Basic Concepts of Public Policy and Theories

Basic Concepts of Public Policy and Theories
Public policy definitions
“Course of action of a person, group, or a government to reach a goal or realize an

object or a purpose” (Friedrich, 1963)
“Set of interrelated decisions taken by a political actor or group of actors concerning

the selection of goals and the means of achieving them” (Jenkins, 1978)
“The actions of government and the intentions that determine those actions” (Cochran
et al.)
“The outcome of the struggle in government over who get what” (Cochran et al.)
What government chooses to do or not to do (Dye, 2002)
A statement by government of what it intends to do such as a law, regulation, ruling,

decision, order or a combination of these.
What is public policy
Daniel McCool (Political Science, University of Arizona . ... Professor)

argues that modern policy studies began in 1922 when Charles Merriam
(Charles Edward Merriam, Jr. was a professor of political science at the
University of Chicago,-1874-1953)sought to connect the theory and practice
of politics to understanding the actual activities of government.
“Discipline” of public policy did not sprung into existence in 1950s and
1960s.
Contemporary discipline – debate remains over whether there is one

coherent set of principles that can govern the study and understanding of
what we call the public policy process
Politics and Public Policy
 Public Policy – an important aspect of Political Science

But what is Politics?
A process by which societies help figure out how to
organize and regulate themselves (Harold Lasswell);
how to govern themselves.
What makes it “Political”?
 Its location, position, and setting in the public sphere.
 Whatever the scale, public policy address problems
that are public or more importantly, that some number
of people think that should be public, instead of
private.
Key attributes of Public Policy
Policy is made in response to some sort of problem that requires attention.
Policy is made on the “public’s” behalf.
Policy is oriented towards a goal or desired state.
Policy is ultimately made by the governments.
Policy is interpreted and implemented by public and private actors who have
different interpretations of problems, solutions and their own motivations
Policy is what the government chooses to do or not to do.

Public Policy Processes
Research on the formulation and implementation of public policy – issue emergence and policy agendas, the cultural
definition of policy problems, policy formulation, political feasibility and policy implementation.
Comparative Public policy

analysis to the substance of different policy problems – mostly cross-national and cross-regional. Mostly descriptive, rather
than theoretical
Public Policy Analysis

Logic of analysis and mix of techniques in support of public policy decision making. “Rational” analysis contains a central
focus on problem specification, generation of alternative policies and assessment of policy in support public policy decision
making.
Public Policy Research
Consists of applied social science research aimed at documenting policy problems and evaluating interventions.
1. Constituent.
2. Distributive
3. Regulatory
4. Redistributive
5. Material
6. Symbolic
7. Capitalization Public Policy
8. Technical Public Policy
The primary differentiates on the basis of their

effects in society and relationship among this
involved in their formation.
1. Constituent Public Policy
Policies for Govt Structures, with the

establishment of rules/ procedures for
the conduct of rules that distribute or
divert power and jurisdictions through
which present and future polices might
be made-regarded as state building.
(Development of New Depts,)
2. Distributive Public Policy
Using public funds to

assist particular groups/
communities/industries
and this seek benefits of
funds (Flood control,
highways).
3. Regulatory Public Policy
Imposes restriction or
limitations on the behaviors of
individuals or groups (banks,
business regulations, pollution
controls, competitive
regulatory polices etc).
4. Redistributed Public Policy
Deliberate efforts of Govt to shift

the allocation of wealth, income,
property or rights among broad
classes or groups of the
population, such as haves and have
not and bourgeoisie (higher tax to
low income group.
5- Material Policy
Provide tangible resources or

substantive power to their
beneficiaries or impose real
disadvantages on this that are
adversely affected. (Minimum
wage, Support Wheat Price etc)
6- Symbolic Policy
In contrast to material for

advantage/disadvantages to
people, Symbolic refer to
Cherished value such as
patriotism, social justice, UN
do lot of things
7. Capitalization Public Policy
These policies are related to financial

subsidies given by the Centre to state and
local governments and central and state
business undertakings, etc and is not directly
linked to public welfare as the others listed
above. it does contribute but indirectly. It is
basically infrastructural and development
policies for govt. business organizations to
keep functioning properly
8. Technical Public Policy
It relates to the policies framed

