We develop a model of “notice and comment” rulemaking, focussing on strategic issues facing agencies and interest groups in light of judicial review in this process. Specifically, we analyse the incentives for agencies and groups to produce and reveal information during rulemaking. We show that judicial review can produce informed policymaking, but that participatory rulemaking can bias agency policymaking in favour of groups with access to the rule-making process. In addition, the model allows an analysis of doctrines of judicial review of agency policymaking. The model reveals that “politicised” judicial review can be beneficial because of its effects on agency incentives for information acquisition in policymaking. Accordingly, socially optimal judicial review may be “legally irrational” and, contrary to standard doctrines of judicial review in the United States, judicial deference to rules with thin records can be optimal.

This article forges a link between support for European integration and adoption of tobacco advertisement restrictions in Swiss cantons. Leaning on the policy diffusion literature, this article argues that the more voters support deeper European integration, the more likely cantonal governments are to restrict tobacco advertising. Policymakers use voters’ support for more European integration as a signal that they support regulatory policies that are strongly associated with the European Union (EU) in the political and media debate, such as tobacco advertisement bans. This effect ought to be especially strong in the absence of adverse economic interests, such as the presence of the tobacco industry. To buttress these claims, the present article uses statistical analysis, specifically event-history analysis. Apart from the insights about Swiss tobacco control policy, this article contributes to our understanding of indirect EU influence on cantonal policymaking and policy diffusion.

This study investigates the conditions under which pro-status quo groups increase their advocacy success during an entire policymaking process. It scrutinises whether pro-status quo defenders who are involved in multiple institutional venues and who join many coalitions of interest groups are able to achieve their policy preferences. A case study focussing on the regulation of stem cell research in California traces the policymaking process and the related advocacy activities of interest groups in legislative, administrative, judicial and direct democratic venues. The empirical results, which are based on a formal social network analysis, reveal that very few groups are multivenue players and members of several coalitions. In addition, occupying a central network position is insufficient for the pro-status quo groups to improve their advocacy success.

Although the United States (US) federal bureaucracy is plagued by high vacancy rates generally, quorum requirements and small board sizes make vacancies particularly problematic within major independent regulatory commissions. Not all vacancies, however, are created equal. By statute, some major boards allow members to continue serving beyond their original term in the absence of a confirmed replacement. The difference between an empty seat and a holdover official is important as it can determine whether a board is functional or inoperable. In this article, we examine how the presence of holdover provisions within such commissions alters confirmation dynamics and vacancy rates. Evidence suggests that holdover provisions lead to quicker confirmation on nominations as well as fewer complete vacancies. Such structures thus help mitigate the short-term problems stemming from staffing independent regulatory boards, especially given the tendency towards obstruction in the US Senate.

In recent years, United States (US) policymakers have instituted quadrennial strategy reviews in several major policy areas. In this article, I examine why policymakers have initiated these large strategic reviews, and why a particular model for them has diffused from the US Defense Department to other government agencies. I find that policymakers have initiated the reviews principally to spur organisational change in agencies and influence the relationship between agencies and the Congress, and that policymakers have replicated the Defense Department’s review model because of that department’s strong political support. My findings suggest more generally that formal strategy activities are often driven more by legislative-executive and bureaucratic politics than by a search for new strategic ideas. Commonalities between the diffusion of quadrennial reviews in the US and the diffusion of other strategy and planning processes internationally underscore the broader applicability and significance of these findings.

This study analyses the contradictory effects of decentralisation on public spending. We distinguish three dimensions of decentralisation and analyse their joint and separate effects on public spending in the Swiss cantons over 20 years. We find that overall decentralisation has a strong, significant and negative effect on the size of the public sector, thus confirming the Leviathan hypothesis. The same holds for fiscal and institutional decentralisation. However, the extent to which political processes and actors are organised locally rather than centrally actually increases central and decreases local spending. This suggests that actors behave strategically when dealing with the centre by offloading the more costly policies. The wider implication of our study is that the balance between self-rule and shared rule has implications also for the size of the overall political system.

