Chapter 9:

Policy Formulation in Public Administration

KLB 2213: Introduction to Public Administration

Defining Public Policy

• Public Policy is the blue-print of the government in providing the various development programs to people – Dimock, 1957

• Public Policy is a specific set of government plan and action, which was design to produce a particular class of effects – Lawrence, 1992

• Public Policy is whatever governments choose to do or not to do – Thomas, 2002

Theories of Policy Making Process

Policy Making

Theories

Elite Theory

System Theory

Group Theory

Incremental Theory

1. The 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 elites agree upon norms; political action is merely symbolic; protects the status quo

Figure 1: The Elite Model

The Elite Model:The Elite:(Policy Formulation)

Administrators:(Policy Execution)

The Masses:(Policy Receivers)

Sources: Dye, 2002

2. The 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

Figure 2: The System Model

• Environment:

Input(demand and

wants )

Political System

(Executive, Judiciary and Legislative)

Output(Policy)

Decision Making

Sources: Easton, 1990 and Kaplan 1976

Feedback channel

3. The Group Theory

• 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

Figure 3: The Group Model

Government Interest Group People

Sources: Dye, 2002

4. The Incremental 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

Figure 4: The Incremental ModelDevelopment Projects

Years1980 1990 2000 2010

Sources: Dye, 2002 and Lemay, 2002

Public Policy Process• Development of public policy often

seen to occur in separate stages

• Each concerns different event in a sequence of creating policy

• Different actors become involved with different stages

• Traditionally, public administrators come in during implementation

• Recently, public administrators seen to be involved in other stages – e.g. formulation and evaluation

1. Agenda Setting

2. Policy Formulation

3. Policy Adoption

4. Policy Implementati

on

5. Policy Evaluation

1. Agenda Setting

• The researcher tries to identify the problem that is faced by the stakeholder, organization, or people.

• The problem must be placed on the government policy agenda – something to be done

1. Agenda Setting

2. Policy Formulation

3. Policy Adoption

4. Policy Implementati

on

5. Policy Evaluation

2. Policy Formulation

• Policy maker produce certain policies to overcome the identified problems – what should be done?

• Begin to develop a systematic strategy to solve the problem.

2. Policy Formulation

3. Policy Adoption

4. Policy Implementation

5. Policy Evaluation

1. Agenda Setting

3. Policy Adoption

• Also known as policy legitimating.

• The analyst will forward the proposed policy to the government for approval.

• Policy being debated, approve by majority vote and then policy gains legitimacy

3. Policy Adoption

4. Policy Implementati

on

5. Policy Evaluation

1. Agenda setting

2. Policy Formulation

4. Policy Implementation

• The government will distribute official letters, memos, master plan, and policy to various government agencies and ministries.

• May involve activities such as the creation of new agencies, bureaus or department

4. Policy Implementatio

n

5. Policy Evaluation

1. Agenda Setting

2. Policy Formulation

3. Policy Adoption

5. Policy Evaluation

• The assessment of success (or failure) rate of the mentioned policy.

• Ministries and departments have to submit their annual report to the central government (national audit)

5. Policy Evaluation

1. Agenda Setting

2. Policy Formulation

3. Policy Adoption

4. Policy Implementatio

n

Thank You