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.     

ADMINISTRATIVE POLICY MAKING: ADJUDICATION BY THE BOARD OF IMMIGRATION APPEALS IN ASYLUM-RELATED APPEALS 1980–1987

This analysis examines the extent to which the Board of Immigration Appeals (BIA), from 1980 to 1987, complied with a new policy of Congress, set forth in the Refugee Act of 1980, which called for an elimination of bias in favor of aliens from hostile countries. Statistical analysis reveals that the BIA did not enforce the Refugee Act of 1980. I argue that Congress never intended to eliminate this bias since doing so would bring it into conflict with actors within the executive branch (including the President and the State Department) that have traditionally dominated policy-making relating to refugees and asylees. Instead, in the Refugee Act of 1980, Congress allowed these actors to retain control through a broad definition of "refugee" and by failing to clearly specify standards for political asylum and withholding of deportation. Simultaneously, Congress temporarily placated private and public "refugee rights" interest groups with statutory provisions that (presumably) eliminated the hostile country bias in U.S. refugee and asylum admis- sions, and granted increased federal aid to private organizations and units of state and local governments.     

Market forces and private sector processes in government policy: The job training partnership act

This article examines those provisions of the Job Training Partnership Act designed to introduce the presumed efficiency of marketlike forces and incentives into federal employment and training programs. First, the JTPA replaced the administrative system used in earlier training programs (which emphasized detailed federal control and monitoring of the programs at the local level) with a system that, in effect, set a price for a prescribed level of performance and reduced oversight of the training process. Second, the Act gave people in private business some control over programs at the local level. According to available data, JTPA program performance is no different in local areas with a strong private-sector involvement than in areas where that involvement is weak and passive. The performance standards have had an effect, although the relationship between the standards and the goals of the JTPA is ambiguous at best. The article outlines the limitations of a market-oriented system for the administration of public policy.     

Mandates As Both Hardship And Benefit: The Clean Water Program In Small Communities

No other intergovernmental policy has been so costly and difficultfor small local governments to implement as the 1972 versionof federal Clean Water legislation. This legislation has requiredthousands of localities to construct new or upgraded sewagetreatment systems. Rural governments have been hard pressedto cope with the demands of the anti-pollution standards, becauseof limited fiscal and managerial capacities and local valuesoften in conflict with national and state policy goals. Yet,as this study of eight rural California communities suggests,implementation can bring local benefits as well as hardship.As a result of their decade-long experiences with the CleanWater program, the small municipalities generally improved theirsewer system finances, acquired new organizational skills andresources, and increased their capacity to accommodate populationgrowth and stimulate economic development. These were long-runimpacts, occurring after initial problems and delays in theplanning, funding, and construction of the new plants.     

Implementation of the Federal Chief Financial Officers Act

The Chief Financial Officers (CFO) Act of 1990 proposes to rationalize the many financial practices and systems of the federal financial establishment. Due to the significant number and magnitude of the changes required by the Act, those involved in implementing the Act are encountering unanticipated practical problems and issues. This article addresses some of the surfacing difficulties, including, the qualifications of CFO's; implementation costs, standards, and authority; content of financial statements; and the scope of audits including performance measurement.     

Mechanisms of environmental policy change in a federal system: The case of open federalism and the 2006–15 Harper government

Between 2006 and 2011, the Canadian Conservative government advocated the concept of ‘open federalism’ which sought to minimize the role of the federal government in areas falling under provincial jurisdiction. Environmental policy-making was particularly impacted with the passage of the highly contentious 2012 omnibus Jobs, Growth and Long-term Prosperity Act, commonly known as Bill C-38. This paper argues that environmental policy needs to ‘bring back federalism’ into their analysis. In order to do so, a mechanisms approach is employed and focuses on the role of both macro and meso level historical institutionalism mechanisms in explaining policy layering and policy dismantling during this period.     

