71 Chapter 6 – Policy Implementation 

CHAPTER OBJECTIVES:

• Outline the major steps in the implementation process.
• Discuss the government actors responsible for implementing policy.
• Explain the factors affecting successful policy implementation.
• Compare the procedures policymakers utilize to overcome obstacles.  

Casual observers may think the policy process is complete once a law is passed or an executive order is issued. However, the policy, once authorized, must be implemented. Implementation is the “set of activities directed toward putting a program into effect” (Jones, 1984). Implementation is a complex process and can take months, or even years, to fully complete. Kraft and Furlong (2018) consider three activities crucial to successful implementation: organization, interpretation, and application. Organization refers to the administration of the program, particularly the resources allocated, and the personnel assigned. Interpretation addresses how the policy is understood by those responsible for administering the policy. Lastly, application is how the policy objectives are carried out.

Executives—presidents, governors, and mayors—are generally responsible for executing policy by way of bureaucratic agencies. Examples of such agencies include the Department of Health and Human Services at the federal level, the Department of Transportation at the state level, and the Parks and Recreation Department at the local level. Executives are also responsible for selecting agency heads to oversee policy execution. Presidents generally have appointed officials who agree with them on program objectives (commonly referred to as “yes-men”) and are experts in the field; they may also receive their appointment as patronage for supporting the executive in their bid for elected office. William Barr, whom President Trump appointed to replace Attorney General Sessions, was a proponent of uncontested executive power and is considered a yes-man by many. Conversely, George Romney as Secretary of the Department of Housing and Urban Development  and Clifford Hardin as Secretary of the Department of Agriculture were chosen by President Nixon not as spokesmen for his agenda but as spokesmen of the interests they served (Nathan, 1975).

Though the executive is responsible for policy execution, agencies rely on funding to administer programs. The executive and legislative branch each put forth their budget priorities and must negotiate to reach a final agreement before a budget is passed. The budget will allocate funds through appropriations. Agencies, therefore, are constrained by both the legislature and the executive, particularly during periods of divided government. Therefore, it is incumbent on agency heads to maintain a strong, positive relationship with both executive and legislative branches. The appropriation of policy does not guarantee its success. The policy relies on personnel, funding, and buy-in by bureaucrats to implement legislation as directed. Furthermore, policies may be overridden when a new executive is elected and the composition of the legislature changes—when, for example, party control in Congress or the state legislature shifts—which could affect appropriations. Overrides can also occur if bureaucrats change their opinion on the policy, either due to personnel turnover or changes in resource allocation.

Implementation is an ongoing endeavor that will continue until the policy is terminated. Policy administrators, particularly the managers, must continuously monitor the policy and protect it from those who would like to see it fail. Bardach (1977) contends that policy implementation can be looked at as one views a machine. A machine, much like public policy, is complex and has many moving parts that must work together to produce the desiredoutput. This chapter will explore the implementation process by considering who implements policy, what factors influence implementation, which action levers policy makers can utilize in the process, and the ways scholars approach the study of implementation.