Public policy Making and Analysis 1

Chapter One
Introduction to Public Policy
1.1 Introduction
Public policies are as old as governments. Whatever is the form of government; i.e. oligarchy,
monarchy, aristocracy, tyranny, democracy, etc, public policies have been formulated and
implemented wherever and whenever governments have existed. To cope with the varied
problems and demands of the people, the government has to make many policies; these policies
are called public policies. Public Policy as an academic pursuit emerged in the beginning of
1950s and since then it has been acquiring new dimensions and is struggling hard to
acknowledge the status of a discipline in the field of social sciences (Sapru 2004).

Public policy is an interdisciplinary subject, and it is this interdisciplinary quality which makes
the field of public policy interesting and thought-provoking. Public policy is a frequently used
term in our daily life and in academic literatures. It is an area which has to do with all spheres of
life which are so labeled as public. Hence, we often make references to various sectoral policies
like; the national health policy, the new education policy, wage policy, agricultural policy,
industry policy, human rights policy, foreign policy, and so forth.

Public Policy lays down the framework within which organizational goals are set to be
accomplished. The objectives of an organization, which are often vague and general, are
concretized in the policy goals that set the administrative wheels in motion.

Public Policy is the chief instrument of a politically organized community. The entire process
involving/concerning public policy needs to be distinguished primarily from two dominant
angles. From the input side, the articulation of needs and interests, and the factors determining
the ‘choice’ of activity have to be identified. From the output side, a distributive analysis has to
be undertaken, in that the impact of the policy has to be assessed. This brings out two major
dimensions to public policymaking.

In the first dimension, public policy is seen as an instrument of effective control over the
environment, in that it harbors the potential to create “fundamental social transformation” or that
could significantly influence the environment. The second dimension is that it “derives the
normative values on which it is based from the environment.” Public policy, thus, both acquires
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 Public policy Making and Analysis 2

and imparts values from/to the environment. It is the chief means by which the input-throughput
and output of government activity is performed.

1.2 The Meaning of Public Policy

Policy can be broadly defined as a proposed course of action of an individual, a group, an
institution or a government to realize a specific objective or purpose within a given environment
(Basu (1994). Public policies are those, which are developed by governmental bodies and
officials. The special characteristics of public policies as differentiated from other policies
emanate from the fact that they are made by "authorities" in a political system namely,
"executives, legislatures, judges, and administrators. Policy is a set of interrelated decisions taken
by a political actor or group of actors concerning the selection of goals and the means of
achieving them within a specified situation.

Definitions of public policy vary in their scope and level depending on the perspectives of
different authors. Yet all draw elements of public decisions, choices, positions and statements of
intents. The following are examples of such definitions to the subject matter, as a concept or as a
practice:
1. Public policy is whatever governments choose to do or not to do (Thomas Dye, 1972).
2. Public policy is the authoritative allocation of values for the whole society (David Easton,
1953).
3. Public policy is what the public administrators execute (Nicholas Henry)
4. Public policy is the consciously acknowledged rules of conduct that guide administrative
action and decision (Marshall Dimock)
5. Public policy is a purposive course of action followed by an actor or set of actors in
dealing with a problem or matter of concern (James Anderson, 1984).
6. Public policy is a very complex, dynamic process whose various components make
different contributions to it. It decides major guidelines for action directed at the future.
These guidelines (policies) formally aim at achieving what is in the public interest by the
best possible means (Yehezkel Dror, 1973)
7. Public policy is a conscious, goal-selecting process undertaken by actors in the
decisionmaking system and it includes the identification of the means of achieving such
goals (O. Saasa)

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 Public policy Making and Analysis 3

Public policy can be comprehensively defined as a purposive and consistent course of action
produces as a response to a perceived problem of constituency, formulated by a specific political
process; adopted, implemented and enforced by a public agency. In general, public policy means
Government policy. "Policy" designates the behaviour of some actor or set of actors (an official,
government agency, legislature, etc) in a given area of activity (for example public transport,
consumer protection, etc).

1.3 Implications of Public Policy

The following points will make clear the implications of the concept of public policy:
1. Public policy is goal oriented. It is purposive or result oriented action, rather than random
behavior or chance happenings, to accomplish goals and produce results. Goal-orientedness
and attainment of result is the hallmark (characteristic) of public policy. Public policy is
formulated and implemented in order to achieve objectives for the ultimate benefit of the
masses in general.
Example:
 Goal: to increase farm income
 Policy: provides subsidizes and utilizes production controls
 Result: incomes of many farmers have increased

2. Public Policy is the outcome of the government’s collective actions. Public policy refers to
the action or decisional pattern taken by public administrators or government officials in a
collective sense on a particular issue over a period rather than their separate discrete
decisions on that matter in an ad hoc fashion.
Example: Industrial health and safety policy is based not only on Occupational Health and
Safety Act, but also by a pattern of administrative and judicial decisions interpreting,
elaborating and applying (or not applying) the Act to particular situations.

