Lecture 3
Policy Implementation
Revised Version by PS-PRD
LEARNING OUTCOMES
At the end of the lecture, the participants shall
have:
•Learned the nature of policy implementation;
•Familiarized the three approaches to policy
implementation;
•Differentiated policy problems and
implementation challenges; and
•Designed Policy Implementation Plans
OUTLINE
A. The Nature of Policy Implementation
B. The Three Approaches to Policy Implementation
1. Top-Down Approach
2. Bottom-Up Approach
3. Combined Approach
C. Policy Problems and Implementation Challenges
D. Designing a Policy Implementation Plan
Revised Version by PS-PRD
4
WHERE ARE
WE? POLICY
PERFORMANCE
POLICY ASSESSMENT POLICY FORMULATION
Evaluation Problem
Structuring
Forecasting
Structuring
Structuring
Problem
Problem
POLICY
PROBLEM
POLICY OUTCOMES POLICY FUTURES
Problem
Structuring
POLICY IMPLEMENTATION POLICY ADOPTION
AGENDA SETTING
Recommend
Monitoring ation
POLICY ACTIONS
Figure 1. Policy Analysis and Policy Development Process
Revised Version by PS-PRD
WHERE ARE
WE?
Figure 1. The
Policy
Development
Process in
DepEd
What is policy
implementation?
Answer through:
[Link]
Code: 3383 7825
POLICY IMPLEMENTATION
• “The process by which policies enacted by
government are put into effect by the relevant
agencies” (Birkland, 2001)
• “Implementation as the carrying out of a basic
policy decision, usually incorporated in a
statute but which can also take the form of
important executive orders or court decisions”
(Mazmanian and Sabatier, 1983)
• “Policy implementation is a function of
program/project implementation and their
outcomes” (Grindle, 1980)
Revised Version by PS-PRD
POLICY IMPLEMENTATION
• Public policies are not self-executing!
• Implementation involves many important actors
holding diffuse and competing goals and
expectations who work within a context of an
increasingly large and complex mix of
government programs that require
participation from numerous layers and units of
government and who are affected by power
factors beyond their control
Revised Version by PS-PRD
How do you implement
policies?
INTERORGANIZATIONAL
COMMUNICATION AND
ENFORCEMENT ACTIVITIES
STANDARDS AND
OBJECTIVES
CHARACTERISTICS OF THE THE DISPOSITION OF
IMPLEMENTING AGENCIES
POLICY IMPLEMENTORS
PERFORMANCE
RESOURCES
ECONOMIC, SOCIAL, AND
POLITICAL CONDITIONS
Figure 2. Policy Implementation Process
POLICY IMPLEMENTATION APPROACHES
Top Down
Top Down Approach
Approach
Combined
Approach
Bottom Up Bottom Up
Approach
Approach
Revised Version by PS-PRD
12
POLICY IMPLEMENTATION APPROACHES
Top Down • Policy designers as the
Approach central actor
• Concentrates on
factors that can be
manipulated at the
national/highest level
• Prioritizes “clear”
policies
Revised Version by PS-PRD
13
POLICY IMPLEMENTATION APPROACHES
• Policymakers as the central actor
Top Down
Approach • Well-defined structure of the
implementation process
• Clear objectives
• Adequate time and sufficient
resources
• Tasks are fully specified in
correct sequence
• “Adaptive compliance should be
unnecessary and
counterproductive” – Paul
Sabatier
Revised Version by PS-PRD
POLICY IMPLEMENTATION APPROACHES
Perfect
INTERORGANIZATIONAL
COMMUNICATION AND
Defined ENFORCEMENT ACTIVITIES
STANDARDS AND
OBJECTIVES
Limited /
Competent Controlled
CHARACTERISTICS OF THE THE DISPOSITION OF
IMPLEMENTING AGENCIES
POLICY IMPLEMENTORS
PERFORMANCE
Adequate
RESOURCES
No crippling
constraints
ECONOMIC, SOCIAL, AND
POLITICAL CONDITIONS
Figure 3. Policy Implementation Process and the Top-Down Model
TOP-DOWN APPROACH:
Conditions for Effective Implementation
• Clear objectives
• Clear causal theory
• Well-defined structure of the implementation
process
• Committed officials
• Supportive interest groups
Source: Cerna, 2015
Revised Version by PS-PRD
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POLICY IMPLEMENTATION APPROACHES
• “Street-level
bureaucrats” – policy is
made by them at the
local level
• “Backward mapping” –
Bottom Up
plans are made at the
Approach field to justify policy
goals
Revised Version by PS-PRD
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POLICY IMPLEMENTATION APPROACHES
