HAVA and the States

Two major events—the 2000 vote counting crisis in Floridaand passage of the Help America Vote Act (HAVA) in October 2002—spawneda wave of federal, state, and local policy innovation and policyimplementation. The major effect of the Florida crisis was anationwide effort to analyze information on elections and todebate policy solutions. Subsequently, HAVA, the first majorelection law in U.S. history that includes federal funds forelection equipment and operations, had a more substantial effecton policy innovation and implementation. Both before and afterHAVA, election law changes have been affected by partisan considerations,policy analyses, and entrepreneurial leadership. Thus far, HAVAhas positively affected election administration, though administrativepractices and their effectiveness vary across and within thestates.     

What Makes an Agency Independent?

The responsiveness of government agencies to elected officials is a central question in democratic governance. A key source of variation in responsiveness is agency structure. Yet scholars often view agencies as falling into broad structural categories (e.g., cabinet departments or independent commissions) or fixate on some features of design (e.g., “for cause” protections). I develop new estimates of structural independence based on new data on 50 different structural features of 321 federal agencies in the federal executive establishment. Using a Bayesian latent variable model, I estimate independence on two dimensions: limits on the appointment of key agency decision makers and limits on political review of agency policy. I illustrate the value of this new measure by using it to examine how structure affects political influence and how agency independence can vary over time.     

The influence of the gramm-rudman-hollings act on federal budgetary outcomes, 1986—1989

This article analyzes the impact of the Gramm-Rudman-Hollings (GRH) Act on federal budgetary and fiscal outcomes. Rather than portraying it as a two-on federal budgetary and fiscal outcomes. Rather than portraying it as a two-party game between Congress and the president, each with monolithic policy preferences, we view GRH as a multiparty negotiation game among advocates of different programs and agencies. In this game, agencies subject to sequestration and their congressional advocates have an incentive to reach a budget accord, while those exempt from sequestration do not. Consistent with this argument, we find that GRH has restrained outlays for nonexempt programs and that exempt programs have, if anything, experienced more rapid growth. Overall, GRH is estimated to have restrained outlays by $59 billion by fiscal 1989, and to have restrained outlays more effectively after the 1987 modifications in the Act. The Gramm-Rudman-Hollings Act signals another phase in the decade-long struggle between the White House and Congress over public spending priorities. Our final counterfactual analysis suggests that GRH partially returned federal fiscal and budgetary relationships and priorities to those that prevailed before Reagan.     

The Importance of Contract Design

This article examines the contract design decisions of three federal agencies—the Departments of Health and Human Services, Defense, and Homeland Security—using five years of data from the Federal Procurement Data System. Three basic contract design elements are charted—type (fixed price versus cost reimbursement), length, and value—across simple to complex products. All three agencies use short‐term, fixed‐price contracts for the majority of the purchases that they make. This basic contract design allows agencies to tap the benefits of competition: innovation and cost‐efficiency. However, the Departments of Defense and Homeland Security often dramatically increase the length and value of contracts through modifications to initial agreements. This approach forgoes the benefits of competition and may expose the agency to the risk of cost overruns, delivery delays, and diminished product quality.     

Organizational design and its consequences for administrative reform: Historical lessons from the U.S. Budget and Accounting Act of 1921

The landmark U.S. Budget and Accounting Act of 1921 (BAA) instituted a series of administrative reforms that proponents claimed would improve budgetary control, stability, and coherence. We maintain that the compatibility of governance structures between agency and system levels is critical for understanding why these administrative centralization efforts were successful in achieving these aims for some federal agencies but not others. The BAA reforms impact on budgetary outcomes is evaluated using panel data on major U.S. federal agencies between 1894 and 1940. Applying semiparametric heterogeneous treatment estimation techniques, we find compelling support that administrative centralization of the federal budgetary process enhanced budget stability and coherence for executive departments while resulting in a lower caliber of budgetary performance for independent agencies. These findings imply that system‐level administrative centralization efforts may be effective only when public agencies are structurally amenable to such reforms.     

