Chapter 13

©2011, Cengage Learning, Brooks/ Col©2011, Cengage Learning, Brooks/ Cole Publishinge Publishing

Becoming an Effective Becoming an Effective Policy AdvocatePolicy Advocate

Bruce Jansson, University of Southern CaliforniaBruce Jansson, University of Southern California

PowerPoint created byPowerPoint created by

Gretchen Heidemann, MSW, PhD CandidateGretchen Heidemann, MSW, PhD Candidate

University of Southern CaliforniaUniversity of Southern California

School of Social WorkSchool of Social Work


Chapter 13Chapter 13Troubleshooting Policies Troubleshooting Policies


Policy ImplementationPolicy Implementation

This chapter discusses the Policy This chapter discusses the Policy Implementing task (Task #7) in the Policy Implementing task (Task #7) in the Policy Practice and Advocacy ModelPractice and Advocacy Model

Implementation is vital to policymaking; Implementation is vital to policymaking; without it, official policies are meaninglesswithout it, official policies are meaningless


A Framework for Implementing A Framework for Implementing PolicyPolicy

Policy implementation is a system that Policy implementation is a system that includes:includes:1.1. The context of implementation The context of implementation

2.2. Policy innovationsPolicy innovations

3.3. Oversight organizations and staffOversight organizations and staff

4.4. Primary implementing organizationsPrimary implementing organizations

5.5. Implementing processes within specific agenciesImplementing processes within specific agencies

6.6. Interorganizational processesInterorganizational processes

7.7. External pressures on implementersExternal pressures on implementers

8.8. The evaluation of policy outcomesThe evaluation of policy outcomes


A Framework for Implementing A Framework for Implementing PolicyPolicy

This systems framework allows us to: This systems framework allows us to: – Track a policy’s implementation from its enactment to its Track a policy’s implementation from its enactment to its

final outcome final outcome – Place it in its political, economic, and legal context Place it in its political, economic, and legal context

throughout its implementationthroughout its implementation– Identify and analyze the action system that springs into Identify and analyze the action system that springs into

place once a policy innovation is enactedplace once a policy innovation is enacted– Troubleshoot how the implementation process is flawed Troubleshoot how the implementation process is flawed – Determine what kinds of reforms we might seek to Determine what kinds of reforms we might seek to

secure more effective implementationsecure more effective implementation– Analyze the implementation of specific innovations or Analyze the implementation of specific innovations or

policies where an agency (or agencies) takes the leadpolicies where an agency (or agencies) takes the lead


The Context of ImplementationThe Context of Implementation

Implementation never occurs in a vacuum; Implementation never occurs in a vacuum; the context powerfully shapes how specific the context powerfully shapes how specific policies are implementedpolicies are implemented

Implementation is closely linked to Implementation is closely linked to ideology and partisan politicsideology and partisan politics

Courts also frequently make rulings that Courts also frequently make rulings that influence the implementation of specific influence the implementation of specific policiespolicies


Examples of Factors that Assist Examples of Factors that Assist or Impede Implementationor Impede Implementation

Factors that can Factors that can AssistAssist Implementation:Implementation:– ResourcesResources– Tracking systemsTracking systems– External reviewing bodiesExternal reviewing bodies– Mandated internal reviewsMandated internal reviews– Incentives to make program Incentives to make program

efficientefficient– Public interest and pressurePublic interest and pressure– Incentives for inter-agency Incentives for inter-agency

collaboration & partnershipscollaboration & partnerships– Positive media coveragePositive media coverage

Factors that can Factors that can ImpedeImpede Implementation:Implementation:– Lack of commitment / Lack of commitment /

energies invested elsewhereenergies invested elsewhere– Rigid hierarchiesRigid hierarchies– Administrative emphasis Administrative emphasis

away from original goalsaway from original goals– Lack of resources & trainingLack of resources & training– Lack of supportive / Lack of supportive /

supplemental servicessupplemental services– Lack of infrastructure in local Lack of infrastructure in local

jurisdictionsjurisdictions– Social and economic realitiesSocial and economic realities– Shifts in public perceptionShifts in public perception


Additional Factors that Affect Additional Factors that Affect ImplementationImplementation

