Policy/Project Implementation

Question 1

Policy Process Cycle

Answer 1

1. Problem Definition and Agenda Setting
2. Policy Formulation
3. Policy Adoption
4. Policy Implementation
5. Policy Evaluation

Question 2

The carrying out of a basic policy decision, usually expressed as a law, regulation, standards or guidelines. The policy could also take the form of important executive orders or court decisions.

Answer 2

Policy Implementation

Question 3

Ideally, the policy identifies: (Policy Implementation)
1.
2.
3.

Answer 3

1. Problems to be addressed
2. Stipulates the objectives to be pursued
3. Provides ideas or guidelines on how it is to be implemented.

Question 4

Involves all of the activities designed to carry out the policies enacted by the legislative branch. These activities include the creation of new organizations, departments, agencies bureaus, or the assignments of new responsibilities to the existing organizations.

Answer 4

Policy Implementation

Question 5

Establish and staff a new agency or assign authority to an existing agency and personnel. Translate legislative intent into operating rules and guidelines. Coordinate resources and personnel to achieve the intended goals.

Answer 5

Policy Implementation

Question 6

Policy implementations is shaped by:
1.
2.
3.
4.

Answer 6

1. Policy design
2. Organizational arrangements for implementation
3. The policy environment
4. The motivation of implementers

Question 7

Policy Implementation Process

Answer 7

1. Policy standards and objectives, which clarify the goals of the policy decision; and which can provide concrete and specific standards for assessing performance.
2. Resources and incentives made available.
3. Quality of inter-organizational relationships (examples are, central-local relations; agency- agency interaction)
4. Characteristics of implementation agencies, including organizational control, formal and informal linkages
5. Socio-economic and political environment
6. Disposition or response of implementers
   • How they understand the policy
   • How they respond to the policy (acceptance, neutrality or rejection)
   • The degree or intensity of response

Question 8

Approaches to Implementation

Answer 8

1. Direct implementation by a government agency which has the mandate or responsibility.
2. Delegated or decentralized implementation
   •Government’s role is to define the measures of responsibility and accountability of the provider and to see to it that these measures are complied with.

Question 9

Perspectives on Implementation

Answer 9

• Top-down
• Bottom-up or Street-level
• Enforcement or Compliance

Question 10

________ approach looks at policy implementation as a phase in the policy process. The goal is to make implementation as close as possible to a state of perfection

Answer 10

Top-down

Question 11

Focuses on how to minimize “implementation deficit”

Answer 11

Top Down

Question 12

Where there are many links among multiple agencies in an implementation chain, prevent the small deficits to occur and accumulate to a point that they become a large shortfall.

Answer 12

Top Down

Question 13

Ensure that cooperation between agencies and those tasked with implementation are close to a hundred percent.

Answer 13

Top Down

Question 14

Implementers down the line (such as “street-level bureaucrats”) have autonomous power to influence policy implementation

Answer 14

Bottom-up

Question 15

Policy implementation has a multi-actor and inter- organizational character

Answer 15

Bottom-up

Question 16

Implementation process is highly political

Answer 16

Bottom-up

Question 17

Policy undergoes interpretation and modification, even subversion” by actors (implementers) tasked with carrying it out.

Answer 17

Bottom-up

Question 18

2 relevant concepts in bottom-up implementation

Answer 18

1. Street-level bureaucracy

2. Discretion

Question 19

Decisions and choices are made by those implementing the policy at the field, which may not be as intended by design

Answer 19

Street-level bureaucracy

Question 20

________ is used to make adjustments on how the policy is to be implemented and improved

Answer 20

Discretion

Question 21

Extent of freedom a decision-maker can exercise in a specific context

Answer 21

Discretion as an Implementation Variable

Question 22

Ability to make a choice among possible courses of action or inaction within the effective limits of a public official’s power

Answer 22

Discretion as an Implementation Variable

Question 23

Perceived freedom in determining the sort, quantity and quality of sanctions and rewards during policy implementation

Answer 23

Discretion as an Implementation Variable

Question 24

Implications for Policy Development

Answer 24

1. How policy should be designed to allow for effective discretion by street level bureaucrats
2. The value of risk management strategies (to allow for discretion, but also to control the risks involved)
   • Discretion as neither ‘good’ nor ‘bad’
   • It may be an important professional attribute, or it may be an opportunity to abuse power.

Question 25

Central question relevant to implementation:

Answer 25

1. What motivates people, groups or institutions to comply with a policy or regulation? 2. Focus on the policy targets •Recognize that policy performance can also be mediated or shaped by the response of the policy targets •Has implications on policy design

Question 26

Looks at ways of thinking about implementation and the motivations for compliance.

Answer 26

Compliance Disposition

Question 27

Traditionally, implementation is about compelling compliance by effective enforcement

Answer 27

Compliance Disposition

Question 28

Revised view is that compliance is a shared commitment (sort of a social contract) between the implementer and the target of the policy.

