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Legislative enactment is only one step in the life of a law. How a law shapes public life after enactment is frequently the result of whether the judiciary interprets the provisions contained in a law and how courts reconcile provisions within and across laws. But the factors that determine whether the judiciary ends up playing such a role are not well understood. We investigate why the courts, through statutory interpretation, address some major laws but not others and why some laws are addressed soon after enactment, while others are on the books for years before they reach the judicial branch. Our evidence shows that conditions at the time of enactment, plus features of the law, play a major role in determining whether, and when, a law reaches the courts. More specifically, both divided government and disagreement between the two chambers increase the likelihood that the courts will address significant laws.
Presidents' unilateral sway over policy is of global concern to scholars, practitioners and the general public. While pending actions provoke media speculation about how much authority presidents have to change policy without legislatures, scholarship has yet to systematically measure presidential discretion across areas of public policy. This study surveys an interdisciplinary panel of scholars, using discrete choice experiments to estimate the latent level of discretion that US presidents have in fifty-four policy areas. Consistent with models of delegation and unilateralism, these measures confirm that presidents have more discretion in foreign affairs, and that discretion promotes executive action. This approach presents the opportunity to examine differences in presidential discretion and public perceptions of presidential power, and can be applied beyond the US case.
Building on a deep theoretical foundation and drawing on numerous examples, we examine how policies spread across the American states. We argue that for good policies to spread while bad policies are pushed aside, states must learn from one another. The three ingredients for this positive outcome are observable experiments, time to learn, and favorable incentives and expertise among policymakers. Although these ingredients are sometimes plentiful, we also note causes for concern, such as when policies are complex or incompatible with current practices, when policymakers give in to underlying political biases, or when political institutions lack the capacity for cultivating expertise. Under such conditions, states may rely on competition, imitation, and coercion, rather than learning, which can allow bad policies, rather than good ones, to spread. We conclude with lessons for reformers and policymakers and an assessment of our overall argument based on state responses to the COVID-19 pandemic.
Delegation is a well-known feature of policymaking in separation of powers systems. Yet despite the importance of this activity, there is little systematic evidence about how many major laws in the United States actually delegate policymaking authority to administrators in federal agencies. Using a database of agency regulatory activity along with text searches, we examine significant US federal enactments from 1947 to 2016 to see which of these laws delegate to agencies. We find that nearly all major laws—more than 99 percent—contain delegation. We also find that the number of agencies receiving delegation in each law has increased over time.
We developed a maximum likelihood estimator corresponding to the predicted hazard rate that emerges from a continuous time game of incomplete information with a fixed time horizon (i.e., Kreps and Wilson, 1982, Journal of Economic Theory27, 253–279). Such games have been widely applied in economics and political science and involve two players engaged in a war of attrition contest over some prize that they both value. Each player can be either a strong or weak competitor. In the equilibrium of interest, strong players do not quit whereas weak players play a mixed strategy characterized by a hazard rate that increases up to an endogenous point in time, after which only strong players remain. The observed length of the contest can therefore be modeled as a mixture between two unobserved underlying durations: one that increases until it abruptly ends at an endogenous point in time and a second involving two strong players that continues indefinitely. We illustrate this estimator by studying the durations of Senate filibusters and international crises.
The level of legislative turnover in a polity can have significant political consequences. Low turnover may increase the number of legislators who are out of touch with constituents, while high turnover can limit a legislature’s ability to fulfill its duties. Focusing on separation of powers arrangements, a factor overlooked by previous studies, we identify institutional conditions that affect turnover. When the executive and legislature are equally responsible for budgetary outcomes, we argue, this creates ambiguous contexts, leaving voters more likely to re-elect incumbents, thereby lowering turnover. We test our predictions using US state-level data.
Rulemaking gives agencies significant power to change public policy, but agencies do not exercise this power in a vacuum. The separation of powers system practically guarantees that, at times, agencies will be pushed and pulled in different directions by Congress and the president. We argue that these forces critically affect the volume of rules produced by an agency. We develop an account of agency rulemaking in light of these factors and test our hypotheses on a data set of agency rules from 1995 to 2007. Our results show that even after accounting for factors specific to each agency, agencies do, in fact, adjust the quantity of rules they produce in response to separation of powers oversight. Further analysis shows that the president’s influence is limited to those agencies that he has made a priority.
