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Notes on Policy Implementation Theories

By 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 help you 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 the assumptions 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? Liberalism The 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 law and 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 liberty or 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 people who 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.

*ut, we study Loc1e because ' oc$e li%es;( Federalism The 6ederalist Papers $especially those written by 3ames <adison% argued in favor of the constitution They were written after the American =evolution as propaganda to support the >onstitution. The Articles of >onfederation which lac1ed security, debt, trade were too fluid and ineffective. 6ederalists ma1e a case for government that is effectively against government. '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%. A. 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 interests and 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 with 8uropes 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% >apitalism needed 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

liberal. uring the ,reat epression, capitalism needed to be defended from the 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, does not 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 individualism within 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%. 9e calls 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 <odel. '/ocial insurance( such as social security, <edicare, etc. as found in /candinavian countries. A. *everidge type7/ocial emocratic model 4 .niversalist e)ual benefits to all. There is not directionality in these approaches7models. III. Theories o" &o%ernment' Institutions That Play a (ole

In this neCt section, the course builds on the federalist model and reviews the different institutions of government that are inherently in conflict with each other. These theories seem to draw from a number of sources and cover a number of theories. There are several readings, but the central teCt throughout this section is <artha erthic1s Agency

.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 A. 8Cecutives are elected based on policies B. Implementation re)uires different s1ills Traditional Approaches to Implementation =ationali"ing $,etting <ore one;% <a1ing policy more efficient, which usually means more control from the top. +ho in fact runs the bureaucracy2 The president 4 yes, but no. D.share authority with congress 9ow does 8Cecutive run the bureaucracy2 i. *udget ?. /ets priorities @. *uilds incentives and punishments ii. Appointments ?. Political Appointees76riends $3ac1sonian emocracy% @. >ivil /ervants iii. /tructure and organi"ation +hy do people follow2 i. People want to follow leaders ii. People accept bureaucratic authority. +hy2 ?. /ociali"ed to follow @. The authority can punish A. The authority can reward B. 9ierarchy7position is seen as legitimate (ac$regor )urns Leadershi& *urns describes alternati%e authority structures especially for professionals. Professional authority is based on 1nowledge and 1nowledge criteria >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

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% Legislation Appointment appeal /et the number of people *udget Authori"ation $>reate and change programs% *udget Appropriation $,ive programs money to ma1e it so% Investigations. >ongress is on patrol 4 they follow and monitor agencies. Also, they respond to public outcry. 6ederalism and Interest ,roups /ee 6ederalist Papers E?F. <adison argues that +e need to control the e!!ects o! !actions to protect property. ,apture 0 +hen legislation becomes controlled by interest groups. 8Cecutive $President% *udget Appointments /tructure and organi"ation

Iron Trian+le0 Interest ,roups, >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 accountability c. Timelines can be too tight d. Administration may be unavailable e. Administrative tas1sa re not a priority f. >ongress changes its mind g. >ongress is the policy ma1er and constituent server, so it delegates administration.

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) '<arble ca1e( 6ederalism. *oth federal and state governments are active in similar wor1, therefore they compete or cooperate. The overlapping &urisdiction will complicate implementation. 6ederalism debate eCists around how powerful government should be. There is tension between states and federal governement. =ights not in the constitution are left to the states. *.T clauses on general welfare and common defense allow the federal government to do what is necessary. ebate began in the constitutional convention. +hen 9amilton created the national ban1 3efferson and <adison were frightened. Toc)ueville saw two governments that were separate and independent. Lincoln in the ,ettysburg Address claimed that the .nion created the states 4 and thereby flipped the padigm. Progressive 8ra through the :ew eal 4 led to an '8conomic declaration of =ights( by 6 =. This was in contrast to 3efferson and 3ac1son ideas of democracy which needed to be guarded from the governmental intrusion. Post +orld +ar II there was growth and optimism in government. Then, 365 assassination, =65 assassination, <L5 assasinatin, riots and Gietnam. *enefits of >entrali"ation 8fficiency $some would say this is not true% >onsistency .niformity Transparency7trac1ing <onitoring is easier Huality control 8)uity and opportunity for distribution Principal-Agency Theory0 >LA=I6I>ATI!: *enefits of e#>entrali"ation *etter target <eet diverse needs =esponsive to variation Individual influences Less bureaucracy <ore responsive7)uic1er

!ne group acts on behalf of another. III :88

d. ,ourts and American System 6ederalist Papers EJK by 9amilton the courts are wea1 The >ourts protect the constitution from the >ongress.