Do coalition governments really suffer from short time horizons in fiscal policymaking, as posited by standard political-economy models? This article focusses on coalitions that have created high levels of familiarity through shared governing experiences in the past and that are likely to cooperate again in future governing coalitions. I argue that such coalitions have incentives to internalise the future costs of debt accumulation and reach credible agreements to balance their constituencies’ fiscal preferences. Moreover, sustaining broad coalitions should have electoral advantages to implementing controversial economic reforms, thus resulting in lower debt increases compared not only with less durable coalitions but also with single-party governments. Comparing 36 economically advanced democracies between (up to) 1962 and 2013, I estimate the effects of coalitions’ cooperation prospects on the dynamics of public debt. The findings indicate that long time horizons can help coalitions to overcome intertemporal coordination problems and to reach specific policy goals.

Drawing on accounts of regulatory capture in which an industry’s influence activities pull regulation in its direction, apart from incentives or information, this article develops a formal model of capture as a shift in a policy-making agent’s preferences, due to costly actions by the industry. One type of action is rentseeking that produces only capture, whereas the other type also improves regulatory quality by producing information that reduces policy uncertainty. The model shows how the ability to capture the agent can incentivise the interest group to produce more information. Thus, aligning an agent’s preferences with a political principal’s and immunising him from capture is not generally optimal; instead, the principal prefers an agent who is susceptible to capture associated with quality improvements but also initially more opposed to the group than the principal. A comparison of two Securities and Exchange Commission rulemakings illustrates the logic of the model.

This study investigates the effects of formal bureaucratic independence under varying democratic conditions. Conventional accounts predict that greater formal independence of technocratic agencies facilitates policy implementation, but those claims rest on observations of industrialised, high-income countries that are also established democracies. On the basis of research in developing countries, we argue that the effects of agency independence depend on the political context in which the agency operates. Our empirical subjects are privatisation agencies and their efforts to privatise state-owned enterprises in Africa. We predict that greater independence leads to more thorough privatisation under authoritarian regimes, but that the effect of independence declines as a country becomes more democratic. Using an original data set, we examine the relationship between formal agency independence and privatisation in Africa from 1990 to 2007. Our results modify the conventional wisdom on bureaucratic independence and culminate in a more nuanced theory of “contingent technocracy”.

This article applies the multiple streams approach to a multilevel implementation setting to analyse why Swiss member states enabled the labour market integration of asylum seekers between 2000 and 2003. It argues for integrating the social construction of target groups into the problem stream, and complementing the policy stream with inherited policy paths. A fuzzy-set qualitative comparative analysis reveals that institutionalised policy paths trump politics in explaining the enabling of labour market integration of asylum seekers. Conversely, a weak political left combined with negative problem constructions aces out policy paths in explaining restrictions of labour market integration. The results illustrate how social constructions influence problem framing. Historical institutionalism theory helps us understand how inherited policy logics feed back with actors’ problem perceptions. Because of the parallels in their multilevel systems, political contexts and problem pressures, this historical case offers salient lessons for the refugee crisis in the European Union today.

The landmark United States healthcare reform law – the Affordable Care Act – provides an opportunity to study the dynamics of implementation for complex, politically contentious policies. Matland’s Ambiguity-Conflict Model suggests that bottom-up models will dominate in such cases. I exploit variation across states in the implementation of online health insurance marketplaces to test whether the federal- (top-down) or state-managed (bottom-up) implementation model produced better outcomes. Specifically, the study examines if state, federal or partnership exchanges were most effective at offering generous plans for consumers based on premiums, deductibles and copayments in 2014, the first year of operation. The results unambiguously indicate that state exchanges were most successful. The findings provide evidence for what Matland suspected – that bottom-up models, by providing more discretion to local implementers to adapt to contexts and build coalitions, are superior for high-conflict, high-ambiguity policies.