Once legislators delegate policymaking responsibility to executive agencies, they have the ability to oversee and potentially influence the actions of these agencies. In this article, we examine, first, whether the actions of agencies reflect the preferences of legislators, and second, whether legislative professionalism enhances the ability of legislatures to influence executive agencies and obtain more preferred outcomes. We study these effects in the context of annual nursing home inspections performed by state administrators and make two predictions. First, as Democratic legislators will, on average, prefer a more activist role for government and for government agencies, we should see agencies issue more citations for violations of regulations when state legislatures are Democratic and fewer when they are Republican. Second, as more professionalized legislatures are better able to monitor the agency inspectors' actions and inspection outcomes, this effect should be intensified for legislatures with greater professionalism. We find support for both arguments: agencies faced with more Democrats in the legislature will be more activist, and this effect is strengthened for more professional legislatures.
In federal systems, governments have the opportunity to learn from the policy experiments – and the potential successes – of other governments. Whether they seize such opportunities, however, may depend on the expertise or past experiences of policymakers. Based on an analysis of state-level adoptions of antismoking restrictions targeted towards youths, we find that US states are more likely to emulate other states that have demonstrated the ability to successfully limit youth smoking. In addition, we find that political expertise (as captured by legislative professionalism) and policy expertise (as captured by previous youth access policy experiments at the local level) enhance the likelihood of emulating policy successes found in other states. As such, we establish that internal expertise and external learning are complements, rather than substitutes.
What factors inhibit or facilitate cross-subfield conversations in political science? This article draws on diffusion scholarship to gain insight into cross-subfield communication. Diffusion scholarship represents a case where such communication might be expected, given that similar diffusion processes are analyzed in American politics, comparative politics, and international relations. We identify nearly 800 journal articles published on diffusion within political science between 1958 and 2008. Using network analysis we investigate the degree to which three “common culprits”—terminology, methodological approach, and journal type—influence levels of integration. We find the highest levels of integration among scholars using similar terms to describe diffusion processes, sharing a methodological approach (especially in quantitative scholarship), and publishing in a common set of subfield journals. These findings shed light on when cross-subfield communication is likely to occur with ease and when barriers may prove prohibitive.
Over the past fifty years, top political science journals have published hundreds of articles about policy diffusion. This article reports on network analyses of how the ideas and approaches in these articles have spread both within and across the subfields of American politics, comparative politics and international relations. Then, based on a survey of the literature, the who, what, when, where, how and why of policy diffusion are addressed in order to identify and assess some of the main contributions and omissions in current scholarship. It is argued that studies of diffusion would benefit from paying more attention to developments in other subfields and from taking a more systematic approach to tackling the questions of when and how policy diffusion takes place.
The laws that legislatures adopt provide the most important and definitive opportunity elected politicians have to define public policy. But the ways politicians use laws to shape policy varies considerably across polities. In some cases, legislatures adopt detailed and specific laws in efforts to micromanage policy-making processes. In others, they adopt general and vague laws that leave the executive and bureaucrats substantial autonomy to fill in the policy details. What explains these differences across political systems, and how do they matter? The authors address this issue by developing and testing a comparative theory of how laws shape bureaucratic autonomy. Drawing on a range of evidence from advanced parliamentary democracies and the American states, they argue that particular institutional forms have a systematic and predictable effect on how politicians use laws to shape the policy making process.
Political bureaucracies make the overwhelming majority of public policy decisions in the United States. To examine the extent to which these agency actions are responsive to the preferences of elected officials, in particular, Congress, I develop a spatial model of oversight. The most important insight of this theory is that agencies make policy decisions within given regimes and may be constrained by the preferences of different political actors at different times. To test the theory, I collect and analyze data on the monitoring activities of the Food and Drug Administration (FDA). I find that under certain conditions, the FDA is responsive to the preferences of committees and floors in Congress, but under other conditions the agency can act autonomously.