3. Policy is what governments actually do and what subsequently happens, rather than
what they intend to do or say they are going to do.
Example: If legislature enacts law for the payment of minimum wages by the employer and then
nothing is done to enforce the law, it is not-regulation of wages.
4. Public policy may be either positive or negative in form. Positively, it may involve some
form of government action regarding any issue or problem; negatively, it may involve a decision
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by government officials not to take action on a matter on which governmental opinion, attitude or
action is asked for.
5. Public policy, at least in its positive form, is based on law and is authoritative. It has a
legal sanction behind it, which is potentially coercive in nature and is binding on all citizens.
This is the main point of difference between public policy and policies of private organizations.
6. Public policy focuses not only on government action, but also on government inaction
(what the government chooses not to do), and government inaction can just create as great an
impact on society as government action.
7. Public policies emerge in response to policy demands on some public issue made by other
actors such as private citizens, group representatives, other public officials upon government
officials and agencies.
Examples:
 A municipal government do something about in order to solve traffic congestion
 National government to prohibit the stealing of pet dogs or cats for sale to medical and
scientific research organizations
Policies could also have different connotations and could be understood in different perspectives,
which may imply or include the following:
(a) As a label for a field of activity: For example, broad statements about a government's
economic policy, industrial policy, or law and order policy,
(b) As an expression of general purpose or desired state of affairs: For example, to
generate as many jobs as possible, to promote democratization through decentralization,
to attack the roots of poverty,
(c) As specific proposals: For example, to limit agricultural landholdings to 10 hectares, to
devalue the currency by 10 percent, to provide free primary education,
(d) As decisions of government: For example, policy decisions as announced in the national
assembly or by president,
(e) As formal authorization: For example, acts of parliament or other statutory instruments
or provision,
(f) As a program: For example, as a defined and relatively specific sphere of government
activity such as land reform program or a women's health program,

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(g) As output: For example, what is actually delivered such as the amount of land
redistributed in a reform program and the number of tenants affected, taxes collected,
roads built, foreign aid projects undertaken, welfare benefits paid,
(h) As outcome: For example, what is actually achieved such as the effect on farmer income
and 'living standards, and of agricultural output of a land reform program,
(i) As theory or model: For example, if you do ‘x’ then ‘y’ will happen; if we increase
incentives to manufacturers then, industrial output will grow; if more opportunities are
provided in rural areas, then migration to cities will slow down,
(j) As process: As a long-term matter starting with issues and moving through objective-
setting, decisionmaking, implementation and evaluation (labour, welfare, defense, traffic
control etc),
1.4 Clarifications of Policy and Related Concepts
i. Policy and decision
In most of the times, the two terms are used interchangeably, although that is not the correct
usage. Policy is different from decisions even though it itself is a decision. Individuals,
organizations or governments constantly take decisions, but all the decisions that are taken
cannot be considered as matters of policy (Mathur, 2005:7). The core of decision-making is to
make a choice from alternatives available in order to take action. A decision can be taken only
when there are more than one alternative available. Thus, decision is the act of making a choice.

In contrast, Public policy is the broad direction or perspective that the government lays down in
order to take decisions. Public policy is a set of decisions by a political leader or group
commanding authority of implementation, concerning the selection of goals and methods of
attaining them in a specified situation". Policy consists of a series of decisions tied together into a
coherent whole. In other words, policy is a sum total of decisions. Policy provides a framework,
which then directs individual decisions. Each organization or individual, thus, makes decision
within a policy framework.

There can be some similarities in the processes involved in decisionmaking and policymaking.
Both are concerned with choice among alternatives, and both can follow similar processes in
generating alternatives. But, we should always remember that policy is a more comprehensive
term as it encompasses a series of decisions and has comparatively longer time perspective, while

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decision can be a one-time action. Therefore, public policy, when defined in broad context, refers
to the combination of basic decisions, commitments, and actions made by those who hold or
affect government portions of authority.

ii. Policy formulation and policy decision

In practice, policy formulation overlaps with policy decision in the policymaking process. Policy
formulation involves selecting a preferred policy alternative. Policy decision on the other hand
involves action by some official person or body to approve, modify, or reject a preferred policy
alternative. Policy decision when approving a preferred policy alternative takes such forms as the
enactment of legislation or the issuance of an executive order. Therefore, what is typically
involved in the policy decision stage is not selection from among a number of policy alternatives,
but action on the preferred policy alternative.

