2.

Introduction

This block conccntrates on identifying what policy is

it is understood in our
society. It also explores the reasons why policy is .
the types of policy that
develop, and the ways in \V'hich thcy arc delivered. \Ve \vill examine the cyclical model
of policy. which underpins much policy-making theory. and consider what makes 'good'
policy.
The terms 'model" and 'theory' will be used frequently
this course. While they arc
not always interchangeable, sometimes a model can
fonmdated to illustrate a theory.

Self-Assessment Activity 2.1

Explain what you think this policy course \vill be
answer later to sec if your perspective has changed.

suggest returning to your

2.2

The Meaning, Nature, and Scope of Policy

2.2.1

Defining Policy

Everyone has some notion ohvhat constitutes public

concepts people have about public policy reveals a

. Analysis of the different

of definitions.

Definitions range from velY broad to very narrow interpretations. They vary from placing
emphasis on how policy is made to what actually
up the content of the policy.
Some discussion treats public policy as the emerging outcomes of rather complex
bargaining and negotiation processes between a group of partieipants(More traditionally,
policy is deemed to be a Qredetermined cQur:;e of
determined by elected
relJre'scntatives o~thepeo'~)

?'J-

Anderson (1990, p. 4) defines public policy as fanything governments choose to do'.

Policy is not Q simple phenomenon, but compld; and multifaceted. Although much
'policy' might be a straightforward statement of
II be done. the stated objectives
may not be the only objectives, or indeed the most imponant ones. Indeed, other covert or
subconscious objectives may exist. Anderson (I
.
another definition that labels
policy as:

[A] ~:I]!(!:,-il'{2 COllI'S/!

acfors in dealing

tic/ion
all
\\'ith (/ prohl/!1Il or malleI' of concern. (p. 5)

Anderson (1990) lists some of the implications

of policy as:

being goal-oriented rather than random.

and unclear
consisting of courses or pattems

......,j,...-,-

officials rather than discrete.

Block 2

could be loosely stated

action taken over time by government

deCISIOns

41

COnSISll!1g

..

dc'('lSlons and statements that e11erge in response to

f(lf action or inaction
other actors
cmmcnts actually do, not what they intend to do, including
icy decisions and statements

, autlwritatiw, and kgally based (Pp. 6-8)

aborate on a range of nays in which the ten11

Turner
IS

statements by government about

or desired state of amlirs--'to
environment'
inflation by three percent in the next
.. decisions unnounced by the president

parliament

program

..

ddiwred such as the number of subsidies given

achieved, such as better health tor women

x then y will happen', or 'ifpeople have

mortality rak"
matter. \\hich begins with issues and 1110\'e5
implemenwtion, and evaluation (p.
. . Public policy:
achie\c a stated or understood purpose

..
..
..

..
..

Finally, Davis

consequences
IS
IS

nature

JS

expbnalion of policy:

e/

I 'allies, interests, and resollrces.

interests (f1U1 di<;tribule resources.
a/politics, so thaI
(lction h1'

2
the definnions

IrT~rll1S ano~d~"
Q..1.!mlJOlJ> i'an b e
\useful in some instances, put "'~.'".!.-"~~_~""C'-'-__~~".
Important aspects. On the other hancL definitions can
use, It is important at the outset to examine
particular dd)llilion adopted may haw an .
is interprded.

be
cons_~~ly by~xcJ~t~~ng

so broad that they arc of littk

of defining public policy as the
the polley-making process itself

presented to give you as wide a

Throughout t IS course. a variety of definitions \\ til
perspectives on defining policy. It
perspecti\"e as possible. Course readings take
would be counterproductin: to adopt a single
of public policy for the course
\\hen such diverse definitions or understandings
exist.
Understanding various definitions will help
to
to the diwrse assumptions
made about what policy is in your reading, You
consciously consider these
literature, Being familIar \\lth the
assumptions when assessing the points made in
definitions can help you recognise the definition (nut
clearly stated) adopted by
the author( s), You shoc!ld also then understand the
the author is ti1king in terms
of defining policy and how broadly or narrowly
is being defined.