Legislatures and politicians watchingLegislatures and politicians watching

Litigation Litigation

The mass mediaThe mass media

Crises and pivotal events Crises and pivotal events

Economic, social, and demographic shiftsEconomic, social, and demographic shifts

Organized interestsOrganized interests


Policy Innovations or Major New Policy Innovations or Major New InitiativesInitiatives

A specific policy innovation is the starting A specific policy innovation is the starting point for implementationpoint for implementation

Or a major social problem or issue can Or a major social problem or issue can provide the impetus to implementationprovide the impetus to implementation

Some policy innovations and some efforts Some policy innovations and some efforts to address social problems are simpler to to address social problems are simpler to implement than othersimplement than others



Many kinds of policy innovations exist:Many kinds of policy innovations exist:– Simple onesSimple ones

Such as a policy that modifies an agency’s intake Such as a policy that modifies an agency’s intake services services Can be implemented by relatively few persons or Can be implemented by relatively few persons or one agencyone agencyInvolve only a single, or few, tasksInvolve only a single, or few, tasksCan be detailed, but are often vaguely definedCan be detailed, but are often vaguely definedAre relatively non-controversialAre relatively non-controversialRequire only modest changes in traditional Require only modest changes in traditional practicespractices



Many kinds of policy innovations (cont.):Many kinds of policy innovations (cont.):– Highly complex onesHighly complex ones

Such as major federal legislation related to welfareSuch as major federal legislation related to welfare

Require the collaboration of many people and Require the collaboration of many people and agenciesagencies

Involve a sequence of tasksInvolve a sequence of tasks

Are usually highly detailedAre usually highly detailed

Are often opposed by powerful interestsAre often opposed by powerful interests

Often demand sweeping changes to traditional Often demand sweeping changes to traditional practicespractices



Some policy innovations are not programs, but Some policy innovations are not programs, but rather rather regulationsregulationsSome regulations are controversial; others are notSome regulations are controversial; others are notSome are rigidly enforced; others are notSome are rigidly enforced; others are notExamples of regulations include:Examples of regulations include:– Rules governing worker safetyRules governing worker safety– Laws protecting patient and client confidentialityLaws protecting patient and client confidentiality– Federal minimum wage law Federal minimum wage law – Regulations regarding public loitering Regulations regarding public loitering – Regulations regarding the licensing and training of social Regulations regarding the licensing and training of social

workers and other professionalsworkers and other professionals– Regulations governing affirmative actionRegulations governing affirmative action



Innovations and efforts to address social Innovations and efforts to address social problems are more difficult to implement when: problems are more difficult to implement when: – They require major changes from the status quoThey require major changes from the status quo– They require many institutions to collaborateThey require many institutions to collaborate– They are costlyThey are costly– A sequence of tasks must be accomplishedA sequence of tasks must be accomplished– They are controversialThey are controversial– They ask implementers to discard traditional practicesThey ask implementers to discard traditional practices– They contain They contain internal contradictions internal contradictions – They containThey contain flawed strategies flawed strategies



Example of an internal contradictionExample of an internal contradiction– A policy innovation seeks ambitious changes in A policy innovation seeks ambitious changes in

existing programs but allocates only minimal existing programs but allocates only minimal resourcesresources

Example of a flawed strategyExample of a flawed strategy– Welfare legislation that proposed giving jobs to many Welfare legislation that proposed giving jobs to many

women on welfare when well-paying, blue-collar jobs women on welfare when well-paying, blue-collar jobs were in sharp declinewere in sharp decline

– This can also occur when the theoryThis can also occur when the theory behind a behind a particular piece of legislation conflicts with economic particular piece of legislation conflicts with economic and social realitiesand social realities that follow itthat follow it


Oversight Organizations and Oversight Organizations and StaffStaff

In the case of publicly funded programs, In the case of publicly funded programs, oversight agencies are public funding agenciesoversight agencies are public funding agenciesIn the case of privately funded programs, In the case of privately funded programs, oversight agencies include foundations and oversight agencies include foundations and other private entities that provide funds to other private entities that provide funds to nongovernmental agenciesnongovernmental agenciesIn other cases, oversight authority is dispersed In other cases, oversight authority is dispersed between a vast number of city, state, and federal between a vast number of city, state, and federal agencies each with its own programs and agencies each with its own programs and resourcesresources



