Contextualizing discretion : micro-dynamics of Canada’s refugee determination system

À une époque où l'immigration internationale est de plus en plus difficile et sélective, le statut de réfugié constitue un bien public précieux qui permet à certains non-citoyens l'accès et l'appartenance au pays hôte. Reposant sur le jugement discrétionnaire du décideur, le statut de réfugié n’est accordé qu’aux demandeurs qui établissent une crainte bien fondée de persécution en cas de retour dans leur pays d'origine. Au Canada, le plus important tribunal administratif indépendant, la Commission de l'immigration et du statut de réfugié du Canada (CISR), est chargé d’entendre les demandeurs d'asile et de rendre des décisions de statut de réfugié. Cette thèse cherche à comprendre les disparités dans le taux d’octroi du statut de réfugié entre les décideurs de la CISR qui sont politiquement nommés. Au regard du manque de recherches empiriques sur la manière avec laquelle le Canada alloue les possibilités d’entrée et le statut juridique pour les non-citoyens, il était nécessaire de lever le voile sur le fonctionnement de l’administration sur cette question. En explorant la prise de décision relative aux réfugiés à partir d'une perspective de Street Level Bureaucracy Theory (SLBT) et une méthodologie ethnographique qui combine l'observation directe, les entretiens semi-structurés et l'analyse de documents, l'étude a d'abord cherché à comprendre si la variation dans le taux d’octroi du statut était le résultat de différences dans les pratiques et le raisonnement discrétionnaires du décideur et ensuite à retracer les facteurs organisationnels qui alimentent les différences. Dans la lignée des travaux de SLBT qui documentent la façon dont la situation de travail structure la discrétion et l’importance des perceptions individuelles dans la prise de décision, cette étude met en exergue les différences de fond parmi les décideurs concernant les routines de travail, la conception des demandeurs d’asile, et la meilleure façon de mener leur travail. L’analyse montre comment les décideurs appliquent différentes approches lors des audiences, allant de l’interrogatoire rigide à l’entrevue plus flexible. En dépit des contraintes organisationnelles qui pèsent sur les décideurs pour accroître la cohérence et l’efficacité, l’importance de l’évaluation de la crédibilité ainsi que l’invisibilité de l’espace de décision laissent suffisamment de marge pour l’exercice d’un pouvoir discrétionnaire. Même dans les environnements comme les tribunaux administratifs où la surabondance des règles limite fortement la discrétion, la prise de décision est loin d’être synonyme d’adhésion aux principes de neutralité et hiérarchie. La discrétion est plutôt imbriquée dans le contexte de routines d'interaction, de la situation de travail, de l’adhésion aux règles et du droit. Même dans les organisations qui institutionnalisent et uniformisent la formation et communiquent de façon claire leurs demandes aux décideurs, le caractère discrétionnaire de la décision est par la nature difficile, voire impossible, à contrôler et discipliner. Lorsqu'ils sont confrontés à l'ambiguïté des objectifs et aux exigences qui s’opposent à leur pouvoir discrétionnaire, les décideurs réinterprètent la définition de leur travail et banalisent leurs pratiques. Ils formulent une routine de rencontre qui est acceptable sur le plan organisationnel pour évaluer les demandeurs face à eux. Cette thèse montre comment les demandeurs, leurs témoignages et leurs preuves sont traités d’une manière inégale et comment ces traitements se répercutent sur la décision des réfugiés.

Les paradoxes de la lutte contre la corruption en Afrique : cas du Bénin et du Rwanda

Le régime politique démocratique est souvent plébiscité dans le discours général reproduit par les institutions internationales et assumé par les principaux acteurs politiques dans le monde, comme étant l’arme par excellence pour l’éradication de la corruption et une bonne gouvernance. L’analyse de deux pays africains le Bénin et le Rwanda, semble toutefois indiquer que c’est le pays avec le système le moins démocratique, à savoir le Rwanda qui réussit le mieux le pari de la lutte contre la corruption. Contre toute attente en effet, le Rwanda malgré l’autoritarisme souvent décrié de son gouvernement surclasse le Bénin, souvent applaudi pour la réussite de sa transition démocratique, en matière de lutte contre la corruption. Cette tendance est confirmée par la plupart des indicateurs de la corruption. Ce constat vient remettre en question les postulats de départ, et nous oblige alors à nous interroger sur les sources de la performance du Rwanda. Le présent mémoire vient justement démontrer que la relation entre la nature du régime politique et l’efficacité de la lutte contre la corruption est loin d’être automatique. Les règles du jeu politique à l’intérieur du régime ainsi que la qualité des institutions de lutte contre la corruption mises en place peuvent avoir une influence majeure sur le succès ou l’échec des mesures de lutte contre la corruption.