Self-Assessment Activity 2.3

Using a relatively narrow definition of policy
the discussion above, think about
\vhich aspects of what your 'government chooses to
' may be excluded using such a
definition.

Case Comments - Cases are to be found in your Case Studies Booklet

Case 2: The H ECS policy in this case is ch:'ariy a

action by a national
governmcnt. It was actively pursued, and sevcral actors with varying values were directly
imohed and later affected. Whether the
structured and orderly is arguable. as
it seemed tQ evolve, its goals were defined 111 loose terms. although \vith speeific political
presenting them). Earlier in the
intentions (whieh challenged even the politieal
proeess there WI:'IT policy statCl11l:'nts slleh as the Green Paper. and later the policy was
legislated,
Case 4: One only needs to look at the footnote on
case to sec that it is an
excerpt from the E<-'onomic Report ortlle
that the summary and
questions at the end are part of the structure
till: book 111 which the case was included,
rather than part of the Economic Report) As such it emerges from a key player in the
gO\ernment and is a supporting document of \\hat
and his office want to do, It
is an intentional statement eovering a broad
It is a
worded reflection
of the President's opinion talthough realistically
that the President's
Opl11l0n as expressed in sllch documl:'l1ts
broader tbn his real
Policy
opi 11 ions emerge fWll1 a range of supporting
stall \\bo are
and
selected both for their expertise and their
Within the case. at least
two specific pieces of legislation are mentioned the Cable Communications Po
Aet
of 19X4 and the Cable Television Consumer ProtectIOn
Act of 1992 (p,

43

76). Th..:s..: two

loci.

aCiS,

\0

cable communications, have clearly differellt

Case 9: The main purpose of international aid is to eradicate poverty, so there is a

statement about that in the section about delivery of funding. International aid is often
delivered through governments and can have substantial public impact.
Case 12: There is a range of
policy within this case. Sometimes there is
specific legislation mentioned. such as 1928 legislation requiring municipal authorities to
invest a percentage of their budgets on worker hOLlsing. In other ways, it is evident that
government is taking action with funding, but not necessarily based on legislation. The
case details a policy area,
as Tumer and Hulme's 'field of activity'. It covers a range
of policy activities, specific and
specific, relating to housing. Near the end of the case
study is a listing of political pledges of the new Liberal government-statements of
intent, tbougb not in any way
by spending, legislation, etc.

2.2.2

about\vh~t makes a policy public rather t1~an priv~te. We

( There has been sorne debate

\ often assume that
the

is

and

e~lliQg.th.c

pri~oes

undertakell

b~~l~~~~~~j*~~~~~~~~~~.~~~
pOW~lments

indicate that private sector

interest.

fr'\1,'\~.lrtomme~~ies throt(

\\r ~ on the pu~.t

large and b
e i!~Crest.
,"\4~ ." \;
policie'STf1rough private sector agents.
I

King (1990) indicates that:

gov~agc

in

entelIlliies that maJ::Jl!1~~l~!.~~lpact

Finally, govemmen.ts can implement their

\ .

'.

'"

Contemporary p'0litical Nfe is

by an apparent(v messy co-mingling
o/the public, private and
on(v do some indidduals mOlle with
increasing ease between public
institutions-senior civil servants, for
example-but public decisional processesfrequelll(l' embrLlce both ojJicia/
(governmental) and non-(~tllcial
The question (~L!f!le[fL!l!~s.!E!..f!. begins
and ends isfzlrther complicated
--

King goes on to suggest that media or educational Il1stitutions could be seen as agencies
contributing to state purposes and so a
of the state's apparatus ( 1990, p. 3).