Generally, two concepts involved in any policy need to be distinguished:

(a) Policy statements are formal expressions of public policy (legislative statutes, executive
orders, administrative rules and regulations, court opinions, etc); and
(b) Policy outputs are actions actually taken in pursuance of policy decisions and statements
(taxes collected, highways built, welfare benefits paid, traffic fines collected, foreign-aid
projects undertaken; etc).
iii. Policy and politics
A brief look at the relationships between public policy and politics could also broaden our
understanding about the subject. The policymaking process is part of politics and political action.
According to Mathur K et.al (2005), political system is a set of interactions having structures,
each of which performs its functions in order to keep it like an on-going concern; it is a set of
processes that routinely converts inputs into outputs.

Ever since the advent of politics-administration dichotomy, there has been a debate of sorts about
the true purport of public administration as a discipline. The effort has been tied to the larger
issue of delimitation of the respective jurisdictions of political science and public administration
as subjects of academic pursuit. Issues involving the two disciplines however are common and
related except for of course the specialized branches of the two disciplines. To name a few,
questions of leadership, influence, authority, power etc., concern both the disciplines in equal
measure. The one field, however, that characterizes unmistakable commonality, or that is
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certainly a gray area between the two disciplines, is the field of public policy. In the words of
Appleby (1975), “the essence of public administration is policymaking.”

Public policy is the common instrument of both politics and public administration and acts as a
specialized branch of theory and practice in both the disciplines. While political science has
concerned itself with larger substantive issues having political overtones, public administration
has confined attention to the theoretical concerns of research, public choice, strategic planning
etc.

iv. Policy & Objectives

Objectives are ends towards which the activities of a department, organization, and/or
government are directed.

Nature of objectives:
(a) Multiple in nature
(b) Realistic and operational
(c) Responsive to environment changes
(d) Long range, medium and short ranges

Differences between Policy and Objective

POLICY OBJECTIVE
1. Guideline to achieve predetermined objectives 1. An end towards which activities are directed
2. Determines how the work is to be done 2. Determines what is to be done
3. General expression of broad purpose and 3. Specific measures of achievement
philosophy 4. Determined by the top management only
4. Formulated at every level of management top,
middle, low

Public Policy Objectives refer to public policy requirements, as well as public policy initiatives
of state or federal entities that have not been codified into law or regulation but which
nonetheless may have important impacts on long term planning considerations. Policy objectives
identify what is needed to achieve policy goals. Objectives are usually linked to one or more
operational units and are typically short term, tied to annual budgets. They need to be amended
as institutions respond to changes in resources and environment. Policy objectives are attainable,
feasible, credible, technically sound, consistent with central government priorities and socially as
well as politically acceptable.
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v. Policy & Goals

Goal can be understood in a variety of perspectives; it can be thought of as abstract values that a
society would like to acquire, or it can be specific and concrete. Public policy is, however,
concerned with the specific goals than the abstract ones. In order to become a policy, goal has to
be translated into action. Goals provide the context for the specific objectives and policy actions.
Goals define the intentions. The goals provide the long-term vision and serve as the foundation
of the plan. Goals are broad statements of purpose that do not provide specific descriptions.
Objectives are more specific statements of purpose, and policy actions provide a bridge between
general policies and actual implementation guidelines. A policy goal is a broad statement of
intent providing guidance for action.

Differences between Policy and Goal

GOAL
POLICY
1. Policy spells out the way of achieving a 1. Goal is what policy aims to achieve.
goal 2. Goal is a desired state of affairs that a
2. Policy is essentially an instrument to society or an organization attempts to realize.
achieve a goal.

vi. Policy & Strategies

Various authors have been using the terms "Policy" and "strategy" to denote closely similar
meanings. For example, policy and strategy both refer to broad characterizations of long-range
organizational aims.

Differences between Policy and Strategy

Policy Strategy
Policy establishes broad purpose and direction for Strategy develops alternative ways and means
the total organization, sector or nation. that will be consistent with, and optimizes on,
the organization's or nation's policy.
Policy answers the "where" or "what", the Strategy answers the "how", how the
government or top management of the government or the organization intends to get
organization wants to go or to be some years after where it wants to go or what it wants to be.
from now.

