Theoratical Appro CA He d
Theoratical Appro CA He d
Theoratical Appro CA He d
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Abstract
An approach suggests authentic procedures and techniques for the solution of a specific problem.
To analyze the policy-making process, various approaches, theories, and models have been
introduced by social and political scientists. American political scientist Harold Laswell
presented the term ‘Public Policy’ in 1951 initially. Laswell projected a multi-disciplinary
innovative dexterous approach to control the political procedures of industrialized civilizations
of Post-World War II. At present, the study of policy process and analysis has quickly
established a higher level of theoretical framework commonly in the West. The theoretical
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approaches that are primarily connected with public policy formulation are rational-choice
theory, incremental theory, policy output analysis, political system theory, and institutionalism,
group theory, and elite theory. The cyclic/stages model offers a systematic framework for the
examination of public policies. A reviewing study of theoretical approaches to study public
policy was initiated, which explored the process of public policy as a cyclic model. The purpose
of the study is to learn about the different approaches to study public policy. The finding
indicates that the complex process of public policy formulation will relatively convert into the
easiest mode by following the logical apparatus of the cyclic model. This paper recommends that
the cyclic/stages model offers an upright design and methodical framework to examine public
policies and could be used for data collection.
Introduction
Public Policy is an action plan of the government to acquire the particular goals that
empower it to attain these goals. Public policies are framed by the executive branch and executed
by public and private actors.According to Miljan (2012), public policy is produced for the
assistance of the public by the government that empowers the government to attain definite goals
by providing an action plan. The policy is enforced and executed by the public agency which
itself is a wide-ranging action plan formulated to overcome a specific problem and articulated
through a precise political process.
An approach signifies the actual techniques and methods which are applicable to find a
specific task. The philosophical element of a phenomenon is considered a theory. It is
determined by the theory of a subject which approach will be followed by the researcher.
Commonly, approaches can be divided into three main groups that are normatism, behaviorism,
and empiricism. These groups are used as tools for the analysis of a phenomenon(Shafritz &
Hyde, 1997). The representation of reality is called theory which can be proved scientifically. A
theory is a systematic, comprehensive, reliable, and consistent prediction and description of
correlation amongst particular variables.
The ground for the public policy formulation is provided by the public policy theories.
By the introduction of tools and techniques in the field of public policy for the improvement of
rational decision-making, government practices have been improved (Lindblom, 1968).
Literature Review
“The policy sciences were consciously framed as being problem-oriented, quite explicitly
addressing public policy issue and posing recommendations for their relief, while openly
rejecting the study of a phenomenon for its own sake” (Lasswell, 1956). For policy research,
scholars of policy studies tried to incorporate the consequences of the first/prime policy studies
into a theoretical framework (Mazmanian & Sabatier, 1981). Consequently, for analysis of
policies, they are producing a variety of models that concentrated mainly on different problems
of policymaking. Therefore, the initial movement of policy studies could not appropriately reveal
the frameworks for the implementation of policies and the results of those frameworks on policy
outcomes. Resultantly, policy researchers and scholars started to identify the policy as a
theatrical procedure.
The problems of public policy are basically challenging and intrinsically are multi-
disciplinary. Different techniques which can support diverse perspectives indulge numerous
stakeholders and demand different bases of information for the investigation, analysis, and
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backing of decision-making in public policy. Dye (2013) described that “certain theoretical
approaches and models have been introduced in studying public policy”.
Research Methodology
This study on Theoretical Approaches to Study the Public Policy: An Analysis of the
Process Model/Cyclic Model was exploratory in nature. The research design was qualitative. The
data was collected through secondary sources which includes research articles published in
various journals and available on online sites. Moreover, data was also collected through books
written on public policy by some foreign and local authors.
Theoretical Approaches/Models
Political science has established a variety of models to be familiar with political life like
other scientific disciplines. These are the incremental model, rational model, process model,
public choice model, institutional model, political system model, group model, and elite model
(Dye, 2013). The theoretical approaches that are primarily connected with public policy
formulation are rational-choice theory, incremental theory, policy output analysis, political
system theory and institutionalism, group theory, and elite theory (Anyebe, 2018). The policy
sciences methodology is intentionally normative or focused on values. The periodic subject of
the policy sciences deals with democratic philosophy in various cases. The placement of value is
mostly in response to behaviorism. To comprehend an issue, its significance apparatuses must be
recognized. This research work explores diverse theories of public policy as follows:
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Demands and support from the social order are called input however influential decisions and
policies are called output. Interest groups and parties are considered as gatekeepers and as a final
point; they controlled the flow of inputs into the system. Through influential decisions and
policies, the inputs are altered into outputs, and a reaction is desired from the public.
