PPA 503 – The Public PPA 503 – The Public Policy-Making ProcessPolicy-Making Process

Lecture 8a - ImplementationLecture 8a - Implementation

OverviewOverview

Two conclusions.Two conclusions. No one is clearly in charge of implementation.No one is clearly in charge of implementation. Domestic programs virtually never achieve all that is Domestic programs virtually never achieve all that is

expected of them.expected of them.

Eight generalizations.Eight generalizations. No one individual or group is in charge.No one individual or group is in charge. Domestic programs never achieve all that is expected Domestic programs never achieve all that is expected

of them.of them. The first two are true because of the political structure The first two are true because of the political structure

and conflicting values of the participants.and conflicting values of the participants.

OverviewOverview

Eight generalizations (contd.).Eight generalizations (contd.). Bureaucrats are the most influential actors, Bureaucrats are the most influential actors,

but do not control implementation.but do not control implementation. Patterns of implementation vary depending on Patterns of implementation vary depending on

the different social purposes of policies.the different social purposes of policies. Decentralization influences implementation.Decentralization influences implementation. The meaning of effective implementation The meaning of effective implementation

varies across situations.varies across situations. Effectiveness does not necessarily translate Effectiveness does not necessarily translate

into desired impacts.into desired impacts.

Implementation in the Policy Implementation in the Policy ProcessProcess

Definition – the set of activities that follow Definition – the set of activities that follow statements of intent (laws, court decisions, statements of intent (laws, court decisions, executive orders) about program goals executive orders) about program goals and desired results by government and desired results by government officials.officials. Implementation encompasses actions (and Implementation encompasses actions (and

nonactions) by a variety of actors, especially nonactions) by a variety of actors, especially bureaucrats, designed to put programs into bureaucrats, designed to put programs into effect, ostensibly in such a way as to achieve effect, ostensibly in such a way as to achieve goals.goals.

Implementation in the Policy Implementation in the Policy ProcessProcess

ActionsActions Acquire resources.Acquire resources. Interpret statutes, laws, decisions and plan Interpret statutes, laws, decisions and plan

activities.activities. Organize.Organize. Extend benefits or restrictions.Extend benefits or restrictions.

The Nature of ImplementationThe Nature of Implementation

Generalizations.Generalizations. There are a very large number of external factors that There are a very large number of external factors that

can influence implementation.can influence implementation. For implementation to proceed without any major For implementation to proceed without any major

hitches, all or virtually all of these external factors hitches, all or virtually all of these external factors must be supportive or at least neutral. Any one or few must be supportive or at least neutral. Any one or few that are nonsupportive can derail the entire that are nonsupportive can derail the entire implementation process in a variety of ways.implementation process in a variety of ways.

There are also a large number of factors internal to There are also a large number of factors internal to implementation processes that inevitably provide implementation processes that inevitably provide obstacles to smooth implementation.obstacles to smooth implementation.

The Nature of ImplementationThe Nature of Implementation

Most important features.Most important features. Implementation processes involve many Implementation processes involve many

important actors holding diffuse and important actors holding diffuse and competing goals and expectations who work competing goals and expectations who work within a context of an increasingly large and within a context of an increasingly large and complex mix of government programs that complex mix of government programs that require participation from numerous layers require participation from numerous layers and units of government and who are affected and units of government and who are affected by power factors beyond their control.by power factors beyond their control.

The Nature of ImplementationThe Nature of Implementation

Many actors.Many actors. Number and identity.Number and identity.

The basic point is that executives, legislatures, The basic point is that executives, legislatures, bureaucrats, a variety of private or non-bureaucrats, a variety of private or non-governmental groups and individuals, and courts at governmental groups and individuals, and courts at all of the three major territorial levels in the U.S. all of the three major territorial levels in the U.S. (federal, state, and local) can and do get involved (federal, state, and local) can and do get involved in the implementation of domestic policies.in the implementation of domestic policies.

Actors in the implementation process (next slide).Actors in the implementation process (next slide).

