Bottom-Up Federalism: The Diffusion of Antismoking Policies from U.S. Cities to States

Studies of policy diffusion often focus on the horizontal spread of enactments from one state to another, paying little or no attention to the effects of local laws on state-level adoptions. For example, scholars have not tested whether local policy adoptions make state action more likely (through a snowball effect) or less likely (through a pressure valve effect). This study conducts the first comprehensive analysis of vertical policy diffusion from city governments to state governments, while simultaneously examining the influence of state-to-state and national-to-state diffusion. Focusing on three different types of antismoking laws, we find evidence that policies do bubble up from city governments to state governments. State politics are crucial to this relationship, however, as local-to-state diffusion is contingent on the level of legislative professionalism and the strength of health advocates in the state.     

Between Deadlock and Decentralization: Bargaining Dynamics in Federal States

A classic way to meet regionally diverse interests is to grant partial autonomy to sub-national entities, either by assigning them the right to decide upon policies (federalism), to implement policies (decentralization), or both. This article argues and formally elaborates that central governments may intentionally choose to increase decentralization in an effort to facilitate agreements that otherwise would be deadlocked. In this regard, a central government's decision to promote decentralization depends on its own relative valuation of policy change and congruence. We illustrate the empirical validity of our argument with a case study pertaining to the Swiss New Regional Policy.     

Information disclosure policy: Do state data processing efforts help more than the information disclosure itself?

The Toxics Release Inventory (TRI) was expected to reduce health risks stemming from emissions of hazardous chemicals by increasing public pressure on polluters. However, raw TRI data fails to transmit accurate information fitted to the public's interest. TRI is a massive and complex data set that, in its raw form, provides information on the pounds of toxics released, rather than the risks these releases pose to human health, which is the true quantity of interest. Consequently, raw TRI data needs to be refined and interpreted in terms of health risks by its users, which requires analytical sophistication and substantial data processing. State governments have attempted to increase of the usefulness of the TRI to the general public via two types of policies: (1) selection and dissemination of raw TRI data for plants within the state, and (2) data processing activities producing more refined reports and further data analysis. This study assesses the effectiveness of those two policies, asking how much each contributes to the intended policy outcome of reducing health risks. Our results show that state‐level data dissemination efforts lowered the total number of pounds of chemicals released, but had little effect on health risks. State‐level data processing efforts, in contrast, did lead to significant reductions in health risks. We conclude that simple dissemination of the data was ineffective (and even counterproductive in some instances), and that the states' data processing efforts have played a critical role in achieving the TRI's intended policy goal by providing better information to end users. © 2010 by the Association for Public Policy Analysis and Management.     

Policy Adoption and Policy Intensity: Emergence of Climate Adaptation Planning in U.S. States

The United States is experiencing growing impacts of climate change but currently receives a limited policy response from its national leadership. Within this policy void, many state governments are stepping up and taking action on adaptation planning. Yet we know little about why some states adopt State Adaptation Plans (SAPs), while others do not. This article investigates factors that predict the emergence of SAPs, both in terms of policy adoption and policy intensity (goal ambitiousness). Applying the diffusion of innovation theory, I consider the relative influence of internal state characteristics, regional pressures, and test for conditional effects between government ideologies and severity of the problem. The results show interesting differences between predictors that influence policy adoption and ambitiousness. States are more motivated to adopt a policy when faced with greater climate vulnerability, have more liberal citizenry, and where governments have crossed policy hurdles by previously passing mitigation plans. The intensity of policies and goal setting, moreover, is more likely to be driven by interest group politics and diffuse through policy learning or sharing information among neighboring states in Environmental Protection Agency regions. These findings support an emerging scholarship that uses more complex dependent variables in policy analysis. These variables have the potential to differentiate symbolic from substantive policies and capture finer information about predictors of importance.     

