PUBLIC POLICY AND PROGRAM

ADMINISTRATION
PUAD 20103

MODULE 5-CONSTRAINTS IN
PUBLIC POLICY IMPLEMENTATION
BY:

LEONILA TANYAG-CONRADO
Associate Professorial Lecturer III
 MODULE 7-CONSTRAINTS IN
PUBLIC POLICY IMPLEMENTATION

LESSON 1- POLICY IMPLEMENTATION: THE

BROADER COMPLEX
THE FIDELITYMODEL
FIDELITY MODEL

This fidelity model was underpinned by

the conviction that what mattered
most in the implementation process
was the individual: that individuals
naturally tend to resist change (due to
a lack of capacity or of motivation), and
that such individuals could be moved
to faithfully implement the new policy
by an appropriate mix of incentives
with sanctions, training and inspection.
THE FIDELITY MODEL
In this model, change had to be mandated
from above, and the outcomes of the process
had to approximate the design blueprint as
closely as possible
THE FIDELITY
POLICY AS AMODEL
MESSY DO-IT-YOURSELF JOB
Policy making is often complex and messy
– a Do-It-Yourself job – with those
responsible ending up ‘borrowing and
copying bits and pieces of ideas from
elsewhere, drawing on and amending
locally tried and tested approaches,
combining theories, research trends and
fashions, and not infrequently flailing
around for anything at all that looks as
though it might work’ (Ball, 1998, p. 126).
THE FIDELITY MODEL
Policy-making field is even messier
the logic of first planning and then
implementing has to give way to
urgent issues
THE FIDELITY MODELAS MUTUAL ADAPTATION
IMPLEMENTATION

Here, implementation unfolds as a process of

mutual adaptation, with implementers trying
to make sense of – and manage – the
demands made by policymakers in an
attempt to reconcile them with their
personal and professional world views.
THE FIDELITY
KEY MODELIN POLICY IMPLEMENTATION
DIMENSIONS

1. People

❑ Formal policy targets

❑ Those not formally named as targets
❑ Subgroups within professional categories
❑ Communities and other associations
❑ Policymakers as key implementers
THE FIDELITY
KEY MODELIN POLICY IMPLEMENTATION
DIMENSIONS

2. Policies

❑ Goals
❑ Targets
❑ Tools

3. Places
❑ Focal agency/organization
❑ Historical/institutional context
❑ Cross-system interdependencies
THE FIDELITY
KEY MODELIN POLICY IMPLEMENTATION
DIMENSIONS

4. Pace which is seen as a subset of the

policy dimension, here it is considered
separately for analysis purposes as it
helps improve our understanding of how
policy implementation
❑ Tempo of change
❑ Long-term/short-term policy
perspective
 MODULE 7-CONSTRAINTS IN
PUBLIC POLICY IMPLEMENTATION

LESSON 2- THE POLICY DIMENSION OF THE

IMPLEMENTATION CHALLENGE
THE FIDELITY MODEL
The shaping of the implementation
process depends on the nature of
the policies to be put into place in
terms of the goals that they aspire
to achieve, the categories of actors
targeted as policy implementers and
the tools utilized to implement
policies.
THE FIDELITY MODEL POLICY LANDSCAPE
THE GENERAL
1. OVERALL POLICY FRAMEWORK LOGIC AND
COHERENCE

❑ The visits revealed that policy framework logic

and coherence has a number of implications for
the way implementation unfolds, and whether
or not it does so smoothly.
❑ These are depoliticization, decentralization and
democratization, to be achieved within the
context of four main E-priorities, namely, the
economy, education, energy
THE FIDELITY MODEL POLICY LANDSCAPE
THE GENERAL
1. OVERALL POLICY FRAMEWORK LOGIC AND
COHERENCE

❑ Helps articulate and cement resolve for

change in all sectors, and with education
staff feeling that they are contributing to
an overall national objective.
THEPolicy
FIDELITY MODEL
innovation can also bring to the fore tensions
between communities that come from different
socio-economic backgrounds or geographical
regions. In many instances, the policy
implementation process is facilitated if there is an
alignment between the different interests of the
different groups.

