debate in the media, on Capitol Hill, in state houses, and in board rooms. All too often, individuals and groups promote their particular agendas with misleading statistics about the impact of the aging of the population on the United States. But while the aging of the population is inevitable, a financial crisis arising from that process is not. Public Policy in an Older America, the latest entry in the Basics series published by The Century Foundation, provides the best available facts, figures, and projections about the coming demographic changes and the major questions they pose for public policy. After examining why and how the U.S. population is aging, this guide to the issues explores how these changes will affect income security and health care policy. Other available titles in the Basics series that are related to Public Policy in an Older America include: Social Security Reform, Medicare Reform, and Medicaid Reform. These and other guides in the Basics series can be downloaded from The Century Foundation Web site at www.tcf.org. The Century Foundation's Basics series offers readers a clear, succinct summary of essential facts about important policy issues and unbiased assessments of strengths and weaknesses of reform proposals in the news. These guides are important resources for legislators, journalists, students, and the general public who want the facts and analysis without the rhetoric. For more information related to aging policy, visit our subject area Web sites: The Social Security Network (www.socsec.org) and Health Policy Watch (www.helathpolicywatch.com). Century Foundation experts who are available for interviews or background discussions on these issues include Richard C. Leone (president), Greg Anrig (vice president, program), Bernard Wasow (senior fellow), and Leif Wellington Haase (health policy fellow). For more information or to schedule an interview, please contact Christy Hicks at [email protected] or (212) 452-7723. The Century Foundation conducts public policy research and analyses of economic, social, and foreign policy issues, including inequality, retirement security, election reform, media studies, homeland security, and international affairs. The foundation produces books, reports, and other publications, convenes task forces and working groups, and operates seven informational Web sites. With offices in New York City and Washington, D.C., The Century Foundation is nonprofit and nonpartisan and was founded in 1919 by Edward A. Filene. III BASICS PUBLIC POLICY IN AN OLDER MERICA A CENTURY FOUNDATION GUIDE TO THE ISSUES THE BASICS PUBLIC POLICY IN AN OLDER AMERICA A CENTURY FOUNDATION GUIDE TO THE ISSUES The Century Foundation Press New York City Copyright © 2006 by The Century Foundation, Inc. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechani- cal, photocopying, recording, or otherwise, without the prior permission of The Century Foundation. Nothing written here is to be construed as necessarily reflecting the views of The Century Foundation or as an attempt to aid or hinder the passage of any bill before Congress. 94 THE BASICS SERIES A merica is engaged in difficult and complex policy debates over critical issues. There are conflicting claims and disagreements over the meaning of the facts and figures relating to the sig- nificance of the social safety net, the way our political system works, and the economic issues facing our nation. The Century Foundation hopes to help clarify these issues by collecting the best available infor- mation and presenting it in a series of pamphlets called The Basics. The intent of this series is in keeping with the Foundation's man- date. Since 1919, The Century Foundation, formerly the Twentieth Century Fund, has sponsored and supervised research on eco- nomic, social, and political issues. As a nonpartisan, but not neutral organization, our underlying philosophy regards government as an instrument, not an enemy, of the people, and therefore we strive, in the words of our bylaws, for the "improvement of economic, indus- trial, civic, cultural, and educational conditions." The Century Foundation also believes in the power of well- reasoned, well-researched ideas. These pamphlets are presented in that spirit. They are our contribution to increased citizen under- standing and wiser governmental decisions. OTHER TITLES IN THE SERIES: USA PATRIOT ACT IMMIGRATION REFORM TAX REFORM BALANCING THE BUDGET SOCIAL SECURITY REFORM MEDICARE REFORM MEDICAID REFORM To order additional copies of this pamphlet or other Basics pam- phlets, please contact the Foundation (see page 44). 