Policy Design and Achieving Social Outcomes: A Comparative Analysis of Social Enterprise Policy

This article compares American, British, and Korean social enterprise policies to explore how government policy design shapes social enterprises and how “social benefit” and “public value” are defined. A social enterprise is defined as the legally structured organizational pursuit of blending social purpose and economic profit through business activities, and examples from each country are presented. Applying Bozeman's publicness theory, the authors demonstrate the wide range of roles that governments play in shaping social enterprises' ownership, funding, and control across the three countries using regulations, subsidies, and procurement policies. These roles may affect the impact of social enterprises in society. The case studies show that the U.S. approach to social enterprise policy is heavily market oriented, while the United Kingdom is in the middle of the market-to-publicness continuum, and South Korea is much closer to the publicness (government-dominated) end of the continuum.     

The governance of public affairs

• Government and governance are frequently treated as synonyms. Governing is what governments do in formulating and implementing policies. A burgeoning political science literature uses the term governance in a different way to describe the growing tendency of governments to govern in partnership with a range of non‐state actors and, as a purported consequence, the marginalization of governments within policy‐making processes. Here, some writers go so far as to talk about ‘governance without government’. In a forthcoming book, Rethinking Governance: Bringing the State Back In, Stephen Bell and I argue that this dominant ‘society‐centred’ perspective on governance is flawed. In our view whilst governments are indeed now more likely to forge relationships with a larger range of non‐state actors, they nevertheless remain the central players in governance arrangements. Indeed we argue that governments have been strengthened through the relationships they have developed. This article reviews some of the extant literature on governance and specifies the basic terms of our ‘state‐centric relational’ approach.

Copyright © 2009 John Wiley & Sons, Ltd.     

Economic change and labour market policy: Corporatist and dualist tendencies in britain and Sweden

This article explicates John Goldthorpe's recent analytical distinction between ‘corporatist’ and ‘dualist’ tendencies in Western political economies. By linking these categories to macro‐economic strategies, the role of trade unions and the circumstances under which state policy is initiated, this dichotomy can be of value in the analysis of these polities. The article examines the major characteristics of British and Swedish labour market policy in the areas of wage policy, trade unions and training and education as they relate to the respective macro‐economic policies adopted by British and Swedish governments. These provide examples of the presence and development of corporatist and dualist tendencies in these two countries.     

Different by Design? Analyzing How Governments Justify GMO Liberalization through the Lens of Strategic Communication

GMO liberalization can be seen as politically risky for policy actors; it confronts them with policy‐specific strategic challenges and incentives regarding their policy communication. This perspective has received much more attention in association with two other kinds of policies, welfare state retrenchment and foreign policy. The aim of this paper is thus to situate GMO liberalization within a larger framework and to examine how governments deal with this kind of policy through their communication. The analysis looks at the liberalization of GMOs in Norway and the UK to examine how their communication depends on policy characteristics as well as country‐specific conditions. The findings suggest that the communication of GMO liberalization differs markedly from the communication of welfare state retrenchment and foreign military interventions and that the typical features of GMO policies as well as the sociocultural context of the two countries mattered for how the governments have communicated GMO liberalization.     

Uneven institutional configurations and sectoral variation in China's socialist market economy: a comparative study of three pillar industries

By comparing three Chinese pillar industries, automobile, petroleum, and machinery, this paper analyzes how the development of uneven institutional configurations bred sectoral variation in transitional China. In 1994, at the dawn of the Chinese socialist market economy, the State Council issued guidelines for national industrial policy and proposed the enactment of similar growth-promoting policies for all pillar industries. The level of policy enactment and the resulting outcomes, however, vary significantly across the industries. Previous literature on China's rapid industrialization has sought to build a single model encompassing China as a whole, and has emphasized either the state's institutional capacity or China's unique governance mechanisms. This study investigates China's industrialization by taking account of the uneven development of institutional capacity amid macro institutional reforms. Every idea and institution evolved at a different pace in these reforms, and the incremental nature of the reforms further deepened the gaps between sectors. This paper argues that, due to this uneven development, the Chinese state was not strong enough to be considered a developmental state until at least the early 2000s.     

