Policymaking

Theories/ Models/ Approaches

and their Implications
 Unit Learning Outcomes

Up on completion of this unit, participants

should be able to:
 Distinguish public policy theories; and
 Articulate & explain their implications to
national development endeavors and citizens’
interests;
Policymaking theories…

 Policy theories/models and approaches are

the outcome of needs for analyzing
policymaking processes.

 Political scientists use several theories or

models or approaches to explain the nature
of policymaking process and also the policies
that result.
Cont…

Main Policy theories/Models/ Approaches

1. Institutional theory/model (Institutionalism)

2. Elite theory/model (Elitist model)
3. Group theory/model (pluralist model)
4. Rational-choice theory/model (rationalist model)
5. Incremental theory/model (Incrementalist model)
6. Political systems theory/model
7. Public choice theory/model
8. Policy process model: Policy as a political activity
9. Game theory: Policy as rational choice in competitive situations
(Anderson 2006; Dye 2005; Kraft and Furlong 2004).
Cont…

1.Institutionalism: Policy as institutional output

 The study of government institutions or organizations is

oldest concerns of political science.

 Government institutions have long been a central focus of

political activities.

 Most political activities generally center on government

institutions where the latter are venues for inspiring public
policies.
Cont…

 Public policies are authoritatively determined,

implemented, and enforced by government institutions.

 A policy cannot become a public policy until it is

adopted, implemented, and enforced by some
government institutions.

 Hence, it is argued that the relationship between public

policy and government institutions is much closer.
Cont…

Government institutions give public policy three distinctive

characteristics:

1. Government lends legitimacy to policies

o Public policies are generally regarded as legal obligations

that demand the loyalty or compliance of citizens.

o Policies of other groups (e.g. private organizations,

professional associations, church, mosques, etc) cannot be as
binding as that of public policies.

o Only government policies impose legal obligations.

Cont…

2. Government policies involve universality.

 It is only government policies that are

extended to all people in a society (e.g.
education, healthcare, social welfare, etc).
 Policies of other groups or organizations
reach only a part/segment of the society.
Cont…

3.Government monopolizes coercion in society.

 It is only government that can legitimately imprison violators of

its policies.

 Sanctions that can be imposed by other groups or organizations

in society are limited.

 This ability of government gives it the command that induces the

loyalty of all its citizens to enforce its policies.

 Its legitimate use of force encourages individuals and groups to

work for the enforcement of their preferences into policy.
Cont…

 Institutionalism revolves around governmental

institutions such as legislatures, executives,
courts and political parties.

 Institutional theory is a reminder that certain

aspects of government structure can either
empower or obstruct certain policy or political
interest.
Cont…

2. Elite theory/model (Elitist model)

o Public policy can be viewed as the preferences and values of the

governing elites.

o The popular assumption that public policy reflects the demands of or in

full congruence with “the people” may sometimes be questioned or even
may remain a myth rather than real.

o Elite theory mainly emphasizes the values and preferences of the

governing elites which substantially differ from that of the public at large.

o It affects the development of public policy in favor of the elites.

Cont…

The elite theory can be summarized as follows:

a. Only a small number of persons allocate values for society; the

masses do not decide public policy

b. Elites are drawn disproportionately from the upper socioeconomic

strata of society

c. The movement of nonelites to elite position must be slow and

continuous in order to maintain stability and avoid revolution.

d. Only the non-elites who have accepted the basic elite consensus
(principles) can be admitted to governing circles.
Cont…

e. Elites share consensus on behalf of the basic values

of the social system and its preservation.

For example, the basis for elite consensus in the USA are the
sanctity of private property, limited government, and individual
liberty.

f. In this theory, public policy does not reflect the demands of masses but
rather the prevailing values of the elites.

g. Changes in public policy will be incremental rather than revolutionary.

h. The elites influence masses more than the masses do on the

elites (Dye 2005, 22).
Cont…

 Policies formulated in such circumstances serve the

material needs of narrow elite, while the benefits
remaining to the public is largely symbolic.

 In such situations, public policymaking almost

always involve highly value-laden symbols such as
freedom, privacy, justice, equality, and morality,
which are easily manipulable (“user-friendly”) by
the elites to their own advantage.
Cont…
THE ELITE MODEL

Elites

POLICY DIRECTION
Officials and
Administrators

MASS MASS

MASS MASS
MASS MASS

Dye (2005, 22) MASS MASS

Cont…

The elite theory has got implications for policy analysis in particular in that:

1. Elitism implies that public policy does not reflect the demands of the people so much as it does
the interests, values, and preferences of elites.

