1. Titel og undertitel skal stå med store bogstaver (Versaler) og skal holdes indenfor de to vandrette grå linjer. Der kan frit vælges farver fra farvepaletterne til titlen. Undertitlen står i grå. Bemærk at farverne virker mere neddæmpede når de projiceres op, end de gør på pc-skærmen. Billedet, der skal være sort + en farve skal dække hele det grå billedfelt. IMPLEMENTATION RESEARCH IN PRACTICE SØREN C. WINTER SFI – DANISH NATIONALE CENTRE FOR SOCIAL RESEARCH

2. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. My First Experience with Quantitative Implementation Research Studying the implementation of agro-environmental policy in Denmark – with Peter May in the late 90’ies 14-08-2015 TITEL2

3. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Previously, I mainly used qualitative methods Using long loosely structured interviews of key actors at central, regional and local levels and street-level bureaucrats Statistical examination of outputs (take up and agency actions (measures applied)) Examining implementation of social policies Particularly employment policy reforms 14-08-2015 TITEL3

4. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Constructed an Integrated Implementation Model late 80’ies Early implementation research Each scholar had a separate implementation framework I tried to synthesize these Chose most theoretically promising elements Whether top-down or bottom-up 14-08-2015 TITEL4

6. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. WHY QUANTITATIVE IMPLEMENTATION RESEARCH? Became more aware of variation In implementation behaviors, outputs and outcomes Difficult to measure with case-studies and qualitative methods Inspiration from Goggin’s ”The too many variables, too few cases problem of implementation research” (1986) Changed focus from Why the policy became an implementation failure To: What accounts for variation in implementation outputs and outcomes? 14-08-2015 TITEL6

7. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. WHY CHANGE FROM IMPLEMENTATION OF SOCIAL POLICY TO REGULATORY POLICY? Regulatory enforcement and compliance research promising Better conceptualization of Behaviors of implementers (enforcement) Motivations and behaviors of target populations Compliance motivations and behaviors Exciting Danish policy reform on the aquatic environment With farmers as a key part of the problem and a very strong interest organization Strong implementation challenges Funding! The Danish Strategic Environment Research Program 14-08-2015 TITEL7

8. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. CONCEPTUALIZING REGULATORY ENFORCEMENT CONFUSION 14-08-2015 TITEL8

9. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. CONCEPTUALIZING REGULATORY ENFORCEMENT (Implementation behaviors) Enforcement Strategies What agencies do Enforcement Styles What inspectors do 14-08-2015 TITEL9

10. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Use strategies and styles as both explanatory and dependent variables in different studies How to conceptualize agency strategies and enforcement styles? What is the role of different actors in shaping regulatory enforcement? Local politicians, interest organizations and SLBs? What is the impact of different types of enforcement on target group behaviors 14-08-2015 TITEL10

11. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. DYE: POLICY ANALYSIS 14-08-2015 TITEL11 CausesPolicyConsequences

12. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. TRANSFORMED T0 IMPLEMENTATION RESEARCH 14-08-2015 TITEL12 Causes Enforcement Outcome

13. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. ENFORCEMENT STRATEGIES What agencies do Priorities on target groups, inspection emphases Emphases on tools, e.g. Deterrence Inspecting Sanctioning Information Technical assistance Persuasion Economic incentives Use of third parties Effort Inspection frequency, scope Enforcement strategies setting boundaries for inspectors 14-08-2015 TITEL13

14. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. ENFORCEMENT STYLES Day-to-day interactions of inspectors when dealing with regulated entities Dimensions Single dimension? Rigidity (Kagan 1994, Reiss 1984, Shover et al. 1984) Two-dimensional (Gormley 1998, May & Winter 1999, 2000) Formalism Coercion 14-08-2015 TITEL14

15. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. MEASURING ENFORCEMENT Survey of inspectors Sampling inspectors in all 258 municipalities with animal husbandry farms Telephone call to all main inspectors Postal questionnaire Response rate: 84 % Secondary statistical data from the national Environment Agency based on mandatory annual municipal reports Number of rel. farms, inspections, sanctions 14-08-2015 TITEL15

16. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. SURVEY QUESTIONS Make questions as concrete as possible The more general/abstract, the less valid due to e.g. social desirability bias Which should be avoided Trade-off between asking What the SLB normally do Do in interactions with particular target group members SLB behaviors tend to vary across clients But client-specific SLB-responses require many ressources 14-08-2015 TITEL16

17. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. SURVEY QUESTIONS ON STRATEGIES Inspector’s normal reactions to farmers’ violation of different specific regulations – 1 st time, repeat violations up to 4 times Inspector’s use of other tools Frequency, targeting and scope of inspections 14-08-2015 TITEL17

18. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. QUESTIONS ON STYLES What do you normally do when inspecting farms Survey items tapping polar opposite approaches on a 5- point scale Written vs. verbal communication Enforcement via strict rules vs. negotiation Compliance through formal rules vs. influencing attitudes Rules vs. results oriented Consistent vs. flexible Skeptical vs. trusting Using vs. avoiding threats of sanctions 14-08-2015 TITEL18

19. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. MEASURING ENFORCEMENT STYLES Principal component analysis to tap underlying dimensions 1.Formalism (dominating dimension) Written vs. verbal communication Enforcement via strict rules vs. negotiation Compliance through formal rules vs. influencing attitudes Rules vs. results oriented Consistent vs. flexible 2.Coercion Skeptical vs. trusting Using vs. avoiding threats of sanctions 14-08-2015 TITEL19

20. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. PATTERNS IN ENFORCEMENT STYLES INSPECTOR TYPES (May & Winter 2000) Cluster-analysis 14-08-2015 TITEL20

21. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. PATTERNS IN ENFORCEMENT STYLES Patterns of enforcement are varied Not unidimensional – at least two dimensions Also variation within each broader category of enforcement style Types of style also have a broader relevance for enforcement Associated with inspectors’ Attitudes on effectiveness of tools and on farmers Enforcement actions Stringency, effort, and targeting, E.g. token inspectors apply less effort, less stringency, are more haphazard in selecting targets for inspection 14-08-2015 TITEL21

22. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Explaining variation in enforcement among inspectors (Winter 2003) Theorizing Principal-agent theory focusing on information asymmetry Local politicians expected to affect visible SLB enforcement Via signaling policy and funding inspection SLBs preferences expected to influence particularly less visible enforcement styles 14-08-2015 TITEL22

23. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Explaining variation in enforcement among inspectors Measuring in survey and archival data Local politicians’ (perceived) support of policy Funding of inspection SLB attitudes on Workload Policy Effectiveness of tools Target populations (Aversion and tolerance) 14-08-2015 TITEL23

24. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Explaining variation in enforcement among inspectors Main findings Local politicians no influence on less visible SLB enforcement styles But influencing visible enforcement (effort) indirectly via funding Strong impact of SLB attitudes about Workload (effort) Effectiveness of tools Target populations (Aversion and tolerance) 14-08-2015 TITEL24

25. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. IMPACTS OF ENFORCEMENT ON COMPLIANCE Difficult to analyze Research designs Survey of inspectors on own enforcement styles and perceived regulatee compliance Perceived total effect (in terms of compliance) from their enforcement actions (May & Winter 1999) Survey of regulatees on perceived enforcement styles and own compliance behaviors (Winter & May 2001) Potential problems with subjective performance and compliance measures, social desirability bias and common source bias 14-08-2015 TITEL25

26. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. IMPACTS OF ENFORCEMENT ON COMPLIANCE Inspector survey (May & Winter 1999) Much higher impacts of some agency actions than of styles, e.g. frequency and targeting of inspections use of third parties (agricultural consultants) avoiding capture (farmer organizations) Positive impact of coercion when formalism is low Negative impact when formalism is high  Necessary to get tough up to a point, but beyond that the threat of coercion can be counterproductive  Need to know more about motivations and action models of target populations 14-08-2015 TITEL26

27. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. SURVEY OF FARMERS Based on archival data a total of 2,265 farms were randomly sampled and stratified 1,562 respondents (69 % response rate) Representative The overall results are weighted 14-08-2015 TITEL27

28. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Measuring compliance Potential social desirability bias Overreporting compliance Ask about practices – not directly about compliance Index of extent to which practices comply with 4 regulations: Land per livestock unit Storage capacity for manure Times for spreading manure Utilization of nitrate 14-08-2015 TITEL28

29. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Action model of target populations (Winter & May 2001) Capacity Awareness of rules Financial ressources Will – motivations Deterrence Risk of detection Risk of sanctions Normative motivation Social motivation Inspectors’ formalism and coercion 14-08-2015 TITEL29

30. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. DIRECT IMPACTS OF INSPECTORS’ ENFORCEMENT STYLES ON COMPLIANCE Formalism positive impact And stronger when farmers’ awareness of rules is low Formalism gives regulatees greater certainty of what is expected from them – greater predictability My be important for investment decisions Coercion negative impact when awareness of rules is low Coercion may be perceived as bullying when regulatees do not understand what they must do  Impacts of styles are not uniform – and contingent 14-08-2015 TITEL30

31. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Indirect impacts of SLB enforcement on compliance Awareness of rules Official and professional information provision increases farmers’ awareness of rules (Winter & May 2001) Normative motivation Professional information provision increases farmers’ sense of duty to comply 14-08-2015 TITEL31

32. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. Perceived risk of detection (Winter & May 2015) Awareness of rules conditions effects of enforcement factors and coercion on perceived detection risk Enforcement efforts—particularly scope—and targeting influence detection risk Heuristics have important effects Coercion, fairness and competence of inspectors 14-08-2015 TITEL32

33. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. deterrence Søren C. Winter and Peter J. May (2015). "Street-level Bureaucrats and Regulatory Deterrence,“ in Michael Hill, Peter Hupe and Aurélien Buffat (eds.) Understanding Street- Level Bureaucracy. Bristol: The Policy Press (Forthcoming) 14-08-2015 TITEL33

34. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. CONCLUSION 1 Literature unsettled about concepts of regulatory enforcement and effects on compliance We suggest a distinction between Enforcement strategies of regulatory agencies and Enforcement styles of regulatory inspectors Enforcement styles vary along not one but two dimensions Degree of formalism Degree of coercion/facilitation  Relatively robust findings  Many different combinations in practice 14-08-2015 TITEL34

35. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. CONCLUSION 2 Several factors influence enforcement styles Regulatory context Task environment – regulatees Political/administrative leadership Organizational context – Culture Inspectors’ individual background and attitudes Impact of styles on compliance Aspects of regulatory strategies stronger influence on compliance than those of enforcement styles Effects of styles differ and are often complex and bifurcated Enforcement styles have indirect or conditional effects via awareness of rules, cooperation and perception of detection risk 14-08-2015 TITEL35

36. Overskrift og underoverskrift i versaler. Underoverskrifter og brødtekst står altid i den fast definerede grå. PERSPECTIVES Need to consider the importance of regulatory setting Both generally and individual encounters How interactions develop over time Nature of the social ‘contract’ with regulatees Need to move from looking for general effects across all settings to disaggregated effects for particular settings Also identifying situations when certain combinations of enforcement behaviors are counterproductive Requires more sophisticated research methodologies 14-08-2015 TITEL36