Answer 28

Compliance Disposition

Question 29

Enforcement or Compliance: (Policy Implementation) Emphasis on the will of the decision maker or implementer

Answer 29

Enforcement

Question 30

Enforcement or Compliance: (Policy Implementation) Highlights ability of the state (or agency) to enforce compliance

Answer 30

Enforcement

Question 31

Enforcement or Compliance: (Policy Implementation) Non-compliance stems from the thinking that the benefit of evasion exceeds the costs of detection.

Answer 31

Enforcement

Question 32

Enforcement or Compliance: (Policy Implementation) Emphasis is on active surveillance and detection

Answer 32

Enforcement

Question 33

Enforcement or Compliance: (Policy Implementation) Individuals, groups, organizations or firms are rational actors.

Answer 33

Enforcement

Question 34

Enforcement or Compliance: (Policy Implementation) They calculate the costs and benefits of complying or not, or the level of compliance.

Answer 34

Enforcement

Question 35

Enforcement or Compliance: (Policy Implementation) Policy implementation is seen as an issue of effectiveness of enforcement

Answer 35

Enforcement

Question 36

Enforcement or Compliance: (Policy Implementation) Problems of non-compliance is addressed by increasing the likelihood and costs of detection by way of surveillance, monitoring and threats of sanctions

Answer 36

Enforcement

Question 37

Enforcement or Compliance: (Policy Implementation) Approach assumes that non-compliance or evasion increases if the likelihood of detection is low

Answer 37

Enforcement

Question 38

Enforcement or Compliance: (Policy Implementation) Central elements of the implementation are effective monitoring and sanctions •Monitoring to ensure that those who intend or have decided to not comply are identified or exposed •Sanctions to increase the cost of non-compliance

Answer 38

Enforcement

Question 39

Enforcement or Compliance: (Policy Implementation) Its approaches take off from the deterrence theory in criminal law enforcement.

Answer 39

Enforcement

Question 40

Enforcement or Compliance: (Policy Implementation) Potential offenders respond to both the probability of detection and the severity of punishment if detected and convicted.

Answer 40

Enforcement

Question 41

Enforcement or Compliance: (Policy Implementation) Effective ________ would require the presence of three factors: •Tools and approaches ensure that violations will likely be detected; •Systems and procedures ensure that prosecution effectively follows detection •Sanctions and penalties are effectively carried out after successful prosecution To the three must be added that those targeted by the policy or regulation must constantly feel that these factors are always present.

Answer 41

Enforcement

Question 42

Administrative Implications

Answer 42

What may be required •Structures for surveillance, scoping, inspection and assessment of violation •Organizational staffing for such •Capacity development and continuous training for effective surveillance and inspection •Effective intelligence system

Question 43

Enforcement or Compliance: (Policy Implementation) ________ is the normal behavioral reflex of the administrative system as ‘efficiency dictates considerable policy continuity’.

Answer 43

Compliance

Question 44

Enforcement or Compliance: (Policy Implementation) More often, people are willing to comply and submit to guidance.

Answer 44

Compliance

Question 45

Enforcement or Compliance: (Policy Implementation) Non-compliance occurs as a result of misinterpretation of the norms, or insufficient resources to implement them.

Answer 45

Compliance

Question 46

Enforcement or Compliance: (Policy Implementation) Non-compliance may occur even among those willing to comply because of • financial, administrative, or technological incapacities •Inadvertence, lack of knowledge or information, and uncertainty on the instruments (programs, approaches, tools) that can help meet the policy goals

Answer 46

Compliance

Question 47

Enforcement or Compliance: (Policy Implementation) Negligence, carelessness or recklessness

Answer 47

Compliance

Question 48

Enforcement or Compliance: (Policy Implementation) Ignorance or lack of knowledge about the requirements for complying or how to do it

Answer 48

Compliance

Question 49

Enforcement or Compliance: (Policy Implementation) Not being in the position to comply

Answer 49

Compliance

Question 50

Enforcement or Compliance: (Policy Implementation) Deliberate intent to not comply or to avoid for as long as possible

Answer 50

Compliance

Question 51

Appropriate implementation approach to those who are “willing to do the right thing” (A compliance pyramid)

Answer 51

Make it easy

Question 52

Appropriate implementation approach to those who “try to, but don’t always succeed.” (A compliance pyramid)

Answer 52

Assist to comply

Question 53

Appropriate implementation approach to those who “do not want to comply.” (A compliance pyramid)

Answer 53

Deter by detection

Question 54

Appropriate implementation approach to those who “have decided not to comply” (A compliance pyramid)

Answer 54

Use full force of the law

Question 55

A model that suggests to Combine implementation approaches to increase effectiveness (specific, focused, with general approaches) • Information and general education for all • Heightened Differentiate responses based on classification of targets

Answer 55

Compliance Pyramid Model

Question 56

3 Client/Target Aspects of Compliance

Answer 56

Readiness Willingness Ability

Question 57

3 Compliance Constraints to Address

Answer 57

Knowledge (how to comply) Attitude (want to comply) Capability (can comply)

Question 58

3 Compliance Strategy

Answer 58

1. Educate; show examples 2. Engage, encourage, enforce 3. Enable and empower

Question 59

Compliance strategy to address knowledge

Answer 59

Educate; show examples

Question 60

Compliance strategy to address attitude

Answer 60

Engage, encourage, enforce