• “Street-level
bureaucrats”
• Discretion of
implementers
• Flexible strategies to
Bottom Up
allow adaptation to local
Approach difficulties and contextual
factors
Revised Version by PS-PRD
POLICY IMPLEMENTATION APPROACHES
Horizontal at
May be INTERORGANIZATIONAL lowest level
COMMUNICATION AND
defined ENFORCEMENT ACTIVITIES
STANDARDS AND
OBJECTIVES
Competent
street level Discretion
CHARACTERISTICS OF THE THE DISPOSITION OF
IMPLEMENTING AGENCIES
POLICY IMPLEMENTORS
PERFORMANCE
Often
inadequate
RESOURCES Competing factors at
the local level
ECONOMIC, SOCIAL, AND
POLITICAL CONDITIONS
Figure 4. Policy Implementation Process and the Bottom-up Model
FACTORS THAT AFFECT POLICY IMPLEMENTATION
•Perceived freedom in determining the sort, quantity
and quality of sanctions and rewards during policy
implementation (Hill & Hupe, 2009; Tummers, 2012).
•Extent of freedom a decision-maker can exercise
within the effective limits of a public official’s power
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Policy Implementation Approaches
Assumptions Top-down Bottom-up
Standards and objectives Clearly defined May be generally defined
Resources Adequate May be inadequate
Inter-organizational Perfect Horizontal at lowest level
communication and enforcement
activities
Characteristics of the All implementers are competent Competent street level
implementing agencies bureaucrats
Economic, Social and Political No crippling constraints Competing factors at the local
Conditions level
Disposition of implementers Executes the policy Implementers provided with
discretion
Provides discretion to implementers?
Provides discretion to implementers?
Section VIII. Dissemination and utilization
Key words: “Encouraged”, “may/might”,
“such as but not limited to”, “can”,
“implementers shall adapt xxxxx”
Source: tooldev, n.d.
Revised Version by PS-PRD
Provides discretion to implementers?
POLICY IMPLEMENTATION APPROACHES
Top Down
• Combining (micro-level
Approach
variables of) bottom-up
and (macro-level variables
Combined of) top-down approaches
Approach in implementation
• Allows for differentiating
Bottom Up
Approach
between various policy
areas
Revised Version by PS-PRD
What are the factors
that affect policy
implementation?
Revised Version by PS-PRD
FACTORS THAT AFFECT POLICY IMPLEMENTATION
• Policy standards and objectives
• Policy resources
• Inter-organizational communication and
enforcement activities
• Characteristics of implementing agencies
• Economic, social, and political conditions
• Disposition of implementers
Revised Version by PS-PRD
Questions?
Revised Version by PS-PRD
Policy Success and Failure
Why do policies succeed
or fail?
How can we address causes
of policy success or failure?
Revised Version by PS-PRD
POLICY SUCCESS AND FAILURE
SUCCESS FAILURE
• Achievement of • Failure to deliver
objectives objectives
• Unintended /
unforeseen
negative
consequences
Revised Version by PS-PRD
EXPLANATIONS
• Comparison of policy alternatives
• The impact of changing circumstance
• Relationships of one policy to another and the
boundary question
• Excessive policy demand and expectations
• Accurate theory of causation
• Choice of effective policy tools
• The vagaries of implementation
• Failure of political institution
Birkland (2010)
Revised Version by PS-PRD
GAPS IN DEPED POLICIES*
• Limited policy scope
• Unclear policy provisions
• Lack of consolidated policy
• Late issuance of policy
• Lack of M&E mechanism
• Outdated policy provisions
• Weak policy communication strategy
• Absence of proper referencing on the status
of education policies
• Unclear accountability on issued policies
*Based on 2016 Policy Mapping Exercise with CO bureaus and services
Revised Version by PS-PRD
Questions?
Revised Version by PS-PRD
Health break
Revised Version by PS-PRD
POLICY IMPLEMENTATION
PLAN
Revised Version by PS-PRD
POLICY IMPLEMENTATION PLAN
A policy implementation plan shows
how each item in a policy will be
implemented in practice. This type
of matrix can be used for the
implementation of national or
organizational policies.
