Abstracts

Joseph Zimmerman. "Preemption in the U.S. Federal System." Publius, Vol.23, No.4, Fall 1993.

The sharp increase in the number of congressional partial and total preemption statutes and innovative use of preemption powers since 1965 have produced major changes in federal-state relations. The Congress has become a unitary government in several re gulatory fields and also finances its policies in other fields in part by imposing burdensome mandates and restraints on state and local governments. Current federalism theories fail to account for the changes produced by preemption or to address alterna tives to preemption other than conditional grants-in-aid.

John J. Hindera. "Representative Bureaucracy: Further Evidence of Active Representation in the EEOC District Offices." Journal of Public Administration Research and Theory, Vol.3, No.4, October 1993.

This research examines active bureaucratic representation in the American context. It focuses discussion on behavior of bureaucrats in the district offices of one agency in the federal bureaucracy. More specifically, we examine the policy impact of thr ee ethnic and racial groups of federal civil servants (black, white, and Hispanic) as they implement federal equal opportunity policy.

Three questions and addressed within a general framework which seeks to synthesize the two concepts of bureaucracy and representation. First, the passive representation question, How are the three groups distributed within the agency's work force? Seco nd, the question of active representation, Does the passive representation of a particular group affect the distribution of policy outputs? Third, the empirical theory question, If active representation occurs, how?

The strategy of inquiry is as follows. The first section of the article examines the concept of representative bureaucracy to clarify critical empirical issues. The second section shows how implementation of Title VII of the Civil Rights Act of 1964 pr ovides an appropriate opportunity to test theories of active bureaucratic representation. The next section of the paper compares observed implementation behavior with theoretically suggested behavior to determine whether active bureaucratic representatio n occurs in the agency which implements Title VII, the federal Equal Employment Opportunity Commission (EEOC). The article concludes with a discussion of the concept of active representative democracy in light of the findings that have been presented.

Michael J. Scicchitano and David M. Hedge. "From Coercion to Partnership in Federal Partial Preemption: SMCRA, RCRA, and OSH Act." Publius, Vol.23, No.4, Fall, 1993.

This article examines the experiences of three important partial-preemption programs -- the Surface Mining Control and Reclamation Act of 1977 (SMCRA), the Occupational Safety and Health Act of 1970 (OSH Act), and the Resource Conservation and Recovery A ct of 1976 (RCRA) -- over the last two decades to improve our understanding of how federal-state interactions have shaped the regulatory partnership. The evidence we gather suggests that the control of regulatory programs has shifted over time back and f orth between the federal government and the states. In the initial years of these programs, what the Congress intended to be a regulatory partnership was, in effect, almost total federal preemption of state authority. Under the Ronald Reagan administrat ion, the opposite occurred; federal regulation in many cases became de facto state regulation as federal officials essentially abdicated their oversight responsibility. By the end of the 1980s, the federal governments began again to assert greater contro l over intergovernmental regulatory programs. The regulatory relationship that emerged is one in which the federal government and the states share responsibility and authority for the implementation of these programs.

Jeanne Kirk Laux. "How Private is Privatization?" Canadian Public Policy / Analyse de Politiques, Vol.19, No.4, December, 1993.

Privatization is never a simple matter of transferring public assets to the private sector, because elected politicians cannot afford to be market dependent. Rather than allowing free entry or free exit from the marketplace, governments offer incentives and impose restrictions in order to meet political necessities of their moment. This article reconsiders the privatization program implemented by the Conservative government in Canada after 1984. An examination of the legislation and terms of reference for bidders reveals four principal ways in which policy has been adapted to make divestiture of Crown corporations a feasible proposition.

Jane Aronson. "Giving Consumers a Say in Public Policy Development: Influencing Policy or Just Being Heard?" Canadian Public Policy / Analyse de Politiques, Vol.19, No.4, December, 1993.

This paper focuses on the trend to involve consumers in public policy-making and implementation. The development of long-term care policies for elderly people in Ontario is examined as an illustrative case to explore the purposes and accomplishments of such initiatives. Building upon analysis of policy documents, observation of a community consultation process and debates in the literature on consumer participation and on the politics of needs interpretation, it is suggested that government-initiated p articipatory strategies elicit only particular kinds of information from consumers and do not live up to their democratizing promise.

