The State-Local Nexus in Policy Innovation Diffusion: The Case of School Choice

Our knowledge of how policy innovations diffuse in federal systemscould be enhanced by paying greater attention to the behaviorof policy entrepreneurs. This study shows how policy entrepreneurshelped stimulate the diffusion of state school-choice plansby collecting and generating evidence of workability of thisinnovation. Importantly, these policy entrepreneurs have oftenused evidence from local experiments to promote state policychange. Thus, a state-local nexus exists in the diffusion schoolchoice. This analysis suggests that there is value in conceptualizingpolicy innovation diffusion a federal system as both a horizontal(that is, state to state) and a vertical (that is, state andlocal) phenomenon.     

Regierungsbildung in Mehrebenensystemen: Zur Erklärung der Koalitionsbildung in den deutschen Bundesländern

The German federal governmental system is conceptualized as a full-fledged two-level system, in which the Länder governments participate in federal policy decisions via the second chamber Bundesrat and in which the stakes of state coalition building are high for the federal parties. Our research question is whether we can find systematic empirical evidence for an influence of federal on state parties to build state governments whose party composition is concordant with federal politics, containing either exclusively federal governmental or non-governmental parties. We answer this question by indirect evidence. We show that such concordant majority coalitions occur above average even if important coalition predictors are controlled as minimal winning coalitions or participation of dominant and/or central players. We predict the 182 actual Land governments which were formed in the period from 1949 to 2003 compared to the possible governments in each situation.     

The Promises and Pitfalls of Devolution: Water Pollution Policies in the American States

This article investigates state reactions to the relativelydecentralized federal policy structures that are now in placefor non–point source water pollution control and assessesthe extent to which state policies are living up to the promisesof the policy devolution agenda. It develops and presents measuresof state non–point source policy activism for all fiftystates and analyzes the likely sources of variation in statepolicies. In so doing, it finds evidence that the "promisesof devolution" are not being fulfilled across all states. Theanalysis also yields insights that can contribute to the developmentof new and more flexible federal-state policy arrangements ina policy area that has been characterized by command-and-controlregulation.     

FEDERALISM, POLICY, AND INNOVATION IN CORRECTIONS

State governments have historically dominated corrections policy, with little federal intervention. But over the past two decades, the trend has been toward "nationalizing" corrections policy, with less interstate variation and more federal standards, through the Safe Streets Act and other legislation. As federal funding declines, it may be expected that there will be a hiatus in state corrections reform, though national standards may survive if the federal courts continue to require state correctional systems to comply with federal laws previously implemented.     

Federalizing energy? Agenda change and the politics of fracking

This paper focuses on agenda change affecting the politics of ??fracking operations?? in the US, a process of extracting natural gas from underground shale formations. We examine how the movement of this policy issue between the state and federal levels of government has become increasingly contentious because of rising public concern about pollution impacts. Using information obtained from documentary sources and media content analysis, we found that the natural gas policy coalition has largely focused on a political strategy based on maintaining fracking regulatory controls at the state level, while the environmental policy coalition has pushed for increased regulation of drilling practices in general, including a larger policy and oversight role for federal agencies such as EPA.     

A Song of Policy Incongruence: The Missing Choir of Consumer Preferences in GMO‐Labeling Policy Outcomes

This article focuses on the degree of policy congruence, and by extension policy responsiveness, of U.S. federal‐ and state‐level GMO labeling laws from 2011–2016. Utilizing consumer survey data, evidence overwhelmingly demonstrates consumers prefer clear text‐based indication if food products contain genetically modified ingredients. However, the federal law adopted in 2016 mandates GMO labeling but with exceptions permitted to clear on‐package text labeling. The results of this study demonstrate that consumer preferences were not adequately represented at the federal level and were misaligned with state policy activities as captured in the aggregate outcome. State legislatures were actively proposing mandatory legislation with only a few cases of success, which did not adequately represent the wishes of the people. Given the misalignment and overall policy incongruence, the consequences of pending federal law are discussed in light of why the voices of the consumer choir were not heard by lawmakers.     

Perceptions of Federal Aid Impacts on State Agencies: Patterns, Trends, and Variations Across the 20th Century

American federalism is a dynamic process involving the viewsand interactions among state and national officials. Based onmultiple mail surveys of state agency heads across 75 years,this article traces the perspectives of state executives towarda core component of state–national relationships—federalaid. The time frame dates from the 1920s and covers a periodin which federal aid programs to the states grew enormously,as did state administrative establishments. There was a long-termrise in the perceived intrusiveness of federal aid as well asincreased policy distortion effects. Despite substantial fluctuationsin perceived aid impacts, there was a four-decade consistencyin the penetration of federal aid into and across the existing3,000 state agencies. Furthermore, when perceptions of nationalinfluence are combined in an index of perceived national fiscalinfluence, there was a roller coaster effect with an overallsecular "decline" in national influence since 1974.     

