The-Policy-Implementation-Process(政策执行过程英文版原文-托马斯·

PolicySciences4(1973),pp.197-209©ElsevierScientificPublishingCompany,Amsterdam--PrintedinScotlandThePolicyProcessImplementationTHOMASB.SMITHSchoolofPoliticalScienceandPublicAdministration,VictoriaU~iversityofWellington,Wellington,NewZealandABSTRACTThereisanimplicitassumptioninmostpolicystudiesthatonceapolicyhasbeenformulatedthepolicywillbeimplemented.ThisassumptionisinvalidforpoliciesformulatedinmanyThirdWorldnationsandfortypesofpoliciesinWesternsocieties.ThirdWorldgovernmentstendtoformulatebroad,sweepingpolicies,andgovernmentalbureaucraciesoftenlackthecapacityforimplementation.Interestgroups,oppositionparties,andaffectedindividualsandgroupsoftenattempttoinfluencetileimplementationofpolicyratherthantheformulationofpolicy.Amodelofthepolicyimplementationprocessispresented.Policyimplementationisseenasatensiongeneratingforceinsociety.Tensionsaregeneratedbetweenandwithinfourcomponentsoftheimplementingprocess:idealizedpolicy,implementingorganization,targetgroup,andenvironmentalfactors.Thetensionsresultintransactionpatternswhichmayormaynotmatchtheexpectationsofoutcomeofthepolicyformulators.Thetransactionpatternsmaybecomecrystallizedintoinstitutions.Boththetransactionpatternsandtheinstitutionsmaygeneratetensionswhich,byfeedbacktothepolicymakersandimplementors,maysupportorrejectfurtherimplementationofthepolicy.Byapplicationofthemodel,policymakerscanattempttominimizedisruptivetensionswhichcanresultinthefailureofpolicyoutcomestomatchpolicyexpectations.Ageneralassumptionisoftenmadebyscholarswhoanalyzepoliciesandbuildmodelsofthepolicyprocessesthatonceapolicyhasbeenmadethepolicywillbeimplemented.Thisassumption,inlargepart,accountsfortheneglectofthepolicyimplementationprocessinthemodelsconstructedtoexplainpolicymakingortoinstructpoticymakersinmethodsofbetterpolicymaking.Inthispapertheimplicationsofthisassumptionwillbeevaluated--especiallyintermsofpolicyprocessesinThirdWorldnations.Iwillalsoconstructamodelofthepolicyimplementationprocesswhichmaybeusefulintheanalysisofpolicymakingandintheformulationofpolicies.PolicymakingandPolicyImplementationThereareanumberofreasonsfortheneglectoftheimplementationofpolicyinthecurrentmodels.Asmentionedbefore,thereisanimplicitassumptioninmostmodels197thatonceapolicyhasbeenmadebyagovernment,thepolicywillbeimplementedandthedesiredresultsofthepolicywillbenearthoseexpectedbythepolicymakers#Thisassumptionrestsuponcertainpoliticalandorganizationalconditions.However,theseconditionsmaynotbefoundinallsocieties.Indeed,thesocietiesoftheThirdWorldoftenaredevoidofallorsomeoftheseconditions.RecentinterpretationsofpoliticsinAsianandAfricannationshaveindicatedthat,unlikeinmanyWesternnations,thegovernmentalpoliciesseldomaretheresultofdemandsandpressuresbyinterestedparties.AsJamesC.Scotthaswritten,Theopenclashoforganizedinterestsisoftenconspicuouslyabsentduringtheformationoflegislationinthesenations.zIndeed,thechannelsforsuchinfluence(politicalpartiesandinterestgroups)maybeundevelopedorsuppressedbyofficialgovernmentalaction.Governmentswillinitiatepoliciesoftenwithoutconsultationwiththeinterestedoraffectedindividualsorgroups.AccordingtoScott,Toconcludefromthis,however,thatthepublichaslittleornoeffectontheeventualoutputofgovernmentwouldbecompletelyunwarranted.Betweenthepassageoflegislationanditsactualimplementationliesanentirelydifferentpoliticalarenathat...hasagreateffectontheexecutionofpolicy.3Therealroleofinterestgroupsandotherinterestedgroups,includingpoliticalparties,comeswhenthepoliciesareimplementedbythegovernment.Itisattheimplementationstageofthepolicyprocesswhenthepolicymaybeabandonedbythegovernment,implementedormodifiedtomeetthedemandsoftheinterestedparties.ThisprocessrepresentsaradicaldeparturefromthatfoundinmanyWesternnations.InterestsandoppositioninWesternsocietiesfocusuponthepolicymakers.Ifapolicyismade(ornotmade)thevariousinterestsknowthatthisdecisionwillbeimplemented.Andoftenthereislittletheycandoaboutitatthatstage.Researchandtheorybuildingalsohasfocusedontheinputsorupontheprocessesbywhichpoliciesaremade.However,inThirdWorldnationstheemphasisbyinterestedpartiesisuponthepolicyitselforuponthebureaucratswhomustimplementthepolicy.4EvenifagovernmentofaThirdWorldnationiscommittedtotheimplementationofaparticularpolicy,thebureaucracythatmustimplementthepolicyoftenislackinginthecapacitytoimplement.5ThissituationusuallyisnotfoundinWesternsocieties.1Citizensalsomakethisassumption.AccordingtoDye,WeassumethatwhenCongressadoptsapolicyandappropriatesmoneyforit,andwhentheexecutivebranchorganizesaprogram,hirespeople,spendsmoney,andcarriesoutactivitiesdesignedtoimplementthepolicy,theeffectsofthepolicywiltbefeltbysocietyandtheeffectswillbethoseintendedbythepolicy.ThomasRoDye,UnderstandingPublicPolicy(EnglewoodCliffs,N.J.:Prentice-Hall,1972),p.291.2JamesC.Scott,Corruption,MachinePolitics,andPoliticalChange,AmericanPoliticalScienceReview63(December1969),p.1142,3Ibid.,p.1142.4Scottwrites,Influenceattheenforcementstageoftentakestheformof'corruption'andhasseldombeentreatedasthealternativemeansofinterestarticulationwhi