Policy Implementation

Chapter 6

Policy Implementation

Introduction

Implementation

What happens after a bill becomes law

Whatever is done to carry a law into effect, apply to target population, and achieve goals

Neither routine nor very predictable

Often hard to separate policy adoption from implementation

Agencies delegated discretion to fill in details

Previous political struggles continue

Introduction

Implementation Studies

Top-down v. bottom-up views

Top down: focus on actions of key officials and whether overall goals are met

Bottom up: focus on lower-level actors and client interactions

Todays Topics

Federalism and implementation

Who implements policy?

Administrative organization

Administrative politics

Administrative policymaking

Techniques of control

Compliance

The Implementation Process

Fig. 6.1

Federalism and Implementation

Some policies are implemented only at national level

BUT

Many are implemented by state and local governments

Macro v. micro-implementation

Successful implementation requires coordination and cooperation

What was the intent of the Unfunded Mandates Reform Act? Has it been successful?

Who Implements Policy?

Administrative agencies (bureaucracies)

Provides action, continuity, stability

Do the day-to-day work

Often have discretion in implementation

Presented with ambiguous statutory mandates

Changes administration process to extension of legislative process

Who Implements Policy?

The President

Broad Constitutional mandate

However, policy implementation actually low priority

Mostly use power of appointment and removal

Lyndon B. Johnson was the last president to become fairly extensively involved in policy implementation

Who Implements Policy?

Legislatures

Hearings and investigations

Detailed legislation

Senatorial approval (confirmations)

Legislative veto

Deemed unconstitutional but has been used some 400 times since

Casework

What is a hammer in a piece of legislation?

Who Implements Policy?

Courts

Some legislation enforced primarily through judicial action

Some direct administration of policies

Naturalization, bankruptcy, divorce

Most important influence comes through statutory interpretation and judicial review

Statutory interpretation and judicial review can either facilitate, hinder or nullify policy.

Who Implements Policy?

Pressure groups

Capture agencies

Occupational licensing

Advisory bodies can add legitimacy

Who Implements Policy?

Community organizations

Application at grass-roots level

Build program support through participation

Administrative Organization

Executive Departments

Fifteen Cabinet positions (appointed)

Subdivided into bureaus

Independent Regulatory Commissions

Engage in regulation of private economic activities, like stock markets

Somewhat free of presidential control and influence

Examples of independent regulatory commissions include the Federal Reserve Board, the Federal Trade Commission and the Federal Communications Commission.

Administrative Organization

Government Corporations

Handle businesslike or commercial activities, like Post Office, FDIC

Flexible in financial/personnel matters

Independent Agencies

Located outside of executive departments

Examples: NASA, EPA, CIA

Government corporations impose fees or charges for the goods or services that they provide and can reinvest earnings.

Administrative Politics

Laws only provide legal authority

Successful implementation depends on a number of other factors

Cooperation

Political support

Political opposition

Administrative Politics

Basic rules of the game

Relevant laws, rules, and regulations

Chief executive

Presidential chain of command

Congressional oversight

Fragmented and sporadic

Administrative Politics

Courts

Judicial review and statutory interpretation

Other administrative agencies

Sometimes compete, sometimes cooperate

Other governments

State and local

State, municipal, and county governments, school districts, and associations of state and local officials (such as the National League of Cities) may attempt to influence a national agencys decisions.

Administrative Politics

Interest groups

Support increases in size, ease, and effectiveness of operations

Political parties

Influence has declined because of merit systems

Media

Shape public opinion toward agencies

The Political Environment of an Agency

Fig. 6.3

Note: The two-headed arrows indicate that influence relationships may run in both directions.