2. Change and innovation in public policy come about as a result of redefinitions by elites own
values and interests.
3. The tendency is to preserve the system in operation or in existence; it insists that whatever
change is thought will be incremental rather than revolutionary.

4. Public policies are frequently modified but seldom replaced.

5. Changes in the system occur only when events threaten it and when elites act on the basis of
enlightened self-interests to preserve the system and their position.

6. Elitism regards that the responsibility of mass welfare rests on the shoulders of
elites, not on the masses.

7. It sees the masses as largely passive, apathetic, and ill-informed (Dye 2005).
Cont…

3. Group theory/model (pluralist model): Policy as group Equilibrium

o Group theory is in contrast to the elite theory and with the view that
power is widely shared among interest groups, each of which seeks
access to the policymaking process.

o It exercises a countervailing power against others (e.g. labor unions vs

other manufacturing firms groups; teachers associations vs professional
associations, etc.).

o The balance helps to ensure that no one group dominates the policy
process due to their access to resources, recognition, to policymakers
and being prestigious and influential than others.
Cont…

Main tenets of the theory or model includes:

a. that interaction among groups is the basis of

politics.
b. public policy is the product of group struggle,
while politics is the struggle among groups to
influence public policy
c. individuals with common interests come
together to press or push their demands
on government.
Cont…

The task of the political system is to manage

group conflicts by:

a. establishing rules of the game;

b. arranging compromises and balancing
interests
c. enacting compromises in the form of public
policy; and
d. enforcing the compromises.
Cont…

o Group theorists believe that public policy is the

equilibrium reached in the group struggle.

o The equilibrium is determined by the relative influence

of any interest groups which results in change in public
policy in favor of the group or away from the desires of
groups losing influence.
o The influence of groups depends on their numbers,
organization strength, access to decision makers,
resource, and internal cohesion.
Cont…

 One major shortcoming about the group theory is, it is argued, the
poor and the disadvantaged are either not represented or poorly
represented.

 As a result, policy critics say that the group “sings with a strong
upper-class accent” (Schattschneider 1960,35). This implies that
those who are not represented will have little voice in policymaking
process and their interests are put aside.

 Another strong argument against this group is that it tends to

exaggerate the role and influence of organized interest groups in
the policymaking process but underestimates the role of the
lawmaking body’s discretion in making policy choices.
Cont…

4. Rational-choice theory/model: policy as

maximum social gain

 Rationalist policy model (also known as public choice theory) strives to achieve
maximum social gain.

 It argues that governments should choose policies that can result in gains to
society that exceed costs with greatest amount.

 Governments have to refrain from policies if costs are not exceeded by its
gains.

 The rational theory heavily draws much of its tenets from economics (especially
from microeconomic theory) and often uses elaborate mathematical modeling.
Cont…

The rational theory principle holds two implications:

a. no policy should be adopted if its costs exceed its benefits

b. among policy alternatives, decision makers should choose

the policy that produces the greatest benefit over cost.

Thus, a policy is rational only when the difference between

the values it achieves and the values it sacrifices is positive
and greater than any other policy alternatives.
Cont…

To the view of rationalist theoreticians, to select a

rational policy model, policymakers must:

 know all society’s value preferences and their relative

weights;
 know all the policy alternatives available
 know all the consequences of each policy alternative;
 calculate the ratio benefits to costs for each policy
alternative; and
 select the most efficient policy alternative (Dye p. 15).
Cont…

 Critics of rationalist model argue that the

theory is narrowly oriented and rigid
assumptions where it is known that there is
always information asymmetry.

 Rational-choice studies are often characterized

by “rigid and narrow assumptions;
mathematical equations; abstractions and
remoteness from reality” (Anderson 2006, 26).
 5. Incremental/Incrementalist theory/
model: policy as variations on the past

o Incrementalism views public policy as a

continuation of the past activities with only
incremental modifications.

o There are some plausible reasons why incremental

policy operates in an established system.
part two cont…

 Constraints of time, information, and cost prevent

policymakers from identifying the full range of policy
alternatives and their consequences.

 Constraints of politics also prevent the establishment of

clear-cut societal goals and the accurate calculation of costs
and benefits.

 The incremental model recognizes the impractical nature of

(rational-comprehensive ” policymaking, and describes a
more conservative process of decision making”.
cont…

 Incrementalism is said to be conservative in the

sense that existing programs, policies, and
expenditures are considered as a base, and
attention is concentrated on increases,
decreases, or modifications of current programs.