Inputs from the general public comprising of demands for specific policy is taken by the
political system and manifestation of sustenance for government and changes into influential
decisions and policies as output and these outputs response to societies to influence the
succeeding circle of outputs. The work of the government is considered outputs. Feedback is the
key to check the success of the policies of the government. For the improvement of the
performance of the public policy, the policy decision may not be adopted as settled; it must be
tested and analyzed (Olaniyi J. O., 1998). Generally, when the needs of the people are fulfilled,
they like to support the government and when their needs could not be fulfilled they take away
the support. The inputs and outputs have a very deep and dynamic interrelationship. The system
cannot perform any function without input and the system cannot recognize the efforts of the
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system without output. The system theory is understandable through three fundamentals as i.e.
Parts or portions, the portion must be linked to the whole, and the whole is survived with the
efforts of all parts. This part is the core of functionalism and is called the functions.
The main directorial belief of this approach is the supposition of equilibrium and that the
cooperation of the part will be necessary for its functioning.
Figure: 2 The base of the system theory of policy formulation is the framework of Easton used
to analyze the political systems.
The effects of governmental and political institutions on public policy are emphasized in the
institutional model. The government institutions such as municipalities, legislatures of the states,
etc. are studied in political science. These institutes enforced, determined, and implemented the
public policy authoritatively. The correlation between these institutions of the government and
public policy is close because public policy needs to opt, enforced, and implemented by some
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institutions of the government to coming into the existence. Public policy is determined by
government institutions. The judiciary, executive, and legislature are government institutions that
give legitimacy to the policy. The government applies the policies universally and uses force for
the implementation of policies. Dye popularized the importance of the institutional approach in
1972 for the study of public policy analysis.
The formal institutions of the government i.e. executive, legislature, and the judiciary are
emphasized under the institutional approach although mass media and pressure groups are given
less consideration. The institutional approach is descriptive rather than analytical in its nature
and it was criticized due to it. All institutes of the government i.e. judiciary, legislature, and
executive are some of the performers who participated in the policy formation and each of them
done definite roles in the decision making (Olaniyi J. O., 1998).
Game Theory
The relationship between the two or more rational contributors resulted in public policy. Game
theory is considered a logical and abstractive model of policymaking. According to this theory,
a policy is considered as a collective decision making by self-interested people. Individuals can
enhance their comfort through contracts or agreements among themselves and they come into
politics for their mutual interests. Through collective decision-making, they acquired mutual
interests and pursue their selfish motives. This model assumes that all taxpayers, voters, political
actors, political parties, bureaucrats, and legislatures pursue their specific benefit in politics.
Mixed Scanning
Mixed scanning is the mixture of Incremental and Rational theories. It relates to try and
error. The features of the Incremental and rational model are incorporated by the users of this
theory (Hanekom, 1987).
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outlines the preferred option, costs out its financial implications, and spells out the action plan
along with milestones and deadlines” (Hussain I. , 2013).
“Agenda-setting results in a selection between diverse problems and issues. It is a
process of structuring the policy issue regarding potential, strategies, and instruments that shape
the development of a policy in the subsequent stages of a policy cycle. If the assumption is
accepted that all existing problems could not receive the same level of attention, and some are
not recognized at all.” (Baumgartner & Jones, 1993).
After the incorporation of, views of stakeholders, the revised draft of policy would be circulated
amongst the provincial governments and ministries concerned for their opinions. Once again, the
draft of the policy would be updated and moved to the ruling party. The management or think
tanks of the party will be responsible for the assessment of whether the policy document has the
capacity of adaptation. Modifications can be made in some cases if required, in other cases; the
policy would be endorsed and forwarded to the concerned department.