3 CONTENTS INTRODUCTION 6 I. OVERVIEW: How AND WHY THE U.S. POPULATION WILL GROW OLDER 8 II. INCOME SECURITY AND OLDER AMERICANS 14 - III. HEALTH IN AN OLDER AMERICA 25 IV. CONCLUSION 38 NOTES 39 5 INTRODUCTION M uch of the media coverage and debate about the coming retirement of the baby boom generation-the unusually large number of Americans born between 1946 and 1964 is complicated and difficult to understand. All too often, individuals and groups use misleading statistics to exacerbate fears about the impact of the aging of the population on the United States in order to promote their particular agendas. The resulting sense of foreboding about the future created by such misinformation is conveyed in the ominous titles of such books about the subject as The Coming Generational Storm, The Great Bust Ahead, and Gray Dawn. It is unquestionably true that the nation is "graying" and that the share of the population in the workforce will decline relative to the retired portion, posing significant economic and social challenges. Debate has already begun over the future of government programs such as Social Security and Medicare, which provide benefits to older Americans financed through taxes paid mainly by workers. But while the aging of the population is inevitable, a financial crisis arising from that process is not. America's capacity to adjust to the coming demographic changes will depend on a number of factors. One is economic growth. If America's economy expands robustly in the decades ahead, suffi- cient resources will be available to make the transition to a larger retired population relatively painless. The other critical wild card is health care costs, which have grown much faster than the overall inflation rate in recent years. Finding a way to bring those costs under control-an enormous challenge-also would greatly help to ease the adjustment to an older population. 6 The retirement of the baby boomers is not the only reason for the "graying of the population." Another contributing factor is that life expectancies have increased due to improvements in medicine and public health, extending the average number of years that citizens spend in retirement. In addition, fertility rates have declined, reduc- ing the size of the average family and the rate of growth of the work- force. Even without the aging of the baby boomers, those factors would have caused the average age of the population to increase sig- nificantly. Indeed, the populations of almost all other economically advanced countries also are aging, many to a greater extent than in the United States. This Basics pamphlet, part of an ongoing series published by The Century Foundation, is aimed at providing the best available facts, fig- ures, and projections about the coming demographic changes and the major questions they pose for public policy. 7 I. OVERVIEW: How AND WHY THE u.s. POPULATION WILL GROW OLDER ? WHO ARE THE BABY BOOMERS? The huge baby-boom generation born between 1946 and 1964-now in their 40s and 50s-will begin to reach retirement age at the end of this decade. As they leave the workforce, the share of the U.S. population age 65 and over will rise much more rapidly than it has in the past cen- tury. As Figure A shows, the percentage of the population age 65 and over will grow to 21.4 percent by 2050, compared to 12.4 percent in 2000 and 9.2 percent in 1960. The age group expected to grow most rapidly of all will be those age 85 and over. 1 FIGURE A Percent of Total Population Age 65 and Over 25 85+ 65-84 20 15 10 - 5 0 Source: Data for 1900-2000 from Frank Hobbs and Nicole Stoops, Demographic Trends in the 20th Century: Census 2000 Special Reports (Washington, D.C.: U.S. Census Bureau, November 2002), p. 59, available online at http://www.census.gov/prod/2002pubs/censr-4.pdf; 2010-2050 projec- tions from "U.S. Interim Projections by Age, Sex, Race, and Hispanic Origin," U.S. Census Bureau, 2004, available online athttp://www.census.gov/ipc/www/usinterimproj/natprojtab02a.pdf. 8 After 2040, when much of the baby boom generation will have passed away, the share of the population age 65 and over is expected to level off at about just over 20 percent of the total population. By 2050, the portion age 65 to 84 is projected to drop to 15.7 percent, while those age 85 and over will constitute about 5 percent. ? WHAT OTHER FACTORS CONTRIBUTE TO POPULATION AGING? RISING LIFE EXPECTANCIES Life expectancy has increased steadily and substantially during the past cen- tury. Since 1940, life expectancy for newborns has increased from 61.4 years to 74.6 for men, and from 65.7 to 79.6 for women. 