Backloading to extinction: Coping with values conflict in the administration of Australia's federal biodiversity offset policy

Policy-makers are frequently required to consider and manage conflicting public values. An example of this in the environmental domain is biodiversity offset policy, which governments worldwide have adopted as a mechanism to balance environmental protection with socio-economic development. However, little work has examined administrative practices underpinning biodiversity offset policy implementation, and how the adoption of coping strategies to manage value conflicts may influence resulting policy outcomes. This study fills this research gap using a case study of Australia's federal biodiversity offset policy under the Environment Protection and Biodiversity Conservation (EPBC) Act 1999. Using data from 13 interviews of federal policy administrators, I show that the introduction of a new policy in 2012 enabled a shift from the use of precedent to a technical approach for setting offset requirements under the EPBC Act. Yet, multiple sources of policy ambiguity remain, and administrators have adopted post-approval condition-setting, or ‘backloading’—a form of cycling, facilitated by structural separation—to defer detailed assessments of offset requirements until after biodiversity losses are approved. Backloading thus undermines the effectiveness of environmental policy and will persist as coping strategy unless policy ambiguity is reduced via legislative amendments and adequate resourcing of biodiversity conservation.

Points for practitioners

• Biodiversity offset policy requires administrators to manage conflicting environmental and socioeconomic values.
• Technical decision tools reduce reliance on case-by-case decision-making, but multiple ambiguities persist.
• Backloading (post-approval condition-setting) defers values conflict, but reduces transparency, accountability, and policy effectiveness.
• Policy ambiguity must be reduced at the political level to facilitate effective biodiversity conservation.

     

Conflict and Collaboration in Wildfire Management: The Role of Mission Alignment

Responding to large wildfires requires actors from multiple jurisdictions and multiple levels of government to work collaboratively. The missions and objectives of federal agencies often differ from those of state land management agencies as well as local wildfire response agencies regarding land use and wildfire management. As wildfire size and intensity increase over time and associated annual suppression costs range between $2 billion and $3 billion, learning more about the existence and management of perceived agency differences becomes imperative within the academic and practitioner communities. This article examines the extent to which perceived mission misalignment exists among federal, state, and local actors and how well those differences are managed. Findings provide quantitative evidence that mission misalignment is greater within intergovernmental relationships than within intragovernmental relationships. Additionally, findings speak to the larger conversation around intergovernmental relationships within the federal structure and perceptions of the presence and management of potential interagency conflict.

Practitioner Points

• Potential conflict between the missions of federal and state land agencies presents a challenge for disaster management, and differing governmental levels and land‐use mandates may highlight relationships where tensions are likely greater.
• Wildfire managers may need to more proactively address relationships among federal agencies and state and local partners rather than relationships among multiple federal agencies.
• Wildfire management may benefit from increased awareness of—and discussion around—partner agencies’ stated land management philosophies and legal mandates, as structural frameworks, such as the Incident Command Structure, may not alone lead to conflict‐free collaboration.

     

Implementation of the Routine Use Clause of the Privacy Act

Information privacy, the privacy of personally identifiable data held by organizations, gained access to the federal policy agenda in the sixties. The passage of several legislative acts resulted in protection for information privacy in specific environments and circumstances. In 1974, the Privacy Act was passed, providing citizens limited protection for data held by agencies of the federal government. While the Privacy Act is the cornerstone of protection for citizens with regard to government-held data, the law has been less effective than its designers hoped it would be. One major deject of the law is the routine use clause, which has been subjected to broad interpretation and distortion, to the benefit of executive branch agencies which handle personally identifiable data. This article examines the issue of information privacy, with focus on the misuse of the routine use clause and subsequent implications for citizen privacy.     