for arrangement of procedures,
rules and framework which a
system shall provide for
discharge of action by various
agencies on the field(S&TI)
Theories of Public Policy
Political system theory
Institutional Theory
Process Theory
Group Theory
Elite Theory
Rationalism Theory
Incrementalism Theory
Game Theory
Public Choice Theory
System Theory
Political System (P.S)Theory (David Easton 1917 –
2014, American political scientist, Univeristy of
Chicago)
Consist of Social System, economic system, biological setting.
 Demand arising from Environment.
 Social System
 Identifiable and interrelated institutions and activities in
society that make decision to be comply-with by society.
 Input = Demand + Support + Feedback->
Political System = Output -> Laws+ Decision-Feedback
 Output of P.S = laws, rules, judicial decisions,
Constraint: Highly general and abstract. Policy is

developed in bloc called political system.
Public policy as institutional output
Who: executive, legislative, and judicial branches
How: policy is authoritatively determined, implemented,

and enforced by these institutions (legitimacy, universality,
and coercion/compulsion)
Implications/assumptions: individuals have little

impact; structure/design affects outcomes
Critique on Institutional Model
It is possible when all institutions are

studied thoroughly and the relationships it
shares with other organizations and also in a
developing society where one organization
provides overlapping services with another
organization then it becomes difficult to
segregate and duplication occurs wasting
money and resources of the country people.
Process Theory
Public policy as political activity
Who: voters, interest groups, legislators, presidents,

bureaucrats, judges
How: ID problem, set agenda, formulate policy proposals,

legitimate policies, implement policies, evaluate policies
Implications/assumptions: who participates has a

critical or determinant impact on the process
Public policy as group equilibrium
Who: interest groups, their allies in

government
 How: struggle among interest groups with

legislature/executive as referee to manage group
conflict and establish rules of the game
 Implications/assumptions: groups will

always join to press for particular issues, all
interests will have an opportunity for
representation
Critique on Group Theory
It states that a few groups and

lobbies who have stronghold on
organized agitation and means to
influence bureaucracy and
legislature get their way in view of
lack of other organized opposition.
Elite Theory
Public policy as elite preference
 Who: elites that have power, ability to allocate

value
 How: implementation of the preferences and

values of the governing elite; public officials
merely carry out policies decided on by the
elites
 Implications/assumptions: public is
apathetic/indifferent, elites agree upon norms;
political action is merely symbolic; protects the
status quo
Critique on Elite Theory
Here it is stated that only a few people who are
referred to as elite, who are the public
administrators and politicians are the only ones
who possess the knowledge to make policies and
hence no need to interact with others who are not
equipped in this matter. It does not take into
account the importance of civil society
organizations and other non profit and voluntary
associations possessing grass root knowledge of
issues and solutions to the same.
Rationalism Theory
Public policy as maximum social gain
Who: decision makers (all social, political,

economic values sacrificed or achieved by a
policy choice) irrespective of dollar amount
(Bentham, Mills)
 How: select policy alternative(s) that allows
gains to society to exceed benefits by the
greatest amount
 Implications/assumptions: assumes that the
values preferences of the society as a whole can
be known and weighted
Critique on Rationalism
Problems arise when put into practice since

social and environmental values can be
difficult to quantify and gather a consensus on
the same . Not totally practical as it is based
on the principle that the decision maker is
aware of all facts and statistics that are to be
considered in the current situation and knows
the best way to deal and take a completely
rational decision.
Incrementalism Theory
Public policy as variations on the past
Who: policy makers, legislators, others with a stake in ongoing programs or

problems
How: continuation of past government activities with only incremental

modifications
Implications/assumptions: accepts the legitimacy of established

programs; fear of unintended consequences; sunk costs in other programs
may minimize the opportunities for radical change
Critique on Incrementalism
It only looks at immediate problems and short

term solutions by taking one step at a time
and leaves behind the overall issue for which
the root has to be pulled out otherwise
whatever little work is done will be undone
very soon. And also it gives way to steps that
enter quietly and were never thought of in the
first place which may or may not be useful.
Game Theory
Public policy as rational choice in competitive situations
Who: players/decision makers who have choices to make and the

