Component -I Personal Details

Role Name Affiliation

Subject Coordinator Prof. I. Ramabrahmam
Paper Coordinator Prof. A. S. Malik
Content Writer Dr. C. Jeevan Kumar
Dr. Naveen Kolloju
Content Reviewer Prof. A Prasanna Kumar
Language Editor Prof. G. Sreenivas
Reddy
University of Hyderabad, Hyderabad
Kurukshetra University, Kurukshetra
Central University of Rajasthan, Kishangarh
Aligarh Muslim University, Aligarh
Andhra University, Vishakapatnam
Kakatiya University,Warangal

Component-II Description of Module

Items Description of Module

Subject Name Public Administration

Paper Name Public Policy

Module Name/ Title 9. Models of Policy Implementation

Module Id

Pre-requisites

Component-III
Module Introduction:

Policy implementation research gained significance in the mid-1970s. Success or failure of a

policy depends upon its effective implementation. This module is about the modes of policy
implementation, actors, and conditions for successful policy implementation. The module is
divided into five parts. First Part introduces the learner to the meaning and definition of policy
implementation and types of policy implementation. Second part discusses the factors and the
actors involved in policy implementation. Third part examines the seven dimensions of policy
implementation. Fourth part discusses the conditions for successful implementation of public
policies. The fifth part includes the summary of the module.
After reading this module you should be able to: understand the models of policy
implementation and their relevance in policy formulation; examine the actors involved in policy
implementation; and identify the essential conditions for successful implementation of public
policies.

Keywords:
Policy design, Policy implementation, Street level bureaucracy

Section 1:Introduction
Policy implementation is a lengthy process that begins from designing the content of a policy to
achieving the end results. There are few important dimensions of and essential pre-conditions for
a successful policy implementation. The module defines policy implementation and discusses
the processes of policy formulation. Further, it draws various dimensions of policy
implementation and identifies some of the important conditions for the successful
implementation of a policy. Up until 1970s, policy analysts gave little attention to policy
implementation aspects. Implementation research gained significance as many policies have not
been implemented well in the mid-1970s.

1.1 Defining Policy Implementation

Policy implementation is an important component in the policy process. It is a lengthy process
that begins from designing the content of a policy to achieving the end results. Implementation
determines the success or failure of a policy (Sabatier and Mazmanian, 1979). Petrus and
Brynard (2005) observed a limitation in understanding the meaning and scope of
implementation. According to them, the earlier studies viewed policy implementation merely as
an administrative task or choice. It was assumed that, once the policy had been legislated and
approved, the implementation process would take place without any further tasks. However, as
they argue, this line of thought ignored or glossed over complexities involved in policy
implementation. They recognized the existing ambiguity about the beginning of policy
implementation and its ending.

According to Bhuyan, Jorgensen and Sharma (2010), policy implementation primarily

emphasizes the mechanisms, resources, and relationships that link policies to program action.
Policies once adopted are not always implemented as envisioned at the beginning, and do not
necessarily achieve intended results. The literature on policy science defined policy
implementation in various ways. To begin with Meter and Horn (1974: 447-8) hold that, “policy
implementation encompasses those actions by public or private individuals (or groups) that are
directed at the achievement of objectives set forth in prior policy decisions”. This definition
highlighted two important features of policy implementation: (i) collective effort of public and
private individuals such as government, civil society actors and individuals (ii) achievement of
the objectives which are laid down in the policy content. In a similar vein, Nakamura and
Smallwood (1980:2) understood policy implementation as a process aimed at accomplishing the
goals of a policy. They further defined policy implementation as “the set of activities and
operations undertaken by various stakeholders toward the achievement of goals and objectives
defined in an authorized policy”.