Political Embeddedness of Public Pension Governance: An Event History Analysis of Discount Rate Changes

State governments are frequently said to manipulate the discount rate assumption to make pension funding look better, reduce employers' and employees' pension contributions, or relieve fiscal stress. Building a model from the political embeddedness perspective and applying an event history analysis to the 81 largest state‐administered pension plans in the United States, the authors found that more politically embedded pension boards were actually more likely to reduce their plan's discount rate. Public union coverage and government political ideology, however, had no significant impact on discount rate changes. These findings reveal the effect of political embeddedness on pension planning decisions and provide useful insights into the intricate process of setting pension discount rates in a new era of more muted investment return expectations. This article points to both political and financial pressures facing pension boards and state governments for many years to come.     

Detached,Hostile, Adaptable and Liberalising: The Chameleon Qualities of the UK's Relationship with EU Social Policy

In this article, we review the EU's significance for social policies in the UK. The EU has a limited legal role or institutional capacity to directly regulate the social policies of its member states. This role is even more limited in the case of non‐eurozone countries. There are a handful of EU policy measures which have had effects on social policy in the UK. However, these effects have not changed the institutional arrangements for making, organising and delivering social policy, which remain firmly in the hands of UK governments. In consequence, a ‘Leave’ or ‘Remain’ result has relatively limited implications for social policy, except in the case of specific social groups: notably for UK and other EU nationals who have lived and worked in at least one other EU country. Other EU legislation and regulation is compatible with the current and historical policy preferences of UK governments and political parties.     

The Power of the Purse: Supranational Entrepreneurship,Financial Incentives,and European Higher Education Policy

This article shows how the European Commission cultivates policy shifts toward a particular idea of a common European Higher Education Area by using its considerable financial leverage. By making European Union (EU) funding dependent on grant recipients meeting certain strategically selected conditions, the Commission creates new incentive structures for domestic actors, in this case higher education institutions (HEIs), with two important consequences. First, the Commission turns universities into agents for its policies: Universities lobby governments to pass legislation, which would allow them to conform to Commission requirements. Second, HEIs try to comply with the Commission's requirements even in the absence of compatible national frameworks, thereby leapfrogging policy decisions on the national level. Describing this as a “soft” mechanism for achieving convergence, as Open Method of Coordination accounts posit, overlooks the fundamentally non‐negotiable nature of the process from the participants' perspective and considerably underestimates the Commission's real influence. We examine this argument through a case study of an EU‐funded higher education program, Erasmus Mundus.     

Gender Analysis and Community Consultation: The Role of Women's Policy Units

Community consultation has become a widely accepted part of policy development in Australia. In this article, we consider how, in an Australian context, consultation can be incorporated within gender analysis processes. Gender analysis refers to systematic procedures to detect and correct gender bias in the full range of government programs, projects and policies. We draw upon insights from a qualitative case study to argue that policy workers located within women's policy units could play a key role in designing and coordinating meaningful and inclusive consultation. We conclude that well‐resourced women's policy offices within Australian governments are essential to ensuring effective, equitable consultation exercises are included within gender analysis processes.     

The Development of Competitive Industries: The Role of State Government Actors

Despite widespread adoption of Porter's Industrial Cluster Theory as a policy development framework by federal and state governments over the past decade, Australia remains significantly below the OECD average in terms of its industries' economic contributions to real wealth creation ( Brown 2000 ; OECD 1998 ). The major cause cited for this relatively poor performance has been inability of key government officials to implement effective industry policy that simultaneously avoids de facto protectionism and distortion of competition. This article provides an insight into the key policy decisions undertaken by the Tasmanian state government that coincided with development of an internationally successful shipbuilding industry in that state. As such, this article provides a reflection on policy initiatives that may be valuable for government officials elsewhere.     

