Implementation by jolinmilioncherie


									  Chapter 12:
     Defining Implementation
• Implementation: concerns the execution of
• Emphasizes the programs and the results
  they produce
• Studies the interaction between the setting
  of goals and the actions geared to
  achieving them
           Judging Success
• To judge program success: compare
  results with goals
• Goals evolve through implementation
• Standards of efficiency and accountability:
  – Efficiency: economists’ premier standard for
    judging program success
  – Accountability: trade-off with efficiency;
    more efficiency means less accountability
        Problems Hindering
• Practical uncertainty about how to reach
  program goals
• Inadequate resources such as money and
       Problems Hindering
      Performance (continued)
• Organizational problems that interfere with
  program handling
• Uneven leadership
• Growing dependence on other levels of
  government and private sector
• Three types of intergovernmental
  implementation strategies:
  – Administration through grant programs
  – Administration through regulatory programs
  – Administration through off-budget programs
      Administration through
        Grant Programs

• Intergovernmental grant programs
  advance funding of the government’s
• Grant programs lure recipients into a
  broad range of regulatory programs.
     Administration through
   Grant Programs (continued)
• Grant programs vary by function, breadth,
  and distribution method:
  – Function: state and local governments are like
    federal field agents; administer grants of
    federal government’s design
   Grant Programs by Breadth
• Grant programs vary by two levels of
  – Categorical grants: for specific, narrowly
    defined purposes such as federal highway
    grants to states for road construction
  – Block grants: for broad purposes, usually the
    result of consolidation of related categorical
 Grant Programs by Distribution
• Grant programs vary by two distribution methods:
   – Formula-based programs: statistical procedures
     determine who is eligible for money and how much
     recipients can receive
   – Project-based programs: competitions that produce
     unhappy losers and heavy paperwork for applicants;
     broad discretion to federal administrators over who
     receives the money
• Grantsmanship: complaints in federal aid system that
  entrepreneurial local and state administrators had
  exploited the project system for maximum funding
 Administration through Regulation
• Every grant program brings a package of
  regulations and mandates.
• Regulation further spreads federal
  influence over state and local government
       Administration through
       Regulation (continued)
• Crossover sanctions: failure to meet one
  program’s standard can produce a punishment
  in another program, for state and local grant
• Partial preemption: a federal agency sets
  standards that state and local governments must
  follow; if they fail, then the federal government
  takes over program administration.
• Mandates: federally imposed regulations
       Administration through
       Off-Budget Programs
• Collection of off-budget strategies to
  advance federal government goals:
  – e.g., Individuals can deduct local property tax
    payments from their federal taxable income.
  – e.g., Federal government provides credit to
    state and local governments for rural
    development and college housing.
    Implementation Problems
• Inequity
• Fragmentation
  – e.g., Polluted water flows across state
  Implementation Problems (continued)

• Functionalism: many layers of government each
  resisting collaboration
  – Delegation: the reliance by the federal government
    on state and local governments for program
    implementation; depends heavily on trust
• Weak federal control of state and local
  – Fungibility: grant extended for one purpose has
    instead expanded services in another purpose area
 Advantages of Contracting Out
• Contracting: in American government,
  older than government itself; utilizing
  private suppliers for products or services.
  This approach can:
  – Reduce costs
  – Enlist services of specialists not on own staff
  – Avoid bureaucratic red tape
  – Provide perception that government has not
 Disadvantages of Contracting Out
• Sometimes not enough competitors;
  complicated proposal
• Too many regulations on contractors
• Problems cutting off contracts
• Potential for corruption
 Points to Consider for Implementation

• The fundamental issue is increasing
  intermingling of federal-state-local and
  private-public roles in society.
• Goals can change over time.
• The problem of information distortion
  intensifies when bureaucratic boundaries
  are crossed.
• Most programs do work and work well.
     Importance of Feedback
• Effective program implementation
  depends critically on obtaining good
• Feedback comes through routine
  administrative monitoring:
  – Whistle-blowers: disaffected employees can
    often produce explosive surprises.
  Importance of Feedback (continued)

• Backward mapping should replace forward
  – Forward mapping: managers decide what goals they
    want to accomplish and then define the
    responsibilities for those goals at each step in the
    implementation process.
  – Backward mapping (Richard Elmore): evaluation
    can educate managers about what problems
    implementers may face; armed with that information,
    managers can redesign the implementation process
    to reduce those risks.
      Other Types of Feedback
• Managers often develop formal systems of evaluation to
  provide regular, high-quality feedback.
• Managers can design their program evaluations to test
  precisely what they want and to obtain just the
  information they need.
• Results-based management is also used in many state
  and local governments that have created quick-response
  information systems to measure success and failure.
   – e.g., CompStat: NYC weekly reports on crime in each
     precinct; CitiStat: Baltimore measured performance of
     all city programs
• Many problems we label implementation
  instead reflect larger administrative issues.
• The principal focus has been on
  implementation by American governments.
• Many implementation problems are from
  increasing complexity of American society
  and not from government failure.

To top