The Nature of ImplementationThe Nature of Implementation

TABLE 8.1. Actors in the Implementation ProcessLevel Executive Officials and

OrganizationsLegislative Officials and Organizations

Bureaucratic Officials and Organizations

Nongovernmental Individuals and Organizations

Judicial Officials and Organizations

Federal President

Executive Office of the President

Staff

Congress (committees and individual members)

Congressional staff and support agencies

Department and agency heads

Staff-civil servants (Washington and regional)

Corporations

Labor unions

Interest groups

Advisory bodies

Nonprofit agencies

Media

Federal judges

Law clerks

Marshals

Masters, experts

US Attorneys

State Governor

Governor’s staff

State legislature (Committee and individuals)

Staff and support agencies

Department and agency heads

Staff-civil servants (state capitol and regional

(Same as above with state focus and impact)

State judges

Law clerks

Miscellaneous state judicial officials

Local Mayor

County commissioners

Other local elected officials

Staff

City councils, board of commissioners, other local elected officials, staff

Department and agency heads

Staff-civil servants (central and field offices)

(Same as above with local focus and impact)

Local judges

Law clerks

Miscellaneous local judicial officials

The Nature of ImplementationThe Nature of Implementation

Many actors (contd.).Many actors (contd.). The role of private actors.The role of private actors.

Interest groups.Interest groups. Groups attempt to influence implementation. Influence Groups attempt to influence implementation. Influence

does not stop with formulation and legitimation.does not stop with formulation and legitimation. Not only can interests help create policies, but policies Not only can interests help create policies, but policies

can create interests.can create interests. Bureaucracies will sometimes take the initiative in Bureaucracies will sometimes take the initiative in

creating groups around the policies that they implement. creating groups around the policies that they implement. Both allies and opposing groups.Both allies and opposing groups.

The blurring of public and private sectors.The blurring of public and private sectors.Advisory groups contribute to this phenomenon.Advisory groups contribute to this phenomenon.

The Nature of ImplementationThe Nature of Implementation

Many actors (contd.).Many actors (contd.). The role of courts.The role of courts.

Decisions that limit, channel, mandate Decisions that limit, channel, mandate implementation.implementation.

Program administrators, sometimes.Program administrators, sometimes. Lack of hierarchy.Lack of hierarchy.

Promotes bargaining, competition, and Promotes bargaining, competition, and compromise.compromise.

Even in hierarchies, this is true.Even in hierarchies, this is true.

The Nature of ImplementationThe Nature of Implementation

Many actors (contd.).Many actors (contd.). Conflict and compromise.Conflict and compromise.

Policy formulation and legitimation are typically characterized Policy formulation and legitimation are typically characterized by some conflict over both goals and means to attain them.by some conflict over both goals and means to attain them.Conflict reduced or resolved through series of compromises Conflict reduced or resolved through series of compromises that allow legislation to pass.that allow legislation to pass.Conflict does not end with the passage of the legislation. Conflict does not end with the passage of the legislation. Carries over into implementation. Losers attempt to change Carries over into implementation. Losers attempt to change the outcome; winners attempt to maintain advantage.the outcome; winners attempt to maintain advantage.Multiple opportunities for influence and access.Multiple opportunities for influence and access.No decisions are final.No decisions are final.

The Nature of ImplementationThe Nature of Implementation

Goals and Expectations.Goals and Expectations. Goals embedded in programs are diffuse, numerous, and usually fuzzy.Goals embedded in programs are diffuse, numerous, and usually fuzzy.

No single clear goal – confusion.No single clear goal – confusion.Competition among goals.Competition among goals.Unexpected costs – unintended consequences.Unexpected costs – unintended consequences.

Growth of government and complexity of programs.Growth of government and complexity of programs. Increases in budget outlays.Increases in budget outlays. Increases in government expenditures as a percentage of GDP.Increases in government expenditures as a percentage of GDP. Slow increases in federal employment, rapid increases in state and local Slow increases in federal employment, rapid increases in state and local

employment.employment. Greater use of nonprofit and private sector.Greater use of nonprofit and private sector. Rise of grants-in-aid to 1970.Rise of grants-in-aid to 1970.

External uncontrollable factors.External uncontrollable factors. Economic changes.Economic changes. Social changes.Social changes.

Policy ImplementationPolicy Implementation

Public policies are not self-executing.Public policies are not self-executing. Since people who formulate and adopt are Since people who formulate and adopt are

usually not the same as those who implement, usually not the same as those who implement, much room for slippage and distortion.much room for slippage and distortion.