Re-inventing industrial policy in the EU: A Franco-German approach

Defining industrial policies has traditionally been a preserve of EU member states, upon which the Commission has only impacted indirectly, through numerous measures affecting industry, leaving little room for an industrial policy in its own right. However, growing concern about the EU's future position in the international division of labour has led several member states to request from Brussels a more pro-active approach and closer attention to European industrial interests. This paper investigates the recent trend towards ‘re-inventing’ industrial policy in the EU, France and Germany. It examines the model of intergovernmental industrial cooperation established between these two member states, its usefulness and limitations. It argues that, despite recent regression in France towards old-style interventionist policies, and although German governments sometimes favour a protectionist stance, both countries can also generate new, more constructive, euro-compatible intergovernmental initiatives, but that promoting national champions damages the credibility of such initiatives.     

Interacting Capacities: The Indirect National Contribution to Subnational Service Provision

Different levels of government often interact on the ground, providing closely related services. While multilevel governance arrangements have been studied broadly, scarce literature has explored the contribution of national governments to achieving subnational policy goals. By reconceptualizing administrative decentralization as coexisting devolution (to subnational governments) and deconcentration (through field units), this research explores the indirect national contribution to subnational performance by delivering associated services. This article tests the following hypotheses: (1) there is a positive effect of national deconcentrated capacity on subnational policy outputs, and (2) under policy overlap, this contribution diminishes with increasing levels of subnational capacity. While Colombian schooling is decentralized, the national government indirectly contributes to education through a national agency that administers child protection services. Analyzing data for Colombian subnational governments over a decade reveals that national capacity boosts education provision while the least endowed regions benefit the most, thus providing evidence supporting both hypotheses.     

American state governments as models for national science policy

In the 1980s state governments adopted an entrepreneurial stance and established an extensive array of programs targeted at encouraging university industry research collaboration, the commercial development of new technologies, the start-up of new firms, and the technological modernization of existing firms. Although these state programs are frequently presented as laboratories of democracy, their relevance to national science and technology policy is open to question. State R&D strategies reflect contrasting theories about the linkages among academic research, technological innovation, economic growth, and administrative practices. Evaluations of state technology programs have essentially remained fixed at dead center, as unproven undertakings. State experiences have not been couched in analytical frameworks conducive to assessments of national science and technology policies.     

Bridging the Gap between Evidence and Policy Makers: A Case Study of the Pew‐MacArthur Results First Initiative

Developing ways to bridge the long‐recognized gap between researchers and policy makers is increasingly important in this age of constrained public resources. As noted by recent scholarship, progress toward evidence‐informed policy making requires both improving the supply of research that is reliable, timely, and relevant to the policy process and promoting demand and support for this information among decision makers. This article presents a case study of the Pew‐MacArthur Results First Initiative, which is working in a growing number of state and local governments to build systems that bring rigorous evidence on “what works” into their budget processes and to support its use in resource allocation decisions. The initiative's experience to date is promising, although creating lasting and dynamic evidence‐based policy‐making systems requires a long‐term commitment by both researchers and policy makers.     

GLOBALIZATION'S IMPACT ONSTATE AND LOCAL POLICY: The Rise of Regional Cluster‐Based Economic Development Strategies1

We propose proactive policies which allow state and local governments to participate in the global economy, offering opportunities and venues for effective development. We first develop the argument that the changing economic conditions associated with globalization call for a new approach to state‐local economic development policy. We then outline three assumptions which are critical to drive successful state and local economic development policy in a global environment. The major part of the analysis describes this new strategy of “regional cluster‐based economic development,” drawing extensively upon a case study of Cleveland's economic revitalization.     

Brunei's strategic dilemmas

Abstract

This paper compares health policy trends in Indonesia, Malaysia, the Philippines and Thailand with the purpose of drawing usable lessons in reform. The study finds that governments in the region are rapidly privatizing the provision of healthcare at the same time as they are expanding the government's role in financing. The paper argues that expansion of public financing at the same time as private provision is misconceived as the combination would aggravate instances and severity of market failures peculiar to the sector. The dysfunctional trend is particularly evident in Indonesia and the Philippines. In Thailand, in contrast, the expansion of public financing has occurred in the context of a health system dominated by public providers, which has had the effect of restraining healthcare costs. Malaysia occupies a mid position between Indonesia and the Philippines on the one hand and Thailand on the other. All four cases underline the value of state capacity in designing optimal policies and implementing them effectively.