Cooperação e competição entre políticas no Brasil: os cursos da governabilidade no presidencialismo da catalização

Public policies have been studied in the various fields of humanities and social sciences, from different theoretical and technical aspects. However, there is still a lack of studies that incorporate the dimension that encompasses the political action and its interference in such actions, also recognizing the importance of the institutional setting of the Brazilian presidential model in implementing these policies. This fragmented and multiparty system has led to power heterogeneous sets of political parties. Thus, the ministerial offices, more than assisting the President´s government project, manage particularized agendas, which are party biased and have the influence of interest groups in hegemonic themes addressed by government agencies. When these agendas operate in sectoral and specialized policies, the friction level is apparently low. However, when this occurs in intersectoral actions, such as in regional development, there is evidence of strong signs of competition among government agencies, which in theory, should operate in an integrated manner. Although this is not a specific feature of Luiz Inacio Lula da Silva´s government- the period to be studied- there was similar behavior in Fernando Henrique Cardoso´s presidency, one realizes that the expansion of coalition on behalf of governance is increasingly interfering in the outcome of intersectoral public policies, due to these multiple arguments in action. In order to understand these processes, this study focused on the Sustainable and Integrated Development Programme for Differentiated Meso-Regions (PROMESO), part of the National Policy for Regional Development (NPRD). The program provides interface with various government agencies and their public policies in a clear intersectoral design. The research sought to identify and analyze the relationships between government agencies and their programs with interest groups, whether political parties or other segments of civil society, highlighting the logic of favoritism, which poses in second place the integration of actions in the intersectoral policies. Therefore, besides the theoretical debate that incorporates several categories of political science, public administration, public policy, geography and economics, the study focused on secondary sources, using different government agencies databases in order to raise information. It was observed that the interference of partisan politics has been disastrous for some public policies. Thus, the research confirms that cooperative character is fragile within government agencies, often limited to official documents, and that there is indeed, a striking feature of competition, especially when it comes to transversalized policies

Implementation analysis of the Texas Vendor Drug Program

An agency is accountable to a legislative body in the implementation of public policy. It has a responsibility to ensure that the implementation of that policy is consistent with its statutory objectives.^ The analysis of the effectiveness of implementation of the Vendor Drug Program proceeded in the following manner. The federal and state roles and statutes pursuant to the formulation of the Vendor Drug Program were reviewed to determine statutory intent and formal provisions. The translation of these into programmatic details was examined focusing on the factors impacting the implementation process. Lastly, the six conditions outlined by Mazmanian and Sabatier as criteria for effective implementation, were applied to the implementation of the Vendor Drug Program to determine if the implementation was effective in relation to consistency with statutory objectives.^ The implementation of the statutes clearly met four of the six conditions for effective implementation: (1) clear and consistent objectives; (2) a valid causal theory; (3) structured the process to maximize agency and target compliance with the objectives; and (4) had continued support of constituency groups and sovereigns.^ The implementation was basically consistent with the statutory objectives, although the determination of vendor reimbursement has had and continues to have problems. ^

Cigarette smoking and Ecuadorian adolescents: A cross-sectional survey and policy review