Case Comments - Cases are to be found in your Case Studies Booklet

C.lse 4: Most of the telecommunications of country may be provided by privall' sector

organisations, but govcmmenl
WIshes to
whether through regulation,
court decisions, or control of
The arguments about competition and

deregulation in the

ca~c

Government is feeling

illustrate that some

its way along in this policy area. both practically

page 73 of the case study reveals a complex

The boxed case on

and the damage it caused. It

Case 5: This case is almost entirely about a private

falls less clearly into the zone of public policy. bur does so in the sense that it gives an
account of a major disaster. the ensuing legal battles over liability and compensation, and
the laws that resulted .. HO\vever, besides the information about the tragedy, explanations,
and business implications. there are important matters
to international issues.
jurisdiction. and sovereignty. This case transcended the borders between India and the
US; both countries had to develop response's.
for different countries, in this sense,
can emerge from the same issue. Clearly business was also affected by the tragedy; the
event prompted reformulation of private business
as \\ell as policy in the public
arena.

Case 9: The author of this article describes a range of aid donated and delivered by
various organisations. The benefits to be gained
importance.

aid are both of private and personal

what happens in a count!)' in a

particular policy area-housing-is both public and
The government utilises
private sector and community organisations to
its desired outcomes. It does this
by funding or subsidising their activities, encouraging
legislating for their formation,
and monitoring their activities. It occasionally
to overcome obstacles, such as
land acquisition, to achieve what is required. Not only are land and actual hOllsing
relevant, there are links to other services and
such as bank finance, labour,
design and building expertise. The activities of the
developers, particularly those
who take advantage of the weak control of land supply, are clearly impacting upon the
society at large. In turn. the government is t!)'ing to regulate and control their activities,
and also to harness the expertise, capital, and drive
the private sector to achieve
housing aims.

Case 12: This case is especially useful in illustrating

Can you think of examples of private sector activities that are of interest to the public at
large and that elicit government responses, such as laws and regulations? Can you name
any govemment-owned enterprises?l"

2.2.3

5Cl: Pu /l/ic

Block 2

45

at

DescriEtiye. or explanatory. Iheoril's

. \e. theories
..;...;.;":.!';.8''''~'';--,~,";;;.:.t~~.;;'.::.~';'
,

Despite the
k'1l11S

components are no!

III
ic policy is reductlOl1lst in I1J!ure. It
order to understand what IS
all these parts into a
tu discuss one aspect \\
makll1g actors without
possible to discuss
participants and system.

In addition to the terms

appear in the literature.
some confusion. Attempts
commonly used terms .
. followed lw a
cbssificd (Figure 2.1).

"",'c

"hb~"~",\"i;:'&:;iliiffP

necessary to examine the tUPIC in

It is impurtant to re!11(~mber that these
form a compkx \\eb. The study of
to break a \\hole down into its parts in
follow-up te this is to [hen synthesise
understanding. It is actually quite diffiL'ult
others. It is not pos~.ible to discllss policyin "blCh they playa part. It is also not
thoroughly without considering the
Jl IS

ic policy-making' numerous other terms

used consistcntly. \\hich can lead to
thiS confusion: an explanation of
and Gunn (19~ I. pp. 26-291. is gi\'en
of the term; and hO\\ they may be

STUDy OF
POLICY

POLICY
PROCESS

C~

OF
POLICY
OUTPUTS

EVALUATION

POLICY
ADVOCACy

INFORMATION
FOR POLlCYMAKING

\'::) 0
POLITICAL
ACTOR AS
ANALYST

ANALYST AS
POLITICAL
ACTOR

POLICY STUDIES
(Knowledge

or

Figure 2.1:
Source:

policy and the poliCY prxess)

POLICY ANAL YSIS

iKnc)WIE'oqe

Ui

policy process)

Types of public policy studies

Hagwood and Gunn 1981, p. 29

These perspectives highlight the broad range of

topic area of public policy. Thus policy literature
purposes.

which may be presented under the

activity serve a range of

Although specific policies, their contents and outputs are discussed in this course to
illustrate policy theories, they are not of prime concern. The focus of this course is the
study of policy at a theoretical level. We are mostly concerned with what Hogwood and
Gunn classify as policy process in the above typology--how policy is made and hovv it
works.