Another definition of policy implementation put forward by Petrus and Brynard (2005:9) as the
“accomplishment of policy objectives through the planning and programming of operations and
projects so that agreed upon outcomes and desired impacts are achieved”. This definition brings
an added importance to planning and programming of a policy which are aimed for target
achievement. Put together, it is understood that there are three important elements of policy
implementation that need attention. First, policy implementation is nothing but achieving the
goals of a policy which are designed at the beginning of the policy. Second, policy
implementation entails involvement of various actors such as government, civil society
organizations, business groups and individuals. In fact, according to Sabatier and Mazmanian
(1979), the second element, that is, the active involvement of various stakeholders is an
important pre-condition for successful policy implementation. Third, planning and programming
of a policy are also considered to be critical in the process of implementation.

1.2 Models of Policy implementation

Public policies are implemented in three ways and these ways are also known as models of
policy implementation .A look at these models will help us in understanding the diverse paths to
implementation of public policies. They can be classified as first generation model, second
generation model and the third generation model. First generation model adopts top-down
approach to implement of public policy. This approach believes that effective implementation
requires a top-down system of control and communications, and the resources to do job (Sapru,
2011). It focuses on politicians and officials and examines the extent to which administrators
carry out or fail to carry out the decisions of the government. It seeks to find out the reasons
underlying the extent of the implementation conducted. This approach focuses on the formal
relations between the actors.

The second generation model on the other hand, applies ‘bottom-up’ analysis to implementation.
This approach presumes that success or failure of many programmes depends on the commitment
and skills of the actors directly involved in the policy implementation (Howlett et al, 2009).
These actors are called street level bureaucrats by Michael Lipsky. The second approach focuses
its attention on both formal and informal relationships constituting the policy subsystems
involved in both designing and implementing policies. It urges that the ‘street level bureaucrats’
must be taken into account. Bottom up model lays stress on negotiation and consensus-building
in the public service delivery.

A major limitation of both first and second generation models is that they do not analyze the
behavioural aspects of policy implementation. They do not answer questions, such as why do
implementers behave in a particular way in carrying out their tasks, and why specific tools and
policy mechanisms are used in specific circumstances. These questions are addressed by the third
generation model or theory of publc policy implementation..

The third generation implementation model/theory uses game theory to assess behavioural
discretion of bureaucrats in policy implementation. It argues that it is easier to implement
policies and decisions which are having a single factor than those having multiple factors. For
instance, implementing Road Safety Policy is easier than implementing the Policy of Poverty
Eradication. In such circumstances, the administrative officials tend to focus on easily
implementable policies rather than the difficult ones. This gives enough scope for them to use
their discretion. Different levels of discretion lead to different regulation styles. For instance,
regulators will use persuasion to make the regulated persons adhere to the rules and regulations.
If that is not possible, the regulators will start using coercion. The extent of coercion used
depends on the degree of noncompliance of the rules by the regulated. Apart from game theory
third generation implementation theory uses principal-agent theory to understand how
bureaucrats use their discretion in a socio-political and cultural setting (Howlett, 2009).

Section 2: Factors for Policy Implementation

There are a few important factors that are critical in the process of policy implementation. Walt
and Gilson (1994) identified four such important factors in formulation as well as
implementation of a policy. They are: (i) the content of the policy, (ii) the nature of the policy
process, (iii) the actors involved in the process, and (iv) the context in which the policy is
designed and must be implemented.

Effective implementation determines success of any public policy. It looks into achieve the
predesigned objectives and desired outcomes. While delineating other important factors for the
success of a policy, McLaughli (1987) states two critical factors that contribute to the success of
a policy: local capacity and will or motivation. Capacity of the policy implementers and the will
or motivation to implement solely depends upon the implementers’ response that can influence
the policy. In addition to these factors, Laughli also identified a third factor, that is, balance of
pressure and support. First, pressure is required in the process of policy formulation as it ensures
the policy makers to focus attention on preparing targeted oriented objectives. Second, support is
needed to enable successful implementation.

