Chapter 8 Policy Implementation

1. Chapter 8 Policy Implementation 8.1 概念界定 Policy Implementation: The process whereby programs of policies are carried out; it denotes the translation of plans into practice.

2. 8.2 三种研究路径 • Top-down Concerned with how the implementing officials could be made to do their job • Bottom-up Start from the perspective of those affected by and involved in the implementation • Instrument choice Regarded Implementation process as one in which various tools of government were applied to concrete cases in policy design

3. 8.3 本章学习目的 In this chapter, we set out the factorsthat make policy implementation a difficult task and discuss the main perspective on the subject before examing the factors affecting the choice of instruments for implementing policy.

4. 8.4 The realities of policy imiplementation Distinct from the stated objectives and the procedures prescribed for achieving them.

5. 8.4.1 原因分析：执行过程中的限制因素 • Nature of the problems • The circumstances surrounding them • Organization of the administrative apparatus • Political and economic resources • Public support

6. 8.4.2 The nature of the problems • Technical difficulties during implementation • The diversity of problems • The size of the target group • The extent of the behavioural change the policy requires of target group

7. 8.4.3 Context • Social conditions • Economic conditions • The availablity of new technology • Political circumstances

8. 8.4.4 Administrative apparatus Different bureaucratic organizations within the government and at other levels of government ,each with its own interests, ambitions, and traditions that can hamper the implementation process.

9. 8.4.5 看清现实，得出启示 Lead not only to a greater appreciation of the difficulties encountered in policy implementation, but also to attempts to design policies in a manner offering a reasonable chance of success in implementation

10. 8.4.6 如何设计出一项比较利于执行的政策？ • Decision-makers state the goals of policy and their relative ranking clearly. • Policy must be backed by a causal theory • Policy must have sufficient funds allocated to it for successful implementation • Policy should set out clear procedures • Allocate to an agency with relevant experience and commitment for implementing

11. 8.5 Perspectives on policy implementation • Top-down approach • Bottom-up approach

12. 8.5.1 Top-down approach • Assumption: View the policy process as a series of chains of command where political leaders articulate a clear policy preference which is then carried out at a increasing levels of specificity as it goes through the administrative machinery that serves the government.

13. 8.5.2 该研究方法的具体操作 • Start with the decisions of the government • examine the extent to which administrators carry out or fail to carry out the decisions • Seek to find the reasons underlying theextent of the implementation

14. 8.5.3 该研究方法的缺陷 The most serious shortcoming: concerns its focus on senior decision-makers, and neglect of a focus on lower level officials. senior decision-makers play only a marginalrole in implementation compared to lower level officials and members of the public.

15. 8.5.4 Bottom-up approach • Assumption: The success or failure of many programs oftern depends on the commitment and skills of the actors at the bottom directly involved in implementing programs.

16. 8.5.5 该研究方法的具体操作 • Start with all the public and private actors involved implementing programs • Examine their personal and organizational goals,their strategies,and the network of contacts they have built. • Discover the goals,strategies,and contacts in concrete programs.

17. 8.5.6 该研究方法的优点 It directs attention to the formal and informal relationships constituting the policy networks involved in making and implementing policies.

18. 8.6.1 Instrument choice Focus: • Why a government chooses particular instruments from among the many available • Whether any distinct patterns or styles of instrument choice can be discerned in the policy implementation process.

19. 8.6.2 三个模型 • Economic models (Deductive) • Political models (Inductive) • A synthetic model

20. 8.6.3 Economic models • Assumption: Concerns what governments do or ought to do, rather than on empirical investigations into what they actually do.

21. 8.6.4 两个经济学派观点 Welfare economists’ model: • Treat the choice of instrument as a strictly technical exercise • Permit greater scope for the use of compulsory and mixed instruments to correct market failure.

22. Neo-classical economists’ model • Rely on Public Choice theory to expain patterns of instrument use. • Approve the use of compulsory and mixedinstruments only for providing pure public goods, their use for any other reason is viewed as distorting the market process.

23. 8.6.5 Political models Bruce Doern model: • Assumption: all instruments are technically substitutable, in a liberal democratic society governments prefer to use the least coercive instrument and would move up the scale as necessary to overcome societal resistance to effective regulation.

24. 8.6.6 Doern模型存在的问题 • No government has the complete range of instrument choice, subject to social and political constraints. • Slow movement up the coercion scale does not conform to the empirical evidence. • The idea of social resistance provokinggovernments to move towards more coercive instruments is also problematic.

25. 8.6.7 Christopher Hood model • instrument choice is not a technical exercise but a matter of faith and politics. • The choice is shaped by resource constraints,political pressures, legal constraints, and the lessons learnt from past instrument failures. • Normal patterns of government re-tooling: basing on information shift to on other resource, coercion to use of financial and organizational resource. • Technological change may erode the usefulness of old instruments and lead to the application of new ones.

26. 8.6.7 影响不同工具发挥效力的因素 • The nature of the social groups they are intended to influence • The size of the target group:the larger,the more likely government will use passive instrument.

27. 8.6.8 Hood模型未能解决的诸多问题 • Why should governments inherently desire to use bureaucracy sparingly? • Why should resources like treasure and organization be considered less replenishable? • When it is apparent to most observers that the extended use of either propaganda or force has diminishing returns?

28. 8.6.9 Linder and Peters model 影响工具选择的因素： • Features of policy instruments: resource intensiveness, targeting, political risk, constraints on state activity. • A nation’s policy style and political culture, and the depth of its social cleavages • Context of the problem situation • Preferences:based on their professional background, institutional affliation, and cognitive make-up.

29. 8.6.10 比较分析三个模型 共同的缺陷在于：不能充分将行为主体偏好的作用过程概念化

30. 8.6.11 A synthetic model The model combines the insights afforded by economists and political scientists into the reationales of instrument choice.

31. 8.6.12 运用于该模型的四种政策工具 • Market • Family or community • Regulation,public enterprise,or direct provision • Mixed instruments

32. 8.6.13 A model of instrument preferences complexity of the policy subsystem high Maket instruments Regulatory Public Enterprise, or Direct Provision Instruments State Capacity high Voluntary Community or Family Based Instruments low Mixed Instruments low