Chapter 8

STAGE 5 OF
POLICY
PROCESS /
POLICY
CYCLE

POLICY
IMPLEMENTATIO
N

ADS514: Introduction to Public Policy,

FSPPP. UiTM

1.
2.
3.
4.

5.

6.

Content:

Meaning of policy implementation

Policy implementation process
Policy implementation actors and agencies
Policy implementation Methods / Techniques and their
constraints
i.
Voluntary
ii.
Inspection
iii.
Licensing
iv.
Aids (Loan and subsidy)
v.
Contracting
vi.
Government expenditure
Policy implementation Approaches and their
constraints
i.
Top down
ii.
Bottom-up
iii.
Procedural
Policy implementation problems / constraints
ADS514: Introduction to Public Policy, FSPPP. UiTM

Lesson Outcome:

At the end of this topic, students should be able

to:
1.Explain meaning of policy implementation
2.Describes policy implementation process
3.Describe policy implementation actors and agencies
4.Explain several methods / techniques of policy
implementation and their advantages and disadvantages
5.Explain several approaches of policy implementation
and their advantages and disadvantages
6.Explain problems / constraints of policy implementation

ADS514: Introduction to Public Policy, FSPPP. UiTM

References:

Anderson, Chapter 6
Hogwood and Gunn, (1984),

ADS514: Introduction to Public Policy, FSPPP. UiTM

Introduction:

Once the preferred policy option is adopted,

and gazetted public policy is ready for
implementation
Implementation process consists of rulemaking, rule- administration and ruleadjudication.

ADS514: Introduction to Public Policy, FSPPP. UiTM

Meaning

Policy Implementation
Implementation

is the realization, application, or

execution of a plan, idea, model, design, specification,
standard, algorithm, or policy.

In

political science, implementation refers to the

carrying out of public policy.

Legislatures

pass laws that are then carried out by

public servants working in bureaucratic agencies.

ADS514: Introduction to Public Policy, FSPPP. UiTM

Purpose

Policy Implementation
Purpose
To

bring about compliance & control

To make people to do things

To refrain people from doing things
To make people continue to do things

ADS514: Introduction to Public Policy, FSPPP. UiTM

Process:

Policy Implementation Process.

Refer Anderson page 212 (Figure 6.1)

ADS514: Introduction to Public Policy, FSPPP. UiTM

Implementation
elements

Elements:

process

involve

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Actors & Agencies

Policy Implementation
Actors & Agencies (Refer
Anderson
pp. 216-222
Bureaucracy
Legislature
Courts
Pressure

groups
Community organizations

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Bureaucrac
y

Officers

of administrative agencies are

called bureaucracy. They decides rules
and procedures for implementation and
carried them out

Those

who participated in the legislative

process do not develop precise
guidelines due to lack of time, interest
and information to do so.

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Legislature

Legislators

implement policy by ensuring

specific law for putting policies into effect
are followed.
Legislators determine the agencies
discretion by specifying / approving the
uses of fund for specific policy program.
Legislatives veto gives legislature the
authoritative power to exercise control
over what have been done by the
administrative agencies in implanting
policies.
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The Courts

Most

of the public laws are enforced by

the judicial branch of the government.
Courts actively play roles in policy
implementation:

Courts interpreted public laws and

legislation
Courts control behavior and actions of
agencies and officers

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Interest
Groups

Administrative

agencies are surrounded

by interest groups.

Interest

groups build relationship which

can become so close to influence the
implementation of policy.

Interest

froups can directly participate in

policy implementing.

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Community Organizations

This organization always involve in policy

implementation especially at the local level.

Various adversely boards are drown from

community organization.

Actively involve in policy program

implementation such as policy of toxic
waste management in some developed
countries.
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Procedures

Types of procedures for policy

implementation(Refer Anderson p.

249)
Formal procedures: example - procedures to renew

licence, passport
Informal procedures: example- outcome from
negotiation, correspondence
Voluntary regulations: regulation introduced by
organization to control/encourage/discaurage certain
behavior smoking, safety, ethical behavior,
penalties, rewards
non-voluntary regulations: mandatory.
Procedures describes in detail policy implementation
requirement: who, what, why, when, & how
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Methods /
Techniques

Methods/Techniques for
Policy Implementation
Different / combinations of methods / techniques
is use to implement policy depending on the
typology / category of policy (refer Topic 1).

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Methods /
Techniques

Inspection
Licensing
Aids

(Loan and Subsidy)

Contracting
Government Expenditure

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Inspection

A technique to control and to check

whether the implementation follow the
standards prescribed in policy or not.

May be continuous or periodical in nature.

Meant to reveal the level of policy

compliance by those involved in an
activity, with objective of correcting
undesirable conditions in the
implementation processes.
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Costly.
High

Advantages/Disadvantag
es

compliance

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Control

Licensing

techniques involve an enabling

actions.
It

is defined as government
authorization to engage in certain
activities which might otherwise forbid.

Example:

the issuance of a driving

license to drivers.
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Advantages &
of revenue
Disadvantages
Demand high political support

Sources

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Aids

Aids (Loan and Subsidy)

A

technique for controlling and bringing policy

compliances
Example: under the agricultural prices support
policy programs, commodity loans and payment
are available only to those who comply with
production and marketing control policy.
As such farmers loans for purchasing farms are
made under condition designed to ensure goods
farm management in Malaysia.
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&
government Advantages
expenditure
Disadvantages
Useful for restructuring wealth / benefit
to public

Increases

ADS514: Introduction to Public Policy, FSPPP. UiTM

Contracting

25

technique for controlling private

organizations; they must comply

The

contract technique contains some

requirements and violators of these
requirements can be denied of
continuation of implementing present
policy program or future ones.