 It is also the case that policymakers generally

accept the legitimacy of established programs
and tacitly agree to continue previous policies.
 cont…

Why Policy Incrementalism?

 Legislators do not have time, information, or money to investigate all the alternatives to
existing policy; the cost of doing this is too great.

 Policymakers accept the legitimacy of previous policies because of the uncertainty about the
consequences of completely new or different policies.

 There may be heavy investments (e.g. in money, buildings, or other hard items, or they may
be in psychological dispositions, etc.) in existing program which preclude any radical change.

 It is accepted as wisdom that organizations tend to persist over time regardless of their utility
that they develop routines are difficult to alter…

 Individuals develop personal stake in the continuation of organizations and practices, all of
which makes radical change very difficult to imagine or do.
 cont…

 Incrementalism is politically expedient, where

agreement comes easier in policymaking.

 Disputes over resource are only a matter of an increase

or decrease in budget which helps in the modification of
existing programs.

 Conflicts is usually heightened when decision making

focuses on major policy shifts that involve great gains or
loss, or “all-or- nothing”, or “yes-or-no” policy decision.
 cont…

• Policymakers usually tend to recommend the

incremental model. People are also said to be
pragmatic; they seldom search for the “one best way”
but instead end their search when they find “a way that
will work” (Dye 2005).

• In the absence of any agreed-on societal goals or values,

it is easier for the government of a pluralist society to
continue existing programs rather than to engage in
overall policy planning toward specific societal goals.
 cont…

An example of incremental policy trend

 

2001 2002 2003 2004 2005 2006

 cont…

6. Political Systems Theory

 Public policy may be viewed as a political system’s response to the

demands arising from its environment.

 The political systems comprise of those identifiable and interrelated

institutions and activities, what are usually thought of as governmental
institutions and political processes, in a society that make authoritative
allocation of values (decisions) that are binding on society.

 The policy environment (context) consists of all phenomena: the social,

economic, the biological setting which is external to the boundaries of
the political system (see Chpater5).
 cont…

 Inputs into the political system from the environment consist of

demands and support.

 Demands are the claims for action that individuals and groups make to
satisfy their interest and values.

 Support is rendered when groups and individuals abide by election

results, pay taxes, obey laws, and otherwise accept the decisions and
actions undertaken by the political system in response to their demands.

 The amount of support to the political system indicates the extent to

which it is regarded as legitimate, or as authoritative and binding on its
citizens (Anderson, 2006).
cont…

o Outputs of the political system include: laws,

rules, decisions, and the like.

o Regarded as the authoritative allocations of

values, they constitute public policy.

o Policy output in turn may produce new

demands which lead to further outputs, and so
on in a never-ending flow of public policy.
 cont…

A Model of the political system (Anderson 2006,19)

 
 The Environment

 INPUTS Outputs


 Demands Political Laws
System
 System
 Support Decisions

 
 Feedback


 cont…

 political systems theory emphasizes the larger

social, economic and cultural
contexts/environments in which political decisions
and policy choices are made (Kraft and Furlong
2004).

 It seems to function in an almost biological model

of politics suggesting that governments and public
officials react to the political climate much as
organisms respond to environmental stimuli (Ibid).
 cont…

7. Public choice theory/model: Policy as Collective Decision Making by

Self-Interested Individuals

 The theory/model is the outcome the economic study of nonmarket

decision making, particularly the application of economic analyses to
public policymaking.

 In the traditional past, economists studied behavior in the nonmarket

place and assumed that individuals pursued the private interest.

 Political science in its part studied behavior in the public arena and
assumed that individuals pursued their own notion of the public
interest.
cont…

Thus, separate versions of human motivation

developed in economics and political science:
a. the idea of homo economics assumed a self-
interested actor seeking to maximize
personal benefits; and
b. that of homo politicus assumed a public-
spirited actor seeking to maximize social
welfare (Dye 2005).
 cont…

Public choice theory assumes that all political actors-voters,

taxpayers, candidates, legislators, bureaucrats, interest groups,
parties, bureaucracies and governments-seek to maximize their
personal benefits in politics as well as in the market place.

It is believed that people pursue their self- interest in both

politics and the market place, but even with selfish motives they
can mutually benefit through collective decision making.

Dye (2005) further elaborates that government itself arises from

a social contract among the individuals who agree for their
mutual benefits to obey laws and support the government in
exchange for protection of their lives, liberties, and property .
cont…

 It is argued that enlightened self-interest

leads individuals to a constitutional contract
that helps to establish a government to
protect …

 Public choice theory recognizes that

government must perform certain functions
that the market place is unable to handle; it
must remedy certain “market failures”.
cont…

 Government must provide public goods, goods and services

that must be supplied to everyone if they are supplied to
anyone as the market is not able to provide public goods since
their costs exceed their value to any single buyer.