Policy implementation is the stage of policy Policy implementation is the stage of policy making between the establishment of a policy making between the establishment of a policy and the consequences of the policy for the and the consequences of the policy for the people it affects.people it affects.

Policy ImplementationPolicy Implementation

Public policies are not self-executing (contd.).Public policies are not self-executing (contd.). Implementation activities.Implementation activities.

Issue and enforcing directives.Issue and enforcing directives.Disbursing funds.Disbursing funds.Making loans.Making loans.Awarding grants.Awarding grants.Signing contracts.Signing contracts.Collecting data.Collecting data.Disseminating information.Disseminating information.Analyzing problems.Analyzing problems.Assigning and hiring personnel.Assigning and hiring personnel.Creating organizational units.Creating organizational units.Proposing alternatives.Proposing alternatives.Planning for the future.Planning for the future.Negotiating with private citizens, businesses, interest groups, Negotiating with private citizens, businesses, interest groups, legislative committees, bureaucratic units, and even other countries.legislative committees, bureaucratic units, and even other countries.

Policy ImplementationPolicy Implementation

What are the conditions that produce What are the conditions that produce effective or ineffective implementation?effective or ineffective implementation? Communication.Communication. Resources.Resources. Dispositions.Dispositions. Bureaucratic structure.Bureaucratic structure.

Communication.Communication.

First requirement for effective policy First requirement for effective policy implementation is that those are to implementation is that those are to implement a decision must know what implement a decision must know what they are supposed to do. Policy decisions they are supposed to do. Policy decisions and implementation orders must be and implementation orders must be transmitted to the appropriate personnel transmitted to the appropriate personnel before they can be followed. Naturally, before they can be followed. Naturally, these need to be accurate, and they must these need to be accurate, and they must be accurately perceived. They must be be accurately perceived. They must be clear, they must be consistent.clear, they must be consistent.

Communication.Communication.

Transmission.Transmission. Implementers must be aware that the decision Implementers must be aware that the decision

was made.was made. Obstacles.Obstacles.

Disagreement.Disagreement.

Multiple layers of bureaucracy.Multiple layers of bureaucracy.

Selective perception.Selective perception.

CommunicationCommunication

Clarity.Clarity. Vague laws.Vague laws.

Example – “maximum feasible participation.”Example – “maximum feasible participation.”Vagueness allows leewayVagueness allows leewayInhibits change, but can also expand it.Inhibits change, but can also expand it.Finding the true intentions.Finding the true intentions.

Reducing discretion can provide some remedy.Reducing discretion can provide some remedy. Ambiguous court decisions.Ambiguous court decisions.

Death penalty.Death penalty.Brown vs. Board of Education.Brown vs. Board of Education.

But, flexibility has some value.But, flexibility has some value. Reasons for lack of clarity.Reasons for lack of clarity.

Complexity of policy-making.Complexity of policy-making.Competing goals and the need for consensus.Competing goals and the need for consensus.Unfamiliarity of new programs.Unfamiliarity of new programs.Avoiding accountability. Avoiding accountability. Nature of court decisions.Nature of court decisions.

CommunicationCommunication

Consistency.Consistency. Example – Economic Development Administration.Example – Economic Development Administration.

Help jobless by attracting or expanding industry.Help jobless by attracting or expanding industry.

Could not subsidize competitors to existing businesses.Could not subsidize competitors to existing businesses. Inconsistency can also lead to discretion.Inconsistency can also lead to discretion. Causes.Causes.

Increases as levels and offices increase.Increases as levels and offices increase.

Many of the conditions affecting clarity also affect Many of the conditions affecting clarity also affect consistency.consistency.

Desire to appear consistent while making a change can lead Desire to appear consistent while making a change can lead to inconsistent communication.to inconsistent communication.

ResourcesResources

Adequate resources are essential.Adequate resources are essential.Staff – most essential.Staff – most essential.

Size.Size.Most programs are understaffed.Most programs are understaffed.1968 HEW – supervise school desegregation with 48 enforcement officers in 1968 HEW – supervise school desegregation with 48 enforcement officers in 23,000 school districts.23,000 school districts.To avoid, feds have transferred implementation to state and local To avoid, feds have transferred implementation to state and local governments, which are also understaffed.governments, which are also understaffed.