Chromium‐Based Regulations Applicable to Metal Finishing Industries in the United States: A Policy Assessment

This article seeks to briefly evaluate the context behind the development of regulations related to chromium pollution control in metal finishing industries. The available evidence suggests the possibility of elevation of the issue to the agenda for agency rule‐making, and subsequent implementation can occur even in the absence of focusing events. Based on historical evidence, this article illustrates that gradual accumulation of knowledge of harmful effects of chromium over the period of decades has been instrumental in the formulation and implementation of standards and guidelines to regulate chromium in the environment under major statutes such as the Clean Air Act, the Clean Water Act, the Safe Drinking Water Act, and so on. The implementation of command and control regulations has resulted in appreciable reduction of chromium released into the environment, thereby minimizing the impact on human health and the environment. However, achieving full compliance from metal finishing industries is still an illusion. There are examples of violations committed by industries. In response to this realization, policy evolution in the chromium pollution control domain has occurred in two directions: (1) gradual replacement of existing standards with more stringent standards and guidelines and (2) emphasis on multimedia, voluntary, and participatory approaches to improve compliance. But the results from the latter are not as dramatic as previously envisioned. Borrowing from the experience of the Common Sense Initiative (CSI), this article argues that consensus‐based, multistakeholder collaboration can be a policy development tool.     

Defining Environmental Justice Communities for Regulatory Enforcement: Implications from a Block‐Group‐Level Analysis of New York State

The absence of a clear definition of environmental justice areas has been cited as one of the U.S. Environmental Protection Agency's major deficiencies in managing federal environmental justice programs. Several states have explicitly defined potential environmental justice areas and integrated targeted efforts into the policy‐making process. At the block‐group level, this study evaluates the effects of New York State's environmental justice policy, which defines communities of concern in terms of demographic and socioeconomic characteristics as well as mandates supplemental regulatory enforcement activities for these neighborhoods, on the agency's policy implementation practices under the Clean Air Act and Clean Water Act. The empirical findings suggest that there is inconclusive evidence regarding race/ethnicity‐ and class‐based environmental inequity. Also, the state's policy intervention is not universally effective. Moreover, task environments of a given community are a consistent determinant of the agency's regulatory compliance monitoring and assurance activities. This study then derives broader implications regarding the adoption of a policy instrument that defines and screens potential environmental justice communities.     

FEDERAL-STATE RELATIONS IN THE IMPLEMENTATION OF SURFACE MINING POLICY

The federal Surface Mining Control and Reclamation Act of 1977 not only established national performance standards and permitting procedures for the coal industry, but also provided for stateprimacy. The principle of state primary is both simple and intuitively appealing: Because states do not have adequate resources to develop effective regulatory programs, the federal government would set up comprehensive procedures and criteria to guide the states in preparing their own plans. The obvious advantage of state primacy is that i t provides for flexibility in implementation.
Ultimately, state primacy is an experiment in cooperative federalism, a sharing of authority and responsibility between the states and the federal government to insure both the general welfare and sensitivity to local conditions. The history of surface mining regulation is instructive because i t points out the pitfalls and promise of cooperative federalism as well as the critical role of the courts in making state primacy work.     

Fiscal Federalism in 1986: The spotlight Continues To Swing Toward the States and Local Governments

The year in Washington saw the president and the Congress atloggerheads on the budget but in agreement on important taxlegislation. A prominent casualty of the battle to slash thefederal deficit was Revenue Sharing. "Sequestration" and therhetoric of austerity that doomed Revenue Sharing notwithstanding,total federal grants (adjusted for inflation and populationgrowth) rose in 1986 for the second year in a row, continuinga recovery from the six-year decline that had begun in 1979.The net effects of the Tax Reform Act of 1986 will vary substantiallyamong the states, but the federal legislation guarantees thattax reform will be a central issue in many state legislaturesin 1987. Federal mandates continued to be promulgated in 1986with little regard for the costs to states and localities. Anotable exception was the outcome of the struggle over fundingfor grants for the treatment facilities needed to comply withthe standards prescribed by the Clean Water Act of 1972: muchmore generous funding than was sought by the president.     

Federal Financial Management Reform and The Chief Financial Officers Act

This study analyzes the development of financial management reform in the federal government. A series of reform initiatives culminated in passage of the Chief Financial Officers (CFO) Act that prescribes a wide spectrum of changes in federal accounting, budgeting, and financial reporting. The CFO Act may well be the most significant executive branch federal financial management reform since the adoption of the Budget and Accounting Act of 1921.     

