Policy/Project Implementation Flashcards
Policy Process Cycle
- Problem Definition and Agenda Setting
- Policy Formulation
- Policy Adoption
- Policy Implementation
- Policy Evaluation
The carrying out of a basic policy decision, usually expressed as a law, regulation, standards or guidelines. The policy could also take the form of important executive orders or court decisions.
Policy Implementation
Ideally, the policy identifies: (Policy Implementation)
1.
2.
3.
- Problems to be addressed
- Stipulates the objectives to be pursued
- Provides ideas or guidelines on how it is to be implemented.
Involves all of the activities designed to carry out the policies enacted by the legislative branch. These activities include the creation of new organizations, departments, agencies bureaus, or the assignments of new responsibilities to the existing organizations.
Policy Implementation
Establish and staff a new agency or assign authority to an existing agency and personnel. Translate legislative intent into operating rules and guidelines. Coordinate resources and personnel to achieve the intended goals.
Policy Implementation
Policy implementations is shaped by: 1. 2. 3. 4.
- Policy design
- Organizational arrangements for implementation
- The policy environment
- The motivation of implementers
Policy Implementation Process
- Policy standards and objectives, which clarify the goals of the policy decision; and which can provide concrete and specific standards for assessing performance.
- Resources and incentives made available.
- Quality of inter-organizational relationships (examples are, central-local relations; agency- agency interaction)
- Characteristics of implementation agencies, including organizational control, formal and informal linkages
- Socio-economic and political environment
- Disposition or response of implementers
• How they understand the policy
• How they respond to the policy (acceptance, neutrality or rejection)
• The degree or intensity of response
Approaches to Implementation
- Direct implementation by a government agency which has the mandate or responsibility.
- Delegated or decentralized implementation
•Government’s role is to define the measures of responsibility and accountability of the provider and to see to it that these measures are complied with.
Perspectives on Implementation
- Top-down
- Bottom-up or Street-level
- Enforcement or Compliance
________ approach looks at policy implementation as a phase in the policy process. The goal is to make implementation as close as possible to a state of perfection
Top-down
Focuses on how to minimize “implementation deficit”
Top Down
Where there are many links among multiple agencies in an implementation chain, prevent the small deficits to occur and accumulate to a point that they become a large shortfall.
Top Down
Ensure that cooperation between agencies and those tasked with implementation are close to a hundred percent.
Top Down
Implementers down the line (such as “street-level bureaucrats”) have autonomous power to influence policy implementation
Bottom-up
Policy implementation has a multi-actor and inter- organizational character
Bottom-up
Implementation process is highly political
Bottom-up
Policy undergoes interpretation and modification, even subversion” by actors (implementers) tasked with carrying it out.
Bottom-up
2 relevant concepts in bottom-up implementation
- Street-level bureaucracy
2. Discretion
Decisions and choices are made by those implementing the policy at the field, which may not be as intended by design
Street-level bureaucracy
________ is used to make adjustments on how the policy is to be implemented and improved
Discretion
Extent of freedom a decision-maker can exercise in a specific context
Discretion as an Implementation Variable
Ability to make a choice among possible courses of action or inaction within the effective limits of a public official’s power
Discretion as an Implementation Variable
Perceived freedom in determining the sort, quantity and quality of sanctions and rewards during policy implementation
Discretion as an Implementation Variable
Implications for Policy Development
- How policy should be designed to allow for effective discretion by street level bureaucrats
- The value of risk management strategies (to allow for discretion, but also to control the risks involved)
• Discretion as neither ‘good’ nor ‘bad’
• It may be an important professional attribute, or it may be an opportunity to abuse power.
Central question relevant to implementation:
- What motivates people, groups or institutions to comply
with a policy or regulation? - Focus on the policy targets
•Recognize that policy performance can also be mediated or shaped by the response of the policy targets
•Has implications on policy design
Looks at ways of thinking about implementation and the motivations for compliance.
Compliance Disposition
Traditionally, implementation is about compelling compliance by effective enforcement
Compliance Disposition
Revised view is that compliance is a shared commitment (sort of a social contract) between the implementer and the target of the policy.