Administrative Politics

Administrative Constituencies

Set of actors an agency has to pay attention to in its environment

Broader than clientele: those served or regulated by agency

Dynamic, not static

Affects agencys power relations and ability to make policy decisions and implement

Administrative Politics

Tools for exerting influence over constituencies

Expertise

Organizational spirit

Administrative stagecraft (leadership)

Administrative Policymaking

Officials have capacity to shape policy subject to influence of constituency

Tension often exists between civil servants and political appointees

Administrative Policymaking

Decision-making affected by:

Hierarchy

Helps control the complexity and size of the bureaucratic apparatus

Low visibility

Much of what agencies do goes unnoticed by public and media

Backlash FOIA and sunshine laws

Scientific/technical considerations

Characterized by bargaining

The Freedom of Information Act (FOIA) provides that any person has a right, enforceable in court, to obtain access to federal agency records, except to the extent that such records (or portions of them) are protected from public disclosure.

Administrative Policymaking

Patterns of Policymaking

Rule-making

Substantive, interpretive, and procedural rules

Administrative Procedure Act

Adjudication

Case-to-case decision-making

Incremental nature

The procedural requirements governing informal rule-making are set forth by the Administrative Procedure Act, and include notification in the Federal Register, an opportunity for interested parties to participate in the rule-making, a concise summary of the rules basis and purpose must be included and the final rule must be published at least 30 days before taking effect.

The Federal Rule-Making Process

6 | 25

The agency develops a proposed rule.

Proposed major rules are sent to OIRA for cost-benefit analysis.

A notice of Proposed Rule-making is published in the Federal Register.

Oral/written comments sought on the proposed rule.

The agency drafts a final rule, taking comments into account.

The draft of the final rule is sent to OIRA, which asks for changes

The agency issues the rule. The rule takes effect in 60 days.

Congress may review the rule and reject it, which is unlikely. More likely, legality of rule will be challenged in the courts by interest groups or others.

Something triggers action–a law, research, an accident, interest group activity

Fig. 6.4

Administrative Policymaking

Patterns of Policymaking (cont)

Law Enforcement

Enforcement can be rigorous or lax

Capacity to carry out policies is affected by authority/techniques available to agency

Program Operations

Loans, grants, benefits, insurance, and services

Management of public properties

Techniques of Control

All policies incorporate elements of control

Actions designed to cause people to do things, refrain from doing things, or continue to do things

Rely on assumptions about behavior

Techniques of Control

Noncoercive forms of action

No legal sanctions for noncompliance

Voluntary standards, mediation and conciliation, publicity, and education

Inspection

Examination for compliance

Most common form of regulatory action

Techniques of Control

Licensing

Government authorization to engage in a business or profession or to do something otherwise prohibited

Certificates, permits, charters, franchises

Loans, Subsidies, and Benefits

Money or resources given to advance public purposes

Techniques of Control

Contracts

Agencies contract with private companies to carry out government programs

Circular A-76: contract when cheaper from private sector

General expenditures

Agencies have discretion in spending funds

Can apply rate and timing

How does the Walsh-Healey Act apply to contracts?

Techniques of Control

Market and proprietary operations

Agencies entering the market to buy, sell, or provide goods and services

Taxation

Provides revenue and sanctions or encourages certain types of behavior

Tax expenditures

Deductions, deferrals, credits, etc. for specified activities

Reduces visibility of subsidies

Techniques of Control

Directive power

Settling disputes between private parties, resolving complaints, and approving or denying applications

Services

Information, advice, legal counsel, medical treatment

Often intended to cause or encourage preferred actions

Techniques of Control

Informal procedures

Settling questions with formal action

The lifeblood of the administrative process

Voluntary regulation

Done to avoid regulation

Often not effective

Sanctions

Devises, penalties, and rewards to encourage or compel compliance

Are regulations or economic incentives better methods of control?

Compliance

All policies are intended to influence or control human behavior

Not successful unless actually affect behavior

Compliance

Causes of Compliance

Respect for authority

Reasoned acceptance

Self-interest

Possibility of punishment

Moral reasons

Time

Causes of Noncompliance

Selective disobedience

Perceptions of bad law

Associations and group memberships

Greed?

Ambiguity in the law

Does Engel v. Vitale illustrate compliance or noncompliance?

