SOPY 3085

Policy Processes and Politics

Lecture 1
Introduction: Basic Concepts

Dr. CHAN Bing-Kwan

25 Jan 2019

SOPY 3085 - Lecture 01 1

1. Politics
1.1 Power
Central idea of Politics:
Politics is the process by which power* is used, usually via government,
in the promotion of certain values and interests.
Power is the ability, including direct and indirect forces of
individuals or groups to make other people do something, even
when others resist.

Is power sufficient ?
Although the rulers (e.g. governments) can exercise power of force,
coercion creates obedience at a high cost in manpower and equipment.
Thus, in modern states, it is necessary for the rulers to convert their
power into authority.

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Garner et al 2009: 49-50
1.2 Authority

Defining Authority
Authority is the legitimate power in the same sense that ruler can
produce acceptance by the ruled, not because they can exercise
coercion but because the ruled recognize the right of the rulers to
exercise power.

People agree to be ruled by the rulers (e.g. governments), not

because the rulers can exercise force, but because people
agree that the rulers have the right to exercise power.

In this case, authority can control both the minds and the behavior of
individuals at a very low cost.

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Garner et al 2009: 49-50
1.3 Three types of authority by Max Weber (1864-1920)

Traditional authority
•Authority is derived from traditional customs and values.
•e.g. European monarchies.
Charismatic authority
• Authority is derived from the personality characteristics of an individual.
• This sort of authority is particularly important to the leaders of authoritarian
or totalitarian regimes. However, this form of authority still plays an
significant role in the democratic states.
• e.g. the media images of the political leaders.

Legal-rational authority
• Authority is derived from the status of an
office as part of a system of constitutional
新民黨主席葉劉淑儀說 …人大常委是
rules in a democratic state or a religious 最高權力機關，作出的決定是不可隨便
document such as the Koran in Islamic 改動。RTHK 31 Oct 2014
regimes.
Weber argues that these three are ideal types, and that most modern
societies contain elements of all these three types of authority.
e.g. In the UK, the Queen’s authority is mainly derived from traditions while the that
of the Prime Minister is derived from the constitutions. Both of them try to maintain
their public
SOPY 3085images
- Lecture(charismatic
01 authority). 4
Garner et al 2009: 51
 Ruling / governance can be understood as a process of exercising
power and authority by means of policy.

2. What is Policy?

The term ‘policy’ is widely used in undefined sense:

• A label for a field of activity (e.g. economic policy)

• An expression of general purpose or desired state of affairs
• Specific proposals and actions initiated by the government
• Decisions of government (to do or not to do something)
• Formal authorization (law endorsed by government or legislature)
• A programme
• Output (what the government actually delivers)
• Outcome (what the government actually achieve)
• A theory or model
• A process Birkland 2005: 17-8; Hogwood & Gunn 1984:13-19

e.g. 四大支柱六大產業八大項目

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2. What is Policy? (Cont.)
Policy is:
• The sum total of government action, from the goals and to the final
outcomes. (Cairney 2012:5)
• An expression of rational reasons or arguments which contain both
a claim to an understanding of a problem and a solution.

Public policy is not only government’s decisions, actions and

inaction, but also the interpretation of the rational reasons of
government’s decisions and actions.

How the government interprets the

What the government does; problem and why the government makes
what the government decides these decisions & takes these actions.
to do and not to do.
e.g. Due to the problem of residential land supply, the land use in
Kowloon Tong is reconsidered.
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3. Measuring policy and its change
Depends on the nature of policy & research design. For example:
Resource allocation:
• Government budget in particular policy areas (e.g.expenditure on education)
• Funding provided to agencies (e.g.funding for NGOs)
• Taxation (types and rates)
• Economic incentives / penalties (e.g. taxation on sales of particular products)

Regulations:
• The use of formal (laws) and informal or voluntary regulations (e.g.
agreements with business) to control behaviours.

Services:
• Nature and quantity of services (e.g. education and welfare) provided by the
government or via agencies (e.g. NGOs and contractors).

Structure:
• Persistence, creation, dissolution, replacement or reform of organizations.
• e.g. The Development Bureau was created in 2007 after the debate of the old
Star Ferry Pier.
特首梁振英在施政報告中表示，決定再次擧動成立創新及科技局的工作，
希望得到立法會支持。 Ming Pao (inews) 15 Jan 2014
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Modified from Cairney 2012: 26-7
4. Policy Processes
4.1 Traditional approach: Sequential Model / Stage Model
Linear account of policy process: Policy always follows a sequential
process.
Agenda is the list of important items to be dealt with. In the
Agenda setting / process of political agenda setting, policymakers realize a
Policy initiation problem & decide to deal with it.
e.g. The government addressed the problem of poverty and
decide to deal with it.

Policy formulation Policy-makers create or select some policy proposals.

e.g. Minimum wage was selected as a proposal.

Policy proposal(s) may be adjusted after the government

Modified by negotiates with different parties.
negotiation e.g. Details and level of minimum wage were adjusted.

Decision making / Policy alternative is selected and enacted in form of law.

e.g. Law was passed by the Legco.
Law-making

New policy is launched and implemented by the

Implementation government.
e.g. Minimum wage was implemented in May 2011.
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Is it too simple ?
4.2 Policy cycle:

Policy process is divided into a serious of continuous stages, from

agenda setting (notion of problem) to evaluation. Succession or
termination of policy set the agenda of policy alternative in the future. In
other words, it is a cycle rather than a single event.

e.g. Should we
terminate minimum Policy maintenance Agenda setting
wage policy? Succession or
termination

e.g. Should we adjust

the level of minimum
wage and other details
Evaluation Policy formation
of the policy?