Source: tooldev, n.d.
Revised Version by PS-PRD
What are the
considerations in crafting
policy implementation
plan?
Revised Version by PS-PRD
Revised Version by PS-PRD
40
POLICY IMPLEMENTATION PLAN
Items to be answered are:
• POLICY - What is the policy to be implemented? (i.e.,
best/optimal policy alternative)
• CRITICAL ACTION - What actions must be completed
to implement the policy?
• RESPONSIBLE/ACCOUNTABLE UNIT - Who is
responsible for the action?
• TIMEFRAME - When must the action be completed?
• BUDGET - How much will it cost to implement the
action?
• BUDGET SOURCE - Where will the funding come from?
(internal and external funding source) Source: tooldev, n.d.
Revised Version by PS-PRD
POLICY IMPLEMENTATION PLAN
• Review the duties, tasks, responsibilities, and activities of
your office in the policy (DepEd Order)
Source: tooldev, n.d.
Revised Version by PS-PRD
POLICY IMPLEMENTATION PLAN
• Review the duties, tasks, responsibilities, and activities of
your office in the policy (DepEd Order)
• Combine related tasks and duties and specify them into
activities
Source: tooldev, n.d.
Revised Version by PS-PRD
Conduct initial screening and submit recommendations to the
NRC
Liaise with PNU for the conduct of DKAP
Liaise with IPA for the teacher needs assessment survey
POLICY IMPLEMENTATION PLAN
• Review the duties, tasks, responsibilities, and activities of
your office in the policy (DepEd Order)
• Combine related tasks and duties and specify them into
activities
• Check provisions that allow discretion to implementers
and identify support initiatives in line with office mandate
Source: tooldev, n.d.
Revised Version by PS-PRD
POLICY IMPLEMENTATION PLAN
• Review the duties, tasks, responsibilities, and activities of
your office in the policy (DepEd Order)
• Combine related tasks and duties and specify them into
activities
• Check provisions that allow discretion to implementers
and identify support initiatives in line with office mandate
• Reflect tasks and duties as critical actions in the IMPLAN
Source: tooldev, n.d.
Revised Version by PS-PRD
Conduct initial screening and submit recommendations to the
NRC
Liaise with PNU for the conduct of DKAP
Liaise with IPA for the teacher needs assessment survey
POLICY IMPLEMENTATION PLAN
Responsible/ Budget
Critical Action Timeframe Budget
Accountable Unit Source
Organize, coordinate, document
PS-PRD
meeting of the NRC
Conduct initial screening of
research proposals and submit PS-PRD
recommendations to the NRC
Liaise with PNU for the conduct
PS-PRD
of DKAP
Liaise with IPA for the teacher PS-PRD
needs assessment survey
Provide technical assistance to
PS-PRD
researchers
Conduct orientation to new Support initiatives to achieve outputs
and/or capb of NRC members
PS-PRD
within office mandate
Source: tooldev, n.d.
Revised Version by PS-PRD
POLICY IMPLEMENTATION PLAN
• Review the duties, tasks, responsibilities, and activities of
your office in the policy (DepEd Order)
• Combine related tasks and duties and specify them into
activities
• Check provisions that allow discretion to implementers
and identify support initiatives in line with office mandate
• Reflect tasks and duties as critical actions in the IMPLAN
• Estimate the budget per critical action and identify budget
source
• Identify and plot timeframe
Source: tooldev, n.d.
Revised Version by PS-PRD
POLICY IMPLEMENTATION PLAN
Responsible/ Budget
Critical Action Timeframe Budget
Accountable Unit Source
Organize, coordinate, document
PS-PRD June, November N/a N/a
meeting of the NRC
Conduct initial screening of
research proposals and submit PS-PRD April - May N/a N/a
recommendations to the NRC
Liaise with PNU for the conduct
PS-PRD January - Feb N/a N/a
of DKAP
Liaise with IPA for the teacher PS-PRD
January - March N/a N/a
needs assessment survey
Provide technical assistance to
PS-PRD Recurring N/a N/a
researchers
Conduct orientation to new
and/or capb of NRC members
PS-PRD March 45,000 WFP
Source: tooldev, n.d.