STATE ENERGY POLICIES: FEDERAL FUNDS FOR PAPER PROGRAMS

Taking their policy cues from the federal government, the states have done little to effectively deal with energy problems. In fact, their programs could be styled "federal funds for paper programs." inasmuch as the state programs have been written to conform to federal language, but not to attack energy problems in a serious fashion. There is great variation among the states in energy program expenditures, but these are not related to economic or political structures. However, the more urbanized, economically growing, and energy "rich" states spend the most on energy problems.     

The Rise of Competitive Federalism

This article challenges the prevailing view of increasing political and fiscal centralization in the federal government. Since 1978, the authors argue, the nation has entered a new era of "Competitive Federalism" with federal, state and local governments locked in a competitive struggle for taxpayer resources and support. The new era has emerged largely because of the loss of the tremendous fiscal advantage held by the federal government during its centralization period, 1929 to 1978. Although "deregulated" and free to move into any area of domestic policy, the federal government is constrained by necessary budget pressures and a "reformed" income tax structure. Competitive Federalism has emerged as a new balancing force between Washington, D.C. and the fifty state-local governments and will govern the federal system for the foreseeable future.     

Policy Diversity and Policy Learning in a Federation: The Case of Australian State Betting Law

A case study of the evolution of gambling laws in Australiais the vehicle for an analysis of changing patterns of diversityand uniformity in state policies. A pattern of diverse responsesto the gambling problem in 1930–1960 is explained as theexpression of distinctive state political and other factors.In accounting for the rapid adoption from 1960 of a uniformpolicy in each of the states, explanations are sought both inthe changing nature of these differences and in the interactiveeffects of membership in a federal polity. Particular attentionis paid to the role of "policy learning" among the states andto the "domino effect" of state-by-state adoptions. It is concludedthat such "federal effects" can account for diversity givingway to uniformity in outputs, and that this uniformity doesnot imply a rejection of underlying rationales for federalism.     

THE ROLE OF STATE ECONOMIC DEVELOPMENT PROGRAMS IN NATIONAL INDUSTRY POLICY

A decade of economic stagnation has produced a plethora of calls for government action to stimulate economic growth in employment. Arguing that activists federal industry policy is likely not to emerge in the United States, Rasmussen and Ledebur examine the potential role of states in a "federalist industry policy." States presently administer effective programs of financial assistance to business enterprises. These efforts are "rationally parochial" in that their purpose is served equally well by cresting a new job or pirating from other jurisdictions. This paper considers how state programs can be reoriented to serve national growth and development objectives as well as those of specific jurisdictions. It concludes that a subnational industry policy offers a unique opportunity to reallocate existing state resources to achieve a much higher social return.     

FINANCIAL INDICATORS AND TRENDS FOR LOCAL GOVERNMENTS: A STATE-BASED POLICY PERSPECTIVE

Recent federal reports, the projected "new" federalism, research in financial and economic trends, and the emerging consensus concerning local government distress have highlighted the fact that no comprehensive or systematic federal, state, or local policies exist to deal with the problems that have been identified. The purpose of this article is to perform a statebased study of financial patterns and trends in local governments that have implications for state policy. Included in the analysis were correlations between constant dollar financial indicators and an instability index for four data points. The results of the analysis and trends suggest that certain consistent patterns which have implications for state policy exist.     

The Impact of the Earned Income Tax Credit on Household Finances

Using a simulated instrument strategy, we analyze how expansions to the federal and state Earned Income Tax Credits (EITC) affected household finances over the past two decades. Using data from the Survey of Income and Program Participation wealth topical modules, we also test whether responses differ over time, as well as whether there are different responses to the federal and state expansions, and how responses vary by educational attainment. A $1,000 policy‐induced increase in the average household EITC leads to a 3 percentage point increase in the likelihood of holding money in a savings or checking account, and approximately $700 more held in savings balances. These results are coupled with large increases in pre‐tax family earnings. We also find some evidence of decreases in unsecured debt holdings. We interpret these results as further evidence that the EITC increases the financial stability of low‐income single mothers.     

National Election Cycles and the Intermittent Political Safeguards of Federalism

Scholars have challenged the notion of "political safeguardsof federalism" in a large and well-developed body of work onthe use of coercive policy tools by the federal government.This study suggests, however, that there may be some utilityin re-examining the political factors that help to constrainthe growth of national power. Specifically, it argues that theneed to win votes from subnational constituencies makes nationallawmakers less supportive of mandates, preemptions, and taxsanctions during election cycles and, thus, provides an intermittentsafeguard of state authority. It tests and finds evidence forhypotheses related to that general argument in analyses of thepassage of coercive federalist policies over the last thirtyyears.     

