Module 4: Policy

Implementation and
Programs of the
National Government
Administration
Reported by: Vienna Marie A. Cimafranca
 Contents of this module
1. Policy Implementation Strategies and
Challenges
2. Bureaucracy and Public Administration in
the Philippines
3. Monitoring and Evaluation of Policy
Implementation & outcomes
4. Public-Private Partnerships for the
People and identify ongoing PPPP in the
Philippines

5. Department of Agriculture – Importation

Process
 Policy Implementation
Implementation involves :
- involves all of the
activities designed 1) Operational
to carry out the flexibility
policies 2) Objective
enacted by the realization
legislative
- branch. of
It is the process 3) Objective - Action
interaction between Continuum
setting of goals and
actions geared to
- Itachieving
is the process
them. of
interaction between
setting of goals and
actions geared to
achieving them.
Elements in Policy Implementation
According to Fudge and Barrett, Policy
Implementation deals with
questions like :
1) Knowing what is to be done
2) Availability of resources
3) Ability to control resources to achieve result
4) Communicating with people involved in the
implementation
process.
 POLICY ● The Administrative
IMPLEMENTERS Role :
Civil servants are
bounded
Bureaucracy : by their
It is the executive constitutional
branch of the responsibility to
government with the advise on policy
permanent, trained options. They advise
and skilled ministers on the
officials. financial and
Therefore, they play administrative
an important Role in implications of
Policy different policy
 POLICY ● Knowledge and
Experience :
Civil servants are
IMPLEMENTERS filtered through
competitive
examinations and
several complex
Bureaucracy recruitment
processes. Moreover,
they undergo training
programmes after
entering the service.
It helps them provide
a clear perspective
on the policy
 POLICY Permanent :
IMPLEMENTERS Due to the permanent
nature of their job,
civil servants spend
more time on each
Bureaucracy department. It helps
them get familiarized
with their
responsibilities.
 POLICY ● The legislature makes
laws and thereby
legitimize the
IMPLEMENTERS decisions or policies
for
the public.
Legislative ● Collective
responsibility of the
In a parliamentary executive towards the
democracy, legislature authorizes
legislature is the body to raise
concerns over the
the supreme policy implementation of
making body. different policies.
This way they can shape
the implementation
methods
 ● J.R is the power of
POLICY
IMPLEMENTERS
Judiciary
●
in every democratic
nation plays a great
role in
policy formation. It is
carried out through the
exercise of the powers ● Similarly,
of Judicial Review
(J.R) of Legislation.
the judicial courts to
determine the
constitutionality of
legislative and
executive actions.
The supreme court has
the power of J.R
against administrative
bodies. So, every
public policy action
can be scrutinized for
its legitimacy in the
court.
Administrative
tribunals are set up to
obstruct or nullify the
Policy Political influence
Implementers
●
is also exercised by
several interest
groups in a
democratic system.
● They become an
Intere important channel of
communication for
st the ordinary
Groups citizens.
● They influence and
pressurize public
offices without any
intention of
contesting elections
Policy
Implementers ● Well organized
Interest groups have
a better chance at
influencing the
government than any
Intere unorganized group.
● This influence is
st present at both
Groups policy formulation
and implementation
levels.
● At implementation
stage, these groups
bargain for the best
Policy
Implementers
● Effective policy
implementation
can be brought
out with the
cooperation of
Communit
y local community
Groups groups existing
in the concerned
political
system, where
the policy is
being
implemented.
Policy
Implementers ● Political
parties provide
proper support
to their
leaders in
winning
Politica elections.
l ● In this
manner, they
Structur exert their
es control over
policy process
by influencing
the executive.
Policy Political parties
Implementers
●
have a
better
understanding of
the socioeconomic-
political needs of
the people and can
Politica help
l these demands
reach higher
Structur authorities.
es ● There exists a
power struggle
between
Bureaucracy and
 Implementation Techniques
Timing: Project
Scheduling :
Evaluation and
Critical Path
Planning Review Technique
Method (CPM)
(PERT)
Planning techniques is an activity to understand the
planning, arranging, scheduling, is a well-known project
are those methods or
coordinating and governing of a modelling technique in
processes followed by
project. This program helps to project management. It is a
planners in preparing
understand the technique of a resource utilizing algorithm
or evaluating their study taken to complete a project, that was developed in the
plans, programs, and identify the least and minimum
1950s by James Kelly and
policies. time taken to complete the whole
project. Morgan Walker.
 1. Top-to-down
Approaches to PolicyModel
2. Bottom-up Model
Implementation
3. Policy Action
Model
4. Managerial
Approach
5. Inter-organizatio
nal interaction
approach
6. Synthesis of
bottom-up and
top-down
implementation
 Top-Down Model
● Model regards policy process
as a chain that starts with a
policy message at the top and
implementation as occurring
in a chain of well-defined
control.
 Top-Down Model
● This model focus on getting
people to do what they are
asked.
● Follows patterns of Taylorism.
● It may cause excessive
concentration of power and lead
to ineffective implementation.
 Bottom-up Model