The constitution is 'the people(

/hep <elnic1, *etween the Lines The &ob of the court is to interpret congressional laws 9ow do courts ma1e decisions2 o >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. <aC +eber0 6oundational view of bureaucracy b. +oodrow +ilson0 Applies +ebers vision to modern American administration c. 3.H. +ilson, *ureaucracy( !verview of more recent thin1ing on bureaucracy in response to older thin1ings failure to ta1e into account how things really wor1. d. >ro"ier0 6rench bureaucracy raises )uestions about the limits of generali"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 the process 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

o o o o o o

Precision 8fficiency 5nowledge >ontrollability >ontinuity7Predictability >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 L one test for success $the bottom line% o :on#profit organi"ations L <ultiple tests of success o =ole of the :P! eCecutive0 leadership and implementation are closer o >lientele in for profit are willing to pay and participate in servicesM in :P! the clients may not be willing o <ultiple stat1eholders is a big issue for public organi"ing :on#profit organi"ations0 Exit !oice and "oyalty by #rischman o +hat do people do when they are unhappy with what someone is doing2 8Cit0 8asier for private companies

Goice0 Gery difficult for managers to deal with Loyalty 4 give in to what the organi"ation wants >ompliance $Process is followed2% ,es Production Agencies 8C. 4 I=/, //A Top#down Procedural Agencies 8C.# Army in peace timeM /afety inspectors

.our 0inds o" Bureaucracies 123 4ilson, ,h. 56 !bservability $=esults are <easured2% ,es


>raft Agencies 8C.# Army in war, >orps of 8ngineers >oping Agencies 8C. 4 PoliceM classroom teachers


&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 levels that 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 from program evaluation. 8Camines the outputs, impacts and outcomes of public policies. Also different from policy formation.

$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 +.+ilsons approach of professional public administration. I. Gariation in Policy Types ?. =edistributive policies @. istributive policies A. =egulatory policies II. Problem tractability ?. who is affected2 @. :ature of change A. Percent of population B. Technical difficulties III. :ature of policy7/tatute ?. Is it clear2 @. Is it consistent2 A. >an we incorporate a causal theory2 IG. >ausal Theory ?. +hat is the causal theory of the policy2 +hat is it eCpected to 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 <odel a. Policy !utputs in target population b. Policy ma1ing c. Policy instruments $authority, program design, resources% II. >ritical Actors III. riving 6orces /III. Bottom 7p and Social Net-or$ Approaches $ocial Exchange Theory' eCchange( of information, etc. ,iving something in order to get something. The Idea of

#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.

(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 <atland >onflict7Ambiguity <odel Ada&ted and a&&lied by >onflict (/5oonan Low Ambiguity Low Administrative
Use a modi!ied to&'do+n a&&roach to study resources/

9igh Political
Use a modi!ied to&'do+n a&&roach to study &o+er/


Use a bottom'u& a&&roach to study conte6t/

Use a bottom'u& a&&roach to study coalition strength 7 or don8t study it/


efines the problem of implemnation study as hwo you define the policy problem. ?. %ommunication model *%&+' It assumes interests are not in conflict. +ant to find remedy to conflict. >onflict is illigeimate and a management problem. $+eber and +.+ilson% @. ,mplementation -egime .ramewor) *,-.%. =egime has norms, rules na procedures. I=6 defines problem of implementation as eliciting cooperation despite conflict. It achieves cooperation. Inter9:r+ani;ational Theories


o we conceive of a series of dyadic relationships or a networ1 of inter#relationships2 /oafer and <yrtle0 Interorgani"ational Theory $I!=% 8Cchanges are necessary to organi"ation resources *uilds off of /pen $ystems Theory &itchell and $hortell' 8nvironment /trategies >apabilities "oo)s at %ommunity #ealth Programs *%#Ps+ in

9ow to map a networ10 ?. @. A. B. O. +ho is in the networ12 $roles% +hat are they sharing $currency of eCchange%2 +hat are the terms of sharing2 $=ules of eCchange2% 9ow do they ma1e it wor12 $:orms, rules, processes2% 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.