Shifting Constellations of Actors and Their Influence on Policy Diffusion: A Study of the Diffusion of Drug Courts

The existing studies of policy diffusion have paid insufficient attention to how policy actors in the macroenvironment of local jurisdictions influence the process of policy diffusion, what kind of mechanisms drive the interdependent spread of a policy, and how the diffusion process changes over time. We explore, both theoretically and empirically, the role different go‐betweens can play in policy diffusion, what kind of interactions take place between the micro level and macro level, and how shifts in the constellations of actors in the macroenvironment of a local jurisdiction can influence the mechanisms and rate of policy diffusion. Our empirical study of the diffusion of drug courts in four U.S. states demonstrates that there can indeed be significant interactions between the micro level and the macro level and that these interactions are likely to shape the diffusion process.     

SPID: A New Database for Inferring Public Policy Innovativeness and Diffusion Networks

Despite its rich tradition, there are key limitations to researchers' ability to make generalizable inferences about state policy innovation and diffusion. This paper introduces new data and methods to move from empirical analyses of single policies to the analysis of comprehensive populations of policies and rigorously inferred diffusion networks. We have gathered policy adoption data appropriate for estimating policy innovativeness and tracing diffusion ties in a targeted manner (e.g., by policy domain, time period, or policy type) and extended the development of methods necessary to accurately and efficiently infer those ties. Our state policy innovation and diffusion (SPID) database includes 728 different policies coded by topic area. We provide an overview of this new dataset and illustrate two key uses: (i) static and dynamic innovativeness measures and (ii) latent diffusion networks that capture common pathways of diffusion between states across policies. The scope of the data allows us to compare patterns in both across policy topic areas. We conclude that these new resources will enable researchers to empirically investigate classes of questions that were difficult or impossible to study previously, but whose roots go back to the origins of the political science policy innovation and diffusion literature.     

Text as Policy: Measuring Policy Similarity through Bill Text Reuse

The identification of substantively similar policy proposals in legislation is important to scholars of public policy and legislative politics. Manual approaches are prohibitively costly in constructing datasets that accurately represent policymaking across policy domains, jurisdictions, or time. We propose the use of an algorithm that identifies similar sequences of text (i.e., text reuse), applied to legislative text, to measure the similarity of the policy proposals advanced by two bills. We study bills from U.S. state legislatures. We present three ground truth tests, applied to a corpus of 500,000 bills. First, we show that bills introduced by ideologically similar sponsors exhibit a high degree of text reuse, that bills classified by the National Conference of State Legislatures as covering the same policies exhibit a high degree of text reuse, and that rates of text reuse between states correlate with policy diffusion network ties between states. In an empirical application of our similarity measure, we find that Republican state legislators introduce legislation that is more similar to legislation introduced by Republicans in other states, than is legislation introduced by Democratic state legislators to legislation introduced by Democrats in other states.      

Punishment Policy in the American States from 1890 to 2008: Convergence,Divergence, Synchronous Change,and Feed‐Forward Effects

This analysis of the patterns of change in the use of incarceration by the American states from 1890 through 2008 focuses on multiple themes particularly relevant to an understanding of policy arenas in which the social constructions of target populations play an important role. Specifically, the study examines whether the states have adopted more similar incarceration levels over time (converged), whether they tend to change in the same direction at the same time (synchronous change), and whether they tend to stay in the same relative positions vis‐à‐vis one another, such that the historical policy position has long‐term implications for later policy positions (“feed‐forward” effects). The results indicate that, in spite of a century of social, political, and economic integration, the policy positions of the states have not exhibited a sustained convergence toward a common level of incarceration, but have undergone cycles, with some periods of convergence followed by periods of divergence. Change has generally been synchronous—as states tend to move in the same direction at the same time as if propelled by national forces even though incarceration levels are determined by state and local policy and the use of discretion by criminal justice officials. The results also indicate a profound “feed‐forward” effect in that the position of the states vis‐à‐vis one another historically has substantial predictive power for their position in subsequent years.     

Policy Innovativeness and Interstate Compacts

Are some American states inherently more innovative than others? This question has confounded researchers for more than four decades. In this study we develop a measure of collective policy innovation that measures formal cooperative policy arrangements among the states, compare the measure to existing measures of internal state policy innovation, and assess whether existing innovativeness measures explain policy cooperation among the states. This test of the innovativeness concept addresses internal and external validity concerns that have long plagued this research tradition. Our multivariate analyses indicate that policy innovativeness is often a statistically and substantively important determinant of compact participation. These results suggest that (i) innovativeness is a meaningful and durable state attribute, (ii) several existing indices successfully capture the underlying latent concept, and (iii) innovativeness provides analytic utility in multiple empirical contexts.     

