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Policy Implementation

- The execution and steering of policy action over time

This process should result in goods and services, or resources received by target groups and beneficiaries. This is the tangible manifestation of public policies . The result of policy decisions.

Hypotheses to Consider
1. 2. 3. 4. 5. 6. Meeting government commitments? Asserting political control? Anticipating design challenges? Navigating implementation challenges? Addressing political optics? Cultural Change in delivery agencies?

Each hypothesis implies different strategic goals, and therefore different orientations and capabilities an central implementation units.

Policy Implementation
Why the interest in Irish policy implementation? Many strategies and policies have been introduced in Ireland in recent decades, but implementation can be piecemeal and incremental. Lots of strategy, not so much implementation.......

1970s discovery of the black box i.e. what is happening in the black box between policy design and policy delivery? (Quinn Patton, 1978) It is crucial to delve into this black box, to find out why policy implementation is not achieving the result hoped for; or if it is, then how. Studies have led to various theories on what issues affect policy implementation.

Top Down and Bottom Up

Top down theories highlight factor which could lead to successful implementation such as - clear objectives - clear lines of authority - good communication between various groups, and - sufficient resources

But there is also negotiation between those directing policy and those implementing it. This led to the development of several bottom-up theories. These focus on: - organisational conflict, and -Bargaining

1. Policy Implementation Studies

The Top-down approach

Top-down implementation studies are based on a specific view of the policy implementation process: Policy (an Act, Regulation, Action Plan)is first decided at the top level and then implemented downwards in successive steps There is a clear devide between policy formulation, at the Top, and policy implementation, at the Bottom, as well as between actors involved at the two levels Goals, defined at the Top, need to be clearly set as a basis for evaluation Top actors have a considerable degree of (bureaucratic) control over implementing actors and the implementation process Top actors are able to corect implementation procedures after they learn something wrong (e.g. through an evaluation)

Policy Implementation Studies

Each Top-down implementation study typically focus on a single policy decision and follows this decisions successive implementation steps (e.g. National Law --National Plan---Regional Plans---local implementation) The goal to identify factors leading to successful delivery of the legal objectives set in the initial policy decision Accumulation of knowledge an general success factors is expected to allow Top policy actors to avoid implementation failure through both - better structuring of competences and procedures (i.e. .better policy design) and/or - enhanced control ever implementing actors and procedures during implementation

Policy Implementation Studies

Sabatier and Mazmanian proposed six main necessary conditions for effective implementation: [policy design conditions] 1) Clear and consistent objectives, as a basis for evaluation and as a legal resource for implementing officials 2) Adequate casual theory, including assumptions on the nature of the policy problem and on expected reactions of social and natural systems to policy actions 3) Implementation process legally structured to enhance compliance by implementing officials and target groups, i.e: Consistent, hierarchical implementing structure / small number of veto points right sanctions and incentives assignment of programmes to implementing agencies that are supportive and give them high priority / creatinging new agencies

Policy Implementation Studies

[conditions to hold during the implementation process] 4) Committed and skillful implementing officials 5) Maintained political support from interest groups and legislative and executive powers throughout the implementation process 6) Changes in socio-economic conditions dont undermine political support or the casual theory underlying the policy In a review of more than 20 implementation studies in the US and EU, Sabatier (1986) concluded that all the 6 factors, except the first, where shown crucial for effective implementation and to understand strategies of programme proponents over time.

Policy Implementation Studies

Bottom-up researchers criticise top-downers for focusing too much on top decision makers and for taking a single initial policy decision as the starting point for each study. this leads to: - ignoring that cognitive limitations of top actors , as well as need for compromise at the policy formulation phase, hinder very careful policy structuring; - exaggerating the degree of control of top actors over implementing actors and the implementation process; - neglecting other actors and their strategies; when these are considered (e.g. Lipskys coping strategies of street-level bureaucrats), they are merely viewed as ipediments; - other actors strategies and learning (not only the policy proponents) are, nevertheless , crucial to understand not only policy implementation but specially policy change; - analytical models not fitted to situations where there is no single dominant policy or implementing agency but multiple governmental directivies, multiple agencies and other relevant actors;..