Compliance

Three ways agencies influence

Shaping values used in decision-making

Limiting choices available

Administering policies in ways designed to foster compliance

Compliance tools

Educational and persuasional activities

Modify policies

Interpret/apply laws to accord with interests

Sanctions

Confer positive benefits

A appeal to patriotism is which type of compliance tool?

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ch6policy.pptx
Home>Government homework help>Summary
Copyright © 2015 Cengage Learning. All rights reserved.

Chapter 6

Policy Implementation

Introduction

Implementation

What happens after a bill becomes law

Whatever is done to carry a law into effect, apply to target population, and achieve goals

Neither routine nor very predictable

Often hard to separate policy adoption from implementation

Agencies delegated discretion to fill in details

Previous political struggles continue

Introduction

Implementation Studies

Top-down v. bottom-up views

Top down: focus on actions of key officials and whether overall goals are met

Bottom up: focus on lower-level actors and client interactions

Todays Topics

Federalism and implementation

Who implements policy?

Administrative organization

Administrative politics

Administrative policymaking

Techniques of control

Compliance

The Implementation Process

Fig. 6.1

Federalism and Implementation

Some policies are implemented only at national level

BUT

Many are implemented by state and local governments

Macro v. micro-implementation

Successful implementation requires coordination and cooperation

What was the intent of the Unfunded Mandates Reform Act? Has it been successful?

Who Implements Policy?

Administrative agencies (bureaucracies)

Provides action, continuity, stability

Do the day-to-day work

Often have discretion in implementation

Presented with ambiguous statutory mandates

Changes administration process to extension of legislative process

Who Implements Policy?

The President

Broad Constitutional mandate

However, policy implementation actually low priority

Mostly use power of appointment and removal

Lyndon B. Johnson was the last president to become fairly extensively involved in policy implementation

Who Implements Policy?

Legislatures

Hearings and investigations

Detailed legislation

Senatorial approval (confirmations)

Legislative veto

Deemed unconstitutional but has been used some 400 times since

Casework

What is a hammer in a piece of legislation?

Who Implements Policy?

Courts

Some legislation enforced primarily through judicial action

Some direct administration of policies

Naturalization, bankruptcy, divorce

Most important influence comes through statutory interpretation and judicial review

Statutory interpretation and judicial review can either facilitate, hinder or nullify policy.

Who Implements Policy?

Pressure groups

Capture agencies

Occupational licensing

Advisory bodies can add legitimacy

Who Implements Policy?

Community organizations

Application at grass-roots level

Build program support through participation

Administrative Organization

Executive Departments

Fifteen Cabinet positions (appointed)

Subdivided into bureaus

Independent Regulatory Commissions

Engage in regulation of private economic activities, like stock markets

Somewhat free of presidential control and influence

Examples of independent regulatory commissions include the Federal Reserve Board, the Federal Trade Commission and the Federal Communications Commission.

Administrative Organization

Government Corporations

Handle businesslike or commercial activities, like Post Office, FDIC

Flexible in financial/personnel matters

Independent Agencies

Located outside of executive departments

Examples: NASA, EPA, CIA

Government corporations impose fees or charges for the goods or services that they provide and can reinvest earnings.

Administrative Politics

Laws only provide legal authority

Successful implementation depends on a number of other factors

Cooperation

Political support

Political opposition

Administrative Politics

Basic rules of the game

Relevant laws, rules, and regulations

Chief executive

Presidential chain of command

Congressional oversight

Fragmented and sporadic

Administrative Politics

Courts

Judicial review and statutory interpretation

Other administrative agencies

Sometimes compete, sometimes cooperate

Other governments

State and local

Administrative Politics

Interest groups

Support increases in size, ease, and effectiveness of operations

Political parties

Influence has declined because of merit systems

Media

Shape public opinion toward agencies

The Political Environment of an Agency

Fig. 6.3

Note: The two-headed arrows indicate that influence relationships may run in both directions.