 For using a common good, a single buyer cannot be in a

position to keep nonbuyers from using it.

 National defense is the typical example, where protection from

foreign invasion is too expensive for a single person to buy, and
once it is provided no one can be excluded from its benefits.
cont…

 People must act collectively through government to provide for the common
defense.

 Externalities are another recognized market failure and justification for

government intervention.

 An externality occurs when an activity of one individual, firm, or local government

imposes uncompensated costs on others.

 The most common examples are air and water pollution: the discharge of air and
water pollutants imposes costs on others.

 Governments are expected to respond by either regulating the activities that

produce externalities or imposing penalties (fines) on these activities to
compensate for their costs to society.
 cont…

8. Process theory: Policy as Political Activity

 Since World War II, modern “behavioral” political science has

studied the activities of voters, interest groups, legislators,
presidents, bureaucrats, judges, and other political actors.

 One of the main processes has been to discover patterns of

activities-or “processes”.

 As a result, political scientists have grouped various activities

according to their relationship with public policy: policy processes.
cont…

 problem identification; agenda setting; policy

formulation; policy legitimation; policy
implementation; and policy evaluation (all
covered in chapter 3).
 cont…

9. Game theory: Policy as rational choice in competitive situations

 This theory is emphasized in situations where two or more rational

participants have choices to make while the outcome depends on the
choices made by each side.

 Rational decision makers are involved in such choices that are

interdependent and each player must adjust their conduct to reflect not
only their own desires and abilities but also their expectations about what
others do.

 In other words, each group or player has to be able to calculate the values
of other player (opponent) in order to maintain own objectives or interests.
 cont…

 An important aspect of game theory is the notion of deterrence, an

effort to prevent an opponent from undertaking an action by inspiring
fear of consequences of the action (game).

 Deterrence prevents opponents (players) from undertaking a particular

action by creating in their minds the fear of costly retaliation, while the
success of it depends on the credibility of the retaliatory threat and the
rationality of the opponent.

 Thus, rational opponents must weigh the potential costs and benefits of
their actions. Irrational opponents fail to consider these all and are not
deterred. Such games are very important in the policymaking processes,
especially during the critical stage of achieving agenda status.
 cont…

Summary

All of the foregoing theories are considered helpful as each offers distinct
conceptual lens through which to view politics and public policy.
Each of the theories/models/ highlights particular features of the political
and institutional landscape. However, none is by itself completely
satisfactory.
There is no consensus on which theory/model is the “best” or the most
satisfactory, as each approach focuses on different aspects of
policymaking and politics.
 It, therefore, seems more useful for understanding some situations or
events more than others. For example, it is important to note that group
theory and elite theory are mutually exclusive approaches to policymaking
process: who controls and who benefits from it (in clear terms, who rules
it?).
 cont…

 Rational-choice theory because of its narrow focus,

should stand by itself. The fear behind this theory
seems on the question of who rules as it asserts
that elected officials will promote their own
interest rather than that of the people’s.

 The theory leads to the (normative/conservative)

conclusion, as a result, that less government is
better government.
 cont…

 Anderson (2006), Kraft and Furlong (2004), and Dye

(2005) advise us that looking at all the policy theories
or models, one should not venture to become too
dogmatic or rigid towards one model or approach.

 It is desirable to beeclectic and flexible, using

theories and concepts that seem most useful for
satisfactory and far-minded description and
explanation of policy enquiry.
 cont…

Reflective Questions

 What is the importance of learning policy theories?

 Which of the theories reflect some of the policies in our country, and why?

 Is there an independent policy theory that functions exclusive of other theories?

 If someone argues as “our policies are by and large the products of elite theory”,
how can you explain your positions?

 If you are convinced by the arguments in Question 4, does it also imply that our
policies are preoccupied by incremental approaches?

 How do you relate or differentiate rational policy theory with some of the
socioeconomic policies in our country?
 cont…

Further Readings
1. J. E. Anderson. 2006. Public policymaking, 6th
ed. Houghton Mifflin Co., USA
2. M. E. Kraft and S. R. Furlong. 2004. Public
Policy: Politics, analysis and alternatives. C. Q.
Press, USA
3. T. R. Dye. 2005. Understanding Public policy.11th
ed. Pearson Education, INC, New Jersey