Case Comments - Cases are to be found in your Case Studies Booklet

Case 1: This study's interest lies in its comparison of the policy content of various
countries.
Case 4: This case is clearly one of policy advocacy. The writer the President's
Economic Report is stating a position-presenting the political opinion of the politician.
and rational analYSIS, but
This does not mean that the policy is not based on
hmv objective it is, and what
one needs to be clear about whose voice is being
purpose it is trying to achieve. The ideological
the writer is clearly stated on
may be the real bar to
page 72-'govemment regulation, and not economic
competition in those markets', and 'competition is
to continuing rate regulation',
Keep in mind that some people or groups might take different position. Also, there is
that 'financial interest and
advocacy represented on page 74 where the
to broadcasting nehvorks, and
syndication rules are unnecessarily restrictive',
that the rules should be eascd.
Case 9: This case presents evaluative comment
Case 11: While there are elements of content
and more interesting elements arc those of process
communities were consulted and involved in
better understanding of those problems would

: Pliblic Policy, Block 2

aH.1

in Bangladesh.

case. perhaps the stronger

. Its message is that if
about their own problems.
better solutions would be

47

beC(l!11e more capab!': 0' contributing Ilk'as anJ

e:-.phcil comments about proccs~ in the

Then the c(Hnmunir\

ll1torm:!tiol1 to Olht'r
bo:-.eJ :o~\.:[ion
page 1" I

Case 12: This case

made,

~utc till'

the \.'ontcnt

ur a pullcy area rather than how polil')' is

rCkrcnCL'S tu housing urganisations mnut'ncing

>

the sci
hOllsmg mo"ement is said to be
inlluence gowrt1ment policies and obtain
:!luati\e comments and scme analysis of po Ii C)

Self-Assessment

Vv'hen you are reading cum:nt

approach is being
typology
or magazine artick,

in the media about government policies, notice

or policy analysis, l'se Hogwood and Gunn's
the perspecti\'c ofthe \\Tikr of the newspaper

2.3
(

\ Traditionally, the
'"2,1 illustrates basic
\\hen the market

go\,crnment haw been clearly enunciated, Table

and ways in which government interVCl1l'S

The list jJro\ldes

diversity and extent of govemment acti\'ity and.

l11an~lgemel1l might be involved in.
\viii achi e.~~S.Jlkl1;JJi&'.'>fulr;.4.\.~b.",,;).,..\tl"Wk.M-'*.~
funds. There is also a greater sense of vested
funds.

extension. \\'hat
higher expectations
justice. aild"acc~:)Untability
how choices are

go\' ern me nt~. ,~~:} 2,,:.~:ltt~U~ll~~~%J1c:;~t~'[1'!J.~&! an:

have seen increas1l1g privatisation ill one
size of
\\'este111 countries'

It is otten argued that

better

Self-Assessment
Use the

Table 2.1: Causes and functions of government activity

Ma~ccof

competition

49

Suurcc:

Dcr!\ cd i'rum

- Cases are to be found in your Case Studies Booklet

prukct l'ulbU!1ler"
direct sllbsidi~'2'

n"t

lh~'

Id('nt lh::re in tragic and llnin\('ndcd

11K Indian gO\ernment vas compelled tu
\\ ~lyS fur a number of n:asuns, mel
(l11l'dicd :md otb(', problems) and resolution uf lhL' cunll

t.'\

IUvS

bcing pursued in this case arc the maintenance

;Inc! the resolution of contlict--lhrough court CieCiSIO!l
a causc fur govcrnnwnt invohemel1l, so there is sume
There arc contradictions at \\'ork: th(' .
eli\ ('rsilY, and innO\atiol1, and the desire
Cross-subsidil's ,mel
l1cgClII\e dfeels of sllch
this
2)

hav('
The US gmernmcnl also rcack'd tL)
own chemical plants and the consequ(,l1ces of American companies operating overseas.
Case 1): In this case the provision of the toilet
gO\ ernment provision of minimum facilities to ensure
the popUlation.