Explanatory models accounting for variation in policy choices by democratic governments usually include a demand (by the public) and a supply (by the government) component, whereas the latter component is usually better developed from a measurement viewpoint. The main reason is that public opinion surveys, the standard approach to measuring public demand, are expensive, difficult to implement simultaneously for different countries for purposes of crossnational comparison and impossible to implement ex post for purposes of longitudinal analysis if survey data for past time periods are lacking. We therefore propose a new approach to measuring public demand, focussing on political claims made by nongovernmental actors and expressed in the news. To demonstrate the feasibility and usefulness of our measure of published opinion, we focus on climate policy in the time period between 1995 and 2010. When comparing the new measure of published opinion with the best available public opinion survey and internet search data, it turns out that our data can serve as a meaningful proxy for public demand.

I examine gubernatorial use of executive orders, and assess how executive action influences statute adoption. I argue that strong governors use executive orders to pursue policy objectives when they perceive legislation as unlikely to pass. Multilevel Event History Analysis of executive orders and the adoption of statutes that protect the lesbian, gay, bisexual and transgender (LGBT) community from 1975 to 2013 reveals that partisan control of government and intrastate factors influence both forms of policy adoption. My findings support the strategic model that argues that executives turn to executive orders when confronting unfavourable legislative conditions, and that governors issue protections more when entering office. Legislatures respond to partisan control of the legislature and social characteristics. Further, states that have pro-LGBT executive orders in place are more likely to adopt similar statutes. My results suggest that stronger governors are more likely to issue executive orders, but it is states with weaker governors that are more likely to adopt legislation.

It has long been recognised that interstate diffusion of policy innovations is comprised of distinct decisions including adoption, reinvention and amendment. Interstate influences are an important driver of these diffusion processes, but studies to date have not investigated the degree to which external influences vary across these decisions. We theorise that geographical peers will have the largest impact in adoption decisions; that ideological peers are an important source of policy information when states make decisions about “reinventing” innovations adopted by others; and that internal factors will drive the decision by a state to amend a policy. We test these expectations for renewable portfolio standards in the American states between 1996 and 2009. Results suggest that state policymakers emulate peers in adoption or policy design choices, and that internal influences have a stronger influence on amendment decisions than do external influences. These findings further our understanding of policy diffusion and state-by-state relations.

Government economic development programmes provide opportunities for firms to leverage financial incentives for business expansion and relocation. This article examines the ability of these incentives to promote employment. Using establishment-level data from the state of Kansas as well as original firm-level survey data, I evaluate the effectiveness of financial incentives in creating jobs through recipient firms. My findings from the establishment-level data indicate that incentive programmes have no discernable impact on firm expansion, measured by job creation. In addition, the survey data suggest that incentive recipients highly recommend this programme to other firms, but few firms actually increased their employment in Kansas because of these incentives; similarly, very few firms would have left the state if they had not benefited from this programme. Thus, incentives have little impact on the relocation or expansion decisions of firms.

Over the past three decades, a reform movement bent on improving schools and educational outcomes through standards-based accountability systems and market-like competitive pressures has dominated policy debates. Many have examined reform policies’ effects on academic outcomes, but few have explored these policies’ influence on citizens’ political orientations. In this study, using data from an original survey, I examine whether and how No Child Left Behind’s accountability-based architecture influences parents’ attitudes towards the government and federal involvement in education. I find little evidence that diversity in parents’ lived policy experiences shapes their political orientations. However, the results of a survey experiment suggest that information linking school experience to policy and government action may increase parents’ confidence in their ability to contribute to the political process. Understanding whether and under what conditions parents use public school experiences to inform orientations towards the government can improve the design of future reforms.

There is consensus in the literature that policymaking in the United States (US) and Europe generates different lobbying styles. Two explanations for these differences have been developed so far. The first posits that distinct lobbying styles reflect different political cultures. The second attributes distinct lobbying styles to variation in the institutional context in which lobbyists operate. Studies that have analysed lobbying within the US and Europe and assessed the relative importance of these arguments are problematic because both explanations are consistent with observed differences in lobbying style. In this article, we circumvent problems of observational equivalence by focussing on European and American lobbyists who are active in a similar institutional venue – that is, international diplomatic conferences. Relying on evidence collected at World Trade Organization Ministerial Conferences and United Nation Climate Summits, we tested the relevance of alternative explanations for the variation in lobbying styles between European and American lobbyists. Our results give robust support to the institutional argument.