Michigan – Staff of 10 to consider funding requests of 462 school districts.Michigan – Staff of 10 to consider funding requests of 462 school districts.

Example environmental protection.Example environmental protection. 62,000 primary sources of water pollution plus sewers, irrigation, agriculture. 150 62,000 primary sources of water pollution plus sewers, irrigation, agriculture. 150

million polluting motor vehicles, 2,000 toxic dump sites, 2,000 to 40,000 sources million polluting motor vehicles, 2,000 toxic dump sites, 2,000 to 40,000 sources of industrial air pollution, 50,000 pesticides.of industrial air pollution, 50,000 pesticides.

State environmental protection agencies have 15 to 200 inspectors – and can State environmental protection agencies have 15 to 200 inspectors – and can examine 3 to 30 sources per day.examine 3 to 30 sources per day.

Why? Fear of totalitarian monster, allocate personnel for direct services. Why? Fear of totalitarian monster, allocate personnel for direct services. Scarcity of funds combined with zeal to create new programs.Scarcity of funds combined with zeal to create new programs.

ResourcesResources

Staff (contd.)Staff (contd.) Skills.Skills.

Lack of skills critical.Lack of skills critical.

Poorly trained staff can create hazards. Seven of ten nuclear Poorly trained staff can create hazards. Seven of ten nuclear power plant operator applicants in 1978 in Michigan failed power plant operator applicants in 1978 in Michigan failed licensing exam and were hired anyway.licensing exam and were hired anyway.

Implementation by state agencies is also a problem.Implementation by state agencies is also a problem.

Few management people with skills.Few management people with skills.

New programs.New programs.

Difficult to hire.Difficult to hire.

ResourcesResources

Information.Information. Knowing what to do.Knowing what to do.

Especially new or technical like air pollution.Especially new or technical like air pollution.Consequences.Consequences.

Responsibilities not met.Responsibilities not met. Not met on time.Not met on time. Inefficiency.Inefficiency.

Mistakes.Mistakes.Inappropriate.Inappropriate.

Monitor compliance.Monitor compliance.Information on compliance.Information on compliance.But, lack of staff critical.But, lack of staff critical.Reliance on information from regulated industry.Reliance on information from regulated industry.Limited authority.Limited authority.Reliance on private sector – private citizens.Reliance on private sector – private citizens.

ResourcesResources

Authority.Authority. Authority to give aid, but less to constrain.Authority to give aid, but less to constrain. Limitations.Limitations.

Exercising authority – many agencies simply do not have the Exercising authority – many agencies simply do not have the authority. Or it exists only on paper.authority. Or it exists only on paper.

Withdrawal of funds – potential weapon, rarely used. Why?Withdrawal of funds – potential weapon, rarely used. Why?Embarrassing.Embarrassing.Antagonizes implementers.Antagonizes implementers.Alienates members of Congress.Alienates members of Congress.Intervention by powerful state and local authorities.Intervention by powerful state and local authorities.May hurt those it is designed to help.May hurt those it is designed to help.May injure innocent persons – loss of jobs.May injure innocent persons – loss of jobs.

Sanctions can be useful. Gives agency excuse to comply.Sanctions can be useful. Gives agency excuse to comply.

Result: Service orientation – higher level officials ask for assistance Result: Service orientation – higher level officials ask for assistance rather than issue orders. Rarely challenge lower level decisions.rather than issue orders. Rarely challenge lower level decisions.

ResourcesResources

Facilities – Physical.Facilities – Physical. Building, equipment, supplies.Building, equipment, supplies. Shortage of sophisticated equipment.Shortage of sophisticated equipment.

Logistics system on one military base purchased Logistics system on one military base purchased from Radio Shack.from Radio Shack.

But many people oppose the building of But many people oppose the building of facilities in their area (NIMBY).facilities in their area (NIMBY).

Dispositions (Attitudes)Dispositions (Attitudes)

Well-disposed to policy, more likely to be Well-disposed to policy, more likely to be carried out according to intentions. If not, carried out according to intentions. If not, implementation more complicated. Since implementation more complicated. Since implementers have discretion, their implementers have discretion, their attitudes can be obstacles.attitudes can be obstacles.