Administrative Politics

Administrative Constituencies

Set of actors an agency has to pay attention to in its environment

Broader than clientele: those served or regulated by agency

Dynamic, not static

Affects agencys power relations and ability to make policy decisions and implement

Administrative Politics

Tools for exerting influence over constituencies

Expertise

Organizational spirit

Administrative stagecraft (leadership)

Administrative Policymaking

Officials have capacity to shape policy subject to influence of constituency

Tension often exists between civil servants and political appointees

Administrative Policymaking

Decision-making affected by:

Hierarchy

Helps control the complexity and size of the bureaucratic apparatus

Low visibility

Much of what agencies do goes unnoticed by public and media

Backlash FOIA and sunshine laws

Scientific/technical considerations

Characterized by bargaining

Administrative Policymaking

Patterns of Policymaking

Rule-making

Substantive, interpretive, and procedural rules

Administrative Procedure Act

Adjudication

Case-to-case decision-making

Incremental nature

The Federal Rule-Making Process

6 | 25

The agency develops a proposed rule.

Proposed major rules are sent to OIRA for cost-benefit analysis.

A notice of Proposed Rule-making is published in the Federal Register.

Oral/written comments sought on the proposed rule.

The agency drafts a final rule, taking comments into account.

The draft of the final rule is sent to OIRA, which asks for changes

The agency issues the rule. The rule takes effect in 60 days.

Congress may review the rule and reject it, which is unlikely. More likely, legality of rule will be challenged in the courts by interest groups or others.

Something triggers action–a law, research, an accident, interest group activity

Fig. 6.4

Administrative Policymaking

Patterns of Policymaking (cont)

Law Enforcement

Enforcement can be rigorous or lax

Capacity to carry out policies is affected by authority/techniques available to agency

Program Operations

Loans, grants, benefits, insurance, and services

Management of public properties

Techniques of Control

All policies incorporate elements of control

Actions designed to cause people to do things, refrain from doing things, or continue to do things

Rely on assumptions about behavior

Techniques of Control

Noncoercive forms of action

No legal sanctions for noncompliance

Voluntary standards, mediation and conciliation, publicity, and education

Inspection

Examination for compliance

Most common form of regulatory action

Techniques of Control

Licensing

Government authorization to engage in a business or profession or to do something otherwise prohibited

Certificates, permits, charters, franchises

Loans, Subsidies, and Benefits

Money or resources given to advance public purposes

Techniques of Control

Contracts

Agencies contract with private companies to carry out government programs

Circular A-76: contract when cheaper from private sector

General expenditures

Agencies have discretion in spending funds

Can apply rate and timing

How does the Walsh-Healey Act apply to contracts?

Techniques of Control

Market and proprietary operations

Agencies entering the market to buy, sell, or provide goods and services

Taxation

Provides revenue and sanctions or encourages certain types of behavior

Tax expenditures

Deductions, deferrals, credits, etc. for specified activities

Reduces visibility of subsidies

Techniques of Control

Directive power

Settling disputes between private parties, resolving complaints, and approving or denying applications

Services

Information, advice, legal counsel, medical treatment

Often intended to cause or encourage preferred actions

Techniques of Control

Informal procedures

Settling questions with formal action

The lifeblood of the administrative process

Voluntary regulation

Done to avoid regulation

Often not effective

Sanctions

Devises, penalties, and rewards to encourage or compel compliance

Are regulations or economic incentives better methods of control?

Compliance

All policies are intended to influence or control human behavior

Not successful unless actually affect behavior

Compliance

Causes of Compliance

Respect for authority

Reasoned acceptance

Self-interest

Possibility of punishment

Moral reasons

Time

Causes of Noncompliance

Selective disobedience

Perceptions of bad law

Associations and group memberships

Greed?

Ambiguity in the law

Does Engel v. Vitale illustrate compliance or noncompliance?

Compliance

Three ways agencies influence

Shaping values used in decision-making

Limiting choices available

Administering policies in ways designed to foster compliance

Compliance tools

Educational and persuasional activities

Modify policies

Interpret/apply laws to accord with interests

Sanctions

Confer positive benefits

A appeal to patriotism is which type of compliance tool?

Policy Implementation

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