McLaughli (1987) also believed that, a strategic balance of pressure and support is critical in the
process of policy formulation and its successful implementation. This will direct the policy
implementation towards achievement of its pre-designed goals. In a similar vein, Bhuyan,
Jorgensen and Sharma (2010) emphasize that identifying barriers to policy implementation, and
addressing them will significantly affect the success of a policy. Effective policy implementation
ensures quality of delivery and reduces inconsistencies among service providers. In sum, it can
be said that effective policy implementation is critical for a policy without which its success
cannot be measured.
2.1 Actors (Implementers) of Policies
Theoretically speaking, politicians play a significant role in overseeing and evaluating the policy
implementation. However, they are largely dependent on bureaucrats in this exercise. Sometimes
policy implementation is also supplemented by the non-government officials. Howlett et al
(2009, p.162) identify the actors involved in policy implementation. They are: a) civil
servants,and b) quasi-governmental organisations (Quangos). Quangos may range from
stateowned enterprises to non-profit corporations and bodies and Public Private Partnerships.
Besides, other state agencies such as, tribunals, administrative appeal board, public hearings,
specialised advisory boards and commissions also take part in the policy implementation.

Section3: Dimensions of Policy Implementation

There are seven important dimensions in implementation of a public policy starting from policy
formulation to end results.

The first dimension involves the policy content, its formulation and dissemination.

The second dimension involves understanding the social, political and economic contexts in
formulating the policy and setting the objectives. This dimension is an important factor because
it influences the nature or type of policies to be framed and implemented. In order to achieve the
predesigned policy objectives the implementers should take into consideration issues, such as
gender inequality and governing processes, economic conditions and social environments.

The third dimension recognizes the role of leadership in policy implementation. A strong and
committed leaders can secure coordination and cooperation from his/her subordinates. Such
leaders can ensure accountability and responsibility in leading policy implementation. They can
communicate effectively about the policy goals and rationale of the policy. They can build
consensus among their team members and other policy stakeholders with regard to the content of
a policy contributes for an effective implementation.

The fourth dimension emphasizes the involvement of various stakeholders in policy

implementation. Stakeholders include civil society organizations, business groups, private
entrepreneurs and individuals responsible for implementation. They bring diverse perspectives,
skills and resources, knowledge in policy implementation. It is also worth mentioning that the
involvement of various stakeholders ensures transparency and accountability from the policy
implementers. To put it succinctly, a policy designed by the policy makers involving
stakeholders will be more meaningful.
The fifth dimension is that of proper planning and resource mobilization. Proper strategy in
action plans; sufficient budget and operational directives are important links between policy
formulation and actual implementation.

Sixth dimension refers to the operations and services. Operational and service levels involve
coordination with other organizations, which may have both positive and negative effects on
service delivery. The seventh and the last dimension is receiving feedback on progress and end
results of a policy implementation. It is very important to assess the progress of a policy and its
end results. This helps in modifying the existing policy or formulating new policies.

The table below illustrates seven dimensions that influence policy implementation:
Table 1:The Seven Dimensions of Policy Implementation
1. The Policy, its Refers to the policy content, the nature of the formulation, and
formulations and the degree of dissemination.
Dissemination
2. Social, political, and Refers to the various social, political and economic factors
Economic Context outside of the policy process that can either enhance or hinder
effective implementation. Depending on the nature and scope of
the policy, social norms such as gender inequality and governing
processes such as decentralization and other factors can affect
policy implementation.
3. Leadership for Policy Recognizes that strong leadership and commitment are essential
Implementation to ensure the follow through, resources, and accountability
needed for putting policies into practice- however, the leaders
responsible for policy formulation might find their attention
diverted elsewhere once the policy is adopted or the
responsibility for leading implementation might shift to new
individuals and groups.
4. Stakeholder Recognizes that policy formulation is increasingly a
Involvement in multisectoral endeavor, yet this engagement might not continue
Policy during the policy implementation stage- thus, it is crucial to
Implementation consider the extent of stakeholder involvement in policy
implementation and the nature of the relationships and
collaboration among different stakeholders.
5. Planning for Considers the planning, resources and capacity needed to
Implementation and facilitate policy implementation.
Resource
Mobilization
6. Operations and Refers to the coordination mechanisms, operational systems and
Services capacity of individuals and organizations charged with delivering
services outlined in the policy.
7. Feedback on Recognizes the importance of regularly gathering, disseminating
Progress and Results and using feedback to assess progress toward achieving results.