Policy Implementation Studies

Researchers such as Hjern and Hull, Barrett and Fudge, and Elmore have derived the conceptual and methodological implications of a bottom-up perspective for implementation studies Bottom-uppers focus on policy problems as perceived by local actors, more than on initial policy objectives. Bottom-uppers tend to emphasise skills of street-level bureaucrats and other implementing actor as the crucial success factor, more than strict bureaucratic control of implementation by top decision-makers; Discretionary powers of local skilled actors are therefore essential for effective problem solving; They underline the need to study local actors strategies and the network of actors through which policy is implemented; Bargaining (Barret and Fudge) and interpretation of policy meanings (Yannow) are essential in policy implementation, as they change the initial policy as it is implemented

Policy Implementation studies

Policy is therefore in a perpetural flow of change, definition and redefinition, as it is implemented, which blurs the devide between policy formulation and policy implementation. The basic methods used by bottom-up researchers is (Hjern): -starting by defining a policy problem (e.g. delivery of effective advice to small forest owners) as it is perceived by local actors (forest owners, local agency official); - dentifying all local actors and the networks they build for defining and trying to solve the problem; - asking actors about their goals, strategies and contacts; - using contacts to identify regional, national and possibly global actors involved in programming, financing and implementing the relevant public or private policies - This provides us with a research technique to go from bottom street-level actors to top decision-makers, to identify the relevant public policies, and to assess their relative importance vis a vis market forces and other external influences

Hybrid theories - combine elements of both the top-down and bottom-up theories; - stress that the implementation is constrained by the world outside policy making; as well as - the institutional context in which implementers act (so organisational culture and practices very important). - This lead to an evolution of policy during the implementation phase.


(1) Policy implementation is rarely a linear, coherent process Walaupun tujuan kebijakan telah dirumuskan secara jelas, seringkali implementasi kebijakan tidak berjalan mulus, berurutan, tetapi bervariasi (2) No single can manage the policy implementation effort Proses implementasi kebijakan membutuhkan dukungan dan kerjasama banyak agensi baik dari dalam maupun luar pemerintah-an, swasta, masyarakat dsb (3) Policy implementation creates winners and loser Implementasi kebijakan akan menghasilkan pihak-pihak yang diuntungkan(memperoleh manfaat dari dilaksanakannya kebijakan tersebut) dan ada pula pihak-pihak yang dirugikan (dan menen-tang kebijakan tersebut) (4) New policies generally do not come with budgets Setiap implementasi kebijakan (lebih-lebih yang baru) pasti perlu disediakan anggaran yang cukup. Perlu lobi-lobi, identifikasi dan relokasi sumber-sumber anggaran yang diperlukan untuk implementasi kebijakan

OECD review key issues for implementation

Management project management , co-ordination and networking, leadership Accountability accountability systems, incentives, sanctions, performance measures. Resources budgeting (allocation & prioritisation), staffing (including management, capacity and training) Engagement engagement of different groups in delivery, comumnication. Innovation Politics and politicians


James E. Anderson (1976) & J.P. Lester & J.Stewart Jr (2000)

1. 2. 3. 4. 5.

Administrative Agencies Legislative Bodies Judicial bodies Interest Group Civil Society Organization


Howlett & Ramesh (1995) Membedakan 2 jenis model instrumen kebijakan: (1) Model Ekonomis Proses penetapan instrumen sebagai aktivitas teknis yang ketat yaitu dengan menilai berbagai karakter instrumen, tugas yang berbeda untuk mengatasi maslah, biaya yang akan dkeluarkan, dan baru kemudian memeilih instrumen yang paling efisien untuk mengatasi masalah kebijakan (2) Model Politis Dalam ppemerintahan yang demokratis lebih menyukai penggunaan instrumen yang tidak bersifat koersif (memaksa) dan yang biasa dipakai untuk mengurangi penolakan masyarakat terhadap evektivitas kebijakan, mulai dari instrumen yang sederhana ke yang lebih kompleks.