● Implementation deals with

interactions of policy
implementers (Bureaucrats) with
their lower level clients.
● This model considers
implementation as a
process involving negotiation and
consensus building.
● It focus on decentralization of
authority and starting from the
grass-root level.
 Policy Action Model
● This model focus on factors
that affect the behaviour of
individuals and agencies as
well as the scope for action.
● According to Barrett and Fudge,
implementation can be understood
in terms of policy-action
continuum where interactions take
place between people who are
responsible for implementation and
those with control over resources.
 Policy Action Model

● Power, authority,
interests and relations in
an organization are dynamic
and changing all the time.
This constantly shapes and
reshapes the policy.
Therefore, the policy is
constantly evolving.
Managerial
Approach ● Operational
Management

● It is the Critical Path

Business-like Method (CPM) and
model with Project Evaluation
and Review
emphasis on Technique (PERT) :
efficient creating
techniques of cooperation within
implementation. the organization for
successful
● Emphasize shift implementation.
from hierarchy to
participation and
 Operational Management
Timing: Project Scheduling :
Evaluation and
Critical Path
Review Technique
Method (CPM)
(PERT)
is an activity to understand the is a well-known project
planning, arranging, scheduling,
coordinating and governing of a
modelling technique in
project. This program helps to project management. It is a
understand the technique of a resource utilizing algorithm
study taken to complete a project, that was developed in the
identify the least and minimum 1950s by James Kelly and
time taken to complete the whole Morgan Walker.
project.
Managerial
Approach ● Corporate
Management :
● It is the
Business-like deals with
model with understanding the
emphasis on culture of the
efficient organization.
techniques of
implementation.
● Emphasize shift
from hierarchy to
participation and
Managerial
Approach ● Personnel
Management :
● It is the
motivating
Business-like
employees and
model with integrating their
emphasis on goals to
efficient organizational
techniques of goals.
implementation.
● Emphasize shift
from hierarchy to
participation and
Managerial
Approach
● Here, public
● Managerial policy is
view considered to
essentially be in need of
focus on a more
managerial market-driven
values in decentralizati
implementatio on.
n.
Inter-organizational
Interaction
This approach
recognizes
implementation as a
process that involves
interaction within a
multiplicity of
organizations.
Inter-organizational
These interactions can either be
Interaction in the form of Power -
dependency
Approach where the relations
between different organizations
are
based on dominance and
dependence. Otherwise it can in
the form of Organizational
Exchange Approach where
different organizations work for
their mutual benefit.
 ● Sabatier’s model
combines distinctive
Synthesis of features of Bottom-Up
Bottom-Up and approach and Top - Down
Top-down model for effective
Implementation implementation.
Here, the structures of
Approach
●
implementation within
the bottom – up approach
is maintained along with
the beliefs of policy
elites in the
top-down approach.
 1. Clear Objectives
Accurate policy theory
Synthesis of
2.
for implementing change.
Bottom-Up and 3. Implementation structures
Top-down that can enhance the
effectiveness of the
Implementation policy.
Approach 4.
5.
Committed implementers
Stable support from
concerned interest groups
● Sabatier also provides six 6. Stable political
conditions for the conditions that doesn’t
effective implementation undermine the support of
of policy objectives: groups involved.
Problems in
Policy
Implementation
Lack
Lack of of Staff
Financial Gigantic Targets
and
Infrastructural Lack of Support
support from the top

