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:
https://www.menti.com/zs95hctcmk
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

 16

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

 17

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
 20

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?
http://bit.ly/Policy_ImplementationPP

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

http://bit.ly/Policy_ImplementationExerciseIVA

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
http://www.oecd.org/education/ceri/The%20Nature%20of%20Polic
y%20Change%20and%20Implementation.pdf.
• Grindle, M.S. (1980). Politics and policy implementation in the Third
World. Princeton, NJ: Princeton University.
• toolsdev (n.d.). Policy implementation matrix. Retrieved from
http://www.tools4dev.org/resources/policy-implementation-matrix-t
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