The 5-C Protocol of successful Policy Implementation - 1. The Content of the policy itself: What it sets to out to do (i.e. goals); how directly it relates to the issue; how to aims to solve the perceived problem (i.e. methods). -2. The nature of the institutional Context: The corridor (often structured as standard operating procedures) through which policy must travel, and by whose boundaries it is limited, in the process of implementation. -3. The Commitment of those entrusted with carrying out the implementation at various levels to the goals and methods of the policy. ` -4. The administrative Capacity of implementers to carry out thechanges desired of them. -5. The support of Clients and Coalition whose interest are enhanced or the threatened by the policy, and the strategies they employ in strengthening or deflecting its implementation.


Merilee S. Grindle (1980) Ada dua variabel yang perlu dipertimbangkan, agar kebijakan memiliki nilai implementability yaitu : (1) Variabel Content of Policy 1.1 Kebijakan menyentuh kepentingan siapa ? 1.2 siapa yang bakal memperoleh manfaat dr kebijakan tsb? 1.3 apakah kebijakan itu bersesuaian dg visi mereka yang bakal memperoleh manfaat dari kebijakan mereka mau mengadopsi dan beradaptasi dlm implementasiannya? 1.4 di mana (situs) kebijakan yang dibuat dan siapa yang terlibat? 1.5 siapa yang terlibat secara aktiv sbg pelaksana kebijakan? 1.6 apakah kebijakan tsb cukup mendapat dukungan yang baik politis maupun administratif dalam implementasiannya?

(2) Variabel Context of Policy 2.1 seberapa besar kekuasaan, kepentingan dan strategi yang dimiliki oleh mereka yang terlibat dalam proses implementasi? 2.2 bagaimana karakteristik institusi dan rejim yang nantinya akan berperan dalam proses implementasi ? 2.3 seberapa besar kepatuhan dan respon dari mereka yang terlibat dalam proses implementasi kebijakan?

Brian W. Hogwood & Lewis A. Gunn, 1984

Ada 10 prakondisi yang perlu dipertimbangkan dalam proses implementasi kebijakan yang sempurna, yaitu : 1. Kondisi lingkungan eksternal (fisik dan politik) tidak boleh merintangi proses implementasi kebijakan; 2. Semua sumber yang diperlukan harus tersedia secara cukup dan tepat waktu; 3. Kombinasi berbagai sumber (dana, daya manusia, daya alam, peralatan, dan material lainya) harus selalu siap sedia setiap saat dan dalam jumlah yang cukup; 4. Implementasi kebijakan harus didasarkan pada teori sebab-akibat yang sahih; 5. Hubungan sebab-akibat tersebut haruslah langsung dan hanya ada sedikit variabel intervensinya;

6. Hanya ada satu agensi implementasi tunggal, dan kalau ada agensi lain yang terlibat maka hubungannya haruslah minimal; 7. Harus ada pemahaman dan kesepakatan terhadap tujuan-tujuan yang hendak dicapai bagi semua pihak yang terlibat; 8. Tugas yang hendak dilaksanakan haruslah dirumuskan secara rinci, lengkap, dan tertata secara berurutan; 9. Semua unsur dan agensi yang terlibat harus melakukan komunikasi dan koordinasi yang sempurna; dan 10. Mereka yang mempunyai otoritas berhak menuntut kepatuhan pelaksana dan tidak boleh ada yang menolak perintah.

Christopher Hood (1976)

1. Implementasi yang ideal adalah merupakan sebuah produk dr organisasi militer dengan garis otoritas yang jelas; 2. Norma-norma dipaksakan berlaknya dan tujuan-tujuan telah ditetapkan sebelumnya; 3. Orang-orang harus bekerja sebagaimana yang diperintahkan dan diminta; 4. Harus terselenggara komunikasi yang sempurna baik di dalam maupun di antara unit-unit organisasi; dan 5. Tidak boleh ada tekanan waktu.