outcome depends on the choice made by each (assumes rationality in
making choices)
How: each player has goals and resources, a strategy developed given
possible moves of opponent, and payoff values that constitute the
outcomes of the game
Implications/assumptions: repeated plays should lead to better

policy outcomes
Critique on Game Theory
It justifies selfishness in the name of

self interest and values are extremely
variable so you cannot say that
everyone will behave/respond in the
same manner as everybody is not
completely rational as claimed by the
concept of the Games Theory Model.
Public Choice
Public policy as collective decision making by self-

interested individuals
Who: rational self-interested individuals will in both politics

and economics cooperate to achieve their goals
How: individuals come together in politics for their own

mutual benefit; government must respond to market failures
Implications/assumptions: individuals have sufficient

information to know what is in their best interest
System Theory
Public policy as system output
Who: individuals, groups, or nations depending upon the scope of the problem
How: environment may stimulate inputs into political system, producing outputs and
feedback
Implications/assumptions: systems implies an identifiable set of institutions and

activities in society that functions to transforms demands into authoritative decisions
requiring the support of the whole society; implies that the elements of the system are
interrelated, that the system can respond to forces in its environment, and that it will do so
to preserve itself
Critique on systems Theory
Though considered useful still has various limitations. Thomas

Dye points out that in the Systems Model significant
characteristics of the political system, which plays a very important
role in the policy process of transforming decisions into policies
has been lacking. Furthermore, the environmental inputs that
influence the political systems have also not been clearly defined
and described. It is also seen as too simple an approach to explain
the complex cycle of policies. It employs value laden
techniques(Presupposing the acceptance of a particular set of
values) of welfare economics and other factors like rationality,
power, personnel and institutions,etc have been neglected and not
shown as integral ingredients in the policy cycle.

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Basic Concepts of Public Policy and Theories

Public policy definitions

“Course of action of a person, group, or a government to reach a goal or realize an

“Set of interrelated decisions taken by a political actor or group of actors concerning

What government chooses to do or not to do (Dye, 2002)

A statement by government of what it intends to do such as a law, regulation, ruling,

Daniel McCool (Political Science, University of Arizona . ... Professor)

Contemporary discipline – debate remains over whether there is one

 Public Policy – an important aspect of Political Science

Policy is made in response to some sort of problem that requires attention.

Policy is made on the “public’s” behalf.

Policy is oriented towards a goal or desired state.

Policy is ultimately made by the governments.

Policy is what the government chooses to do or not to do.

Comparative Public policy

Public Policy Analysis

Public Policy Research

The primary differentiates on the basis of their

Policies for Govt Structures, with the

Using public funds to

Deliberate efforts of Govt to shift

Provide tangible resources or

In contrast to material for

These policies are related to financial

It relates to the policies framed

Public Choice Theory

Constraint: Highly general and abstract. Policy is

Who: executive, legislative, and judicial branches

How: policy is authoritatively determined, implemented,

Implications/assumptions: individuals have little

It is possible when all institutions are

Public policy as political activity

Who: voters, interest groups, legislators, presidents,

How: ID problem, set agenda, formulate policy proposals,

Implications/assumptions: who participates has a

Who: interest groups, their allies in

 How: struggle among interest groups with

 Implications/assumptions: groups will

It states that a few groups and

 Who: elites that have power, ability to allocate

 How: implementation of the preferences and

Public policy as maximum social gain

Who: decision makers (all social, political,

Problems arise when put into practice since

Public policy as variations on the past

Who: policy makers, legislators, others with a stake in ongoing programs or

How: continuation of past government activities with only incremental

Implications/assumptions: accepts the legitimacy of established

It only looks at immediate problems and short

Public policy as rational choice in competitive situations

Who: players/decision makers who have choices to make and the

Implications/assumptions: repeated plays should lead to better

It justifies selfishness in the name of

Public policy as collective decision making by self-

Who: rational self-interested individuals will in both politics

How: individuals come together in politics for their own

Implications/assumptions: individuals have sufficient

Public policy as system output