Despite technical differences as indicated in the table above, strategy and policy are
interdependent parts of effective decision-making. Depending on the context, meanings can
overlap with distinctions increasingly difficult to draw. Strategy depends on identifying the

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correct alternatives to pursue. Strategies describe how policy objectives and goals can be
achieved.
vii. Rules
Rules are specific regulations, which must be followed by all people in the organization or
department. Rules spell out specific required action or non-actions, i.e., actions that must be or
must not be taken, allowing no discretion in a given situation (example “no smoking”, or
“cheating is prohibited”). They specifically tell what to do or what not to do, they are enforced
rigidly, and involve penalty for violation. The only choice rule leave is whether or not to apply
them to a particular set of circumstances. The purpose of policy is to guide decision-making by
marking off areas in which managers can use their discretion. Although rules may also serve as
guides, they allow no discretion in their application. Rules are the most explicit of standing plans
and are not guides for thinking or decision-making.

Differences between Policies and Rules

Policy Rule
General statement of a decision Specific... tells what to do or not to do
Flexible... allows exceptions Rigid ... does not permit exceptions
Allows discretions in decision-making or Does not allow discretion in decision-making or
implementation implementation
Allows implicit understanding and interpretation, Is explicit and direct, doesn't give room for thinking
and implied interpretation
serves as a guide for thinking or decision-making

viii. Procedures
Procedures are statements that specify the exact manner in which certain activities must be
accomplished. They put the precise order of activities to be carried out to do a task and thus,
procedures are chronological sequences of required actions. They provide detailed step-by-step
instructions as to what should be done. Procedure is a systematic way of handling regular events;
it is a series of steps to do a particular job; a sequence of actions directed towards a goal; a guide
of action without specifying a time sequence.

Example: To hire employees, we follow the sequences of actions that include the following: (a)
Advertisement (b) Preliminary interview (c) Reference check (d) employment test (e)
Final interview (f) selection (g) Job offer (h) contract (i) Joining (j) Orientation...etc

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Nature of procedure:
(a) Involves steps of doing jobs
(b) Concerns with many departments
(c) Required for all departments
(d) Facilitates decision – making
(e) Helps in policy implementation

Differences between Policies and Procedures

POLICIES PROCEDURES
1. Planned expressions of Department's attitude 1. Prescribe the exact sequence of
towards issues specific tasks
2. Guides to decision-making 2. Guides to action
3. Allow rethinking 3. Rigid; no discretion
4. Framed by top level management 4. Laid down at middle level

When we compare policy with the last two related concepts; i.e. rules and procedures, we can
understand that all are alike in the sense that they are directives to guide people’s behavior to the
desired ends and they are standing plans, which are to be followed in the future. Conversely, rules
and procedures are different from policy in that the former are guides to actions while the latter is
a guide to thinking. So, procedures and rules render no freedom and hence should be used when
we want to discourage initiative or repress thinking. But, policies must permit freedom within
limits and hence are used when people’s involvement, participation or initiative is desired.

Policy is also closely understood with other related concepts in addition to those discussed above.
Such related concepts include: method, decisionmaking, plan, program, and project. A method is
a manual or mechanical way by which each operation is performed... the best way of doing a
particular work. Method is limited in nature compared to a procedure, as the latter consists of
various methods to do a work.

Sometimes policymaking is confused with decisionmaking. Although they are closely related,
they are not the same functions. Policymaking involves decisionmaking, but every decision is not
a policy. Generally, administrators take decisions in their day-to-day work, within the existing
framework of policy. Policy decisions thus, provide a sense of direction to the course of
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administrative action. Policy formulation sets the framework for decisionmaking. Policy has
wider implications and a longer time frame.

Policy itself is part of the overall process of planning. Planning has strategic implications and is
more a technical function than policy formation. A policy has more the nature of a ‘tactic’.
Programmes are a schedule of activities to be taken up by various institutions or individual
functionaries. A project is an investment for a particular purpose. Program and project are both
consequences of a policy.

1.5 Characteristics of Public policy

(i) Complexity: The complexity of policy making emanates from the involvement of numerous
actors who can be involved either in making or affected by policy. The involvement of different
actors will be affected by how much they are impacted by the policy. Complexity may also imply
that there are actions, behaviors and roles by different stakeholders.

(ii) Dynamic process: Policymaking is a process, that is, a continuous activity taking place
within a structure; to be sustained it requires a continuing input of resources and motivation. It is
a dynamic process, which changes with time; the sequences of its sub processes and phases vary
internally and with respect to each other.

(iii) Various components: Nearly, all public policymaking involves a great variety of
substructures/actors. The identity of these substructures, and the degree of their involvement in
policymaking, vary among different issues, times and societies. The substructures most involved
in public policymaking constitute the ''political institutions'' or "political system" of a society.