The Bush Administration's Proposal for Credit Reform: Background, Analysis, and Policy Issues

Large recent and forecasted federal outlays to cover losses on deposit insurance and federally-assisted credit have increased concern in the executive and legislative branches about potential future liabilities of the federal government. These potential liabilities include federal credit; consequently, this renewed interest in federal credit reform. Credit reform would have to change the budgetary treatment of federal direct loans and federal guaranteed loans. Currently, the unified budget measures the cost of federal credit on a cash flow basis. Critics (including the Bush Administration) maintain that the appropriate budgetary measure of the costs of federal credit is the present value of the subsidies to credit recipients in the fiscal year that the credit is advanced. The Bush Administration's proposal for credit reform is presented in most detail in the Federal Credit Reform Act of 1989 (the Act), which was proposed but not enacted. The Act would have had federal officials estimate credit subsidies based on the equivalent interest rates in private credit markets. These subsidies would have been used to measure the budgetary cost of federal credit and would have required annual appropriations. Two credit revolving funds would have been established in the Treasury to finance credit flows. Many of these credit reform practices were included in the Omnibus Budget Reconciliation Act of 1990 though.     

Driving less for better air: Impacts of a public information campaign

In the wake of the 1990 amendments to the Clean Air Act, localities across the United States initiated public information campaigns both to raise awareness of threats to air quality and to change behavior related to air pollution by recommending specific behavioral changes in the campaign messages. These campaigns are designed to reduce the health hazards associated with poor air quality and to avoid federal sanctions resulting from the failure to meet air quality standards. As in many other communities across the country, a coalition of government agencies and businesses initiated a public information campaign in the Atlanta metropolitan region to reduce certain targeted behaviors, mainly driving. A two‐stage model used to analyze data from a rolling sample survey shows that the centerpiece of the information campaign—air quality alerts—was effective in raising awareness and reducing driving in a segment of the population. When the overall information campaign was moderated by employers' participation in programs to improve air quality, drivers significantly reduced the number of miles they drove and the number of trips they took by car on days when air quality alerts were sounded. Public information campaigns can be successful in increasing awareness, but changing well‐established behaviors, such as driving, is likely to require institutional mediation to provide social contexts that support the behavioral change, as well. © 2003 by the Association for Public Policy Analysis and Management.     

Political Science and Prediction: What's Next for U.S. Climate Change Policy?

This article analyzes how U.S. climate change politics and policy making are changing in the public, private and civil society sectors, and how such changes are likely to influence U.S. federal policies. It outlines the current status of U.S. climate change action and explores four overlapping pathways of policy change: (1) the strategic demonstration of the feasibility of climate change action; (2) the creation and expansion of markets; (3) policy diffusion and learning; and (4) the creation and promulgation of norms about the need for more aggressive climate change action. These four pathways seek to fruitfully draw from rationalist and constructivist approaches to policy analysis, without collapsing or confusing the different logics. Building on this analysis, it predicts that future federal U.S. climate policy will include six major components: (1) A national cap on GHG emissions; (2) A national market based cap‐and‐trade GHG emissions trading scheme; (3) Mandatory renewable energy portfolio standards; (4) Increased national product standards for energy efficiency; (5) Increased vehicle fleet energy efficiency standards; and (6) Increased federal incentives for research and development on energy efficiency issues and renewable energy development. In addition, expanding federal climate policy may bring about significant changes in U.S. foreign policy as U.S. international re‐engagement on climate change is likely to occur only after the development of more significant federal policy.     

The State of American Federalism, 2005: Federalism Resurfaces in the Political Debate

After several years during which federalism was rarely a prominentor explicit issue in political debates, it was in several waysthrust into the public consciousness in 2005. It was not thatthe president or Congress ceased sacrificing state and localinterests to substantive policy goals, as shown by the costlyREAL ID Act, stringent new federal requirements in the TemporaryAid to Needy Families reauthorization, and congressional interventionin the Terri Schiavo case. However, Hurricane Katrina, and particularlythe delayed and ineffective intergovernmental response, generatedsubstantial debate about the appropriate federal role in disasterrelief. In addition, state and local governmental oppositionto the No Child Left Behind Act intensified and generated significantattention during the year, particularly as a result of a Utahstatute asserting the precedence of state over federal law anda Connecticut lawsuit against the act. Meanwhile, state governmentscontinued to address a number of policy problems that federalofficials were unable or unwilling to confront, especially regardingenvironmental, health-care, and labor issues. Finally, althoughthe Supreme Court in 2005 continued its recent (2003–2004)trend of pulling back somewhat from its late-1990s Congress-curbingdecisions, federalism issues figured quite prominently in thesenate confirmation hearings for Chief Justice John Robertsand Justice Samuel Alito.     