2 (See Figure B.) FIGURE B Male and Female Life Expectancy 90 85 Female 80 75 Male 70 65 60 55 50 45 40 Note: Intermediate projections. Source: 2005 Annual Report of the Board of Trustees of the Federal Old-Age and Survivors Insurance and Disability Insurance Trust Funds (Washington, D.C.: Government Printing Office, 2005), Table V.A3, available online at http://ssa.gov/OACT/TR/TR05/V_demographic.html# wp151333. 9 In the first half of the twentieth century, reductions in infant and child mortality rates mainly were responsible for life expectancy increases. Improvements in public health, personal hygiene, and nutrition reduced childhood deaths caused by infectious disease. More effective medica- tions, including antibiotics such as penicillin, reduced deaths due to infec- tious disease. In the second half of the century, improvements in life expectancy increasingly have come about through medical interventions, particularly in the treatment of cardiovascular disease, that extend the lives of older people. 3 Life expectancy differs among groups: on average women live longer than men, whites and Hispanics live longer than African Americans,4 4 and high-income individuals live longer than those with low incomes. Because women's life expectancy is higher, women comprise a dispro- portionate share of the elderly. In 2000, women constituted 59 percent of the population age 65 and over and 71 percent of those age 85 and over. 6 10 DECLINING FERTILITY RATES Fertility rates declined throughout most of the twentieth century until leveling off in the 1970s, and have remained around 2.1 children per woman for the past decade. (See Figure C.) At that "replacement rate," enough children are born to keep the population constant, excluding immigration. Many other developed countries have fertility rates below that replacement level and thus confront a future with declining popula- tions in the absence of immigration. Although the reasons for declining fertility rates are complex, contributing factors include changing social attitudes toward having children, couples marrying later than in the past, the higher participation of women in the labor force, and greater control over family planning. FIGURE C Total Fertility Rates 4 3 2 1 Birth rate Replacement rate 0 Source: Brady E. Hamilton, "Reproduction Rates for 1990-2002 and Intrinsic Rates for 2000-2001: United States," National Vital Statistics Reports 52, no. 17 (March 18,2004): 7, Table 1, available online at http://www.cdc.gov/nchs/data/nvsr/nvsr52/nvsr52_17.pdf 11 THE RELATIVELY MINOR ROLE OF IMMIGRATION Immigration does not significantly affect age distribution because immi- grants represent a relatively small percentage of the total population (see Figure D), even though the average annual number of immigrants has increased from about 100,000 a year in the 1940s to about 900,000 a year in the 1990s. 8 While it is true that immigrants are much younger on average and they contribute to overall population growth because of their higher fertility rates, their fertility rates drop sharply with each gen- eration born in the United States. FIGURE D Foreign-Born Population as a Percent of Total Population 14 12 10 8 6 4 2 0 1930 1940 1950 1960 1970 1980 1990 2000 Source: A. Dianne Schmidley, Profile of the Foreign-Born Population in the United States: 2000 (Washington, D.C.: U.S. Census Bureau, 2001), p. 9, available online at http://www.census.gov/prod/ 2002pubs/p23-206.pdf. 12 ? How DOES THE UNITED STATES COMPARE TO OTHER COUNTRIES? The population of the United States is actually the youngest among the indus- trialized countries. (See Figure E.) In 2000, when 12 percent of the U.S. population was age 65 or older, that of other industrialized countries ranged from 13 to 18 percent. Even by 2040, the U.S. population is still projected to be the youngest, with 20 percent of the population age 65 and over, com- pared to between 24 percent and 33 percent in other industrialized coun- tries. 