Political leaders in all forms of government must delegate policymaking authority to bureaucrats. Since this practical necessity can result in substantial authority by bureaucrats over society, concern about excessive influence by bureaucrats has a long history. Montesquieu's The Spirit of the Laws, his eighteenth-century defense of a decentralized aristocratic society, offered perhaps the first argument that political centralization leads to a bureaucratic state and that a bureaucratic state is a distinctive form of despotism. Tocqueville, in Democracy in America, shared a similar concern about centralization and bureaucratic despotism, though his observations of the United States convinced him that decentralized federal systems could be useful mechanisms for preventing the abuse of bureaucratic power.
Max Weber, however, set the modern agenda for research on bureaucracies. In arguing that particular forms of bureaucratic organization were most effective, he also pointed out that “democracy inevitably comes into conflict” with its own “bureaucratic tendencies” (1946, 222). But Weber did not say how this conflict is resolved. On the one hand, he argued that in any form of government
the power position of the bureaucracy is always overtowering. The “political master” finds himself in the position of “dilettante” who stands opposite the “expert,” facing the trained official who stands within the management of administration.
(1946, 233)
On the other hand, Weber argued that bureaucracies are designed to serve the interests of the individuals at the top:
The objective indispensability of the once-existing apparatus, with its peculiar, “impersonal character,” means that the mechanism … is easily made to work for anybody who knows how to gain control over it.
In his 1775 Speech on the Conciliation of America, British statesman Edmund Burke spoke of Britain's “wise and salutary neglect” of the American colonies. This neglect, he argued – this independence from “the constraint of watchful and suspicious government” – translated into a great deal of freedom from outside interference and allowed the colonies to flourish by adapting their laws to their own needs and priorities. While this development was cast in a positive light by Burke, the negative repercussions for Britain soon became clear, as the wise and salutary neglect led to successful revolt by the colonists. Instead of wisely serving British interests, neglect redounded to their detriment.
This book considers the potential for wise and salutary neglect, but in an entirely different domain. Rather than examining the relationship between nations and their colonies, we explore the relationship between legislatures and their bureaucracies in modern democratic systems. Just as Britain's neglect allowed the colonies to develop their own set of laws, legislatures can allow bureaucrats considerable discretion to draw on their experience and expertise to shape policy outcomes. At the same time, however, allowing bureaucrats considerable autonomy can come back to haunt legislators, much as neglect of the American colonies came back to haunt the British. The problem is that bureaucrats can take actions that run counter to the interests of the legislature.
Our goal is to understand the role of laws in shaping bureaucratic autonomy. At times, legislatures adopt extremely detailed laws in an effort to micromanage the policymaking processes.
Listed here are additional examples of policy instructions written into MMC legislation.
General Policy Language
Washington, 1993 – SB5304: The legislature establishes the rationale for the MMC program.
BASIC HEALTH PLAN – FINDINGS. (1) The legislature finds that:
(a) A significant percentage of the population of this state does not have reasonably available insurance or other coverage of the costs of necessary basic health care services;
(b) This lack of basic health care coverage is detrimental to the health of the individuals lacking coverage and to the public welfare, and results in substantial expenditures for emergency and remedial health care, often at the expense of health care providers, health care facilities, and all purchasers of health care, including the state; and
(c) The use of managed health care systems has significant potential to reduce the growth of health care costs incurred by the people of this state generally, and by low-income pregnant women, and at-risk children and adolescents who need greater access to managed health care.
Provider Responsibilities and Rights
Florida's SB321 (1989): Provides a good example of how legislatures provide specific reporting requirements for participating HMOs:
6.4. Any HMO participating in the state group insurance program shall, upon the request of the department, submit to the department standardized data for the purpose of comparison of the appropriateness, quality, and efficiency of care provided by the HMO. Such standardized data shall include: membership profiles; inpatient and outpatient utilization by age and sex, type of service, provider type, and facility; and emergency care experience. […]