Vested Interests and the Diffusion of Education Reform across the States

How do interest groups shape the diffusion of policies they oppose across the states? This study explores this question using the case of teachers' unions and education reform policies. Using a novel dataset on charter, voucher, and performance pay policies spanning 1992–2013, I find evidence that strength of the teachers' unions decreases the likelihood of performance pay and that additional strength is less impactful with more Democratic control of the legislature. Teachers' unions are weakly related to a lack of charter laws and do not impact voucher laws. The latter two policies are more strongly associated with policymaker learning and education reform advocacy groups, respectively. These findings suggest that vested interests most strongly impact the policies that most fundamentally threaten their organizational strength and that this effect is conditioned on the party in power; increases in interest group strength are not necessary when policymakers are already sympathetic.     

The Determinants of Policy Introduction and Bill Adoption: Examining Minimum Wage Increases in the American States, 1997–2006

Faced with long intervals between federal minimum wage increases in recent years, state legislatures are increasingly likely to take action. Motivated by the relative dearth of empirical work on minimum wages in the American states, this article considered various explanations to determine which factors are associated with legislative efforts to pass wage increases. Taking seriously the view that disagreements over the effects of minimum wage increases enhances the influence of political factors, we drew on the policy adoption and diffusion literature to examine how internal determinants (political and economic variables) and regional diffusion pressures relate to both the introduction and adoption of minimum wage legislation in the American states in the years between the last two federal minimum wage increases (1997–2006). Employing negative binomial regression to analyze annual bill introductions, we found that a number of political variables are related to the consideration of minimum wage increases. However, using event history analysis to examine annual adoptions of minimum wage increases, we found few of the same variables matter. We concluded with a discussion of the empirical results within the context of the broader policy literature and cautioned future scholars to consider seriously whether political factors exert distinct influences at different stages of the policy process.     

Policy Feedback and Preschool Funding in the American States

The early childhood education policy community has been described as a “divided constituency” in which groups with the same underlying goals sometimes work at cross purposes. This article examines how this internal division affects the contemporary funding of preschool education. It finds that states with a relatively large Head Start community are significantly more likely not to fund preschool education and significantly less likely to dedicate preschool funding exclusively to a freestanding state program. These results suggest that the creation and political solidification of Head Start generated policy feedback. They contributed to an ongoing tension within the early education community as Head Start beneficiaries viewed the creation of a freestanding preschool program as a political threat. This political dynamic illustrates the more general way in which the existence of a public policy can alter the dynamics of future political action.     

Renewable Energy Politics: Policy Typologies,Policy Tools,and State Deployment of Renewables

This paper investigates the competing forces driving the development of renewable energy in the American states. We formulate a framework of state renewable energy politics and develop a set of hypotheses regarding the role of politics, policies, and prices in renewable energy development. We test these hypotheses with a fixed effect vector decomposition model using a panel data set for the U.S. states from 1990 to 2008. The results indicate that renewable energy development is influenced by regulatory institutions, the party affiliations of the governor and legislators, and the professionalism of the legislature, accompanied by the effects of various policy instruments.     

Qualitative Methods for the Study of Policy Diffusion: Challenges and Available Solutions

This article deals with the question whether and how processes of policy diffusion can be examined with qualitative methods. More specifically, how can qualitative methods address the “twin challenge of interdependence,” namely the challenge to identify diffusion, on the one hand, and the challenge to discriminate between mechanisms of diffusion, on the other? I argue, first, that there are three distinct qualitative techniques that can be used, namely cross‐case analysis (often based on systematic case selection), within‐case process tracing, and counterfactual reasoning. I demonstrate how these techniques can be adapted to the study of policy diffusion. Second, a combination of these methods is the best practice, since they are largely complementary in terms of the twin challenge of diffusion. The discussion draws on numerous illustrations from recent qualitative policy diffusion studies. The article closes with some suggestions for further methodological development in the study of policy diffusion, including the combination of quantitative and qualitative methods.     

The Public Policy Process among Southeastern States: Elaborating Theories of Regional Adoption and Hold‐Out Behavior

Having been adopted by legislatures in over a dozen states, postsecondary merit aid programs are largely concentrated in the southeastern United States. The observed clustering pattern seems to support previous evidence that policies spread between proximate states, a phenomenon referred to by political scientists as policy diffusion. Often, however, policy diffusion is not complete, and one or more states in a region fail to adopt. By interviewing policymakers throughout the southeastern United States—including actors in the three states in the region without merit aid—the study addresses the following question: Why do diffusion pressures lead to adoption in some states but not in others? Studying state “hold‐outs” promises not only to uncover the reasons for failed legislation in specific state contexts but also to better our understanding of the limits of diffusion theory.     