Oversight agencies are critically important to the Oversight agencies are critically important to the implementation of policy because they: implementation of policy because they: – Have clout over agencies Have clout over agencies – Provide agencies with resourcesProvide agencies with resources

and can withdraw resources if they believe the agencies are and can withdraw resources if they believe the agencies are not performing adequatelynot performing adequately

– Monitor programs that they fundMonitor programs that they fund– Provide technical assistance to help agencies better Provide technical assistance to help agencies better

accomplish specific tasksaccomplish specific tasks– Establish administrative regulations that govern the Establish administrative regulations that govern the

implementing processimplementing process



Oversight agencies are required to: Oversight agencies are required to: – Publicize proposed regulations before they are enactedPublicize proposed regulations before they are enacted– Hold public hearings about themHold public hearings about them– Invite written commentsInvite written comments– Take public sentiment into account before they issue the Take public sentiment into account before they issue the

final versionsfinal versions

Policy advocates should work to: Policy advocates should work to: – Know about administrative regulationsKnow about administrative regulations– Try to influence their contentTry to influence their content– Make certain that the oversight agencies receive input Make certain that the oversight agencies receive input

from citizens and agencies before they finalize or from citizens and agencies before they finalize or change administrative regulationschange administrative regulations



Oversight organizations often use purchase-of-Oversight organizations often use purchase-of-service contracts to fund implementationservice contracts to fund implementation– are awarded through a bidding contestare awarded through a bidding contest

Other times they select a specific agency to provide Other times they select a specific agency to provide servicesservices

These contracts are a critical part of the These contracts are a critical part of the implementing process because they:implementing process because they: – Define the amount of services to be providedDefine the amount of services to be provided– Establish minimum standardsEstablish minimum standards– Often require an evaluationOften require an evaluation– Impose specific auditing and budget provisionsImpose specific auditing and budget provisions


Primary Implementing Primary Implementing OrganizationsOrganizations

The fate of a policy innovation hinges on the The fate of a policy innovation hinges on the beliefs and actions of various people and groupsbeliefs and actions of various people and groupsThe beliefs and actions of decision makers, The beliefs and actions of decision makers, executives, staff, and clients may shift as executives, staff, and clients may shift as implementation takes shapeimplementation takes shape– Thus they are constantly evolving Thus they are constantly evolving

Direct participants include: Direct participants include: – High-authority figures High-authority figures – Intermediate-authority figuresIntermediate-authority figures– Firing-line staffFiring-line staff– ConsumersConsumers



High-authority figures High-authority figures can:can: – choose to fully support a policy with verbal, financial, and choose to fully support a policy with verbal, financial, and

time resourcestime resources– ignore a policy, neglect to address it, or actively oppose itignore a policy, neglect to address it, or actively oppose it

When executives believe that a policy is unwise or When executives believe that a policy is unwise or intrusive, they are more likely not to enforce some of intrusive, they are more likely not to enforce some of its goals or provisionsits goals or provisions

When they like an innovation, they are more likely When they like an innovation, they are more likely to:to: – invest their own political capital to ensure its successinvest their own political capital to ensure its success– allocate resources to itallocate resources to it– ask staff members to go the extra mileask staff members to go the extra mile



Intermediate-authority figures Intermediate-authority figures occupy a mid-level occupy a mid-level position between executives and line staffposition between executives and line staff– Ex: supervisors and administrative staffEx: supervisors and administrative staff

When they favor a policy, they are likely to:When they favor a policy, they are likely to:– Report to higher-level executives any problems or Report to higher-level executives any problems or

issues they see in its implementationissues they see in its implementation– Carefully monitor line staff to be certain that they Carefully monitor line staff to be certain that they

implement the policyimplement the policy

If they dislike an innovation, they might: If they dislike an innovation, they might: – Sabotage it by opposing it Sabotage it by opposing it – Fail to address implementation barriersFail to address implementation barriers



Firing line staffFiring line staff can be referred to as “scan be referred to as “sttreet-level reet-level bureaucrats”bureaucrats”Because they have consider autonomy and Because they have consider autonomy and discretion, they can both implement and discretion, they can both implement and sabotage policiessabotage policiesThey are likely to implement a policy when:They are likely to implement a policy when:– They fully understand and support it They fully understand and support it – They are given technical supports in implementing itThey are given technical supports in implementing it– The agency’s informal cultural is consonant with itThe agency’s informal cultural is consonant with it– Supervisors skillfully assist them in implementing itSupervisors skillfully assist them in implementing it