Lack of Financial
and Infrastructural Shortage of Time
support
Problems in
Policy
Implementation
Pressures on
implementers
Corruption and
Lack of will, vested interest
motivation,
initiative, and Lack of Team
accountability Spirit
 Factor affecting Policy
Implementation

Environment Politics

Tri-Media Economy
 ● Clear and practical
theory base.
Proper policy
Conditions for
●
directives to
Successful maximize the
Implementatio performance from
n ●
implementers.
Substantial
leadership and
managerial skills in
implementers.
● Strong
organizational
support from
legislators and other
stakeholders.
● Stable political
conditions
 Bureaucracy
A bureaucracy is "a body of
non-elective government
officials" and/or "an
administrative
policy-making group".
Historically, bureaucracy
was government
administration managed by
departments staffed with
non-elected officials.
Today, bureaucracy is the
administrative system
governing any large
institution.
A system of
administration
distinguished by its:
clear hierarchy of
authority rigid
division of labor
written and inflexible
rules, regulations,
and procedures, and
impersonal
relationships.
Once instituted,
bureaucracies are
difficult to dislodge
or change.
Role of
Bureaucracy
Primary concern is
policy implementation According to Weber, the
the execution and strict compliance
enforcement of the laws tends
made by the legislature. Bureaucrats to become
While other functions of specialists without
the Government (i.e., spirit.
representation,
policy-making) are
carried out by a variety
of other institutions,
they work for their
political masters.
Functions of
Bureaucracy
1. Administration
2. Policy advice
- Despite that, they
3. Articulating
exert considerable
interests
influence on the
4. Political
policy process and
stabilities
fulfil a number of
enacted by the
key functions which
legislative
are:
branch.
Functions of
Bureaucracy ● A clear line is drawn
between the
policy-making role of
● Administration politicians and policy
Core function is implementing role of
to implement or bureaucrats:
execute law and political executive
policy: charged called ‘the government’
with administering and the
government bureaucrats to referred
business. as ‘the administration’.
● The size of bureaucracy
is closely linked to the
broader
responsibilities of
government.
Functions of ● Distinguish top-level
Bureaucracy civil servants (having
daily contact with
● 2. Policy Advice politicians) with
Chief source of middle/junior civil
the policy servants.
information and ● Policy is supposedly
advice made by politicians,
available to the bureaucrats simply
government/political offer advice.
executives. ● No clear distinction
between policy making
and policy advice.
Decisions are made on
the basis of available
information.
Functions of
Bureaucracy ● Groups such as
doctors, teachers,
farmers and
● 3. Articulating business
interests corporations
Brought into becomes ‘client
contact with interest groups’, serviced
groups through by their respective
task agencies. (known as
of policy Clientelism)
implementation, and ● However, this
involvement in clientelism may
policy formulation also interfere with
and advice. the public
responsibilities
and duties of civil
Functions of ● This stability depends
Bureaucracy very largely on the
status of bureaucrats as
● 4. Political permanent and
stability professional public
One of the servants, while
functions to provide a ministers and
focus of stability governments come and go.
and continuity ● However, continuity has
within political also its own
systems, mostly seen disadvantages without
in developing effective scrutiny.
countries. ● It can lead to
corruption, a major
issue of developing
states, compounded by
widespread poverty and
Bureaucratic
Logical
Power relationship

Strategic
position Status &
expertise
 How can Bureaucrats be
Controlled?