Gideon Doron. "Policy Sciences: The State of the Discipline." Policy Studies Review, Vol.11, No.3/4, Autumn/Winter, 1992.

This overview surveys the conceptual and practical development of the policy sciences as an independent field of academic studies. It outlines the conditions that led to the emergence of this field and its expansion over the years. In addition, the art icle portrays the range of substantive topics and methodologies of the policy sciences. Finally, it presents the logic that guided the structure of this symposium.

Rebecca M. Hendrick and David Nachmias. "Policy Sciences: The Challenge of Complexity." Policy Studies Review, Vol.11, No.3/4, Autumn/Winter, 1992.

This essay reviews some of the recent criticisms of positivist science. It interprets this criticism, more generally, as directed towards the complexity of social science phenomena and the difficulty of dealing with complexity epistemologically and meth odologically. Rather than ignoring complexity, changing the subject matter or explaining it away, we argue that complexity may be acknowledged and studied systematically within the context of post-positivist approaches. The essay then proposes several s trategies for conceptualizing and researching complexity (at a "meta-level" from substantive policy research) that are based in systems theory.

Chi Huang and Alex Mintz. "'Guns' vs. 'Butter': Conceptual and Methodological Issues." Policy Studies Review, Vol.11, No.3/4, Autumn/Winter, 1992.

Despite the vast number of studies of the guns-butter tradeoff, we still do not know whether guns come at the expense of butter. In this article we attempt to clarify some of the major conceptual, measurement and statistical problems associated with thi s line of research.

Richard I. Hofferbert and Mark R. Hofferbert. "Policy Analysis Priorities in Poorer Countries: Basic Needs and the Barefoot Evaluator." Policy Studies Review, Vol.11, No.3/4, Autumn/Winter, 1992.

The 1970s saw a change in direction of development policy priorities, shifting attention from large-scale infrastructural projects to "basic needs," focusing particularly on the conditions of the poorest people in poor countries. Unfortunately, the lear ning potential from that experience has been minimal due to the lack of an appropriate project evaluation strategy. The evaluation challenge is described, and an alternative is proposed in the form of "barefoot evaluator." An example of barefoot evaluat ion -domestic water system construction in Nepal - is presented to illustrate the potential for very low-cost, easily executed evaluation of basic needs projects.

Gideon Doron. "Rational Choice and the Policy Sciences." Policy Studies Review, Vol.11, No.3/4, Autumn/Winter, 1992.

This article discusses the possibility of applying deductively based rational choice theories as analytical tools for understanding complex policy problems. It surveys the basic assumptions, axioms and rules of interpretation on which the theory is cons tructed and some of its important findings. Two of its more interest results, that of the "paradox of voting" and of the "prisoner's dilemma," are presented and applied herein.

David L. Weimer. "The Craft of Policy Design: Can It Be More Than Art?" Policy Studies Review, Vol.11, No.3/4, Autumn/Winter, 1992.

The craft for predicting and evaluating the impacts of policy alternatives has received much of the attention of students of public policy analysis. Relatively little attention has been given to understanding and improving the craft for designing altern ative policies. Beyond catalogs of generic policy instruments, two sources provide useful insights into policy design. First, the study of institutional choice as policy design draws attention to the selection of procedures and incentive systems to achi eve substantive policy outcomes. Second, the study of the manipulation of the dimensions of policy choice (heresethetics), which provides insight into strategy in political arenas, may help with the broader problem of packaging and presenting policies so that they remain viable during implementation.

Peter deLeon. "Policy Formulation: Where Ignorant Armies Clash by Night." Policy Studies Review, Vol.11, No.3/4, Autumn/Winter, 1992.

This article argues that many of the shortcomings generally ascribed to policy analysis can be attributed to the intractable nature of the problems being addressed. That is, public policy issues are inherently difficult, resistant to resolution and full y loaded with significant costs. Those costs can easily render a potential policy solution helpless or perhaps even counterproductive, despite the best-conceived and best-intended plans of its proponents. A policy design perspective can help identify so me of the downstream dilemmas and possibly help alleviate them. However, like most policy approaches, policy design must be used with careful circumspection, else its pitfalls overwhelm its promises.

Ira Sharkansky. "What a Political Scientist Can Tell a Policymaker about the Likelihood of Success or Failure." Policy Studies Review, Vol.11, No.3/4, Autumn/Winter, 1992.