Dispositions (Attitudes)Dispositions (Attitudes)

Effects.Effects. Many policies fall in zone of indifference, will Many policies fall in zone of indifference, will

be implemented. Others excite opposition, will be implemented. Others excite opposition, will be more difficult.be more difficult.

Sources of parochialism.Sources of parochialism.In-breeding.In-breeding.Careerism in one agency.Careerism in one agency.Narrow range of responsibility.Narrow range of responsibility.Reward distribution supports status quo.Reward distribution supports status quo.Committee and interest group pressure.Committee and interest group pressure.

Dispositions (Attitudes)Dispositions (Attitudes)

Effects (contd.).Effects (contd.). Dispositions hindering implementation.Dispositions hindering implementation.

OppositionOpposition Can prevent consideration of ideas.Can prevent consideration of ideas. Can defeat immediate goals.Can defeat immediate goals. But, can be beneficial if used to ignore orders issued in haste.But, can be beneficial if used to ignore orders issued in haste.

Competing policy interests.Competing policy interests.Selective perception.Selective perception.Differences in organizational outlook.Differences in organizational outlook.

Between organizations.Between organizations. Within organizations, between sections.Within organizations, between sections. Outlooks that affect implementation.Outlooks that affect implementation.

Dominant opinion as to function.Dominant opinion as to function.Turf-building.Turf-building.Program raids.Program raids.Protection of autonomy.Protection of autonomy.Private dispositions.Private dispositions.

Dispositions (Attitudes)Dispositions (Attitudes)

If dispositions limit implementation, why not hire If dispositions limit implementation, why not hire new personnel?new personnel? Time.Time. Politics.Politics. Interest groups.Interest groups. Internal opposition.Internal opposition. Lack of knowledge of skilled personnel.Lack of knowledge of skilled personnel. Subcabinet discretion.Subcabinet discretion. Civil service rules.Civil service rules. Bureaucratic complexity.Bureaucratic complexity.

Dispositions (Attitudes)Dispositions (Attitudes)

Incentives.Incentives. Rewards and punishments can work, but Rewards and punishments can work, but

generally only on individual projects.generally only on individual projects. Rewards.Rewards.

Merit pay – rarely usedMerit pay – rarely used

Promotion – usually seniority.Promotion – usually seniority.

Peer group pressure can mitigate rewards.Peer group pressure can mitigate rewards. Goal displacement – trying to beat system.Goal displacement – trying to beat system.

Bureaucratic StructureBureaucratic Structure

Standard operating procedures (SOPs).Standard operating procedures (SOPs). Routines to handle everyday situations.Routines to handle everyday situations. Reasons.Reasons.

Save time.Save time.Uniformity of application.Uniformity of application.Lack of resources requires simplification.Lack of resources requires simplification.““Tunnel” vision.Tunnel” vision.

Problems.Problems.Inhibit change.Inhibit change.Prevent acceptance of responsibility for new programs.Prevent acceptance of responsibility for new programs.Delay.Delay.Waste resources.Waste resources.Undesired actions.Undesired actions.New policies more likely to be hindered.New policies more likely to be hindered.But, SOPs can help change.But, SOPs can help change.

Bureaucratic StructureBureaucratic Structure

Fragmentation.Fragmentation. Congress has created multiple programs and Congress has created multiple programs and

agencies to improve oversight, maximize agencies to improve oversight, maximize intervention, and divide turf.intervention, and divide turf.

Agencies possessive of jurisdiction.Agencies possessive of jurisdiction. Interest groups favor status quo.Interest groups favor status quo. Consequences.Consequences.

Diffusion of responsibility.Diffusion of responsibility.

Lack of coordination.Lack of coordination.

Full Model InteractionsFull Model Interactions

Communication

Bureaucratic Structure

Resources

Dispositions

Implementation

Problems and ProspectsProblems and Prospects

Poorly communicated directives in the wrong Poorly communicated directives in the wrong structure can aggravate preexisting dispositions structure can aggravate preexisting dispositions against the policy leading to wasted resources against the policy leading to wasted resources and ineffective implementation.and ineffective implementation.Policies apt to face difficulties in implementation.Policies apt to face difficulties in implementation. New policies.New policies. Decentralized implementation.Decentralized implementation. Controversial.Controversial. Complex.Complex. Crisis.Crisis. Judicial decisions.Judicial decisions. Combinations of the above factors.Combinations of the above factors.