(iv) Different contributions by different actors: This characteristic suggests that every actor
makes a different, and sometimes unique, contribution to public policy depending up on how
much they are affected by the policy. The degree of contribution /involvement can differ on the
number of actors.

(v) Decisions: Policymaking is a species of decision-making. What is the difference between

public policy and decision? The differences between them are: public policy generally deals with
macro/broad issues whereas decisions are more specific/micro; public policy has comparatively
longer time perspective, while decision can be a one-time action; and policy provides a

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framework for decision making then decision is made within a policy framework. The
similarities in the process involved in both are: both are concerned with choice among
alternatives and both can follow similar processes in generating alternatives.

(vi) Major guidelines and directions: Public policy, in most cases, lays down general
directives, rather than detailed instructions, on the main lines of action to be followed. There are
pros and cons in articulating public policy in broad terms. Advantages: it gives flexibility, and
reduces potential controversies that may arise over directions. The disadvantage is that it can
generate confusion.

(vii) Future Oriented: Public policy is intended to impact a situation or to change behavior at
some-time in the future. It is generally prospective rather than retrospective.

(Viii) Undertaken by governmental organs: One of the differences between making private
policy and making public policy is that the latter mainly concerns actions to be taken by
governmental organs. Of course, this is a matter of degree; public policy is also directed in part at
private persons and non- governmental structures, as when it calls for a law prohibiting a certain
type of behavior or appeals to citizens to engage in private saving, But public policy, in most
cases, is primarily directed at governmental organs, and only intermediately or secondarily at
other actors.

(ix) Public interest focus: However, difficult it might be to find out what the "public interest"
may concretely refer to the term nevertheless conveys the idea of a "general"(as opposed to
"sectoral") orientation, and seems therefore to be important and significant. In broad term public
interest is the result of consensus.
1.6 Significance of and Rationales for the Study of Public Policy
The study of public policy is very important for the intimate and organic relationships between
public policy and its context.

Firstly, the study of the policy formulation processes may help to gain greater knowledge and
understanding of the complexities of the interacting social, economic and political processes and
their implications for society. Policy may be viewed either as a dependent or an independent
variable. When it is viewed as a dependent variable, the question will be on identifying factors
that would shape public policy. The attention in this case is placed on the political and
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environmental factors that help to determine the content of policy. For example, how do the
distribution of power among pressure groups and governmental agencies affect the policy
outcome? Or how do urbanization and national income help shape the content of policy? If
public policy is viewed as an independent variable, the focuses shift to the impact of policy on
the political system and the environment. Then, the questions arise as to what effect policy has
on social welfare? How does it influence future policy choices or mobilize support for the
political system?

Secondly, factual knowledge about the policymaking process and its outcomes is a prerequisite
or prescribing on and dealing with societal problems normatively. Many political scientists
believe that the study of public policy should be directed towards ensuring that governments
adopt appropriate policies to attain certain desirable social goals. They reject the notion that
policy analysts should strive to be value free contending that political science should not and
cannot remain politically neutral or silent on vital contemporary social, economic or political
problems. They want to improve the quality of public policy in ways they deem desirable,
notwithstanding the fact that substantial disagreement may exist in society over what constitutes
“desirable” or the “appropriate” goals of policy.

Today many scholars and professionals have shifted their focus to public policy- to the
description and explanation about the process by which public policy is determined as well as the
causes and consequences of government activities. This focus involves a description of the
content of public policy; an analysis of the impact of social, economic, and political forces on the
content of public policy; an enquiry into the effect of various institutional arrangements and
political processes on public policy; an evaluation of the consequences of public policies on
societies, both expected and unexpected consequences.

This shift of emphasis and focus of attention towards explaining and analyzing the causes,
requirements and consequences of public policy certainly require relevant knowledge. As, on the
other hand, there is an obvious gap between the ways policies are made and the required
knowledge possessed by policymakers, it has become imperative in the fields of political science
and public administration to study public policy. The question here is that, “why do we study
public policy?” There are both academic and political reasons for studying public policy or

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engaging in policy analysis. Among a number of specific reasons for why we devote greater
attention to the study of public policy, the following deserve worth mentioning:

(i) Scientific Reasoning/Understanding: First, public policy can be studied for purely
scientific reasons: understanding the causes and consequences of policy decisions
improves the knowledge of society. The study of public policy formulation processes may
help to gain greater knowledge and understanding of the complexities of the interacting
social, economic and political processes and their implications for society. Public policy
can be viewed as a dependent variable, and we can ask what socio-economic conditions
and political system characteristics operate to shape the content of policy. In this case,
then attention is placed on the political and environmental factors that help to determine
the content of policy.

