Policy Implementation Theories

8/12/2019 Policy Implementation Theories

1/12

Notes on Policy Implementation TheoriesBy Thomas Pieros Shields

April 17, 2007

Introduction

This course focuses on alternative theories as heuristic devices or ways of understanding.In particular, the course focuses on theories of American Liberalism, Political Theories of

American emocracy, !rgani"ational and inter#organi"ational theories and theories about

analysis $unites of analysis, levels of analysis, etc.%.

efinition of Implementation is broader than &ust 'public policies( but includes anything that

re)uires action through a bureaucracy. *ureaucracy is a powerful tool for social action.+hen a law is passed they have not made policy. This course is concerned with the process

that translates a stated policy into action.

iven this broad definition, everything matters in policy implementation studies. In order to

focus your analysis, therefore, you need a theory. -ou always have to have a theory to helpyou decided if things hang together or not. Theory becomes embedded in everything that you

do.

I. American i!eralism and Political Theories o" American #emocracy

Theories of American Liberalism are derived in large part in order to understand theassumptions underlying ./. policy. These will answer two )uestions0

+hat are 1ey theories that underlie American government2 And +hat is uni)ue about ./.

government2

What are key theories that underlie American government?

LiberalismThe theoretical underpinnings of American democracy can be found in the ideas of Liberalism

as developed by 3ohn Loc1e especially in his /econd Treatise on overnment. Loc1e wrote

at a time that is now unfamiliar to us 4 when the divine right of 1ings was the rule of lawand hierarchy was seen as natural. People were not citi"ens, but sub&ects. At the time

mercantilism was economic activity of the time driven by national goals. 'Property( was a

central component for Loc1e because property could be ta1en from people 4 as could libertyor life if the 5ing deemed it so.

Loc1e argued that the rights of individuals came directly from od and that 'All men are

e)ual in these rights.( 6or Loc1e, government was developed by the consent of the peoplewho came together to set up laws to protect people. 6or Loc1e, the goals of government

should be to ensure $a% life, $b% liberty, and $c% Property78states that naturally flowed from

wor1 of individual people. 6or Loc1e, the state has no rights. 9is theories lead to0

8)uality of rights

:atural rights

A model based on consent of &oint action.


2/12

*ut, we study Loc1e because 'oc$e li%es;(

Federalism

The 6ederalist Papers $especially those written by 3ames onstitution. The Articles of >onfederation which lac1ed security, debt, trade were too fluid

and ineffective. 6ederalists ma1e a case for government that is effectively againstgovernment. 'The government is best that governs least.(

A central concern of federalists is that any concentration of power leads to tyranny. sually,we assume that tyranny refers to minority control over the ma&ority 4 but the federalists were

concerned with the tyranny of the minority over individual and natural rights. /o, how can a

government not tyranni"e0

?. /eparate the functions of government.@. >ombine nationalist7federalist government to allow partial agency

$no one part of government can do anything alone%.

. Legislative was seen as the most powerful branch 4 so it needed to be

divided into two houses.B. 8ach part of government was elected in a different way.

/tates were given authority to get things done not allowed by the federal government.

*ureaucracy replicates the model of partial authority7agency seen above.

Pluralism

Pluralism emerged from the 6ederalist model of government. The goal of the federalist

government was that no faction could dominate. 6actions were based on economic interestsand are understood today to be interest groups. The governments role is to mediate

between the sum of multiple interest groups. Pluralists $eC.# Theodore Lowi% believe we

should turn society over to interest groups

What is Unique about American government?

American particularism loo1s at how Americas political model does not coincide with8uropes model.

Louis Hartz in The Liberal Tradition spells out the secular myth of American particularism in

which governments evolved out of a dialectic tension between stages and new stages.

In 8urope0 :atural progression occurred 0

6eudal societies $*irth determines place in society%

Liberal $/ociety built around ideas of individual rights% >apitalismneeded to be defended from the left

/ocialism $rew out of tension between feudal society and liberal%

In colonial societies $the nited /tates%

Absence of feudalism meant no tension

Liberalism was institutionali"ed so ./. policies needed to be defined

within the liberal tradition.