Revised Version by PS-PRD
Questions?
Revised Version by PS-PRD
What if you encounter a
shortcoming or
conflicting provisions in
the existing policy?
[Link]
Revised Version by PS-PRD
Policy Problem vs
Implementation Challenge
Revised Version by PS-PRD
POLICY PROBLEMS
An unrealized need, value, or
opportunity which, however identified,
that may be attained through
public action.
Source: tooldev, n.d.
Revised Version by PS-PRD
Policy Problem vs Implementation Challenge
POLICY PROBLEM IMPLEMENTATION CHALLENGE
• Problems emanating • Problems emanating
from the lack or from the
absence of a policy operationalization /
• Problems which may implementation of a
be addressed by policy
amending, revising, or • Problems which may be
developing a policy addressed by existing
processes, systems,
and policies
Revised Version by PS-PRD
Policy Problem vs Implementation Challenge
POLICY PROBLEM IMPLEMENTATION CHALLENGE
• Lack/absence of public • Administrative matters
policy • Political climate
• Conflicting policies • Management style
• Unresponsive/mismatch • Attitude and behavior of
ed policies people
• Ineffective policy
• Inefficient policy
• Inequitable policy
Revised Version by PS-PRD
Exercise
1. Undefined actors in policy implementation
2. Incompetent implementers
3. Conflicting provisions from the same policy
4. Opposition of implementers to implement the policy
5. Process flow of implementing office
[Link]
Revised Version by PS-PRD
POLICY PROBLEM IMPLEMENTATION CHALLENGE
Using BERF to purchase
softwares and
equipments for grantees
Revised Version by PS-PRD
POLICY PROBLEM IMPLEMENTATION CHALLENGE
Undefined accountable
actors to implement the
policy
Revised Version by PS-PRD
POLICY PROBLEM IMPLEMENTATION CHALLENGE
Incompetent
implementers
Revised Version by PS-PRD
POLICY PROBLEM IMPLEMENTATION CHALLENGE
Process flow of
implementing office
Revised Version by PS-PRD
What if you encounter a
shortcoming or
conflicting provisions in
the existing policy?
Revised Version by PS-PRD
•Policy problem – subject to policy
analysis and elevate to CO
•Implementation challenge – develop
activities to address challenge for
inclusion in the IMPLAN
Source: tooldev, n.d.
Revised Version by PS-PRD
REFERENCES
• Dunn, W.N. (1994 & 2004). Public policy analysis: An introduction.
Englewood Cliffs, N.J.: Prentice Hall & Upper Saddle River, N.J.:
Pearson/Prentice Hall. (Note: Slides without attribution are from
Dunn)
• Birkland, T.A (2001). An introduction to the policy process: Theories,
concepts and models of policymaking. Armonk, NY: M.E. Sharpe.
• Cerna, L. (2013). The nature of policy change and implementation: A
review of different theoretical approaches. Retrieved from
[Link]
y%20Change%20and%[Link].
• Grindle, M.S. (1980). Politics and policy implementation in the Third
World. Princeton, NJ: Princeton University.
• toolsdev (n.d.). Policy implementation matrix. Retrieved from
[Link]
emplate/
Revised Version by PS-PRD
WORKSHOP 2:
POLICY IMPLEMENTATION PLAN
Instructions:
• Using the template for the Policy Implementation Plan, identify the
following in light of the roles & responsibilities of the RO in the DepEd
Order:
✔ Critical Action
✔ Responsible/Accountable Unit
✔ Timeframe
✔ Budget
✔ Budget Source
• Upload your output on the google drive before 06:00PM
Time Allotment: 2 hours
Materials: Workshop template
Revised Version by PS-PRD
POLICY IMPLEMENTATION PLAN
Responsible/ Budget
Critical Action Timeframe Budget
Accountable Unit Source
Source: tooldev, n.d.
Revised Version by PS-PRD
WORKSHOP 2:
Presentation Guidelines
● A group member/s shall present the implementation plan in 10
mins
● The presenter shall highlight the following:
○ Critical actions which were directly lifted from the DepEd Order
○ Additional critical actions from office mandate and/or to address
implementation challenges
○ Encountered policy problem/s, if any
○ Encountered challenges in developing the IMPLAN
Revised Version by PS-PRD
END
Revised Version by PS-PRD