Alternatively, public policy can be viewed as an independent variable, and the focus
shifts to the impact of policy on the political system and the environment. In this case, we
can ask what impact public policy has on society and its political system. By asking such
questions we can improve our understanding of the linkages among socio-economic
forces, political processes, and public policy (see Figure-2.1). An understanding of these
linkages contributes to the breadth, significance, reliability, and theoretical development
of social science.

(ii) Professional Reasons/ Problem solving. Public policy can also be studied for
professional reasons: understanding the causes and consequences of public policy
permits us to apply social science knowledge to the solution of practical problems.
Factual knowledge about the policymaking process and its outcomes is a prerequisite for
prescribing the ills of society or dealing with social problems normatively. If certain ends
are desired, the question of what policies would best implement them is a factual question
requiring scientific study. In other words, policy studies can produce professional advice,
in terms of “if…then…” statements, about how to achieve desired goals. The study of
public policy should be directed towards ensuring that governments adopt appropriate
policies to attain certain desirable social goals. It is not to deny, however, that substantial
disagreements may exist in society over what constitutes "desirable" or the "appropriate"
goals of policy.

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(iii) Political Reasons/ Policy Recommendations. Finally, public policy can be studied for
political purposes: to ensure that the nation adopts the “right” policies to achieve the
“right” goals. It is frequently argued that political science should not be silent or impotent
in the face of great social and political crises, and that, political scientists have a moral
obligation to advance specific public policies. An exclusive focus on institutions,
processes, or behaviours is frequently looked on as “dry”, “irrelevant”, and “amoral”
because it does not direct attention to the really important policy questions facing
societies. Policy studies can be undertaken not only for scientific and professional
purposes but also to inform political discussion, advance the level of political awareness,
and improve the quality of public policy. Of course, these are very subjective purposes-
citizens do not always agree on what constitutes the “right” policies or the “right” goals-
but it is assumed that knowledge is preferable to ignorance, even in politics.
1.7 Scope of Public Policy
The scope and the sheer size of the public sector has grown enormously in the developing
countries in response of the increasing complexity of technology, social organization,
industrialization and urbanization. These developments have therefore enhanced both the size
and scope of public policy. The range of public policy is vast; from the vital to the trivial.

As far as the scope of public policies are concerned, they may deal with a wide variety of
substantive areas such as defense, energy, environment, foreign affairs, education, welfare,
police, highways, taxation, housing, social security, health, economic opportunity, urban
development, inflation and recession, and so on. Some of these policies have been there even in
ancient times; hence public policy is not a new concern of political science and public
administration.

However, “traditional” political science focused on the institutional structure and philosophical
justification of government. This involved the study of constitutional arrangements, such as
federalism, separation of power, and judicial review; powers and duties of official bodies such as
parliament, president, and courts; intergovernmental relations; and the organization and operation
of legislative, executive, and judicial agencies. Traditional studies described institutions in which
public policy was formulated. But it didn’t deal directly with the linkages between institutional
arrangements (and processes) and the content of public policy.

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Although individual political scientists often manifest strong preferences of models, it cannot be
authoritatively said which is the “best” or most satisfactory. Each focuses attention on different
aspects of policymaking and politics. It is wise not to be bound too dogmatically or rigidly to a
single model or approach. A good rule is to be flexible, to draw from those theories which seem
to be appropriate to particular political events or situations and policies. Each of theories (Some
have been left out) discussed above contributes to an understanding of policymaking

1.8 Broad Typologies of Public Policy

Public policies can generally be categorized in the following major typologies:
(i) Substantive and procedural policies
(ii) Distributive, regulatory, self-regulatory and re-distributive policies
(iii) Material and symbolic policies
(iv) Public goods policies and private goods policies
(v) Liberal and conservative policies
Policies may also be categorized on the basis of:
(i) Issues (like: labour, welfare, civil rights, foreign affairs, etc.)
(ii) Institution (like: legislative policies, judicial policies, departmental policies,)
(iii) Time period (like: transitional, short-range, medium-range, long-range)
Categorization of public policy in terms of the latter three aspects presented above is better
because they reflect basic contents and characteristics of policies than the case in the former
one.

(i) Substantive and Procedural policies:

Substantive policies involve what government is going to do (e.g. construction of highways,
payment of welfare benefits, prohibition of liquor, acquisition of bombers). Substantive
policies directly distribute advantages and disadvantages, benefits and costs to people.
Procedural policies pertain to how something is going to be done; who is going to do
(example, which agencies are responsible for the enforcement of a law enacted to ban or
control illegal drug trafficking and consumption)?