This study investigates the relationship between cigarette smoking and adolescents in Ecuador, South America. Using the Social Learning Theory as a basis, the cross-sectional survey focuses attention on such social influences as the smoking habits of family members and peers as well as, the role of cigarette advertisements. Actual use prevalence, access to cigarettes and knowledge and attitudes about smoking are also obtained.^ The survey was conducted in both urban and rural areas, with 50 schools in 40 different communities participating. Two thousand four hundred and fifty-seven adolescents aged 9 to 15 years completed a self-administered questionnaire. This part of the study was conducted in collaboration with the international health organization Amigos de las Americas (AMIGOS). Staff assigned to the AMIGOS Ecuador projects worked with local health and education officials to implement the cross-sectional survey in the field.^ The key informant survey and subsequent policy review were designed to illuminate the social, cultural and institutional environment for anti-smoking activities and interventions in Ecuador. Key individuals involved with this issue on both national and local levels were interviewed. A review of past legislative efforts and present anti-smoking laws was also conducted.^ The current smoking prevalence among the study population was 8.6 percent. Findings from the cross-sectional survey revealed significant positive associations between the smoking habits of siblings and peers and the smoking behavior of the adolescents surveyed. Significant age and gender differences were also found in association with several different variables.^ The policy review found an unfavorable environment for anti-smoking efforts. Several factors contribute to this including, most importantly, lack of funding and lack of public support. The present anti-smoking law is often vague and lacks important provisions, such as a prohibition on selling tobacco products to minors.^ Together, the two surveys provide comprehensive information for the purpose of designing smoking prevention interventions. Using the results from the two surveys, recommendations for intervention are proposed. ^

A discourse-theoretic approach to negotiated rulemaking

In 1996 and in 1997, Congress ordered the Secretary of Health and Human Services to undertake a process of negotiated rulemaking, which is authorized under the Negotiated Rulemaking Act of 1990, on three separate rulemaking matters. Other Federal agencies, including the Environmental Protection Agency and the Occupational Health and Safety Administration, have also made use of this procedure. As part of the program to reinvent government, President Clinton has issued an executive order requiring federal agencies to engage in some negotiated rulemaking procedures. I present an analytic, interpretative and critical approach to looking at the statutory and regulatory provisions for negotiated rulemaking as related to issues of democratic governance surrounding the problem of delegation of legislative power. The paradigm of law delineated by Jürgen Habermas, which sets law the task of achieving social or value integration as well as integration of systems, provides the background theory for a critique of such processes. My research questions are two. First, why should a citizen obey a regulation which is the result of negotiation by directly interested parties? Second, what is the potential effect of negotiated rulemaking on other institutions for deliberative democracy? For the internal critique I argue that the procedures for negotiated rulemaking will not produce among the participants the agreement and cooperation which is the legislative intent. For the external critique I argue that negotiated rulemaking will not result in democratically-legitimated regulation. In addition, the practice of negotiated rulemaking will further weaken the functioning of the public sphere, as Habermas theorizes it, as the central institution of deliberative democracy. The primary implication is the need to mitigate further development of administrative agencies as isolated, self-regulating systems, which have been loosened from the controls of democratic governance, through the development of a robust public sphere in which affected persons may achieve mutual understanding. ^

'Reform' of the British national health service after the election of a labour government: Understanding the policy development process

The policy development process leading to the Labour government's white paper of December 1997—The new NHS: Modern, Dependable—is the focus of this project and the public policy development literature is used to aid in the understanding of this process. Policy makers who had been involved in the development of the white paper were interviewed in order to acquire a thorough understanding of who was involved in this process and how they produced the white paper. A theoretical framework is used that sorts policy development models into those that focus on knowledge and experience, and those which focus on politics and influence. This framework is central to understanding the evidence gathered from the individuals and associations that participated in this policy development process. The main research question to be asked in this project is to what extent do either of these sets of policy development models aid in understanding and explicating the process by which the Labour government's policies were developed. The interview evidence, along with published evidence, show that a clear pattern of policy change emerged from this policy development process, and the Knowledge-Experience and Politics-Influence policy making models both assist in understanding this process. The early stages of the policy development process were characterized as hierarchical and iterative, yet also very collaborative among those participating, with knowledge and experience being quite prevalent. At every point in the process, however, informal networks of political influence were used and noted to be quite prevalent by all of the individuals interviewed. The later stages of the process then became increasingly noninclusive, with decisions made by a select group of internal and external policy makers. These policy making models became an important tool with which to understand the policy development process. This Knowledge-Experience and Politics-Influence dichotomy of policy development models could therefore be useful in analyzing other types of policy development. ^

Government initiatives to expand access to employer-based health insurance

Employer-based health insurance is declining at records rates, which leaves an increasing number of people without access to affordable health insurance. As a result, municipalities are experiencing financial difficulties to provide health care services for their growing uninsured population. In attempt to combat this issue, three health polices have emerged within the last ten years, called Living Wage with a health insurance provision, Pay or Play, and Health Care Preference. These policies are gaining popularity as civic leaders recognize their ability to promote a public health goal by leveraging the power of city and county contracts to include a health insurance component in the competitive bidding practice for government contracts. ^ This is the first paper to conduct a retrospective analysis on whether these three health policies have been able to increase access to employer-based health insurance and/or support the local health care safety net based on the experiences of six municipalities over a 5-year period from 2001-2006. Although there was variation between the effectiveness of the policies, all three demonstrated success in that a number of contractors extended existing health insurance to employees not previously covered and the increased cost of contracting for the local government was, on average, less than 1 percent of the total operating budget. ^