POLICY IMPLEMENTATION TARGETS

The peer learning exercise revealed that the key
policy targets – that is, people and organizations
identified in policy designs as needing to change.
THE FIDELITY MODEL
POLICY TOOLS
A broad range of tools can be used to
promote and sustain reform in the
government.

Traditionally, these have included

incentives and sanctions, often within
the top-down, fidelity paradigm referred
to earlier.
THE FIDELITY MODEL
INCENTIVES AND SANCTIONS
This set of tools – and incentives rather more than
sanctions – was the one that was most often referred
to during the peer learning exercise. Incentives can
have a material value (e.g. salary bonus or
supplement) or a symbolic value (e.g. increased
status).

The issue of perceived fairness is critical in sustaining

reform, and initiatives which are considered to be
discriminatory may end up having the opposite effect
to that intended, as do incentives which, in the eyes of
the practitioners, have been badly conceived.
THE FIDELITY MODEL
CAPACITY BUILDING
The capacity building designs differ in what are
often significant ways and help to highlight a
number of important issues that are closely linked
to the strategies that can reinforce or frustrate
policy implementation

SYSTEM CHANGE TOOLS

System change tools are instruments that set out to bring about
change by shifting authority from one party to another. A
reform tool can, for example, take the shape of granting more
autonomy to school communities, thus triggering processes and
dynamics that can have major implications for the
implementation of change.
THE FIDELITY MODEL
BEST PRACTICES

The power of example, leading to the

emulation of good practices, is a powerful
tool in driving the implementation
process.
 MODULE 7-CONSTRAINTS IN
PUBLIC POLICY IMPLEMENTATION

LESSON 3– BARRIERS TO EFFECTIVE POLICY

IMPLEMENTATION
THE FIDELITY MODEL
Because we want to:

1. Optimize the use of resources (efficiency)

2. Determine if the policy ( and its programs and
projects) is meeting the need of the target
population we hope to help ( achieving our aim/goal)
3. Identify ways of improving a policy (and its programs
and projects) if it is not working well ( make it more
effective)
4. Demonstrate the effectiveness of a policy
5. Compare one policy with others
6. Continuous improvement in the quality and
effectiveness of the policy
THE FIDELITY
What do weMODEL
evaluate in a policy?
Policies, programs and projects are all
interventions, actions we take to improve
people well being.

Polices are made of may smaller interventions

So usually we evaluate these, smaller

interventions, the many programs and projects
inside a policy.

Occasionally, a policy has only one intervention.

THE FIDELITY
WHAT D0 WEMODEL
WANT TO ACHIEVE THROUGH
EVALUATION

❑What things are actually being delivered and to whom?

❑What are the intended and unintended outputs, impacts
and outcomes
❑What are we contributing to people’s well being
❑Are we making the best possible use of the resources we
have?
❑Do we have the evidence we need to influence future
decisions?
❑Are we understanding the community needs and issues?
❑Are we being effective in tackling them?
❑Are we being inclusive? Is economic qualities enhanced
and wealth inequalities narrowed?
THE FIDELITY
WHAT D0 WEMODEL
WANT TO ACHIEVE THROUGH
EVALUATION

❑Are the participants achieving their personal

goals and vision?
❑Are we building community assets and
resources? Are we focused on more than jut
community needs, gaps and deficits?
❑ Is our work empowering people?
❑ Are we building a culture of collaboration,
participation and sustainable change?
❑ Are we learning from our experience?
THE FIDELITY
WHAT D0 WEMODEL
WANT TO ACHIEVE THROUGH
EVALUATION- The Process
Process evaluation include such things as:
✓Tracking the number and type of people who are
reached
✓Tracking the number and type of activities provided
✓Description of how the activities are provided
✓Description of what actually occurs while providing
the activities
✓Qualities of the activities provided
✓How well was the policy and its programs and
projects implemented?
 WHAT
THE D0 WE
FIDELITY WANT TO ACHIEVE THROUGH
MODEL
EVALUATION- The Outcome
Process evaluation include such things as:
✓Changes in attitudes, knowledge or behavior
✓Changes in morbidity and mortality rates
✓Number of people participating or served
✓Cost-benefit analysis
✓Cost-effectiveness analysis
✓Whether it leads to changes in other policies
✓Changes in ways of working across regional and local
organizations and systems that are tasked with delivering
the policy and its programs and projects
✓Assessment of wider impacts and benefits
 Barriers to Effective
THE FIDELITY MODEL Policy Evaluation
1. Goal Specification and Goal Change:

