1. Chapter 12

2. Chapter 12: Implementation

3. Defining Implementation
Implementation: concerns the execution of laws
Emphasizes the programs and the results they produce
Studies the interaction between the setting of goals and the actions geared to achieving them

4. Judging Success To judge program success: compare results with goals
Goals evolve through implementation process
Standards of efficiency and accountability:
Efficiency: economists’ premier standard for judging program success
Accountability: trade-off with efficiency; more efficiency means less accountability

5. Problems Hindering Performance
Practical uncertainty about how to reach program goals
Inadequate resources such as money and staff

6. Problems Hindering Performance (continued)
Organizational problems that interfere with program handling
Uneven leadership
Growing dependence on other levels of government and private sector

7. Intergovernmental Implementation
Three types of intergovernmental implementation strategies:
Administration through grant programs
Administration through regulatory programs
Administration through off-budget programs

8. Administration through Grant Programs
Intergovernmental grant programs advance funding of the government’s goals.
Grant programs lure recipients into a broad range of regulatory programs.

9. Administration through Grant Programs (continued)
Grant programs vary by function, breadth, and distribution method:
Function: state and local governments are like federal field agents; administer grants of federal government’s design

10. Grant Programs by Breadth
Grant programs vary by two levels of breadth:
Categorical grants: for specific, narrowly defined purposes such as federal highway grants to states for road construction
Block grants: for broad purposes, usually the result of consolidation of related categorical grants

11. Grant Programs by Distribution
Grant programs vary by two distribution methods:
Formula-based programs: statistical procedures determine who is eligible for money and how much recipients can receive
Project-based programs: competitions that produce unhappy losers and heavy paperwork for applicants; broad discretion to federal administrators over who receives the money
Grantsmanship: complaints in federal aid system that entrepreneurial local and state administrators had exploited the project system for maximum funding

12. Administration through Regulation
Every grant program brings a package of regulations and mandates.
Regulation further spreads federal influence over state and local government activities.

13. Administration through Regulation (continued)
Crossover sanctions: failure to meet one program’s standard can produce a punishment in another program, for state and local grant recipients.
Partial preemption: a federal agency sets standards that state and local governments must follow; if they fail, then the federal government takes over program administration.
Mandates: federally imposed regulations

14. Administration through Off-Budget Programs
Collection of off-budget strategies to advance federal government goals:
e.g., Individuals can deduct local property tax payments from their federal taxable income.
e.g., Federal government provides credit to state and local governments for rural development and college housing.

15. Implementation Problems
Inequity
Fragmentation
e.g., Polluted water flows across state boundaries

16. Implementation Problems (continued)
Functionalism: many layers of government each resisting collaboration
Delegation: the reliance by the federal government on state and local governments for program implementation; depends heavily on trust
Weak federal control of state and local implementation
Fungibility: grant extended for one purpose has instead expanded services in another purpose area

17. Advantages of Contracting Out
Contracting: in American government, older than government itself; utilizing private suppliers for products or services. This approach can:
Reduce costs
Enlist services of specialists not on own staff
Avoid bureaucratic red tape
Provide perception that government has not ballooned

18. Disadvantages of Contracting Out
Sometimes not enough competitors; complicated proposal
Too many regulations on contractors
Problems cutting off contracts
Potential for corruption

19. Points to Consider for Implementation
The fundamental issue is increasing intermingling of federal-state-local and private-public roles in society.
Goals can change over time.
The problem of information distortion intensifies when bureaucratic boundaries are crossed.
Most programs do work and work well.

20. Importance of Feedback
Effective program implementation depends critically on obtaining good feedback.
Feedback comes through routine administrative monitoring:
Whistle-blowers: disaffected employees can often produce explosive surprises.

21. Importance of Feedback
Managers often develop formal systems of evaluation to provide regular, high-quality feedback.
Managers can design their program evaluations to test precisely what they want and to obtain just the information they need.
Results-based management is also used in many state and local governments that have created quick-response information systems to measure success and failure.
e.g., CompStat: NYC weekly reports on crime in each precinct; CitiStat: Baltimore measured performance of all city programs

22. Conclusion
Many problems we label implementation instead reflect larger administrative issues.
The principal focus has been on implementation by American governments.
Many implementation problems are from increasing complexity of American society and not from government failure.