Policy Formulation (Planning, Analysis and Design)
Policy formulation is “developing policy proposals to resolve issues and ameliorate
problems” (Dye, 2013)
Policy Planning
According to Howlett and Ramesh (2003) during the policy formulation stage,
“governments develop the course of action to be taken to address a public issue which has been
identified.”While at formulating stage of the policy, issues are accepted and various probable
options are suggested and considered, objectives are identified with the cost and estimate of the
special effects of solutions. These objectives are picked from a list of clarifications and
instruments of policy. Numerous solutions to the problem are offered by policymakers.
Policy Analysis
“Policy analysis is a process of multidisciplinary inquiry designed to create, critically
assess and communicate information that is useful in understanding and improving policies”
(Dunn, 2004). Policy “analysis is simply the analysis of the policy process and can be either
descriptive or prescriptive” (Howlett & Ramesh, 2003). Policy analysis is accepted as “an
approach which tries to assimilate and visualize models and research for public policy from
orientation of policy and disciplines having problems” (Parsons, 1965)
Policy Design
“Many theorists designing a policy state that underlying sequence is the major reason for
the accomplishment or failure of a policy because the design of a policy leads to the results of a
policy” (Hai Do, 2010.) “Firstly, the design of a policy would identify the list of policy
mechanism i.e. institution-building” (Weimer & Vining, 1992). “A policy was well-made if a
vigilant analysis regarding the relationship of the means and ends had been made. Thus, the
trends of recognizing the design of a political procedure comes first to the choice made for each
policy” (Schneider & Ingram, 1997).
Policy Legitimization/Adaptation (Decision Making)
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“This stage of the process includes a discussion of problems that can potentially surface
around policy goals, the key actors in the implementation process, resources earmarked for the
policy and indicators for measuring the success of the policy” (Nakamura & Smallwood, 1980).
“Policy statements can be hindered by technical limitations and conceptual complexities that can
create a difference of opinion among policy experts and make it difficult to stimulate the various
groups required for implementing policy alternatives” (Nakamura & Smallwood, 1980). “Those
who hold the most power in the process will determine the policy solution. However,
implementation of the solution ultimately determines the policy outcomes despite the policy
solution chosen to address the problem” (Silver, Weitzman, & Brecher, 2002). “Each of these
evaluation designs is able to standardize the review of policy alternatives, where the decision
about which policy alternative is chosen is typically made by those who have control over the
political resources” (Ackerman & Heinzerling, 2001). Possible implementation problems should
be wisely addressed during the policy formulation process to stop the probable delays and
obstacles at the implementation level.
It can include one or more governmental/legislative approvals, pursuing endorsement
with concluded discussions with interest groups and surveys. It is ensured that the selected
instruments of policy have backing. It is decided at the decision-making stage which solutions
may be acknowledged and implemented. “Making well-timed decisions play an essential role in
the public policy creation and its implementation” (Edwards, 2001). This step provides better
choices to the decision-makers among the substitutes.
Policy Adoption:
Demands, proposals, and articulated problems are converted into governmental programs
at the stage of the policy adaptation. Formulation and adaptation of policy contain the description
of objectives that can be acquired from the policy. Policies are designed to solve the socio-
economic problems of the community. Policymakers evaluate the alternate policies. The
construction of the highest choice among the alternatives becomes easiest for the policy
decision-makers due to this act. The major purpose of this action is to facilitate the decision-
makers to construct superior selection amongst the alternatives. “In this process, it is very
essential to establish a viable criterion for analyzing the alternatives.
To compare and measure alternative policy, economic or social benefit must be
considered in the selection of any policy alternatives. The result of each alternative policy is
evaluated and compared to select the viable alternative (Dye T. R., 2010).
The policy draft would be forwarded to the Economic Coordination Committee of the
cabinet for discussions and for final endorsement by the ministry concerned. The draft may be
approved, altered, or sent back with observations to the concerned ministry by the cabinet or
ECC. After approval of the policy, it may be essential in some conditions to back it along with
legislative tools. The law ministry arranged these legislative instruments and was driven through
the committees concerned of the Lower House (National Assembly), the Upper House (Senate),
and lastly in the floor of the houses (Hussain I. , 2013).
Policy Implementation
Policy implementation or execution is the last step of public policy procedure. At this
level, the important organizations and associations are contacted and responsibilities are handed
over to each group. At this stage, proposed solutions are implemented and the responsibility of
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implementation of the policy is assigned to the relevant department ensuring that the department
has all assets such as legal authority, funds, and human resources for working. According to
Cairney (2012) Policy implementation is “establishing or employing an organization to take
responsibility for implementation, ensuring that the organization has the resources (such as
staffing, money and legal authority) to do so, and making sure that policy decisions are carried
out as planned”.