Problem identification and policy

formulation are extremely difficult for a
variety of reasons. Not the least of which
include political bias, incomplete information
(bounded rationality), misunderstanding of
the nature of the problem, individual value
bias (social construct theory), plurality of
competing interests, and inadequate or
inappropriate understanding of potential
policy alternatives.
 Barriers to Effective
THE FIDELITY MODEL Policy Evaluation
2. Measurement:

Once policy goals have theoretically been identified,

communicated, and programs implemented then some
type of measurement instrument must be developed to
ascertain the extent to which the goals have been
achieved
 Barriers to Effective
THE FIDELITY MODEL Policy Evaluation
3. Targets:
The target population whose behavior is the object
of policy action is in many cases as difficult to
identify and evaluate as is identifying the problem
and formulating policy in the first place.
 Barriers to Effective
THE FIDELITY MODEL Policy Evaluation
4. Efficiency and Effectiveness:
The concept of effectiveness can be seen as an
emphasis on whether or not a given policy was able
to get the job done.

Effectiveness helps define whether a specific

program or service is achieving the intended effect
and degree of change in behavior sought by the
public policy.
 Barriers to Effective
THE FIDELITY MODEL Policy Evaluation
4. Efficiency and Effectiveness:

Efficiency, on the other hand, can be

understood in terms of whether a government
program or service is operating at the most
optimal level in terms of resources such as
time, dollars, or human resources.
 Barriers to Effective
THE FIDELITY MODEL Policy Evaluation
5. Values and Evaluation:

What an individual experiences throughout a lifetime

of perceptions and experiences creates a strong set of
values and beliefs about the world around them. Value
systems are not consistent between individuals, even
between individuals who have similar experiences and
perceptions.
 Barriers to Effective
THE FIDELITY MODEL Policy Evaluation
6. Politics:
A significant obstacle to the fair and unbiased
evaluation of any policy or program is the political
context within which the evaluation is conducted.
There will always be political interests who support
the findings of an evaluation and those who
oppose them regardless of how objectively
accurate the data may be.
 Barriers to Effective
THE FIDELITY MODEL Policy Evaluation
7. Increasing Requirements for Evaluation:
The increased emphasis for greater
government performance and accountability,
which has escalated significantly over the past
20 years, has concurrently intensified the
demand for program and policy evaluation.
 MODULE 7-CONSTRAINTS IN
PUBLIC POLICY IMPLEMENTATION

LESSON 4– ESSENTIAL ACTIVITIES IN THE

EVALUATION PROCESS
THE FIDELITY MODEL
THE FIDELITY MODEL
THE FIDELITY MODEL
THE FIDELITY MODEL
THE FIDELITY MODEL
THE FIDELITY MODEL
THE FIDELITY MODEL
THE FIDELITY MODEL
THE FIDELITY MODEL
THE FIDELITY MODEL
THE FIDELITY MODEL
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THE FIDELITY MODEL
THE FIDELITY MODEL
 MODULE 7-CONSTRAINTS IN
PUBLIC POLICY IMPLEMENTATION

LESSON 5– Internal and External Policy

Evaluators
 Who FIDELITY
THE Conducts the Policy Evaluation?
MODEL
Internal Evaluation