(ii) Distributive, Regulatory, Self-regulatory and Re-distributive Policies:

This typology differentiates policies on the basis of the nature of their impact on society and the
relationships among those involved in policy formation.

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 Public policy Making and Analysis 17

Distributive policies involve the distribution of services or benefits to particular segment of

people; i.e. individuals., groups, corporations, communities (example, bank loans) or distribution
of benefits to vast number of persons (example, tax concessions, free public school educations).
These policies also use public funds to assist particular groups, communities and industries,
(example, flood control, ports improvement, water supply, beach development).

Re-distributive policies involve shifting of the allocation of the existing resources, wealth,
income, property, rights, and powers among broad classes of people (example, land reforms). Re-
distributive policies are difficult to secure as they involve reallocation of money, rights, and
power.

Regulatory policies involve imposition of restrictions or limitations on the behavior of

individuals or groups; they reduce the freedom to act of those who are regulated (example,
business regulatory policies related to pollution control or regulation of transportation industries).

Self-regulatory policies are usually sought and supported by the regulated group as a means of
protecting or promoting the interests of its members (example, licensing, legislations, health and
medical are heavily influenced by the practitioners; agricultural policies influenced by farmers.)

(iii) Material and Symbolic policies:

This depends upon the type of benefits the policies allocate. A material policy provides tangible
resources or substantive power to their beneficiaries (examples, Minimum Wages Act, Public
Housing, Program, Income Support Payments to Farmers, etc). Symbolic policies have little
material impact on people. They appeal to the cherished values of the people such as peace,
patriotism, social justice (examples, Peace Pacts, Endangered Species Act, etc).

(iv) Policies involving Collective Goods or Private Goods:

Collective goods (indivisible) are provided to one and all persons equally and similarly
(examples, national defense, public safety, traffic control, mosquito abatement, clean air etc.).
Private goods (divisible) may be broken into units and charged on an individual user or
beneficiary basis. Various social goods provided by government have some characteristics of
private goods. Charges are sometimes but not always levied on individual users (examples,
garbage collection, postal service, medical care, museums, and national parks).

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 Public policy Making and Analysis 18

(v) Liberal and Conservative policies

Distinction between "Liberal" and "Conservative" policies is slippery and difficult to define.
Such distinction was possible in the latter part of 19th and early part of 20th centuries, but now
has passed into the graveyard of consensus. Their respective stand vis-à-vis Government can be
seen in the following table.

Liberals Conservatives
(1) To bring social change and greater equality (1) Such charge should occur slowly and naturally
(2) Public policies to correct social injustices (2) Existing social order satisfactory
/shortcomings
(3) Economic regulatory programs (3) Opposed economic regulations
(4) Supported welfare programs (4) Opposed welfare programs

Now, such distinctions have disappeared as the governments have become "positive" with
extensive responsibilities to meet human needs and problems.

1.9 Determinant Factors in Public Policymaking

Policymakers (especially the official ones) take into account several determinant factors and
consider all with assigned respective values in the process. Public policymaking considers, for
example public opinion, rationality of the process, political and socio-economic situations or
variables.

Public Opinion: Public opinion is central in shaping the content of public policymaking.
Democratic Constitutions provide freedom of expression. Popular sovereign confer upon the
legal sovereign the role to determine national policies. Initiative and Referendum confirm
people's role in policy- making. Political parties, mass media, newspapers, television claim to
represent public opinion.
Rationality: Rational policy analysis, as has been discussed in depth in the preceding chapter,
involves the following steps:
(i) Identify the problem requiring policymaking
(ii) Clarify and rank goals
(iii) Collect the relevant alternatives & information
(iv) Calculate the consequences of each alternative on the basis of cost-benefit analysis
(v) Select the alternative, which comes closest to achieving the goal

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 Public policy Making and Analysis 19

However, rationality is faced with many constraints:

(a) "Sunk cost " (former commitments)
(b) "Satisficing" nature of administrative man (Satisfied with few alternatives, with few
choices)
(c) Rigid time-schedule within which policy is to be made
(d) Technical, economic and political issues intermixed
(e) Economics and Environmental problems mixed up, eco-friendly development
Policymaking cannot be adequately understood apart from the environment in which it takes
place. Demands for policy actions are generated in the environment and transmitted to the
political system. At the same time, the environment places limits and constraints upon what can
be done by policymakers. Hence, environment is a decisive factor on public policy formulation.