Political Counter
Accountability bureaucracies
The Minister Use of political
are responsible advisers or
for the acts ‘outsiders’
and omissions
Politicization refers to such a
of their This control system of
departments and can be control.
are accountable exercised by Institutions have
to assembly. recruiting been established
senior to share
bureaucracy by ministers’
the government workloads and
of the day. provide them with
 Policy monitoring and
evaluation (M&E)

has a critical role to

play in effectively
design, implement and
deliver public policies
and services. Ensuring
that policy making is
informed by sound
evidence on what works
is essential to achieve
key long-term
 Monitoring responds to
Monitoring four question as follows:

Who – Internal;
● A system used to What – Regular
continuously measure assessment of
the quantity, progress or
quality, and deliverables
targeting of the (outputs) against
goods and services- those in the plan in
the outputs- that the terms of
state provides and to performance; and,
measure the outcomes How - record of and
resulting from these reporting on outputs
outputs. When - Annually,
semi-annually or
quarterly/ monthly
Monitoring data is Monitoring is short
gathered by all term and data sources
stakeholders- and can and procedures for
include project monitoring need to be
implementers established at the
(management), private beginning;
sector, CSOs, donors Data gathered should
and can then be reflect a clear
reported at the understanding of the
project/program level, issue but should not
Country or National; necessarily be
exhaustive. Indicators,
Monitoring review can
be done to establish:
● Sufficiency of data,
usefulness of reports or
whether deliverables as
reported are useful to
decision makers;
● Whether there is feedback
to learn from the
implementation process;
and,
● Data gathered becomes the
source of information for
Evaluations.
 Evaluation responds to
Evaluation four questions as
follows:
Who – External – usually
● A system
used by independent
periodic
ally to consultant or body.
measure
the What – Objective
quantity
, assessment of all
quality,
and the stages of policy work-
amount o
f goods
and serv
ices assessing content
provided against objective,
and to
measure relevance and
the
outcomes
and performance
impacts
resultin (effectiveness,
from the g
se efficiency, approach)
outputs.
and output/impact
against objective;
Evaluation Evaluation responds to
four questions as
follows:
● A system
used How – Data collected
periodic
ally to through a
measure
the
quantity
,
composition of
quality, methods, which
and the
amount o allows for validation
f goods
and serv
ices and verification;
provided
measure
and to and,
the When- typically
outcomes
and biannually,
impacts
resultin
from the g mid- term and
se
outputs. end-term.
Evaluation criteria clarifies policy
goals and objectives and helps in the
judgement of the solutions to the
problem addressed
● Data gathered during
monitoring is the main
source of information
for evaluations;
● Range of criteria may be
long. Includes
efficiency, cost, net
benefits, equity,
political concerns,
administrative ease,
legal matters, etc; and
 Evaluation criteria

● Regular evaluations and

midterm evaluations
informs on required
changes/options to
achieve policy goals
and/or required
refinements. Some key
aspects of Evaluation
also include:
● Unit of analysis for the
evaluation- program
level, full or partial;
Public-Private can be broadly defined as

Partnerships a contractual agreement

between the Government
for the People and a private firm
targeted towards
and Identify financing, designing,
ongoing PPPP implementing and
operating infrastructure
in the facilities and services

Philippines that were traditionally

provided by the public
sector. It embodies
optimal risk allocation
between the parties –
minimizing cost while
realizing project
developmental objectives.
Thus, the project is to
be structured in such a
way that the private
 PPP in the
Philippines Two Forms

• is based on Republic
Act 7718 and other Availability
pertinent laws and is PPP
administered by the
Public-Private
Partnership Center – Concession
an attached agency of PPP
the National Economic
and Development
Authority.
 Two Forms
Availability PPP
● the public authority contracts with a
private sector entity to provide a
public good, service or product at a
constant capacity to the implementing
agency for a given fee (capacity fee)
and a separate charge for usage of
the public good, product or service
(usage fee). Fees or tariffs are
regulated by contract to provide for
recovery of debt service, fixed costs
of operation and a return on equity.
Concession
PPP
● the government grants the
private sector the right to build,
operate and charge public users
of the public good, infrastructure
or service, a fee or tariff which is
regulated by public regulators
and the concession contract.
Tariffs are structured to provide
for recovery of debt service,
fixed costs of operation, and
return on equity.
 PPP Two Types
of Proposals
Solicited proposal
refers to priority projects identified
by the implementing agency. This type
of proposal is formally solicited
through public bidding and the
Unsolicited
selection of the private proponent is
done through a public competitive
proposal process.
refers to submission of project
proposal to the government without
formal solicitation. However, the
unsolicited proposal may only be
accepted and considered by the
implementing agency if it complies
with the following conditions:
1. It involves a new concept or
technology and/or it is not part
of the list of priority projects
in the Philippine Investment
Program [Medium Term Public
Investment Program, Comprehensive
and Integrated Infrastructure
Program] and the Provincial/Local
Investment Plans;
2. It does not include a Direct
Government Guarantee, Equity or
Subsidy;
3. It has to go to ICC for the
determination of reasonable
Financial Internal Rate of Return
and approval to negotiate with the
Original Proponent; and
4. After a successful negotiation,
proceed to publication and request
for competitive proposals
PPP
Processes
Ongoing PPP
in the
Philippines