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Increase

Advantages/Disadvantag
es
service
delivery

efficiency in
Reduce government expenditure
Private provide services at cost
financial burden is shifted to public

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Expenditure

Government Expenditure
The

uses of government expenditure to

resolve economic problem.
Example:

During inflation, government expenditure for

some programs are cut to control inflationary
pressure.

Government may push more funds to foster

domestic and local industries
activities/development.
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Economic

Advantages/Disadvantag
arees
more stable

activities
encourage new entry to market
Public dependency on government
intervention is high
Burdens government

ADS514: Introduction to Public Policy, FSPPP. UiTM

Political
29
Support
Political

support from citizens is necessary

(although not sufficient) for implementing
policy.
2 types of political support:

Specific support means a persons satisfaction

with specific policies and with the performance of
the government
Diffuse support, means a persons conviction
that the existence and functioning of the
government conform to his or her moral or ethical
principles about what is right in the political
sphere
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Approaches

Approaches for Policy

Implementation
Top

down
Bottom-up
Procedural

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Top down
Approach

Top-down

implementation is the carrying out of a

policy decisionby statute, executive order, or
court decision
Policy rules and regulations are set at
higher levels in a political process and are
then communicated to subordinate levels
which are then charged with the technical,
managerial, and administrative tasks of putting
policy into practice.
In a federal system - The top-level officials at the
federal level establish policy rules and regulation
& working a way down to state and local level
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(1)

Advantages

clear and consistent goals

articulated at the top of the hierarchical
environment,
(2) knowledge of pertinent cause and
effects,
(3) clear hierarchy of authority,
(4) rules established at the top and
policy is aligned with the rules,
(5) resources / capacity to carry out the
commands from the top
(Elder, 2011, lecture).
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Top down approach:

Disadvantages
1. fails to consider the significance of actions
taken earlier in the policy-making process
2. ignore or eliminate the political aspects of
implementation. The legislation often requires
ambiguous language and contradictory goals
in order to gain enough votes for passage
3. top-down approach see the statute framers
as key actors, compared to lower level
officials

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Bottom-up Approach

The

lower level officials at the local or

state are directly involved in designing
implementation goals, strategies, and
activities
It is because they are among the factors
that affect the policy implementations.

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Advantages
Empower

grass root to think more creatively.

Solutions

are driven more by practical

requirements than abstract notions as in the case
of top down approach.

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bureaucrats are
usually not
Disadvantages
accountable to the people. In this case, the local
agents may intentionally subvert the elected
officials policy goals and engage personal sub goals
Bottom-uppers ignore the fact that many policies
are created in a top-down manner, and likely in a
manner which reinforces top-down authority.
street-level

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Procedural Approach

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Procedural
Approach

Government focuses on procedure to implement

policy (refer procedural regulatory policy in Chapter
1)
Policy is made by policy makers as guidelines
Procedures

define how the organization / government

agencies wants to do it
Procedures is developed by policy implementers
(administrative agencies)
Procedures describe in detail the process to implement a
policy.
Procedures are written in sequential order at a relatively high
level and assign responsibilities.
Procedure refers to the process rather than the result
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Advantages
clearly

articulate roles and responsibilities

describes in detail the process or steps to be
taken in order to implement a policy.
Mandatory to follow
Procedures will evolve over time in response to
internal or external environment changes.
Example:
University Procedures
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Action

/ behavior deviate from procedure if they

are not well understood/difficult to follow
Resulted to rigid process ofDisadvantages
decision making and
actions.

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PROBLEMS (constraints) IN
IMPLEMENTING POLICY
(i)

Time constraint
- most of the policy been implemented
only for a short period of time
- Thus, the policy makers do not able
to screen out the effectives of the
policy itself.
- Lack concentration of the policy may
contribute to the negative outcomes
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(2) Costly
- More or less the policy proposed needs
high allocation from the government
- The investment to the policy may not
convincing the government to get the
ROI (return on investment)
- Thus, proper budget for the proper
policy will be introduced

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(3) Authoritative decision

- this deals with the bureaucratic system
exist in the political institution
- the problem is, redundancy of making
the decision and from who the decision
should get
- This is due to (because) the who makes
the policy (policy makers) and which party
will implement the policy (policy
implementers).
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(4) non- supportive action from the

opposition parties
- political influence arises among the
interest and pressure groups
- the groups are trying to lobby the society
about the misconception about policy
introduced
- Lobbying process is involving the group
of people (opposition group) which try to
change the societies mentality and
perception about government.
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(5) infinity objectives

- it explains about the ability and the effort
taken to make the realization of the policy
- Due to the many obstacles and barriers
occur, the policy makers may face variable
challenges on the policy itself
- To achieve the objectives of the policy,
the government must have the targeted
goals on the certain period.

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Conditions for effective

implementation

10 conditions for effective policy implementation according to

Hogwood and Gunn, (1984),
Policy must not exceed the judicial / constitutional limits of the
agency
There must be adequate time frame and financial resources
(budget)
There must be adequate staff and guidelines / procedures
The policy in theory and practice must be compatible
Cause effect relationship - the policy must be very direct and
not complex easily understood and implementable

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Conditions for effective

implementation

10 conditions for effective implementation according to

Hogwood and Gunn, (1984):
Dependency relationship - the implementing agency must not
dependen on others
The basic objective of policy must be well understood and
agreed upon by all the implementing agencies
Task must be specified and in an appropriate sequence
Policy implementors must have the same information base,
interprete in the same way and communicate well to each other
Implementing agencies must work towards total compliance

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End of Lecture
Thank you

ADS514: Introduction to Public Policy, FSPPP. UiTM