Environment, in turn, includes geographical characteristics as natural resources, climate and

topography; demographic variables like population size, age and sex ratio distribution and spatial
location; political culture; social structure; and the economic system. Actions of politicians,
legacy of the past, nature of the government organizations, economic systems pose constraints in
policymaking. Other nations become a significant part of the environment for foreign and
defiance policy. The discussion here will focus on two these environmental factors to which
political scientists have given much importance to, namely, political culture and socio-economic
variables. Policy formulations in every country is, in the words of Sickle Hudson, “arrived at,
then, in all sorts of ways, conditioned by all sorts of matters.” Of these environmental aspects,
political culture and socioeconomic variables are considered as the more influential factors in
public policy formulation.

Political Culture: culture has been defined as the entire pattern of social life, the inherited
modes of living and conduct that the individual acquires from the community or environment.
Most social scientists agree that culture is one of the many factors that shape or influence social
action. Political culture is also part of the general culture, which denotes widely held values,
beliefs, and attitudes concerning governmental policies and actions. What is relevant here is
therefore to see some of the implications and significance of this culture for policy formulation.

Differences in public policymaking of various countries can be partly explained in terms of

variations in their political culture. Social welfare programs are older and more widely covered in

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 Public policy Making and Analysis 20

West European countries than in the United States because there has been greater public demand
and approval of such programs in those countries. Again, government ownership in business and
industry is more prevalent in Britain than in the USA where public opinion is more in its favor.
For example, Karl Dentsch suggests that the time orientation of people-their view of the relative
importance of the past, the present and the future has implications for policy formulation. A
political culture oriented more to the past may recognize age-old traditions, customs and social
moves, while future oriented political culture comprehends to change and innovation. Rumki
Basu (1994:273) and further identified three types of political cultures as parochial, subject, and
participant.
a) In a parochial political culture, citizens have little awareness of or orientation towards
either the political system as a whole or the citizen as a political participant. Citizen's
participation in the policy formulation in a parochial political culture is essentially non-
existent, and government will be of little concern to most citizens.
b) In a subject political culture as that of in many developing countries, citizens are oriented
towards the political system, yet they have little awareness of themselves as a participant.
They are aware of governmental authority and they may have political views, but they are
essentially passive. In the subject political culture, an individual may believe that he/she
can do little to influence public policy, which may lead to his/her passive acceptance of
governmental action.
c) In the participant political culture, like that is evidenced in the United States, citizens
have a high level of political awareness and information and have explicit orientations
towards the political system as a whole, and a notion of meaningful citizen's participation
in politics. Such orientation includes understanding of how individuals and groups can
influence decisionmaking. In the participant political culture, individuals may organize
into groups to influence government action to rectify their grievances. Government and
public policy are viewed as controllable by citizens. It is also assumed that more demands
will be made on government in a participatory political culture than in the other two
types.
In general, the study of political culture is important because values, beliefs, and attitudes inform,
guide, and constrain the actions of both decision-makers and citizens. Political culture helps
shape political behaviors, it is related to the why and how of recurrent modes of behavior in a
society.

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 Public policy Making and Analysis 21

Socio-economic variables: The term socioeconomic variable or condition is used here in the
widest sense to include geographical characteristics and demographic variables as being
economic resources, because it is often impossible to separate social and economic factors as
they impinge on or influence political activity. Public policies can be seen as emanating from
conflicts between different groups often with opposing interests and attitudes. One of the major
sources of conflict in modern societies is economic activity. There are clashes of interest
between big and small business, employers and employees, wholesalers and retailers, consumers
and sellers, farmers and landlords, workers and industrialists and so on.

Groups that are underprivileged, dissatisfied, or threatened by economic changes often seek
governmental intervention or assistance to improve their lot or status through some sort of policy
decision. Thus, it was that in many capitalist countries, organized labour, dissatisfied with the
wages resulting from union bargaining with employers has often sought minimum wage
legislation from the government. Rapid industrialization disrupts the equilibrium of many groups
in society. Feudal Landed class loses its importance; new classes emerge like the middle class,
big business class and the industrial workers who want a voice in governmental decisions.

It is recognized that society's level of economic development will impose limits on what the
government can do in providing public goods and services to the community. The ways in which
socioeconomic conditions influence or constrain public policies have been subjected to
considerable analysis. Economic development shapes both political processes and policy
outcomes. In other words, differences in the policy choices of governments with different
political systems turn out to be largely a product of differing socioeconomic levels rather than a
direct product of political variables. Levels of urbanization, industrialization, income and
education appear to be more influential in shaping public policy outcomes than purely political
variables like voters' participation, inter-party rivalry, and political party strength.

Compiled by Bahiru Detti (PhD), Department of PADM, Dilla University