Collaboration and Culture: Organizational Culture and the Dynamics of Collaborative Policy Networks

This paper presents a theory of the role of culture in collaborative policy networks. It builds on the literature that analyzes the factors related to the formation, maintenance, and dissolution of collaborative arrangements by demonstrating the importance of hitherto undertheorized cultural factors. Cultural theory indicates that actors with different cultural viewpoints have distinct and predictable biases in terms of their expectations of collaboration and their preferences concerning how collaborative policy networks are structured. These biases, in turn, shape how collaborative partners are chosen and how collaborative relationships are maintained over time. The theory is illustrated with a case study of the rise and dissolution of a coalition within a housing policy network in Los Angeles. The case illustrates that cultural differences can impede collaboration even when organizations share similar policy goals.     

Greening America's Skylines: The Diffusion of Low-Salience Policies

The diffusion literature is replete with examples of highly salient policies spreading across subnational governments. However, low-salience policies that do not benefit from a groundswell of public opinion also spread across jurisdictions in patterns that appear similar to those of other, more well-known policy ideas. This research is an investigation of the mechanisms that propagate low-salience policies. I analyze the adoption of the U.S. Green Building Council's (USGBC) Leadership in Energy Efficient Design standard across 119 U.S. cities from 2000 to 2008. The investigation indicates that a knowledge broker, in this case the USGBC, occupies critical roles in linking a low-salience policy to a broader set of widely held societal values, developing a common policy vocabulary, providing a base policy that jurisdictions may freely adapt, and creating a diffusion infrastructure by acting as a communication hub for existing and interested jurisdictions to discuss innovations and progress.     

Policy Styles and Degenerative Politics: Poverty Policy Designs in Newfoundland and Quebec

This article examines the proposal suggesting that policy designs are consistent with the social construction of target groups. Associated with policy design theory, the proposal pessimistically suggests that underprivileged citizens will be targeted with policies that do little to help them, creating a vicious circle of degenerative politics. This article argues that the prevalence of degenerative politics depends on policy styles. Significant where the adversarial style prevails, degenerative politics is less common in consensual systems. This proposal is examined through a systematic content analysis of action plans to reduce poverty in Newfoundland and Quebec.     

Anti‐Immigrant Sentiment and the Adoption of State Immigration Policy

Over the last two decades, the American states have become increasingly active in shaping U.S. immigration policies. One consistent predictor in studies of state immigration policies revolves around public opinion or mass political attitudes in the form of anti‐immigrant sentiment. Unfortunately, past research relies extensively on blunt demographic proxies or other alternative replacements to measure mass opinion. Through incorporating a direct measure of anti‐immigrant sentiment constructed from public opinion surveys, we uncover mixed results. In static models, anti‐immigrant sentiment predicts a state’s overall immigration policy restrictiveness or policy “tone”; however, mass opinion fails to consistently predict immigration restrictiveness in more dynamic models of annual policy change and total number of hostile policies. We theorize that state legislators are likely responding to mass opinion with immigration policy restrictiveness when citizens mobilize and demand accountability during times of heightened issue salience. However, during times of reduced salience among the populace the influence of anti‐immigrant sentiment wanes, and commercial and political elites are seemingly able to shift individual immigration policies in more accommodative directions. Anti‐immigrant sentiment can motivate state immigration policy restriction, but likely only during select periods of heightened issue salience and attentive, engaged citizenry.     

Pivoting toward Asia: Comparing the Canadian and American Policy Shifts

Both Canada and the United States have “pivoted” toward Asia in their foreign policy over the past decade, although emphases in those pivots differed between the two countries. The former focuses on an economic pivot initially, the latter on a security one. What factors explain these shifts? What was the magnitude of policy change by both? Utilizing some important theoretical works by Charles Hermann, we discuss the factors that appear to have brought about this policy change toward Asia, outline the actions and activities that both countries have initiated toward Asia in the past decade to illustrate the type and magnitude of policy change that has occurred, and compare some areas of political, economic, and military similarities between Canada and the United States toward this region. Finally, we assess the likely future of these pivots to Asia in light of the change in political leadership within both nations.     

“Windows of Opportunity,” Revenue Volatility,and Policy Punctuations: Testing a Model of Policy Change in the American States

The growing evidence of policy change patterns characterized as punctuated equilibrium has increasingly directed the attention of policy scholars to the question of what factors cause them. The present study attempts to address this emerging question by developing a comprehensive, multifactorial model and testing it with state budget data. Specifically, based on theories of information processing and agenda setting, it develops a conceptual framework that models punctuated policy change as a function of two main factors: institutional friction (consisting of institutional constraints, legislative streamlining mechanisms, information‐processing capacity, and bureaucratization) and policy windows (consisting of revenue volatility, change in party control, and budget cycle). In doing so, the study pays special attention to cyclical revenue fluctuations whose effect has never been subject to empirical test. Regression analyses reveal that policy window factors including revenue volatility, changes in party control of the governorship and the House, and a budget cycle play an important role in creating policy punctuations.