Compliance Disposition
Enforcement or Compliance:
(Policy Implementation)
Emphasis on the will of the decision maker or implementer
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Highlights ability of the state (or agency) to enforce compliance
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Non-compliance stems from the thinking that the benefit of evasion exceeds the costs of detection.
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Emphasis is on active surveillance and detection
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Individuals, groups, organizations or firms are rational actors.
Enforcement
Enforcement or Compliance:
(Policy Implementation)
They calculate the costs and benefits of complying or not, or the level of compliance.
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Policy implementation is seen as an issue of effectiveness of enforcement
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Problems of non-compliance is addressed by increasing the likelihood and costs of detection by way of surveillance, monitoring and threats of sanctions
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Approach assumes that non-compliance or evasion increases if the likelihood of detection is low
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Central elements of the implementation are effective monitoring and sanctions
•Monitoring to ensure that those who intend or have decided to not comply are identified or exposed
•Sanctions to increase the cost of non-compliance
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Its approaches take off from the deterrence theory in criminal law enforcement.
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Potential offenders respond to both the probability of detection and the severity of punishment if detected and convicted.
Enforcement
Enforcement or Compliance:
(Policy Implementation)
Effective ________ would require the presence of three factors:
•Tools and approaches ensure that violations will likely be detected;
•Systems and procedures ensure that prosecution effectively follows detection
•Sanctions and penalties are effectively carried out after successful prosecution
To the three must be added that those targeted by the policy or regulation must constantly feel that these factors are always present.
Enforcement
Administrative Implications
What may be required
•Structures for surveillance, scoping, inspection and assessment of violation
•Organizational staffing for such
•Capacity development and continuous training for effective surveillance and inspection
•Effective intelligence system
Enforcement or Compliance:
(Policy Implementation)
________ is the normal behavioral reflex of the administrative system as ‘efficiency dictates considerable policy continuity’.
Compliance
Enforcement or Compliance:
(Policy Implementation)
More often, people are willing to comply and submit to guidance.
Compliance
Enforcement or Compliance:
(Policy Implementation)
Non-compliance occurs as a result of misinterpretation of the norms, or insufficient resources to implement them.
Compliance
Enforcement or Compliance:
(Policy Implementation)
Non-compliance may occur even among those willing to comply because of
• financial, administrative, or technological incapacities
•Inadvertence, lack of knowledge or information, and uncertainty on the instruments (programs, approaches, tools) that can help meet the policy goals
Compliance
Enforcement or Compliance:
(Policy Implementation)
Negligence, carelessness or recklessness
Compliance
Enforcement or Compliance:
(Policy Implementation)
Ignorance or lack of knowledge about the requirements for complying or how to do it
Compliance
Enforcement or Compliance:
(Policy Implementation)
Not being in the position to comply
Compliance
Enforcement or Compliance:
(Policy Implementation)
Deliberate intent to not comply or to avoid for as long as possible
Compliance
Appropriate implementation approach to those who are “willing to do the right thing”
(A compliance pyramid)
Make it easy
Appropriate implementation approach to those who “try to, but don’t always succeed.”
(A compliance pyramid)
Assist to comply
Appropriate implementation approach to those who “do not want to comply.”
(A compliance pyramid)
Deter by detection
Appropriate implementation approach to those who “have decided not to comply”
(A compliance pyramid)
Use full force of the law
A model that suggests to
Combine implementation approaches to increase effectiveness (specific, focused, with general approaches)
• Information and general education for all
• Heightened
Differentiate responses based on classification of targets
Compliance Pyramid Model
3 Client/Target Aspects of Compliance
Readiness
Willingness
Ability
3 Compliance Constraints to Address
Knowledge (how to comply)
Attitude (want to comply)
Capability (can comply)
3 Compliance Strategy
- Educate; show examples
- Engage, encourage, enforce
- Enable and empower
Compliance strategy to address knowledge
Educate; show examples
Compliance strategy to address attitude
Engage, encourage, enforce