Internal evaluations have numerous advantages particularly their low

cost. Additionally, internal evaluators tend to have greater familiarity
with the organization itself, the evaluated program and associated
policies, the various organizational stakeholders, and of course the
targeted population. The major disadvantage to the conduct of an
internal evaluation is its actual and perceived bias. There is actual
bias because it is human nature for organizational members to
perceive program flaws through the lens of their common
organizational experiences. Consequently subsequent findings may
be diluted or may completely overlook significant problem areas.
There is perceived bias inherent in internal evaluations because the
subsequent findings will always be suspect for the very reasons just
discussed for actual bias.
 External Evaluations
THE FIDELITY MODEL
External evaluations also have a number of advantages
the primary of which is the minimization of bias, at least
internal bias. The major advantage of external evaluation
is that it is perceived to be impartial because evaluators
supposedly have no stake in the outcome of the
evaluation. An additional advantage to using external
evaluators is that they are not part of the culture of the
organization, program, or policy being evaluated and
their professionalism, previous experiences, education,
values, and perceptions enables them to offer a totally
different perspective to problem identification and
potential remediation.
THE FIDELITY MODEL
One of the major disadvantages to the use of external evaluators is
that they are costly, especially when compared to the option of
conducting an internal evaluation, assuming that reasonably
competent people are available within the organization. Another
major disadvantage is time. External evaluations take more time
because the evaluators need to immerse themselves into the
organization or program to learn as much as they can about what
the organization, programs, and policies that they are evaluating.
Additionally, the evaluators may experience resistance from
organizational members who may view them as a threat and
therefore withhold critical information. Finally, the findings of
external evaluations may not be well-received by stakeholders who
have something to loose, or the findings may be dismissed as being
superficial due to a lack of program or policy understanding.
THE FIDELITY MODEL
Who Conducts the Policy Evaluation?

Wilson's first law is that all policy interventions in

social problems produce the intended effect—if the
research is carried out by those implementing the
policy or by their friends.

Wilson's second law is that no policy intervention in

social problems produces the intended effects—if the
research is carried out by independent third parties,
especially those skeptical of the policy.
THE FIDELITY MODEL
 MODULE 7-CONSTRAINTS IN
PUBLIC POLICY IMPLEMENTATION

LESSON 6– Public Policy Change and

Termination
 THE FIDELITY
Factors MODEL
Necessitating Policy Change

Reasons for Policy Change

❑ Changes in societal dynamics

❑ New policies may contradict or invalidate an existing policy.
❑ The legality or constitutionality of a policy is challenged.
❑ Technological changes alter the feasibility or relevance.
❑ New discoveries or revelations alter public support.
❑ Economic and political conditions change.
❑ Power shifts due to election results.
❑ The problem is solved.
❑ Implementing agencies may lack the skill to manage the policy.
❑ Once implemented, policy defects become apparent.
❑ Target groups refuse to comply with or mobilize against the
policy.
 THE FIDELITY
Changes MODEL
in societal dynamics
Like system dynamics, societal dynamics is concerned
with changes over time and emphasizes the role of
feedbacks. ... In contrast to more traditional
approaches in economics, scholars of societal
dynamics are often interested in non-equilibrium, or
dynamic, behavior. That is, behavior that changes
over time.
New policies may contradict or invalidate an
existing policy.
THE
NewFIDELITY
policiesMODEL
may contradict or invalidate an
existing policy.
New policies may contradict or invalidate an existing
policy. The legality or constitutionality of a policy is
challenged. ... Implementing agencies may lack the skill
to manage the policy. Once implemented, policy
defects become apparent.
The legality or constitutionality of a policy is challenged.
When the proper court determines that a legislative act
or law conflicts with the constitution, it finds that law
unconstitutional and declares it void in whole or in
part.
THE FIDELITYchanges
Technological MODELalter the feasibility or relevance.

The way that technological change can fundamentally

alter society is best viewed through the lens of previous
industrial revolutions. The term Industrial Revolution
usually refers specifically to the series of technological
changes that occurred in England between 1760 and
1850 (such as steam power). More generally, the term
refers to eras when rapid and significant technological
changes fundamentally alter the way that production is
carried out in society, affecting not only how people
work but also how they live their lives.
THE
NewFIDELITY MODEL
discoveries or revelations alter public support.

The sociological theory of change suggests that

scientific change is generally triggered by
competition, but that various types of change depend
on the social organization and status of scientific
groups. Some fields change through permanent
discoveries, some through specialization and
cumulation, yet others change through cognitive
fragmentation.
THE FIDELITY
Economic MODELconditions change.
and political

Economic conditions often inform the policy changes

that governments elect to enact.

In the government policy has always had a large

amount of influence on economic growth and the
creation of new business entities.

For those in political power, having a track record of

economic growth is often an important consideration
(especially if they are in a position of seeking re-
election).
THE FIDELITY
Economic MODELconditions change.
and political

In order to ensure strong economic growth, there are

two main ways that the federal government may
respond to economic activity: fiscal policy and
monetary policy.
THE FIDELITY
Power MODEL
shifts due to election results.