Despite being red,

Mars is actually a
cold place
Ongoing PPP
in the
Philippines

Despite being red,

Mars is actually a
cold place
Ongoing PPP
in the
Philippines

Despite being red,

Mars is actually a
cold place
 ● The DA envisions a food-secure
Department
of Agriculture
Mandate:
● The Department is the government
agency responsible for the
promotion of agricultural
development by providing the
policy framework, public
investments, and support
services needed for domestic and
export-oriented business
enterprises.
and resilient Philippines with
empowered and prosperous farmers
and fishers. As such, it shall
collectively empower them and
the private sector to increase
agricultural productivity and
profitability, taking into
account sustainable,
competitive, and resilient
technologies and practices.
Hence, its battlecry is
simply: “Masaganang Agrikultura,
Maunlad na Ekonomiya”
Department
of Agriculture
 ● is primarily responsible for the
Department
of Agriculture
responsible for the promotion of
functions:
agricultural development by providing
the policy framework, public
investments, and support services
needed for domestic and
export-oriented business enterprises.
● fishery
It is the primary concern of the
Department to improve farm income and
generate work opportunities for
farmers, fishermen and other rural
workers. It shall encourage people’s
participation in agricultural
development through sectoral
representation in agricultural
policy-making bodies so that the
policies, plans and programs of the
Department are formulated and
executed to satisfy their needs.
planning formulation, execution,
regulation and monitoring of
programs and activities relating
to agriculture, food production
and supply. It promulgates and
enforces all laws, rules and
regulations governing the
conservation and proper
utilization of agricultural and
Frontline
services and/or
resources.
regulatory functions such
as issuance of permits,
licenses, certifications
and other related
activities are being
provided and implemented by
concerned bureaus and
regional field units under
the Department of
Agriculture.

Importation
Processes:
Imports help product local
economic activity and, when
properly regulated, can help
local industries become more
responsive to consumers. As
with all commercial
activities, importation into
the Philippines is subjected
to customs duties and taxes
unless there is an exemption.
Import duty and taxes apply
for previously exported and
re-imported shipments.
Any business wishing to
import products into the
Philippines must first secure
an Import Clearance
Certificate from the Bureau
of Internal Revenue.
Importers then register with
the Bureau of Customs.
Moreover, they need to set up
an account with the Client
Profile Registration System.
The Import Clearance
Certificate is valid for
three years.

Importation
Processes:
Importers bringing in
animals, plants, foodstuff,
medicine, or chemicals must
additionally obtain a
Certificate of Product
Registration from the
Philippines’ Food and Drug
Administration.
Businesses importing into the
Philippines must provide
certain documents upon
arrival of their goods, such
as the packing list; invoice;
bill of lading; import
permit; customs import
declaration; and certificate
of origin. It is not uncommon
for freight forwarders and
customs brokers to be engaged
to deal with customs
clearance and ensure
compliance with legal
requirements.
Importation
Processes: For agriculture-related
importation, the Department
of Agriculture may verify the
● The importation
importation status of
requirements of any
agricultural products and
product category may be
indicate whether requirements
verified with the
are met, such as a Minimum
relevant authorities such
Access Volume Import
as the Bureau of Customs
Certificate or the
and the Bureau of Import
importation of swine,
Services of the
chicken, etc.
Department of Trade and
Industry.