New Federalism Modified: Jobs and Highways in New York

The Job Training Partnership Act of 1982 (JTPA) and the SurfaceTransportation Assistance Act of 1983 (STAA) were intended inpart to stimulate the American economy out of recession. Eachlaw embodied a different approach to that goal and, hence, poseddifferent implementation challenges to the states. JTPA wasintended to decentralize decisionmakingand administration tothe states, and to in volve the private sector in state andlocal decisionmaking processes. Moreover,the level of federalaid was reduced below that available under its predecessor,the Comprehensive Employment and Training Act (CETA). STAA wasintended to inject increased federal funds for rebuilding roadsand highways. Its stipulation that states bring their standardsfor truck dimensions and routes into line with new nationalstandards was a centralizing feature of the legislation. Inexamining responses of the states in 1983 to these laws, particularlyNew York, decentralization appeared to be on track in the earlyimplementation of JTPA. The level of involvement of governorsand, to a lesser extent, legislatures was higher than underCETA. The implementation of STAA revealed both decentralizingand centralizing features at work. Participation of the NewYork legislature in deciding how the increased highway fundswere to be spent was much higher than before STAA, but conflictsbetween the national and state governments over the new nationalstandards were resolved in favor of the national government.     

From Coercion to Partnership in Federal Partial Preemption: SMCRA, RCRA, and OSH Act

This article examines the experiences of three important partial-preemptionprograms—the Surface Mining Control and Reclamation Actof 1977 (SMCRA), the Occupational Safety and Health Act of 1970(OSH Act), and the Resource Conservation and Recovery Act of1976 (RCRA)—over the last two decades to improve our understandingof how federal-state interactions have shaped the regulatorypartnership. The evidence we gather suggests that the controlof regulatory programs has shifted over time back and forthbetween the federal government and the states. In the initialyears of these programs, what the Congress intended to be aregulatory partnership was, in effect, almost total federalpreemption of state authority. Under the Ronald Reagan administration,the opposite occurred; federal regulation in many cases becamede facto state regulation as federal officials essentially abdicatedtheir oversight responsibility. By the end of the 1980s, thefederal government began again to assert greater control overintergovernmental regulatory programs. The regulatory relationshipthat emerged is one in which the federal government and thestates share responsibility and authority for the implementationof these programs.     

Performance Management Routines That Work? An Early Assessment of the GPRA Modernization Act

The Government Performance and Results Act (GPRA) of 1993 provided a well‐studied framework for U.S. federal performance management initiatives. In the aftermath of the update of GPRA in 2010 with the GPRA Modernization Act, the authors offer the first systematic scholarly assessment of the new legislation. Managerial use of performance data was an explicit goal of the Modernization Act, an objective that eluded prior federal reforms. The Modernization Act established a new series of performance routines to encourage performance information use. The analysis shows that as federal managers experience those routines, they are more likely to report using performance data to make decisions. Specifically, routines centered on the pursuit of cross‐agency priority goals, the prioritization of a small number of agency goals, and data‐driven reviews are all associated with higher rates of performance information use. The authors also find that managers in better‐run data‐driven reviews report greater use of performance data.     

Federal Budgeting and Finance in 1991: The Future is Now

The large federal deficits run throughout the 1980s generated concern that we were mortgaging our future. In 1991, the note came due. The potential for aggravating the long-run deficit problem constrained fiscal policy from reacting to the recession. Institutional and partisan conflict and the controls established by the Budget Enforcement Act (BEA) limited responses to a remarkable budgetary opportunity—the dissolution of the Soviet Union—and to a serious budgetary threat—exploding health care costs. The BEA controls were applied rigidly with a few minor exceptions, and credit reform was implemented successfully; on the other hand, Congress and the president made no headway on further deficit reductions even though long-run projections worsened. The agenda-setting role of the president's budget for the fiscal year 1993 diminished, as the document's format was heavily influenced by the upcoming presidential election. In contrast to this mixed record for federal budgeting, progress was made in building a financial management structure and developing accounting standards.     

Politics and Constitutional Reform in Canada: A Study in Political Opposition

Political opposition in a federal system is particularly richand complex, involving not only political parties and pressuregroups, but constitutionally sovereign governments as well.This article examines political opposition in a federation througha case study of the mobilization of opposition to the CanadianConstitution Act. Introduced by the federal government in 1980,the Act proposed a series of important changes in the powersof Canada's ten provinces. The resistance offered by a numberof provinces, the two opposition parties holding seats in Parliament,and a handful of interest groups were sufficient to secure significantchanges in the Act. The analysis presented here demonstratesthe key role of provincial governments—and especiallyof provincial premiers—as oppositional actors, while indicatingthe importance of the courts and intergovernmental conferencesas sites where political opposition expresses itself in a federation.