Chapter 4. THEORIES OF POLICY FLOWS: IMPLEMENTATION AND
4.6. Conceptual Framework for Decentralization and Policy Implementation
The main objective of policy implementation is to fulfil the intended goals of providing better services. This is despite the fact that it involves complicated processes and sometimes policy implementation could achieve different results. Normally, the achievement of policy implementation depends on specific policy objectives and execution of policy on the ground. Policy implementation can only be considered as successful when intended goals are achieved and if it benefits end- users. In the policy implementation scenario authorities’ decisions and cohesion among the various related agencies, are determining factors for success because policy implementation cannot take place in isolation. This is because policy implementation is a complex matrix that involves various processes and levels. Policy implementation is considered to be the transformation of financial, material, technical and human procedures into goods and services. Success of policy implementation also requires constant efforts with flexibility in policy decisions that takes into consideration the operational realities. Success therefore depends on
CHAPTER 4: THEORIES OF POLICY FLOWS: IMPLEMENTATION AND DECENTRALIZATION
communication, resources, attitude and efficient bureaucratic structure. However, success is often hampered by lack of qualified personnel, inadequate directions, lack of understanding of the policy, opposition to the policy and corruption. Sometimes policy goals are vague and ambiguous thereby leading to implementation challenges.
In general, developing countries seem to be following the top-down approach because of their statist nature. Policy decisions emanate from the central government in the form of orders to the implementers. Successful implementation in this top-down process may depend on clear objectives, state official’s legitimacy amidst the social dynamics; the compliance of implementers; skilful and discrete power of the implementers; support from political personnel and other social groups and unbiased policy and implementers.
Such policy implementation has been criticized for ignoring the target population and being inconsiderate to the needs of the people. While policy may come with good intentions, the top-down policy process is considered to be undemocratic since there is no prior consultation with the stakeholders. Therefore, such top-down policy may hamper the synergy between the formulation level and implementers in the quest of realizing the intended goals.
In contrast the bottom-up policy model seems favourable because it takes into account the interests of the target population. This model focuses on actual policy implementers and enables them to understand the goals, strategies and activities and also involves them in the policy process. The success of such a policy may depend on building the capacity of local policy implementers and enhancing their skills to suit their local environment. This may create less dependency on the central government and ensure that realistic policies which suit the needs of the public are implemented. However, central control is practiced because the government may have certain objectives they intend to fulfil and therefore may not grant implementers full discretionary power in the policy implementation process. Van Meter and Van Horn’s policy implementation model explains a top-down policy implementation approach which comprises of six determining variables that are important for the successful implementation: adequate resources; clear flow of information between organizations with enforcement; effective implementers with hierarchical control; policy should be dynamic and in accordance with economic, social and political change and the right perceptions and attitude of the implementers.
Through decentralization central government responsibilities and functions are transferred to local levels to carry out policy implementation. Such a system is believed to enhance power sharing and provides space for horizontal inter- organizational competition as well as providing checks and balances in the system.
Decentralization makes government more sensitive towards efficiency in functioning and service delivery. It also provides greater choice and preference to public goods and services. It empowers local people to exercise their rights to basic development as well as becoming part of national policy-making and implementation. However, successful decentralization in policy implementation may depend on the socio-cultural context, local power structure, political conditions, inter-governmental relationships, adequate finance, strong administrative support, skills and capacity of technical personnel, efficient managerial skills, coordination and linkages with sub-level agencies.
However, in many cases the facts on the ground show that developing countries are characterised by strong central control in their planning and management. Local administrators and people are less involved in planning leading to a mismatch of the needs and conditions of local people and the policies in place. Additionally, the lack of capacity and skills do not enhance programmes at the local level. Inadequate finances, persistent crises and problems hinder also the achievement of intended policy goals. It is hence believed that decentralization of policy and finances is problematic and there are several tumbling blocks in achieving equitable socioeconomic development.
4.7. SUMMARY
Generally, policy implementation is a process through which intended objectives are fulfilled for the benefit the society. It is also a process of establishing goals and working to achieve them. However, the study of policy implementation in an organization like the state is a complex process as it involves various actors. Therefore, it is important that government formulate plans and policies that are realistic in order to achieve its intended goals. However, there are various factors that have to be considered in the policy implementation process such as communication, resources, attitude and efficient bureaucratic structures, so that the process can be registered as success.
Often developing countries, although their policies might be very attractive, face challenges in relation to successful implementation. The main problems encountered are lack of qualified personnel, inadequate direction, control from political leaders, and resistance to policy and corruption.
There are two approaches for policy implementation: top-down and bottom-up. Each model claims to be better than the other. In the top-down approach policy formulation and implementation comes from the central government which orders the sub-systems to implement. This approach ignores the policy implementers and the target population. Its assumption is that clear objectives established from the top leads to successful policy implementation. In contrast and as a contradiction some
CHAPTER 4: THEORIES OF POLICY FLOWS: IMPLEMENTATION AND DECENTRALIZATION
developing countries have tried to adopt the bottom-up model but their policy practice however often exhibit top-down tendencies in reality.
The bottom-up approach assumes that policy can be successfully implemented if implementers and local level people are involved in the policy formulation and implementation process. This approach facilitates understanding on the part of implementers which brings about ease in implementation. In this way, implementers are able to choose policy that is favourable to the local conditions and that are ultimately beneficial to the people.
Decentralization is the transfer of power and responsibility to the local level administrators and employees. Once empowered, the local actors can implement the intended policies of government successfully. It is also considered to be an efficient approach in the delivery of services. There are four variables which play a crucial role in effective policy implementation in a decentralized system namely: environmental conditions, inter-government relationships, adequate finance, and human resource capabilities. This research explores policy implementation through decentralization with reference to Bhutan’s education policy at the primary and secondary schools. It is imperative to simultaneously focus on vertical flows of education reforms and concomitant policy proposals and at the sametime compare with the more than two decades attempts to implement decentralization in Bhutan. At the same time it is important to understand the horizontal lines between the two policy decisions and flows. How they are connected and perceived by the actors involved and of course how they can be situated in relation to specific social policies like the omission of corporal punishment and other social engineering strategies which impact teacher-pupil-parents relationships.