ConsumersConsumers profoundly shape implementation profoundly shape implementationThey decide: They decide: – When TO and when NOT to use programsWhen TO and when NOT to use programs– How much effort to invest How much effort to invest – What kinds of advice or directive to heed or not to What kinds of advice or directive to heed or not to

heedheed

Consumers will reject programs when: Consumers will reject programs when: – The benefits do not seem to offset the costs and risks The benefits do not seem to offset the costs and risks

associated with themassociated with them– The time and effort involved in using services is The time and effort involved in using services is

greater than the actual benefits receivedgreater than the actual benefits received


Additional Issues in Primary Additional Issues in Primary Implementing OrganizationsImplementing Organizations

Interactions between different layers of staff also Interactions between different layers of staff also influence the course of implementationinfluence the course of implementation

Organizations have Organizations have standard operating proceduresstandard operating procedures, , such as those for:such as those for: – reaching their clientelereaching their clientele– organizing waiting lists organizing waiting lists – addressing clients’ needsaddressing clients’ needs– making referralsmaking referrals

They also have missions that define their priorities They also have missions that define their priorities and their approach to specific problemsand their approach to specific problemsFinally, an organizations’ patterns of resource Finally, an organizations’ patterns of resource allocation can profoundly shape a policy’s fateallocation can profoundly shape a policy’s fate


Interorganizational ProcessesInterorganizational Processes

Primary implementing organizations are often Primary implementing organizations are often joined by joined by collaborating organizations collaborating organizations that: that: – perform tasksperform tasks– provide services provide services – interact in other ways with the primary implementersinteract in other ways with the primary implementers

Sometimes these collaborations are planned, or Sometimes these collaborations are planned, or are even mandated in the policy innovation itselfare even mandated in the policy innovation itself

In other cases, collaborations emerge In other cases, collaborations emerge accidentally or serendipitouslyaccidentally or serendipitously



Consumers often need assistance from many kinds Consumers often need assistance from many kinds of agencies and programs, yet getting organizations of agencies and programs, yet getting organizations to collaborate is not often easyto collaborate is not often easyPotential challenges in collaboration:Potential challenges in collaboration:– Delays in solutions due to communication problemsDelays in solutions due to communication problems– Loss of autonomyLoss of autonomy– Conflict over goals and methodsConflict over goals and methods– Loss of resources and timeLoss of resources and time

Potential benefits of collaboration:Potential benefits of collaboration:– Better services for clientsBetter services for clients– Sharing costs and gaining resourcesSharing costs and gaining resources– Learning new technologies and finding innovative solutionsLearning new technologies and finding innovative solutions



The spectrum of collaboration among organizations The spectrum of collaboration among organizations runs from incidental to integratedruns from incidental to integrated

Incidental collaborations:Incidental collaborations: – Are simpler to put in placeAre simpler to put in place– Require staff from 2 (or more) agencies to establish Require staff from 2 (or more) agencies to establish

communication, develop common approaches, and trust communication, develop common approaches, and trust one anotherone another

Service integration:Service integration:– Where an actual merger occurs, whether programmatically Where an actual merger occurs, whether programmatically

or budgetarilyor budgetarily– More difficult to orchestrate; requires extensive negotiating More difficult to orchestrate; requires extensive negotiating – Requires some kind of joint governanceRequires some kind of joint governance



Interorganizational collaborations are often Interorganizational collaborations are often frustrated by fragmentation in funding from high-frustrated by fragmentation in funding from high-level sourceslevel sources

Case management is not a panacea for Case management is not a panacea for spanning organizational boundaries because: spanning organizational boundaries because: – It is usually not a joint program but a one-way referral It is usually not a joint program but a one-way referral

system from one agency to other agenciessystem from one agency to other agencies

Interorganizational collaborations often arise Interorganizational collaborations often arise from the determined efforts of staff at the from the determined efforts of staff at the grassroots level rather than from higher levelsgrassroots level rather than from higher levels