Looking through a policy window with tinted glasses: Setting the agenda for U.S. AI policy

The policy agenda is currently being established for artificial intelligence (AI), a domain marked by complex and sweeping implications for economic transformation tempered by concerns about social and ethical risks. This article reviews the United States national AI policy strategy through extensive qualitative and quantitative content analysis of 63 strategic AI policy documents curated by the federal government between 2016 and 2020. Drawing on a prominent theory of agenda setting, the Multiple Streams Framework, and in light of competing paradigms of technology policy, this article reviews how the U.S. government understands the key policy problems, solutions, and issue frames associated with AI. Findings indicate minimal attention to focusing events or problem indicators emphasizing social and ethical concerns, as opposed to economic and geopolitical ones. Further, broad statements noting ethical dimensions of AI often fail to translate into specific policy solutions, which may be explained by a lack of technical feasibility or value acceptability of ethics-related policy solutions, along with institutional constraints for agencies in specific policy sectors. Finally, despite widespread calls for increased public participation, proposed solutions remain expert dominated. Overall, while the emerging U.S. AI policy agenda reflects a striking level of attention to ethics—a promising development for policy stakeholders invested in AI ethics and more socially oriented approaches to technology governance—this success is only partial and is ultimately layered into a traditional strategic approach to innovation policy.     

Cooptation or Transformation? Local Policy Networks and Federal Regulatory Enforcement

Local policy networks can aid federal agencies, but they can also coopt federal resources for unintended purposes. Our empirical study finds that effective local networks increase both enforcement and compliance rates for the Clean Water Act. We discuss the circumstances under which effective networks can transform political culture, enhancing enforcement and compliance even in conservative areas generally opposed to regulation. The modified detection-controlled estimation procedure enables us to utilize official enforcement records from 1994 to 2000 to study both enforcement and compliance.     

‘These are your Title I students’: Policy language in educational practice

Based on a qualitative study of the United States federal compensatory education policy, Title I of the Elementary and Secondary Education Act, this article uses interpretive policy analysis to investigate the ways in which policy language influences practitioners' understanding of students who are eligible for policy-funded services. Focusing on the situated interpretations of practitioners in nine urban elementary schools, the study shows how policy-generated categories shape practitioners' conceptualizations of students as they determine how to provide services. The aricle considers possible consequences of policy labels on teacher expectations and ends with an appeal for the collective, reflective interrogation of policy language in educational practice.     

Equity under and state responses to the Superfund Amendments and Reauthorization Act of 1986

A difficult problem facing states with significant commercial hazardous waste treatment and disposal capacity is the inflow of waste into the state for disposal. The states with commercial capacity allege that other states are reluctant to aggressively pursue siting facilities, and in fact may be impeding development through restrictive siting provisions. Likewise, capacity states are frustrated with the Environmental Protection Agency for its perceived inaction in reviewing state siting standards. Equity discussion abounds at the state level. Capacity states hoped that equity would be elevated to federal debate through Section 104(k) of the Superfund Amendments and Reauthorization Act of 1986. I examine equity and review hazardous waste management in a federalism context to discern the relationship between EPA and the states. I focus on the different roles EPA and the states perceived for the other during implementation of Section 104(k). I conclude with an evaluation of how equity was handled under the new legislation and what remains to be done.Research for this article was supported by the Tennessee Department of Health and Environment and the Waste Management Research and Education Institute at the University of Tennessee. I appreciate the comments provided by David L. Feldman and the anonymous Reviewers. The research assistance of Susan Bohm Seylar is gratefully acknowledged.     

Practitioner insights

As an analyst for the US Government Accountability Office (GAO), I design and carry out policy studies mandated by law or requested by members of Congress. In 2006, GAO received a request to study federal land management agencies’ use of ecosystem management. Procedurally, the analytical problem that I faced in designing a study to respond to this request was that the underlying policy problem was unclear and thus difficult to operationalize in a study. As the lead analyst, I used the policy sciences framework to assess the underlying problem and help design the study in the context of multiple federal policies and academic research. The policy sciences framework is useful for analysis of ongoing policy issues because it helps the analyst make sense of the activities, positions, and ideas in a particular policy arena. It helps the analyst create a map of the policy problem to better define the problem and identify possible policy alternatives.     