The spatial model of elections identifies factors that

motivate party elites to shift their policy positions,
including changes in voters' policy preferences, rival
parties' policy shifts, past election results, and
changes in party elites' valence images with respect
to dimensions of evaluation such as competence and
integrity.
THE FIDELITYisMODEL
The problem solved.
For example, if a team has just that minute made the
breakthrough that provides a solution to the problem,
one of the team might exclaim, “The problem is solved!”
On the other hand, if someone asks about a particular
problem on a project, you could use either: “The
problem is solved” or “The problem has been solved”.

Resolve is used to mean the end of a conflict--"The

differences between the two parties were resolved."
Solve is used to mean the solution to a logical problem--
"He solved the math puzzle." Strictly speaking, resolve
can mean the end of nearly anything: "This chord
progression is about to resolve."
THE FIDELITY MODEL
Implementing agencies may lack the skill to manage the
policy.

7 skills for a successful management

implementers

• Interpersonal skills.
• Communication and motivation.
• Organisation and delegation.
• Forward planning and strategic thinking.
• Problem solving and decision-making.
• Commercial awareness.
• Mentoring.
THE
OnceFIDELITY MODEL
implemented, policy defects become apparent.

Quality defects have significant costs associated with

them – some of the most obvious being money, time,
resources, and lost reputation. And programs to
eliminate quality defects can be expensive and time
consuming.

So, do you insist on eliminating defects entirely no

matter the cost? Or, do you accept that a certain,
albeit very small, percentage of defects is acceptable,
and just accept the costs and learn to live with them?
THE FIDELITY
Target MODEL
groups refuse to comply with or mobilize against
the policy.

The potential barriers to the conduct of similar

interventions discussed include gaining of access to
the community, composition of the project group,
issues of inclusion and exclusion, misunderstandings
among project partners, language barriers, accuracy
and reliability of data, and "ownership" of the project.
Barriers to participation may include time constraints,
cultural limitations, family responsibilities, work
responsibilities or low self-esteem.
THE
WhyFIDELITY
is PolicyMODEL
Termination Rare?

❑ Organizations desire to survive.

❑ The creation of new goals helps legitimize
the organization's continued existence.
❑ Some programs must exist because of
current laws (i.e, public education).
❑ It is often cheaper to keep a program going
than it is to terminate it.
THE FIDELITY
Reasons MODEL
for Policy Termination

❑ The policy is no longer effective.

❑ The need for the program no longer exists.
❑ Budgetary requirements force the end of the
policy or program.
❑ An evaluation study makes the case that the
policy is unsatisfactory in impact or outcome.
❑ The political environment may no longer
support the goals of a policy.
❑ Some policies or programs are terminated
purely for ideological reasons.
Summary
THE FIDELITY MODEL
Once the government has legitimized some form of public
policy such as a law, statute, edict, rule, or regulation, the
stipulations of that policy must be put into action,
administered, and enforced to bring about the desired change
sought by the policy-makers. As discussed in the first four
lessons of this course, public policy is implemented to effect
some change in the behavior of a target population and it can
normally be assumed that this change will ameliorate some
public problem. Regardless of how well intentioned, or how
well formulated, or how universally supported in the adoption
phase of the policy process, a public policy cannot begin to
change the behavior of a target population or solve a specific
public problem until someone or some organization
implements the policy.
Challenges and Pitfalls of Policy Implementation

The implementation stage of the policy process is by

definition an operational phase where policy is actually
translated into action with the hope of solving some
public problem. Theodoulou and Kofinis identify three
key challenges which they believe can routinely impede
the effective implementation of public policy. Those
three challenges are:

Challenges to Policy Implementation

Clarity of policy goals

Information intelligence
Strategic planning
Strategic Planning:

The purpose of strategic planning, within the context of policy

implementation, is to highlight the importance of assessing the
capacity of an agency to meet specific implementation tasks and
goals mandated by the policy decision. Essentially, strategic
planning is a tool with which the agency can evaluate its ability to
achieve the goals of the policy, as well as plan for how the policy
will be executed (2004, pp. 184-185).

Steps to Strategic Planning

Statement of agency goals, mission, or vision

Adoption of a time frame
Assessment of present capabilities
Assessment of organizational environment
Development of a strategic plan
Organizational integration
MARAMING SALAMAT
PO….