Importation
Processes:
- Importation requires
compliance with various
documents and procedures
Regulated
dependingcommodities
on the status of
include, but are not whether
the goods imported,
limited
they areto, food products
importable,
(processed
regulated,or or restricted.
unprocessed), plant
products, animal products,
aquatic products, drugs,
and chemical products,
used motor vehicles,
electrical appliances,
telecommunication
equipment, tobacco
products, mineral
products.
Classified under this are
explosives and firearms;
gambling paraphernalia;
narcotics or synthetic drugs
declared as habit-forming,
except under certain
well-defined exceptions,
among others.
Prohibited or banned
commodities refer to goods
that are, by their nature,
unlawful to be imported or
exported — commonly termed
“contrabands.” Contrabands
commonly refer to misbranded
food or drugs Infringing
goods as defined under the
Intellectual Property Code
and related laws, and other
goods prohibited by other
laws or regulations.
Importation
Processes:
Importation
Processes:
Importation
Processes:
RICE
TARRIFICATION ● Both QRs and tariffs aim
to protect the local
LAW (Republic industry from competition
Act
● The 11203)
Rice Tariffication
by limiting the entry of
imported goods. QRs refer
Act amends the to the allowable amount
Agricultural or quantity of goods that
Tariffication Act of 1996 may be imported into the
(RA 8178). The law country, while tariffs
replaces the system of refer to taxes or duties
quantitative restriction imposed on imported goods
(QR) on rice importation
with a purely tariff
system.
What is the What is the
minimum access current MAV for
● RA 11203 reverts
volume (MAV)?
● MAV refers to the rice?
the MAV for rice
volume or quantity
to 350,000 metric
of a specific
agricultural tons (mt) from
commodity that may 805,200mt when
be imported with a the waiver was
lower tariff as still in effec
committed by the
Philippines to WTO.
 What are the key
components of RA
11203? ● Reduces the mandate of
● Allows the private sector
to freely import rice
subject to a tariff. •
Removes the regulatory and
import licensing functions
of the National Food
Authority (NFA). •
Requires importers to
obtain Sanitary and
Phytosanitary Import
Clearance (SPSIC) to be
issued by the Department
of Agriculture - Bureau of
Plant Industry (DA-BPI) to
the NFA to emergency
buffer stocking of rice
that will be sourced
solely from local
farmers. • Shifts to a
purely tariff system with
the following rates: –
35% if rice is imported
within ASEAN – 40% if
within the MAV of
350,000mt for imports
coming from countries
outside of ASEAN – 180%
if above the MAV and from
non-ASEAN countries
● Creates the Rice
Competitiveness
(3) Expanded rice credit
Enhancement Fund (RCEF) or assistance (10%) - will be made
Rice Fund with a P10 available in the form of a
billion annual credit facility with minimal
appropriation for the next interest rates and minimum
six years to be allocated collateral requirements to rice
and disbursed as follows: farmers and cooperatives to be
managed equally by the Land Bank
(1) Rice farm machinery
of the Philippines (LBP) and the
and equipment (50%) - will Development Bank of the
be released to and Philippines (DBP); (4) Rice
implemented by the extension services (10%) – will
Philippine Center for be made available for extension
Postharvest Development services provided by the
and Mechanization PhilMech, PhilRice, Agricultural
Training Institute (ATI), and
(PhilMech); (2) Rice seed
Technical Education and Skills
development, propagation, Development Authority (TESDA).
and promotion (30%) - will
● Tariff revenues in excess
of the P10 billion annual
appropriation will be
earmarked for the
following: – Rice farmer
financial assistance –
Titling of agricultural
rice lands – Expanding
crop insurance program on
rice – Crop
diversification program
 ● The only requirement to
import rice under the
reform is the SPSIC issued
What are required by DA-BPI. Import
of importers under licensing is no longer
RA 11203? required, but importers of
rice shall register with
the BPI and be part of the
DA Trade System
Registration Procedure.
The BPI is mandated to
regularly publish and
update in its website the
list of importers issued
with SPSIC, including the
volume of imports.
 High-price of rice
Current Issues
●
● Elevated inflation
● Lower real income
for small farmers
● Reduced employment
opportunities
● Massive government
debt
THANK
YOU!
 Assignment

What are the factors

that can influence how
well a policy or
intervention is
implemented, and how
does this affect your
agency (workplace)?