Testing the Policy Capacities of Budgetary Agencies: Lessons from Finance

The Commonwealth Department of Finance, together with the Treasury from which it was hived off in 1976, constitutes the central budgetary agency at the Australian federal level. For the purposes of this article, I identify Finance as a convenient working model of central budgetary agencies, at least in their traditional Australian incarnation. I accept that Finance is unlikely to be fully representative of all such Australian agencies, and I acknowledge that the federal government's annual budget is officially introduced into parliament by the Treasurer, and that the Treasury is deservedly regarded as the core budgetary agency. But my focus here is on Finance's special responsibility for the public management framework, and Finance's role in providing policy advice to government organisations on how to make the best use of budget funding. This article then presents the findings of a recent evaluation of selected policy-advising activities with the department.     

Context and innovation in traditional bureaucracies: A Hong Kong study

Traditional bureaucracies, defined in Weberian terms, are almost invariably seen as antithetical to innovation. Yet, although the academic literature presents an array of formidable structural barriers to the emergence and implementation of new ideas, innovation does occur in traditional bureaucracies. How can the structural impediments be overcome? What are the processes that enable innovation to take place? Based on a longitudinal study of the Hong Kong government's innovation policies and practices, it is argued that political context is a critical variable explaining how, even in rigid traditional bureaucracies, barriers may be avoided or temporarily suspended. Two contrasting case studies are used to illustrate, first, the importance of political commitment in gaining acceptance for new ideas and, second, the failure of agencies dedicated to innovation to achieve their objectives. It is postulated that circumventing structural barriers or working through political channels to reduce their impact may be a more constructive strategy than creating dedicated agencies to develop innovative measures. The study is grounded in a literature review, documentary evidence from the Hong Kong government's innovative agencies, and interviews with senior staff from those agencies.     

Race, Ethnicity, and Law Enforcement Profiling: Implications for Public Policy

The proposed Traffic Stops Statistics Study Act of 2001—Title II of Senate Bill 19 of the 107th Congress—was the third consecutive legislative proposal aimed at addressing the perceived problems of racial profiling and police abuse in the detention of minority motorists for allegedly unjustifiable reasons. The measure followed Senate Bill 821 from the 106th Congress and House Bill 118 from the 105th Congress. This study looks at the purpose of these bills, explores the reasons supporters believe that federal policy mandating law enforcement agencies to collect racial data on motorists stopped and detained is needed, and examines a number of public policy questions that a Traffic Stops Statistics Study Act might raise.     

New Matching Requirements for Housing Programs: Intergovernmental Conflict and the National Affordable Housing Act of 1990

This article describes the surprisingly diverse matching requirements for new federal housing programs that were introduced by the National Affordable Housing Act of 1990 and analyzes their development through the political compromise of the federal legislative process. It explains how the matching requirements reflect the divergent interests of the federal government and state and local governments in the policy outcomes of the new programs.     

Wholesaling in Electricity: Inching Along

This article discusses the incremental but increasingly assertive efforts by federal policy makers toward encouraging deregulation of the electric utility industry. Focusing on the efforts of the Federal Energy Regulatory Commission (FERC), we conclude that the federal government is involved in a sort of two‐sided experiment. On the one hand, efforts to deregulate the electric power industry attempt to establish a competitive market pose the question: Can government provide rational guidance in the formation of markets in a complex industry? On the other hand, it asks whether the democratic process can permit agencies such as FERC to impose and implement an economically rational design on a self‐interested pubic that is mostly interested in cheap, reliable power. In a sense, FERC is auditioning for a new role for regulatory agencies—as designers and overseers of markets. This is a dramatic shift from the traditional role of “regulator as policeman.” Whether regulators are up to the task remains to be seen.     

Learning from the States? Federalism and National Health Policy

In its 1993 report, the Winter Commission gave direction to the federal government in the area of health policy and Medicaid: lead, follow, or get out of the way. This article examines how the federal government responded to that advice, specifically asking what has happened in the allocation of responsibility in health policies between 1993 and 2006. In short, unlike the suggestion that there be a better‐defined direction in federal–state policy assignments in health, the ensuing years have resulted in more of the same. The authors examine what has happened, particularly focusing on vertical diffusion—where the states have acted first—and on the role of policy learning in federal decision making. They find little recognition of policy learning in recent federal health laws—even in areas in which state experience was extensive. The federal government is leading in some health policies—but it is leading without learning.