Americans social, economic and political thought are ubi)uitously


3/12

liberal.

uring the reat epression, capitalism needed to be defended fromthe right.

ritique o! Hartz by "ogers #mith

=ace and gender missing from 9art"s discussion.

o =ace0 6or 9art", racism was a residual category of the past and that the ./.

will stay on the same course and grow out of racism. /mith, however, doesnot assume any directionality of progress.

o ender0 /mith is less clear than he was on race.

There is no one tra&ectory for the evolution of government.

6or /mith, there is ascriptive assignment to social groups built into American

political, social and economic system, which contradicts the notions of individualismwithin the Liberal tradition. This &ustifies the idea of compensatory benefits for

groups such as children, people with disabilities, maternity, affirmative action, etc.

o >hildren0 'The =ights of the >hild( include re)uired immuni"ation,

mandatory schooling and they cant vote because we see children as dependent.o >ivil =ights movement in the ./. was an attempt to overcome ascriptive

rights.

/mith notes that the 6ounding 6athers intentionally eCcluded some groups and

differentiated rights among people within ./. society.

$osta %s&ing'Anderson

8sping#Anderson starts with a definition of the welfare state. 9e re&ects that welfare state

based on total eCpenditures $b7c in the ./. most financial spending is at the state level%. 9ecalls the process 'e#commodification( by which people live outside of the mar1et.

The liberal view is that people who are dependent on government are free to enter the

mar1et.

8sping#Anderson argues that people are dependent on both the mar1et and

government.

8sping#Anderson proposes three models of the welfare state

?. /afety net model. 'Poor relief(

@. /ocial Protection


4/12

nder /tress.

a. The (ole o" eadership and the )*ecuti%e

The 8Cecutive plays two roles0

?. Policyma1ing roles

@. Administrative head

+hy do eCecutives focus more on policy ma1ing than implementation2

?. 8Cecutives do not eCpect much to happen in the time allowed@. Policy ma1ing is more eCciting. +hat happens afterwards gets relegated to

public administration

. 8Cecutives are elected based on policies

B. Implementation re)uires different s1ills

Traditional Approaches to Implementation

=ationali"ing $etting ompeting interests eCist.

A leader brings some interests forward and others bac1 to serve the leaders goals.

Hugh Heclo* )oth %nds o! the Avenue

>hanging nature of policy to ma1e it more difficult for leadership to direct

bureaucracy

>ongestion and intrinsic complications


5/12

All policies affect all other models so therefore, there are conflicting goals and

mobili"ation of interest groups.

Policies mobili"e interest groups based on a shared authority to multiply veto groups.

9eclo loo1s at =eagans success based on his ability to narrow and simplify goals and

a desire to do less # to stop action 4 which can be easier than to start7initiate action.

!. e+islation and Interest &roups

>ontrol over the bureaucracy $government agencies% is shared.

Legislative $>ongress% 8Cecutive $President%

Legislation

Appointment appeal

/et the number of people

*udget Authori"ation $>reate and

change programs%

*udget Appropriation $ive programsmoney to ma1e it so%

Investigations.

>ongress is on patrol 4 they follow and

monitor agencies. Also, they respond topublic outcry.

*udget

Appointments

/tructure and organi"ation

6ederalism and Interest roups

/ee 6ederalist Papers E?F. ongressional committees and Administrative !ffices

conspire to affect legislation. This used to be the dominant theory.

Policy Net-or$s. Policy networ1s define who is valued in influencing policy. These

include congress, administration, interest groups, academia.

The nature of legislation is that it is difficult to implement. /ome reasons include0

a. Ambiguity and vague 4 to get it passed.b. etails and specifics are imposed to ensure accountabilityc. Timelines can be too tight

d. Administration may be unavailable

e. Administrative tas1sa re not a priority

f. >ongress changes its mindg. >ongress is the policy ma1er and constituent server, so it delegates

administration.