Implementation Negotiation

Decision making or
Law making
SOPY 3085 - Lecture 01 9
Modified from Cairney 2012:54
4.3 Policy process as a web
Journalists, bureaucrats & politicians’ perceptions
• Journalists, bureaucrats & politicians like representing policy making
as an orderly process because of the attractiveness of clarity.
• In this case, presentation of policy process is usually simplified for the
general public.

Hogwood & Gunn’s (1984) Arguments

It is unrealistic to assume a clearly defined sequence of the policy stage
because:
• ‘Policy is often a seamless web involving a bewildering mesh of
interactions and ramifications.’ The policy process frequently ‘loops’
between stages.
• Policy stages are not completely self-contained. Some stages may
overlap with one another.

Policy does not simply follow a sequential process. Policy stages also
overlap with one another. (e.g. policy formation, negotiation & legitimation)

SOPY 3085 - Lecture 01 10

Hogwood & Gunn’s 1984:10 & 26; John, 1998:21-25
4.4 Hogwood & Gunn’s (1984)’s Nine stage Framework
Nevertheless, the process framework can be used as a way into the analysis
of policy, provided that the limitations of the model are taken into account.
Hogwood & Gunn thus suggest a 9 stage framework for policy analysis.

1. Deciding to Decide (Issue Search or Agenda-Setting)

• Identification & anticipation of problems or opportunities which need to
be considered.
e.g. Should the government address the problem working poor?

2. Deciding How to Decide (or Issue Filtration)

• Should the issue be left to normal political or administrative process or
should it be treated as more fundamental and objective analysis?
e.g. Can the working poor problem be resolved by the existing social security
scheme? Is fundamental change in policy needed?

3. Issue Definition
• Further define the issue identified either in highly political terms or with
the element of objective analysis.
• Explain how the issue has arisen & the combinations of causes &
effects appear to be at work.
e.g. Is working poor a economic, social or political problem? What are causes &
effects
SOPY 3085of this problem?
- Lecture 01 11
4. Forecasting
• Speculating about alternative possible future, given different assumptions
about the development of both problems and policy.
e.g. What will happen if the government takes no action? What will happen if the
government takes particular actions?

5. Setting Objectives & Priorities

• What are we trying to do? How will we know when we have done it?
• Examine the relative priorities of various objectives competing for limited
resources.
e.g. What are the objectives of the government? Encourage working? Protect workers?
Maintain the business environment? Which of these objectives is the most important?

6. Options Analysis
• Comparing optional routes in attempting to achieve any policy objectives
(e.g. cost-benefit analysis or cost-effectiveness analysis, etc)
e.g. What are the pros and cons of each policy options? Which one is the most cost-
effective, and which one can best achieve the government objective?

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7. Policy Implementation, Monitoring & Control
• Formulate resulting policy & engage detailed design of association program
• Consider potential problems in advance of implementation
• Monitor implementation process
• Check actual performance (does the program proceed according to the
plan?)
• Remedial actions may be needed in some cases
e.g. Select subsidizing working poor / low income families allowance as a solution of
the problem, and then decide the details and level. What happens after the policy is
enacted by the Legco and implemented?
「低收入在職家庭津貼」71萬人受惠
Headline Daily 15 Jan 2014
8. Evaluation & Review
• Check if the policy has been successfully in achieving the outcomes
desired.
• Review the resources needed by & priority of the present policy
e.g. Monitor the situation after the implementation of the allowance. e.g. How many
people benefit from this scheme? Is there change in unemployment /
underemployment rate? Total income of families?

9. Policy Maintenance, Succession or Termination

e.g. Should the government continue, adjust or terminate the allowance scheme?
SOPY 3085 - Lecture 01 13
Questions

What is the current stage of the

Palace Museum project?

故宮諮詢延至今展開 稱要解決公眾關注
西九管理局昨發聲明，指將原先於昨午展開的故宮博物館「公眾諮詢啟動活動」，延至今
午舉行的定期董事局會議後才進行；又稱社會對故宮項目有關的程序表示關注，若不盡快
處理，將分散市民對公眾諮詢的注意力。有立法會議員對押後感突然。
Metro Daily, 10 Jan 2017

報道稱嚴迅奇去年中起設計西九故宮 當局暫未回覆
…傳真社報道，早於政府向西九管理局董事局簡報計劃之前4個月、即去年6月，嚴迅奇所
屬的許李嚴建築師事務所已就故宮項目著手設計，項目被公司列為機密，由超過5人小組
負責。(RTHK, 7 Jan 2017)

林鄭：籌建故宮文博館依足程序
政務司司長林鄭月娥…強調，在西九興建香港故宮文化博物館項目是「依足程序」；並解
釋指，由於項目涉及中央及不同部委，持份者眾多，難以進行諮詢，希望公眾諒解。
(Hong Kong Commercial Daily 27 Dec 2016)
SOPY 3085 - Lecture 01 14
Questions

What is the process of this policy?

長者綜援提高門檻綑綁去年預算案
林鄭稱議員支持 泛民轟老屈 建制斥陰濕
政府下月起將長者綜援申請門檻由60歲提高至65歲，早已遭長者
及社福界批評，特首林鄭月娥昨早出席立法會答問大會時，民主
、建制議員均要求林鄭收回決定，但她突爆出有關決定早已綑綁
去年財政預算案《撥款條例草案》內，更聲稱已獲立會支持，等
同批准政府改變政策。去年曾投票支持預算案的建制派發現「中
伏」，狠批林鄭「賴皮」、「陰濕」，反對預算案的民主派鬧爆
林鄭「老屈」議員。
Apple Daily, 2019 Jan 11

SOPY 3085 - Lecture 01 15

 Ming Pao Daily 8 & 9 Sep 2012

• Who have power?

• What power is it?
• Who have authority?
• What authority is it?

SOPY 3085 - Lecture 01 16