A stakeholder analysis of the Texas Youth Commission issue for the Texas 80th Legislative Session

The following is a policy analysis based on the Advocacy Coalition Framework by Paul Sabatier. The study question was who were the stakeholders in the legislative process for the issue of the Texas Youth Commission (TYC) overhaul during the Texas 80th Legislative Session. This analysis included the stakeholders identifying characteristics including beliefs and interests, goals and resources, and finally, the winning legislative solutions as embodied in three bills that were passed. The study linked the stakeholders with three bills and expanded on the literature for the stakeholder group of Policy Brokers. The conclusions were that all stakeholders including Youth Advocates, the Policy People and Policy Brokers were effective in advancing legislative solutions to address the need for an agency overhaul of TYC and that the three new policies will be evaluated in the future as either short term change or long-term reforms based on their implementation. ^

The interorganizational implementation of state health policy: A network approach

This is an implementation analysis of three consecutive state health policies whose goal was to improve access to maternal and child health services in Texas from 1983 to 1986. Of particular interest is the choice of the unit of analysis, the policy subsystem, and the network approach to analysis. The network approach analyzes and compares the structure and decision process of six policy subsystems in order to explain program performance. Both changes in state health policy as well as differences in implementation contexts explain evolution of the program administrative and service unit, the policy subsystem. And, in turn, the evolution of the policy subsystem explains changes in program performance. ^

Negotiated settlements: The utilities, multiple regulators and clean air

Utilities have made strides in reducing air pollutant levels, but the proposed 1990 Clean Air Act Amendments call for even greater reductions and more stringent enforcement. Federal and state air enforcement agencies now encourage the use of negotiated settlements as a way to bring about compliance. This research examines the operation of such procedures in 19 case studies and a formal survey with the negotiators to account for the differences in the nature of the settlements and to identify the factors contributing to their perceived success. ^

A critical assessment of the National Institutes of Health Consensus Development Program against the eras which shaped it

This research study offers a critical assessment of NIH's Consensus Development Program (CDP), focusing upon its historical and valuative bases and its institutionalization in response to social and political forces. The analysis encompasses systems-level, as well as interpersonal factors in the adoption of consensus as the mechanism for resolving scientific controversies in clinical practice application. Further, the evolution of the CDP is also considered from an ecological perspective as a reasoned adaptation by NIH to pressures from its supporters and clients for translating biomedical research into medical practice. The assessment examines federal science policy and institutional designs for the inclusion of the public interest and democratic deliberation.^ The study relies on three distinct approaches to social research. Conventional historical methods were utilized in the interpretation of social and political influences across eras on the evolution of the National Institutes of Health and its response to demands for accountability and relevance through its Consensus Development Program. An embedded single-case study was utilized for an empirical examination of the CDP mechanism through five exemplar conferences. Lastly, a sociohistorical approach was taken to the CDP in order to consider its responsiveness to the values of the eras which created and shaped it. An exploration of organizational behavior with considerations for institutional reform as a response to continuing political and social pressure, it is a study of organizational birth, growth, and response to demands from its environment. The study has explanatory import in its attempt to account for the creation, timing, and form of the CDP, relative to political, institutional, and cultural pressures, and predictive import thorough its historical view which provides a basis for informed speculation on the playing out of tensions between extramural and intermural scientists and the current demands for health care reform. ^

Impact of environmental regulations on lead concentrations in Texas ambient air and water: 1970--1990