6/12

c. States and ederalism

6ederalism0 of or formed by a compact. The definition is 'a union of states in which each

agrees to subordinate its authority to a central power.(

Types of federalism

a) 6ederal and /tate overnments are separate. This is not realistic.

b) '


7/12

The constitution is 'the people(

/hep onstitutional $Ammendments%

o /tatutory Interpretation 4 3udges interpret made to enforce decisions

and resolve dispute between eCecutive branch and a person with

standing.

o 'A person with standing(

Interest groups and people who are affected

o >ourts do not bring costs or agency plans into consideration.

>ourt process is compleC and convoluted. Politics does not end when a law is

passed.

I/. lassic Theories o" Bureaucracy

a. ro"ier0 6rench bureaucracy raises )uestions about the limits ofgenerali"ation.

Weber on Bureaucracy

+eber presents an archetype of process$bureaucracy%. 6or +eber, *ureaucracy is a

process#oriented system of written rules, paid positions, impersonal, hierarchy with

speciali"ed division of labor. 5ey is that people in a bureaucracy act as a role.

oal displacement 0 The organi"ations goal is one thing. '!perators( goal is to follow the

rules, etc. The bureaucrats role is to implement the rules. The bureaucrat is loyal to theprocess and the organi"ation itself. 6or +eber, *ureaucracy operates mechanically.

+hy do people comply with a bureaucracy2

>oercion of rules0 *enefits and salaries was not the most important piece for

+eber.

People comply when7if they believe that authority is legitimate and accepted.

Authority is power that you do not have to enforce or eCercise(

+hy wouldnt people comply2

*ureaucracy wor1s0

o /peed


8/12

o Precision

o 8fficiency

o 5nowledge

o >ontrollability

o >ontinuity7Predictability

o >onsistent and e)ual treatment $This is not the same as fairness or &ustice. 8C.#9itlers regime called 'the banality of evil( by 9annah Arendt

'*ureaucracy is the only way we 1now how to transform policy into social action( 4 3. Prottas

Problems with *ureaucracy

:ot very good at dealing with individual difference

Inability to change direction

Inability to cross boundaries

Woodrow Wilson

*uilds on +eber

Professional public administration sought to separate politics from administration.

Professional public administration is machinery and politics decides what to use

machine to ma1e.

James Q. Wilson

>riti)ue of +eber0 -ou cannot eCplain modern outcomes with +eber or +.

+ilson.

Two components0

o Administrative component

o Political component 3H+ Argues0 -ou cannot distinguish between politics and bureaucracy

*ureaucracy is a political organi"ation

o Incentive systems. /eparate from substance of the agency. Ta1es away from

the incentive controls on behavior.

o >onteCtual goals. /eparate from substantive goals of the organi"ation.

8C.0 8PA substantive goal is to protect the environment. !ther goals

include respect for due process, hiring constraints, transparency, etc.

Profit vs. :on Profit organi"ations

o 6or#profit organi"ations one test for success $the bottom line%

o :on#profit organi"ations lientele in for profit are willing to pay and participate in servicesM in :P! the

clients may not be willing

o


9/12

Goice0 Gery difficult for managers to deal with

Loyalty 4 give in to what the organi"ation wants

our inds o" Bureaucracies

3 4ilson, h. 56

>ompliance $Process is followed2%

,es -o

!bservability $=esults

are raft Agencies

8C.# Army in war, >orps of

8ngineers

-o Procedural Agencies

8C.# Army in peacetimeM /afety inspectors

>oping Agencies

8C. 4 PoliceM classroomteachers

&ar!a+e an Theories' People do not search for the best solution. Insteead they suearch for an ade)uate

solution that is satisficing rather than optimi"ing.

People start searches from within their eCisting routines

The search for the solutions and the search for problems go together.

