Deficits Pro forma and Substantive: Multilevel Policy Implementation in China’s Administrative Approval Intermediaries Reform

• Author: Changgui Dong,Nandiyang Zhang,David H. Rosenbloom
• DOI: 10.1177/02750740211010539
• Published date: 01 August 2021
• Date: 01 August 2021
• Subject Matter: Articles

https://doi.org/10.1177/02750740211010539

American Review of Public Administration

2021, Vol. 51(6) 467 –481

© The Author(s) 2021

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DOI: 10.1177/02750740211010539

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Article

Introduction

Implementation has always been at the core of every public

service organization, as one of necessary steps in the policy

process (Lasswell, 1956; Lynn, 1999; O’Toole, 2000;

Sabatier, 1986; Wright, 1978). It carries out policy design

bringing policy proposals to its expected fruition and makes

revisions with the prescribed lessons from program evalua-

tions. Case studies on policy programs (Allison & Zelikow,

1971; Ferman, 1990), the theoretical top-down/bottom-up

discussions (Berman, 1977; Mazmanian & Sabatier, 1981),

and the scientific-oriented hypotheses testing researches all

dedicated to find out solutions for successful implementation

and remedies for policy failures (Ahlers & Gunter, 2015;

DeLeon & DeLeon, 2002; Goggin, 1990; O’Toole, 2000;

Saetren, 2014).

Admittedly, some local discretions improve policy out-

comes by increasing the local productivity and adapting the

policy to local needs (Kwon, 2014; Meyers et al., 2007;

Tummers & Bekkers, 2012). A number of policies worked

largely as they were designed, some of which were pretty

much successful (DeLeon & DeLeon, 2002; Kettl, 1993).

But they are not always positive (Maynard-Moody et al.,

1990). Faulty implementation is commonplace (Chan et al.,

1995; Lin, 1996; Sabatier, 1986; Zhan et al., 2013). As

Pressman and Wildavsky (1973) contended, national policies

will have 50% erosion after moving through the government

hierarchy. Implementation theory has long noted that down-

ward policy implementation increases the probability of

deficits (Pressman & Wildavsky, 1973). In this sense,

implementation deficits preserve an enduring importance

on policy execution studies.

Some recent discussions tended to bring implementation

topics in a context of collaborative governance with multiple

players and networks involved. Horizontal interorganiza-

tional relationships such as attitude toward collaboration, the

extent of mutual trust, and collaborative roles engagement

are seen as essential to implementation system (Hill & Hupe,

1010539ARPXXX10.1177/02750740211010539The American Review of Public Administration XX(X)Zhang et al.

research-article2021

1School of Public Administration and Policy, Renmin University of China,

Beijing, China

2School of Public Affairs, American University, Washington, DC, USA

Corresponding Author:

Changgui Dong, Associate Professor, School of Public Administration and

Policy, Renmin University of China, Beijing 100872, China.

Email: changgui.dong@ruc.edu.cn

Deficits Pro forma and Substantive:

Multilevel Policy Implementation in

China’s Administrative Approval

Intermediaries Reform

Nandiyang Zhang1, David H. Rosenbloom2, and Changgui Dong1

Abstract

Policy implementation deficits tend to emerge and expand as implementation moves downward through multilevel

administration. This article uses China as an example and examines its policy implementation at both its provincial and

prefectural levels under the administrative intermediaries reform policy. By analyzing data from 225 prefectures in China and

their component provinces, we identify two types of implementation deficits: deficits pro forma and substantive deficits. We

highlight three factors mitigating both types of deficits and their exacerbation from the provincial level to the prefectural

level: self-imposed requirements, top-down pressure, and demonstration effects from upper levels. We find that while

self-imposed requirements have no binding effect, rigid executive directives from upper levels have the strongest effect on

deficits mitigation while demonstration effects also play an important role in deficit reduction. Our research contributes to

the implementation literature by distinguishing between pro forma and substantive deficits and by focusing on the middle layer

of government as well as the phenomenon of deficit exacerbation across layers.

Keywords

policy implementation, deficits pro forma, substantive deficits, administrative approval intermediaries reform, China