State Renewable Energy Governance: Policy Instruments,Markets, or Citizens

Since the 1990s, state governments in the United States have diversified policy instruments to encourage the electric power industry to deploy renewable sources for electricity generation. This study identifies the trends and variations in renewable energy (RE) policy governance among states and examines the effectiveness of policy instruments in the deployment of RE sources for electricity production. This study explores 18 state legislative, RE‐related regulations, programs, or financial incentives existing between 2001 and 2010 in 48 states in the United States. Renewable energy policies were classified into three types of policy approaches: command‐and‐control, market‐based, and information instruments. Results suggest that authoritative approaches are more likely to be effective in the governmental intervention toward a pre‐existing market, and information instruments and citizen participation became important in the power industry in the 2000s. In addition, it gives us some evidence that federal assistance under the American Recovery and Reinvestment Act of 2009 influenced the overall growth of the renewable electricity industry, in addition to state government–led policy designs.     

Two Cheers for Paperwork: The Value and Burden of Federal Reporting

In principle, reporting by state and local governments to thefederal government is essential to the design and implementationof national policy. In practice, reporting often engenders resentmentof federal intrusion and is often dismissed as a waste of stateand local resources. Is reporting useless? Does it strengthenthe federal government at the expense of state and local governments?We asked federal, state, local, and site officials about thevalue and burden of five specific reporting systems in elementaryand secondary education. Common assumptions about reportingdid not correspond to respondent reactions. Both value and burdencascade through the intergovernmental system, reaching policymakersin all governments. Although critics seldom discriminate betweentypes of reporting, we found that reporting designed to improvecompliance with federal standards evoked different judgmentsof value and burden than reporting designed for assistance.These results suggest some new approaches to federal policygoverning the collection of information and to the design ofindividual reporting systems.     

Reflections on the Spirit and Work of the U.S. Advisory Commission on Intergovernmental Relations

What did the U.S. Advisory Commission on Intergovernmental Relations (ACIR) accomplish before it was disbanded in 1996? Were its accomplishments sufficiently valuable to justify reestablishing the organization? This article reviews the commission’s origins, history, and accomplishments, and addresses future intergovernmental needs. The ACIR’s accomplishments were substantial, but are largely unavailable today. Lessons learned from the ACIR suggest the need to (1) recreate a network of intergovernmental advocates within the legislative and executive branches of the federal government; (2) restart the information flows and high‐level federal, state, and local policy dialogues that withered after the ACIR’s demise; (3) strengthen boundary‐crossing institutions capable of addressing metropolitan and multistate problems; and (4) develop new opportunities to achieve public policy outcomes that can be attained only by the cumulative efforts of federal, state, and local governments working together—often with private parties as well.     

Federal and State Public Forest Administration in the New Millennium: Revisiting Herbert Kaufman's The Forest Ranger

Herbert Kaufman's 1960 investigation of federal forest rangers provided important insights into administrative discretion, agency culture, and natural resource policy making. Subsequent studies of Forest Service administration have documented that agency's change over time, mirroring broad changes in federal public administration. But little is known about state forest administration. This article describes results from a survey of line officers in 48 state forest agencies, as well as state forest statute analysis. Results indicate systematic state–federal differences in legal constraints, citizen interactions, and the forest administrators themselves. Though these differences foster state administrator decision making based on professional expertise, they do not encourage the incorporation of stakeholder views into agency policy making, nor do they yield a bureaucracy that represents a diverse constituency. State forest administrators perceive substantial external challenges to their professional discretion, but it remains to be seen whether state forest agencies will change to more closely resemble their federal counterpart.     

Interstate Competition and Welfare Policy

In 1996, the federal government terminated the Aid to Familieswith Dependent Children (AFDC) program and replaced it withthe Temporary Assistance for Needy Families program (TANF).Many powers once held by the federal government are now beingused by state governments. Will welfare assistance be redesignedand expanded or will states "race to the bottom?" This issueis investigated by examining state welfare policy choices duringthe latter years of AFDC(1976–1994). Because each stateunder AFDC had the authority to set the level of its welfareguarantee for families that had no income, it is possible toestimate the effects of interstate competition on AFDC guaranteelevels. By estimating a spatial autocorrelation coefficientwhile controlling for theoretically relevant variables and statefixed effects, this study finds evidence that states are sensitiveto the welfare policies of their competitors.     

Many Borders to Cross: Is Immigration the Exclusive Responsibility of the Federal Government?

In a period when many policymakers in Washington are attemptingto push an unprecedented number of programs and functions backto state and local jurisdictions, immigration stands out asa policy area that is universally regarded as the exclusivedomain of the federal government. This article challenges thispervasive understanding of policies toward legal as well asillegal immigrants. It does so by examining the historical evolutionof state-federal responsibilities in this area and then by scrutinizingcontemporary evidence of state and local efforts to influenceimmigration flows. Finally, the unique political dynamics ofimmigration will be explored to explain why—in the faceof so much evidence to the contrary—this one-sided viewof state-federal responsibilities persists in this increasinglyvolatile policy domain.