9 FIGURE E Proportion of the Population Age 65 and Older in Industrialized Countries 40 2000 2040 35 30 25 20 15 10 5 0 Canada France Germany Italy Japan UK US Source: Author's calculations from U.S. Census Bureau, International Data Base (IDB), Table 094, available online at http://www.census.gov/ipc/www/idbsprd.html. 13 II. INCOME SECURITY AND OLDER AMERICANS Older Americans today are financially better off than those in previous generations, in large part because of improvements in Social Security. Nonetheless, many older people remain very close to the poverty line and are more vulnerable to changes in income than is widely believed. One factor in the continuing dependence of most retirees on Social Security is that traditional pensions now cover a smaller share of the workforce than in the past. In addition, personal savings rates among workers have declined. As a result, the retirement prospects for today's workers are likely to be worse than those of current retirees; that is, future retirees will be more, rather than less, dependent on Social Security. ? How POOR ARE THE ELDERLY? Today's seniors are much less likely to be poor than those in previous generations. Poverty rates among older people have declined steadily dur- ing the past forty years, largely due to the expansion of Social Security benefits to more Americans and the indexing of its benefits to inflation, plus the creation of Medicare in 1965 and subsequent improvements in that program. (See Figure F.) In 1959, the poverty rate for the elderly was 35 percent; it is now around 10 percent. 10 Rates of poverty and near-poverty among the elderly increase with age as retirees exhaust their retirement savings. 11 Note that a very high portion of the elderly live just above the poverty level at all ages, putting them at high risk of falling into poverty if Social Security, Medicare, and Medicaid benefits were to be cut. (See Figure G.) 14 FIGURE F Poverty Rate, Age 65 and Over 30 25 20 15 10 5 0 2000 Source: Historical'Poverty Tables, Table 3, "Poverty Status of People, by Age, Race, and Hispanic Origin: 1959 to:2004," U.S. Census Bureau, 2005, available online at http://www.census.gov/hhes /www/poverty/histpov/hstpov3.html. FIGURE G Poverty and Near Poverty by Age, 2002 25 Percentage below poverty line Percentage below 125% of poverty line 20 15 10 5 0 65-69 70-74 .75-79 80 or older Source: Income of the Population 55 and Older, 2002 (Washington, D.C.: Social Security Administration, March 2005), Table- 8.2, p. 144, available online at http://www.ssa.gov/policy/ docs/statcomps/income_pop55/2002/sect8.pdf 15 Elderly women are at higher risk of falling into poverty than elderly men. Among Americans age 65 to 69, over 10 percent of women live in poverty compared to just 7 percent of men. The gap is even greater among the very old, with nearly double the percentage of women over the age of 80 living in poverty than elderly men. (See Figure H.) There are a num- ber of reasons for this. First, women on average have lower lifetime earn- ings, SO their Social Security and pension benefits are somewhat lower. In addition, wives are much more likely to outlive their husbands and draw down their family assets. FIGURE H Poverty among Older People by Gender, 2002 16 Men 14 Women 12 10 8 6 4 2 0 65-69 70-74 75-79 80 or older Source: Income of the Population 55 and Older, 2002 (Washington, D.C.: Social Security Administration, March 2005), Table 8.2, p. 144, available online at http://www.ssa.gov/policy/docs /statcomps/income_pop55/2002/sect8.pdf ? WHAT ARE THE MAJOR SOURCES OF RETIREMENT INCOME? Nearly two-thirds of older Americans rely on Social Security for at least half of their income, 12 and 21 percent of older Americans depend on Social Security for all of their income. 13 Unmarried people age 65 and over are particularly reliant on Social Security as a source of income. (See Figures I and J.) Those who are less reliant on Social Security have the highest incomes, with earnings from work, pensions, and assets pro- viding most of their additional resources. 16 FIGURE I Income Sources for Married Couples, 65 and Over, 2002 (by quintile) 100 Other 80 Public assistance 60 Income from assets Earnings 40 Pensions 20 Social Security 0 First Second Third Fourth Fifth Note: Quintile limits are $18,648, $27,744, $39,000, and $63,108 for married couples. Source: Income of the Population 55 and Older, 2002 (Washington, D.C.: Social Security Administration, March 2005), Table 7.5, p. 137, available online at http://www.ssa.gov/policy docs/statcomps/income_pop55/2002/sect7.pd FIGURE J Income Sources for Unmarried People, 65 and Over, 2002 (by quintile) 100 Other 80 Public assistance 60 Income from assets 40 Earnings Pensions 20 Social Security 0 First Second Third Fourth Fifth Note: Quintile limits are $7,892, $11,448, $15,638, and $24,855 for unmarried persons. Source: Income of the Population 55 and Older, 2002 (Washington, D.C.: Social Security Administration, March 2005), Table 7.5, p. 137, available online at http://www.ssa.gov/policy/docs/ statcomps/income_pop55/2002/sect7.pdf. 17 SOCIAL SECURITY Each individual's Social Security retirement benefits are determined based on average earnings over his or her working years. Higher lifetime earn- ings result in higher benefits up to an inflation-adjusted cap. The full benefit currently is payable at age 651/2 (scheduled to rise gradually to 67 in 2022); workers who retire at age 62 get a reduced benefit. Workers who postpone retirement beyond age 65 1/2, up to age 70, get a higher benefit when they stop working. (See Figure K.) FIGURE K Hypothetical Benefit Amounts for a Person Who Claimed Social Security Benefits in January 2003 2,000 Age 62 Age 65 1,500 1,000 500 0 Low earner Average earner Maximum earner Note: Low earnings are 45 percent of the national average index, average earnings are equal to the index, and maximum earnings are equal to OASDI contribution and benefits base. Source: "Fast Facts & Figures About Social Security, 2004," Social Security Administration, August 2004, p. 16, available online at http://www.ssa.gov/policy/docs/chartbooks/fast_facts/2004 fast_facts04.pdf. 18 Because Social Security is a social insurance program, it is structured SO that someone who has had a lifetime of high wages (and was therefore able to save money for retirement) does not have as much of his or her income replaced upon retiring as does a low-wage earner. In other words, while those who earned higher wages get a larger check than those who earned less, the check represents a smaller percentage of their average past earnings. Workers with a very low wage are guaranteed a minimum benefit. 14 This progressive feature of Social Security helps give all work- ers in America a chance at a decent retirement, even if the type of work they did, or their personal circumstances, did not enable them to accu- mulate wealth or become eligible for a private pension plan. The Social Security benefits of an average-wage earner with a spouse retir- ing at age 65 in January 2004 were 62.9 percent of his or her average earnings, while comparable figures for low- and maximum-wage earners were 84.8 percent and 44.6 percent, respectively. (See Figure L.) Those percentages will decline somewhat in the future, mainly because of the scheduled delay in the age when full retirement benefits can be collected. FIGURE L Social Security Wage-Replacement Rates, January 2004 (workers age 65, with and without a spouse) 90 Workers age 65 80 Workers age 65 with a spouse 70 60 50 40 30 20 10 0 Maximum-wage earner Medium-wage earner Low-wage earner Note: A maximum-wage earner is defined as $72,019, medium as $33,897, and low as $15,253. Source: Performance and Accountability Report for Fiscal Year 2004 (Washington, D.C.: Social Security Administration, 2004), p. 9, available online at http://www.ssa.gov/finance/2004/Full _FY04_PAR.pdf. 19 PRIVATE PENSIONS The share of the workforce covered by pension plans has fallen over the past twenty-five years, reflecting the decline of employment in the highly unionized manufacturing sector and the increasing prevalence of voluntary plans. 15 Moreover, pension plan types have changed substantially over the past few decades. Defined benefit plans-which offer guaranteed benefits based on previous earnings and the number of years worked-have gradually become less common. Emerging in their stead have been defined contribution plans, which invest workers' (and sometimes employers') contributions. (See Figure M.) The main consequence of that transformation is that companies have transferred much of the future risk for providing pensions onto the shoulders of their workers. FIGURE M Percentage of Participants in Pension Plans 35 30 25 20 15 10 5 Workers covered by a defined benefit plan only Workers covered by both defined benefit and defined contribution plans Workers covered by a defined contribution plan only 0 1980 1982 1984 1986 1988 1990 1992 1994 1996 1998 Note: Some workers are covered by more than one defined contribution plan. Source: Private Pension Plan Bulletin: Abstract of 1999 Form 5500 Annual Reports (Washington, D.C.: U.S. Department of Labor, Employee Benefits Security Administration, Summer 2004), Table E4, p. 78, available online at :http://www.dol.gov/ebsa/PDF/1999pensionplanbulletin.pdf. 20 For the most part, coverage rates increase for workers with higher incomes. 