Source: Bhuyan, Jorgensen and Sharma (2010), ‘Taking the Pulse of Policy: The Policy Implementation

Assessment Tool’, U.S. Agency for International Development (USAID), p.7.

Apart from these seven dimensions, Sabatier and Mazmanian (1979) delineated a few important
conditions for effective policy implementation. According to them, under these conditions,
policy decision seeks a substantial departure from the status quo. Further, they stated that these
conditions ensure achieving of the targets without any major changes. The following section
attempts to draw some of the important conditions for the effective policy implementation put
forward by them.

Section 4: Conditions for the effective implementation of public policy

The following are the five conditions that are essential in order to make the policy
implementation effective.

The programme should be based on a sound theory relating changes in target group behavior to
the achievement of the desired end-state (objectives). The first condition emphasizes two issues:
(i) the programme of a policy should be supported with proper theoretical framework or a theory
(ii) the decisions of a policy should be based upon the achievement of the desired objectives. It is
important to see that the target groups comply with the goal of policy.

The statute (or the basic policy decision) should be unambiguous. Besides, policy directives and
structures of the implementation should ensure that target groups will perform as desired. The
second condition primarily focuses on policy formulators and offers few suggestions while
formulating policies. This condition is that the objectives and decisions of a policy should be
precise and clearly stated both internally and in the overall program of implementing agencies.
Further, sufficient financial resources should be made available to the implementing agencies.
This facilitates hiring the required staff, technical advocacy and monitoring of target group
compliance.
The leaders of the implementing agencies possess substantial managerial and political skills and
are committed to statutory goals. The third condition advocates for substantial managerial and
political skills by the leaders of the implementing agencies. Policy support is useless if it is not
accompanied by political and managerial skill in utilizing available resources. It is believed that
political skill ensures the ability to develop good working relationships within the agency’s
subsystem. Managerial skill involves developing adequate control on fiscal management,
maintaining high morale among agency personnel, and managing internal dissent.

The program is actively supported by organized constituency groups and by a few key legislators
(or the chief executive) throughout the implementation process, with the courts being neutral or
supportive. The fourth condition appears to be an important one which strongly advocates for
active political support by the constituency groups and by few key legislators in the process of
achieving the pre-determined objectives. Apart from these, this condition urges that the courts
remain neutral and support throughout the implementation process.

The relative priority of statutory objectives is not significantly undermined over time by the
emergence of conflicting public policies or by changes in relevant socio-economic conditions
that undermine the statute’s “technical” theory or political support. The last condition
emphasizes that the policy program shall not be undermined by the changing socio-economic
conditions. The continuous support from key legislators, constituency members, civil society
groups and implementing officials are crucial right from policy formulation to implementation.

If all these conditions are met, then any policy no matter how ambitious it is - can be effectively
implemented.

Section 5: Module Summary

Policy implementation is an important component in the process of policy formulation. It is a
lengthy process, which starts from the designing the content of a policy and ends with achieving
the end results. The module put forward four important factors to formulate and implement a
policy: content, context, nature, and actors. The module outlined seven dimensions of policy
implementation viz., formulation and dissemination of policy; social-political-context of the
policy;the nature of leadership; stakeholder involvement; planning and resource mobilization;
operations and services and the feedback. Among the seven dimensions, effective leadership and
proper planning for policy implementation and resource mobilization are recognized as the more
important dimensions of policy implementation. The module identified some of the essential
conditions for successful implementation of public policies. Among them active involvement of
various stakeholders such as civil society organizations, business groups and individuals, is