A political scientist can introduce a focus on politics into policy analysis. However, the pervasity of politics in policymaking defines one of the outer boundaries of policy analysis. Politicians tend to think about specific needs and how they may be furthered by concrete projects more than they tend to think about principles or empirical findings. The position of policy analysis in policymaking and program implementation is to be won in a competitive setting amid individuals with training in other p rofessional specialties and politicians who may have no professional training. Where politics is pervasive, policy analysts must have a tolerance for ambiguity, obfuscation and frustration.

Richard J. Herzog. "Building Practioner-Held Theory Through Triangulation." Journal of Public Administration Research and Theory, Vol.3, No.4, October, 1993.

This study employs a research strategy called triangulation to determine the distributions of personal theories of organizations toward an organizational doctrine called practioner-held theory. In this study, triangulation combines qualitative methods ( interviews with city managers) before and after the use of quantitative methods (a survey of city managers) to develop practitioner-held theory. The survey results are analyzed to combine the personal theories of organizations of 220 city managers into t en theoretical dimensions: structural reform, task management, insular governance, participative management, Theory Y, norm setting, participatory democracy, citizen input into decision making, community leadership, and legislative involvement in managem ent. Each dimension is discussed in the context of the public administration literature, from analysis of quantitative data, from analysis of qualitative data, and in relation to a practitioner-held theory model. The practitioner-held theory model's sup port of practitioner thinking based on limited instrumental rationality is discussed by clarifying action-consequence relationships and highlighting the normative positions of practitioners on organizational issues. The conclusions evaluate practitioner- held theory against general criteria.

Craig W. Thomas. "Reorganizing Public Organizations: Alternatives, Objectives, and Evidence." Journal of Public Administration Research and Theory, Vol.3, No.4, October, 1993.

The literature on public-sector reorganization is largely theoretical. Not only is empirical evidence relatively scant, it often contradicts theoretical claims. This article examines the extent of the disjunction between what we want and expect from re organizations and the available evidence which might support these expectations. In doing so, it draws attention to the literature's emphasis on efficiency and control, rather than other values such as equity, reliability, and public trust.

Kenneth J. Meier. "Latinos and Representative Bureaucracy Testing the Thompson and Henderson Hypotheses." Journal of Public Administration Research and Theory, Vol.3, No.4, October, 1993.

This paper examines the ability of Latino teachers and administrators to serve as active representatives for Latino students. Using twelve school districts in Florida, this study provides strong evidence for active representation. Thompson's (1976) hyp othesis that street-level bureaucrats are more likely than upper-level bureaucrats to serve as active representatives is supported by the analysis. Also supported by the analysis is Henderson's (1979) hypothesis that a critical mass of administrators of one group is needed before one can expect administrators actively to represent the interests of a minority group.

Sandra B. McCray. "Federal Preemption of State Regulation of Insurance: End of a 200-Year Era?" Publius, Vol.23, No.4, Fall, 1993.

This article examines state regulation of insurance, focusing on congressional and judicial attempts to displace state regulatory primacy over insurance. After describing the early period of state insurance regulation from the U.S. Supreme Count's decis ion in Paul v. Virginia to the Court's overruling of that decision, the article examines the McCarran-Ferguson Act and the post-McCarran environment, including examples of judicial preemption of state insurance laws. Finally the article considers the sys tem of insurance regulation envisioned in H.R. 1290, the most recent congressional attempt to displace state insurance regulation, and state initiatives to counter federal regulation. Although H.R. 1290 purports to set up a dual regulatory scheme, the br oad preemption language in the bill would allow federal regulators to preempt virtually all state insurance laws. Moreover, the decisions of the Supreme Court in Garcia v. San Antonio Metropolitan Transit Authority and Chevron v. Natural Resources Defens e Council would leave no political or judicial forum for states to debate the extent and impact of federal preemption.

Ross E. Cheit. "State Adoption of Model Insurance Codes: An Empirical Analysis." Publius, Vol.23, No.4, Fall, 1993.