/. e%els o" Analysis

8ssence of a ecision by raham Allison

(odel ./ "ational Actor (odel 0"A(12=ationality refers to own li1ely actions

following logical assumptions.(odel ../ 3rganizations An4lisis0 nit of anlysis of organi"ation includes many levelsthat come up with routiens and plans they arleady have. Predictability and routine are

important for producing predicted outputs.

(odel .../ $overnment &olitical &rocess. Policies decisions are the results of inter#organi"ational bargaining. The study of implementation becomes a sub#set of the study

of power and influence.

/I. Implementation and Theoretical rame-or$s

This part of the course loo1s at how we study implementation2

(azmanian and #abatier

/et limits on what implementation studies are and are not. istinguishes fromprogram evaluation.

8Camines the outputs, impacts and outcomes of public policies.

Also different from policy formation.


10/12

$tatutory %ongruence &odel0 To what eCtent does policy as implemented vary from a

standard $stated policy% as passed. This is a top down model that builds off of +.+ilsonsapproach of professional public administration.

I. Gariation in Policy Types

?. =edistributive policies@. istributive policies

. =egulatory policies

II. Problem tractability?. who is affected2

@. :ature of change

. Percent of population

B. Technical difficultiesIII. :ature of policy7/tatute

?. Is it clear2

@. Is it consistent2

. >an we incorporate a causal theory2IG. >ausal Theory

?. +hat is the causal theory of the policy2 +hat is it eCpectedto accomplish2 $I6 N strategy then - outcomes%

@. :ot unli1e the rational actor model

/II. Alternati%e rame-or$s

Hassen!eld and )rock

Present domains where eCplanations might be formed

I. Political 8conomy ritical Actors

III. riving 6orces

/III. Bottom p and Social Net-or$ Approaches

$ocial Exchange Theory' iving something in order to get something. The Idea of

eCchange( of information, etc.

#treet Level )ureaucracy

A goal of the wor1er is autonomy.

The wor1er see1s different goals than the boss.

!utside of the hierarchy there are other social eCchanges based on friendliness,

turst, shared destiny, mission, etc.

/ocial 8Cchange theory demands that we loo1 at other non#monitary thigns that

are valued and eCchanged.


11/12

(etwor) Approaches

A networ1 model is a semi#closed system and is not dyadic

=outines are a way of coordinating efforts and communicating what the world is

li1e.

*oundary actors operate on the edge of organi"ational7bureaucratic systems and

the eCternal networ1s.o Types of *oundary Actors

/treet Level *ureaucrats are a type of boundary actor.

Top boundary actors

*uyers

Accountants

onflict7Ambiguity onflict

Low 9igh

Ambiguity Low AdministrativeUse a modi!ied to&'do+n

a&&roach to studyresources/

PoliticalUse a modi!ied to&'do+n

a&&roach to study &o+er/

9igh 8CperimentalUse a bottom'u&

a&&roach to study

conte6t/

/ymbolicUse a bottom'u&

a&&roach to study

coalition strength 7 ordon8t study it/

>line

efines the problem of implemnation study as hwo you define the policy problem.

?. %ommunication model *%&+' It assumes interests are not in conflict. +ant tofind remedy to conflict. >onflict is illigeimate and a management problem.

$+eber and +.+ilson%

@. ,mplementation egime ramewor) *,%. =egime has norms, rules naprocedures. I=6 defines problem of implementation as eliciting cooperation

despite conflict. It achieves cooperation.

I8. Inter9:r+ani;ational Theories

o we conceive of a series of dyadic relationships or a networ1 of inter#relationships2

/oafer and


12/12

9ow to map a networ10

?. +ho is in the networ12 $roles%@. +hat are they sharing $currency of eCchange%2

. +hat are the terms of sharing2 $=ules of eCchange2%

B. 9ow do they ma1e it wor12 $:orms, rules, processes2%O. 9ow do they assess success2

8)uity of didactic eCchange

!utcomes7=each goals

!strom0 Institutional Analysis and evelopment $IA% 6ramewor1

Assume actors are rational and maCimi"ers but bounded by limited information.

Policy Implementation Theories

Documents

Transcript of Policy Implementation Theories