Implementation Issues for Programs and Standards

Some years ago, Daniel Mazmanian and Paul Sabatier developed guidelines for implementation of public policies. They discovered, through empirical analysis, that the following variables were the most important factors in the successful implementation of standards and programs. They are presented in the form of questions.

Tractability: some problems are more easily solved than others. Some programs are more ambitious than others. By considering this tractability, we can better predict the success of a program or standard.

1. Technical problems: is the underlying problem filled with technical uncertainties and difficulties?

2.Diversity of behavior: programs and standards usually regulate some kind of behavior. Are the underlying behaviors highly diverse? If so, it is usually more difficult to manage.

3.Target group as % of total population: if a program or standard focuses on a small, well-defined population, it is usually more successful. How large is the target group in relation to the total population?

4. Behavioral change required: small changes in behavior are easier than fundamental and sweeping changes. How much behavioral change is required?

Statutory Variables: if a law is well written, there are much better chances that the program or standard will be successful. This is addressed by the following questions.

5. Clear, consistent objectives: sometimes a program or standard has dramatic rhetoric but vague objectives. How clear and consistent are the objectives?

6. Adequate causal theory: is the law or program clearly based on adequate scientific theory?

7. Financial resources: is there enough money to carry out the standard or program?

8. Hierarchical integration: if a program or standard is implemented by a combination of agencies (or offices), it will be less consistent, unless the law or policy addresses problems in variation. Does the standard or program adequately integrate the activities of different agencies?

9. Clear decision rules: how do you decide if a standard is violated, a program is successful, or which actions to take in implementing the program or standard?

10. Commitment of officials: Do they people carrying out the program or enforcing the standard have appropriate training and motivation (i.e., adequate pay)?

11. Formal access by outsiders: can watchdog groups and affected constituents help keep the program or standard "honest"?

Nonstatutory Variables: this last category includes various factors that were found to be critical to successful implementation.

12. Socioeconomic and technical conditions: general political and economic conditions (election years, recessions, etc.) can affect how well a program/standard is implemented.

13. Public support: public support helps the implementation

of a program or standard (all other things being equal).

14. Attitudes and resources of constituency: a program or standard always has a constituency that benefits from its implementation. If their support wanes over time, implementation is likely to suffer.

15. Support from sovereigns (elected officials, etc.): support from elected officials and CEOs is usually crucial to successful implementation.

16. Leadership skills of officials: how effective are the leaders who must implement the programs and standards?

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More advanced models of implementation have been presented since their original work, but it remains a powerful and easily manageable list for focusing on the most important factors in succesful implementation of public policies.

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