In the last two decades, the significance of lead has been addressed in a number of environmental regulations at the national and state levels. This project investigated the environmental regulations (Clean Air Act and Amendments, 1970-1990 and Clean Water Act of 1977) and their cumulative effects on lead in ambient air and water in the state of Texas. For this purpose, historical records from the Texas Water Development Board, Texas Natural Resources Conservation Commission, and the United States Geological Survey have been assembled and analyzed for temporal and spatial trends. These trends might correspond to the phase out of lead in gasoline and other regulations.^ This study concluded that there is a significant correlation (p $\leq$.001) between environmental regulations of lead in gasoline and the concentration of lead in ambient air. Lead concentrations in ambient air have been reduced by over 90 percent in the past twenty years. An overall significant difference (p $\leq$.001) was found in mean (94, 15 respectively) lead concentrations in surface water between two time periods, one at the beginning of the twenty year period and one at the end of the study period. There has been an overall reduction of lead concentrations in surface water in Texas of approximately 84 percent. However, this reduction cannot be statistically associated with any one regulation. Groundwater data could not be analyzed for lead concentrations because of limitations of reporting data as "less than". Approximately two percent of the groundwater data was analyzed by Oneway ANOVA and no significant difference was found between the means (18, 19 respectively) of two time periods, 1977-1979 and 1988-1990. This data is consistent with the regulations having a contributory affect on declining concentrations, but other factors cannot be ruled out as having added to these declines. This study can also serve as a starting point for a more in-depth study of environmental regulations and their impact on the environment. ^

COSTS AND EFFECTS OF ARKANSAS' LONG-TERM CARE DEMONSTRATION PROJECT (MEDICAID, CHANELLING, COMMUNITY ASSESSMENT)

The purpose of this study was to assess the impact of the Arkansas Long-Term Care Demonstration Project upon Arkansas' Medicaid expenditures and upon the clients it serves. A Retrospective Medicaid expenditure study component used analyses of variance techniques to test for the Project's effects upon aggregated expenditures for 28 demonstration and control counties representing 25 percent of the State's population over four years, 1979-1982.^ A second approach to the study question utilized a 1982 prospective sample of 458 demonstration and control clients from the same 28 counties. The disability level or need for care of each patient was established a priori. The extent to which an individual's variation in Medicaid utilization and costs was explained by patient need, presence or absence of the channeling project's placement decision or some other patient characteristic was examined by multiple regression analysis. Long-term and acute care Medicaid, Medicare, third party, self-pay and the grand total of all Medicaid claims were analyzed for project effects and explanatory relationships.^ The main project effect was to increase personal care costs without reducing nursing home or acute care costs (Prospective Study). Expansion of clients appeared to occur in personal care (Prospective Study) and minimum care nursing home (Retrospective Study) for the project areas. Cost-shifting between Medicaid and Medicare in the project areas and two different patterns of utilization in the North and South projects tended to offset each other such that no differences in total costs between the project areas and demonstration areas occurred. The project was significant ((beta) = .22, p < .001) only for personal care costs. The explanatory power of this personal care regression model (R('2) = .36) was comparable to other reported health services utilization models. Other variables (Medicare buy-in, level of disability, Social Security Supplemental Income (SSI), net monthly income, North/South areas and age) explained more variation in the other twelve cost regression models. ^

La théorie sociale de la connaissance et la gestion du patrimoine documentaire à l’ère numérique

Les institutions de mémoire et de savoir (par exemple, les bibliothèques, les archives, les musées) font face à des défis importants dans leurs responsabilités d’assurer la pérennité du patrimoine documentaire à l’ère numérique. Citons la surabondance de l’information numérique, la possibilité de production, théoriquement illimitée, offerte aux individus comme aux groupes sociaux, les limites dans les capacités de stockage et de diffusion de l’information numérique qui sont à la disposition des institutions mandataires du patrimoine documentaire. De plus, il est apparu que les approches et les méthodes utilisées pour identifier, gérer, préserver et diffuser le patrimoine documentaire de la société canadienne dans un environnement analogique n’étaient transférables à un environnement numérique. Nous suggérons que la théorie sociale de la connaissance peut servir de base à une réflexion portant sur le développement d’une politique publique qui viserait à encadrer l’identification, la sélection, la gestion et la préservation du patrimoine documentaire d’une société à l'ère numérique. Nous définissons la problématique puis proposons des réponses à travers trois articles scientifiques. Les résultats indiquent que les connaissances et les pratiques professionnelles utilisées demeurent persistantes et limitent la formulation et l'application de nouveaux cadres théoriques, de politiques administratives et de techniques associés à l'identification et la sélection du patrimoine documentaire. Cette recherche propose un cadre conceptuel qui permet de développer des politiques publiques sur le patrimoine documentaire du Canada.