Diagnosing Implementing Diagnosing Implementing ProcessesProcesses

We must critically analyze the organizational We must critically analyze the organizational processes that follow a policy’s initial processes that follow a policy’s initial implementation to locate errors or problemsimplementation to locate errors or problemsQuestions should be asked about:Questions should be asked about:– Clear communication of goals and provisionsClear communication of goals and provisions– Timely and good information and dataTimely and good information and data– Understanding of the innovation by high-level officialsUnderstanding of the innovation by high-level officials– Clear time linesClear time lines– Accomplishment of appropriate logistical tasksAccomplishment of appropriate logistical tasks– Role clarity and training for implementing staffRole clarity and training for implementing staff– Resource allocationResource allocation– Belief systems that impeded implementationBelief systems that impeded implementation– Collaborations and organizational boundariesCollaborations and organizational boundaries


Actual Outputs: Assessment of Actual Outputs: Assessment of Implemented PoliciesImplemented Policies

The framers of policy innovations want them to The framers of policy innovations want them to achieve specific goals, but it is not always easy to achieve specific goals, but it is not always easy to evaluate outcomes objectivelyevaluate outcomes objectivelyChallenges in evaluation:Challenges in evaluation:– We often have to rely on reports and statistics from those We often have to rely on reports and statistics from those

who actually implement a policy to ascertain whether it has who actually implement a policy to ascertain whether it has been implementedbeen implemented

– Agencies and providers may slant these data in order not Agencies and providers may slant these data in order not to jeopardize continued funding to jeopardize continued funding

– They require considerable time and resources to completeThey require considerable time and resources to complete– With complex, multi-faceted projects, it can be difficult to With complex, multi-faceted projects, it can be difficult to

define what constitutes success or failuredefine what constitutes success or failure– Encountering mixed results in the dataEncountering mixed results in the data


Actual Outputs: Assessment of Actual Outputs: Assessment of Implemented PoliciesImplemented Policies

Perceptions of program outcomes often Perceptions of program outcomes often become an important part of a policy’s become an important part of a policy’s contextcontextIf legislators believe that implementing If legislators believe that implementing staff have not complied with existing staff have not complied with existing policy, they may: policy, they may: – cut the funding for the program cut the funding for the program – modify the original legislation to make the modify the original legislation to make the

official policy more preciseofficial policy more precise


Reforming the Implementation Reforming the Implementation ProcessProcess

When policy advocates wish to improve When policy advocates wish to improve implementation, they can:implementation, they can:– Amend the policy innovationAmend the policy innovation– Modify policies of oversight agenciesModify policies of oversight agencies– Modify the choice of primary implementing agencyModify the choice of primary implementing agency– Intervene in implementing processesIntervene in implementing processes – Intervene in interorganizational processesIntervene in interorganizational processes – Modifying the contextModifying the context – Influence the evaluation of a policy’s outcomesInfluence the evaluation of a policy’s outcomes– Work for enhanced funding Work for enhanced funding – Engage in whistle-blowingEngage in whistle-blowing


Sabotaging PoliciesSabotaging Policies

If a policy advocate does not like a policy If a policy advocate does not like a policy innovation, and is not interested in innovation, and is not interested in enhancing its implementation, he/she may enhancing its implementation, he/she may choose to sabotage itchoose to sabotage it– Different from whistle-blowingDifferent from whistle-blowing– In sabotaging, policy advocates themselves In sabotaging, policy advocates themselves

take actions to subvert an existing policy by:take actions to subvert an existing policy by:Openly defying it Openly defying it Trying to subvert it surreptitiouslyTrying to subvert it surreptitiously Logjamming it by creating logistical snafusLogjamming it by creating logistical snafus


Is Sabotage Ethical?Is Sabotage Ethical?

Bending the rules for specific individuals often is Bending the rules for specific individuals often is ethically permissibleethically permissible– Social workers pit beneficence against compliance, Social workers pit beneficence against compliance,

deciding when to help clients escape specific provisions deciding when to help clients escape specific provisions that threaten their well-beingthat threaten their well-being

– In some cases, they do not violate existing policy but take In some cases, they do not violate existing policy but take advantage of loopholes or ambiguitiesadvantage of loopholes or ambiguities

Outright and continuing sabotage of official policy Outright and continuing sabotage of official policy represents substantial risks and ethical dilemmas:represents substantial risks and ethical dilemmas: – They could be dismissed or even prosecuted for knowingly They could be dismissed or even prosecuted for knowingly

violating the lawviolating the law– Instead, they could resign and work against the policy as Instead, they could resign and work against the policy as

policy advocates on the outsidepolicy advocates on the outside

Chapter 13

Education

Transcript of Chapter 13