What are the patterns of adoption of NAIC model insurance acts among the states, and what explains the differences in state response? This article provides an empirical analysis of these questions. State responses are analyzed comprehensively and funct ionally; two core regulatory functions -- financial regulation and consumer protection -- receive specific attention. The article then examines three types of explanations suggested by the literature on model-code adoption: broad socioeconomic forces, n arrow interest-group pressures, and the nature of public institutions (specifically the legislature and the state insurance department). The interest-group model is the most powerful, but the results it produces challenge the traditional view of the poli tics of insurance regulation.

Paul Teske, Michael Mintrom, and Samuel Best. "Federal Preemption and State Regulation of Transportation and Telecommunications." Publius, Vol.23, No.4, Fall, 1993.

Transportation and telecommunications are two of the most important infrastructural industries in the American economy. As these industries are so vital and because they exhibit characteristics that have frequently rendered them quasi-monopolistic, thei r growth has been accompanied by state and federal regulation. We document how the imposition of regulation has led to continual conflicts over the extent to which federal regulation should take precedence over state regulation. We illustrate how the ju stifications for federal preemption have been applied not only to the regulation, but also to the recent deregulation of railroads, trucking, and telecommunications. We contend that political factors, such as congressional support, precedent-setting cour t rulings, and, most important, political pressure from affected interest groups that is related to the revenues still generated within states by these industries, ultimately determine the form of preemption that emerges from the Congress.

Stephen L. Percy. "ADA, Disability Rights, and Evolving Regulatory Federalism." Publius, Vol.23, No.4, Fall, 1993.

This article explores the evolution of regulatory federalism by examining the shifting of disability rights mandates from conditions-of-aid to federal preemption. It also examines the disability rights mandates placed on state and local governments by t he Americans with Disabilities Act (ADA) and compares them with those provided in earlier federal laws. The central thesis is that by adopting a preemptive approach, the U.S. Congress claimed for itself the dominant role in creating and enforcing nondisc rimination mandates to protect the rights of people with disabilities. While several organizing principles and implementation directives stipulated in ADA were first devised in earlier federal laws and administrative regulations, their application throug h federal preemption strengthened the force and reach of disability rights protections. In the process, preemption substantially reduced the authority of state and local governments to created and implement their own disability rights measures.

Dvora Yanow. "The Communication of Policy Meanings: Implementation as Interpretation and Text." Policy Sciences, Vol.26, 1993.

Interpretive approaches to policy analysis introduce a set of questions about how policy meanings are communicated to multiple audiences, and exploring these questions is a useful alternative to more traditional positivist approaches to understanding pol icy implementation. The article explores the theoretical background for one such approach illustrated by a case study of the Israel Corporation of Community Centers from 1969 to 1981 which shows how meanings were communicated through agency objects, lang uage, and acts that represented policy and societal values. Agency artifacts are shown to symbolize tacitly known meanings as well as those which are part of a policy's explicit language. Not only do implementors and other situational actors interpret t hese artifacts; the policy and these interpretations may be "read" as a "text" about societal values and identity.

Desmond S. King. "The Conservatives and Training Policy 1979-1992: From a Tripartite to a Neoliberal Regime." Political Studies, Vol.XLI, 1993.

Despite the growth in government spending upon training programmes under the Conservatives, this policy remains understudied in the literature on Thatcherism. To explain this policy the author identifies four, New Right-based, components of the Conserva tives' training objectives: the weakening of trade unions and the apprenticeship system; linking the receipt of unemployment benefits with participation in training or work activity; advantaging employer preferences in the implementation of training prog rammes; minimising government intervention and acting only in response to unemployment. The author argues that these aims have been developed in a way consistent with neoliberal principles. The Conservatives have effected a shift from a national tripart ite regime to a local, employer-dominated neoliberal training regime.

Mariusz Mark Dobek. "Privatization as a Political Priority: The British Experience." Political Studies, Vol.XLI, 1993.

This article challenges conventional approaches to Thatcher's privatization campaign in which privatization has been judged on the basis of its economic or public policy merits. The privatization programme of the Thatcher Government was driven by politi cal objectives and thus it was more coherent than has been usually asserted. Politicians are motivated by maximizing their political benefits (power) rather than by the pursuit of the common good, that is optimal economic and public policies. Unlike som e other papers who have considered the political aspects of the Conservative privatization programme, this paper introduces a distinction between what were the Conservatives' perceptions of the political consequences of privatization and the actual effect of this programme.