16 For example, participation in 401(k)s-a type of defined con- tribution plan that allows workers to contribute a portion of their earnings on a pre-tax basis-and similar plans increases with earnings and educa- tion. 17 Those with college degrees are twice as likely to have 401(k)s or thrift savings plans than those with only high school diplomas. 18 Those in the top fifth of the income distribution are more than twice as likely to have such plans as workers in the middle of the income distribution, and more than ten times as likely as those in the bottom fifth. 19 Although defined contribution plans offer the advantage that they are portable from one job to another, they mean that workers increasingly are reliant on stock market performance for their retirement incomes. Pension defaults, such as those in the airline and steel industries, reinforce the extent to which workers can no longer depend on traditional defined benefit plans. Experiments have shown that participation in defined contribution plans will rise significantly if they are the "default option" for workers. That is, when workers are informed that, unless they opt out, a small percent of their salaries and their raises will be directed to a safe, diversified invest- ment vehicle, most go along with this option. 20 21 PERSONAL SAVING The current personal savings rate is low both by U.S. historical standards and in comparison to that of other wealthy countries. No one is completely sure what the reason is. The savings rate in the United States, as Figure N shows, has dropped sharply over the past several decades, becoming negative in 2005. FIGURE N Personal Savings Rate (as a percentage of disposable income) 12 10 8 6 4 2 0 -2 1960 1965 1970 1975 1980 1985 1990 1995 2000 2005 Source: National Income and Product Accounts (NIPA), Department of Commerce, Bureau of Economic Analysis, Table 2.1. Personal Income and Its Disposition (Line 34), available online at http://www.bea.gov/bea/dn/nipaweb/TableView.asp?SelectedTable=58&FirstYear=2003&LastYea =2005&Freq=Qtr. The decline in U.S. savings has occurred even though the federal govern- ment has enacted a variety of measures, such as Individual Retirement Accounts and 401(k)s, intended to encourage saving by providing indi- viduals with tax benefits if they set money aside. One reason why those policies have not been effective in encouraging new savings is that they only reward households that pay a significant amount in income taxes. A large portion of the population with modest or low incomes does not owe sizeable income taxes and therefore would not benefit much from the existing tax-favored accounts. 21 22 ? WHAT ARE THE RETIREMENT PROSPECTS FOR TODAY'S WORKERS? Baby boomers, on average, have higher incomes and have accumulated more wealth than their parents' generation. 22 Several studies conclude that boomers are on track to be better off in retirement than their par- ents and are less likely to become poor. 23 But while boomers, on average, may be better off, the retirement prospects of a large segment of that gen- eration are uncertain or bleak. A Congressional Budget Office review concluded that, although half of boomer households are on track to maintain the same standard of living upon their planned retirements, about a quarter of boomer households-mainly those with low incomes-have saved very little and will most likely see their standard of living decline significantly upon retirement. The remaining quarter has an uncertain future-one that could tip either way in the face of a slight change in circumstances. 24 There are wide disparities in savings and wealth among those in their pre-retirement years (age 55 to 64, although some of these people may already be retired). (See Figure O.) Those in the top income quintile have a net worth of about fifteen times that of those in the lowest quintile. 25 Excluding the value of one's home (which often comprises the majority of an individual's wealth), this disparity is even higher. FIGURE O Median Net Worth by Income Quintile, Age 55-64 350,000 Median net worth 300,000 Median net worth excluding home equity 250,000 200,000 150,000 100,000 50,000 0 First Second Third Fourth Fifth Note: Quintile limits for monthly income are $1,304, $2,426, $3,813, and $5,988. Source: Survey of Income and Program Participation, 1996 Panel, U.S. Census Bureau, p. 11, available online at :http://www.census.gov/prod/2003pubs/p70-88.pdf. 23