A key phase in the policymaking cycle is policy implementation. In this phase policy
goals and targets are interpreted into action/practice by the bureaucrats. “What develops between
the establishment of an apparent intention on the part of the government to do something or to
stop doing something and the ultimate impact in the world of action” (O'Toole, 2000) . “An
activity of groups or individuals directed toward achieving the goals outlined in a policy
mandate” (Meter & Horn, 1975). The policy implementation may be viewed as a process of
interaction between the setting of goals and actions geared to achieve them” (Pressman &
Wildavsky, 1979).
Different government agencies perform their role to translate the statutory language into
easy commendations for the implementation of the policy and to achieve policy objectives. This
procedure is called rulemaking, and civil servants are responsible for this interpretation.
“Implementation is the carrying out of basic policy decision, usually incorporated in a statute but
which can also take the form of important executive orders or court decisions. Ideally, that
decision identifies the problem(s) to be addressed, stipulates the objective(s) to be pursued, and
in a variety of ways, structures the implementation process” (Hill & Hupe, 2008). “Degree of
compliance with specific mandates, smoothness of established routines, absence of problems and
the extent to which a policy accomplishes desired results are characteristics of successful
implementation” (Ripley & Franklin, 1986).
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Policy Evaluation
Policy evaluation is the last stage in the policy cycle which controls the quality and
monitoring process. At this stage outcomes and effects of the policy are assessed. Evidence and
understanding acquired at this level are recycled for improvement of the project and to
implement the policies. “Policy evaluation, as a functional activity, is as old as policy itself.
Legislators, administrators, judges, pressure-groups officials, media commentators, and citizens
have always made judgments about the worth or effects of particular policies, programs, and
projects” (Anderson A. , 2011). The policy is evaluated at this stage to know that after
implementation, how it is working. Whether it remained successful to resolve the problems of
the public and it is executed accurately to get required objectives.
“There are various type of evaluation methods are employed for the assessment of policy
such as cost benefit analysis, multi-critics analysis, economic impact and developing forecasting.
This part of the process is generally implemented through a co-operative effort between policy
manager and independent evaluation. The evaluation takes place at several of shapes in the
policy process. This part of the process is generally implemented through a co-operative effort
between policy manager and independent evaluation. Furthermore, the impact of policy is also
evaluated to get know overall effect of that policy” (Dye T. R., 2010). The policy evaluation is
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the final stage of the policy process. The efficiency of the policy regarding the results of the
policy relates to this stage.
“Policy evaluation can focus on the quantifiable aspects of policy (cost per service,
personnel resources and infrastructure) or qualitative measures (impact on policy constituent and
consumer, focus on changing the policy context or environment). As a result, policy evaluation
can assume many different methodological stances” (Nakamura & Smallwood, 1980). “The
appropriateness of the different methodologies used for policy evaluation has been a subject of
debate since its inception in the early 1960s” (Marsh & Smith, 2001). “However, more recent
policy evaluation studies have given way to theories of action evaluation or the evaluation of
planned policy actions. Policy actions and outcomes are closely linked to the policy goals and
directives. This relationship forms the basis for theories of action evaluation with an emphasis on
how closely policy is implemented according to the original goals and intents” (Malen,
Croninger, Muncey, & Redmond-Jones, 2002). “A theory of Action evaluation assists policy
actors in identifying the critical links in implementation strategy. In addition, it provides an
opportunity to weigh the political promises associated with a particular policy with the
programmatic and personnel costs of choosing a particular policy option” (Malen, Croninger,
Muncey, & Redmond-Jones, 2002).
Conclusion
Public policy formulation is a complex process. In different countries, the content and scope of
public policies may differ in reliance upon their ideologies and governing system. Policy
problems of the developing countries that came into being afterward World War II to be
analyzed in the special perspective of their establishment particularly, in the case of Pakistan
which was established on the basis of an ideology presented by the philosopher-poet Dr. Allama
Muhammad Iqbal. Therefore, no firm assumption can be presented in regard of authenticity of
theoretical approaches. Each approach has its own salient features. The policymakers should be
flexible in selection of these approaches and extract the adequate and suitable explanation and
depiction of policies.
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