appears to represent direct

sl~r\ices for all members of

Case 12: In this case the g(l\"ernment aims to provide

111 the country with at
kaslminlmal access to hOllSll1g as gl)ods of the economy. It also provides some basic
rules and n:gulatiol1s to set up a suitable infrastructure to encourage the buildmg of
hOllsing. such as formal rules about tho:: structure and
status of housing
organisations. It tries to rectify sume conflicts and
in the market operation of
housing-by encouraging municipal authoritio::s to make land and services available for
new housing projects. ror example. as part of the new
government's pledges in
19~G (p. ! 70). The stute bod ies arc also shown to
'turned their attention to\vards
regulating and controlling it' -that is. the informal
sector which was responsible
ti..w poor housing lacking basic amenities (p. 163).

2.4

Types of Policy Instruments

'\
y. Hel\ \VC examine
rstanding public policy .
. l
d. To

An arra of instrUl11cllt ~.
some extent which instrument is most ap
problem that is being dcalt \\'ith.
J

Self-Assessment Activity 2.7

Think of a policy with which you are familiar. Who is II1volved with it? What powers and
values might th~se pcople have? Also consider I1mv much control thc assumcd policymakers-institutions of governmcnt such as politicians and public servants-have and
how much of the finc detail of policy is Icft in the
others, such as grant
r('cipients. agents. etc.

icy arc explored in Table 2,2

Th kcyjnstruments that ggvernments usc to implement
below ..
Table 2.2: Instruments of goycrnment actiYity
Cause/Function
Instrumcnts of
Govcrnment
(JO\crnment Pro\ IsiOI1

Explanation

=~=:-~-r-+I

I[ The way
UO\ernmetll acts. or the mcchal1!sm
~

___

Y_o_u__r_e._x_a_m--,p__l_e_. s_----l
..

iI

I u,>ed when gmernment action __ ._._._________ .L

I _
1----------------4
I EspeCially relevant \,hell the
I dues

the

110\

(Sec

SC1: PlIhlic

and
below.)

51

A IIDeation

Di~lriblition

~.

\"

StabilisJtion

Production

Source:

Dl'ri\ed

ti~om

Ii

Case Comments- Cases are to be found in your Case Studies Booklet

Cast' 2: It is

\\'hClha the

icy instrument was ultimately to be called provision

{in terms of the discount for early
It did become law, but sometimes

Cast.' 4: Then: e\l(ience of (Tuss<;ubsldies and direct subsidies being used in this case
the consumer
the transition to deregulated telecommunications (p. 72).
demonstrated to regulate that subsidisation (along with
At lhe s:mle time there is
other
Oflc\ecommllnicatiun::.l so that
those who were intended to benefit
wuuld do ::;U. Th!s fl'veals an
of
for equity in (he policy area.

to

m relation to chcmical control and disaster

tu-h.!lCl\\

abullt
<:11 forc'1'I11elH

stricter
(l

f \.''\ 1,,1 ing

business, or more legislation that would plug supposed

in existing luv,s and

'-

regulations?'
Case 12: The government is doing. or has done, much to
There seems to be less evidence of direct allocation of

and subsidise housing.

though there has been some

over the years. For example. between 192?: and 1950 government was responsible for
3,500 houses, compared to 57.000 built by the private sector ( p. 1(4). Regulation varies.
Setting up the framework for community organisations in 195X is an example. (p. 1(5).
The extent of subsidisation varies as well. but there is much evidence of the government
providing funds to private sector firms or community
(although there is
some comment that subsidies were limited to a few
organizations) (p. 16g).

Self-Assessment Activity 2.8

Add your own examples to the third column of Tab!c

2.5

The
Polic
C~e
as . J
I
U&

2.5.1

Introduction

~.

A fundamental approach to studying public policy is to

dovm the policy process
into a series of steps using the cvclical
model. Various theorists
have
developed models
__-fIIlt i1tW~~

.
based on its underlying assumption that pOllcv-makir IS a s
~~~icess. The steps
occur in a cycle and recur (so the model is a so recursrve
distincto;m evel; se~Fj'Jntl~ is a matter of dispute.
modc~tool

to assist in understanding the 0\'

It is a framework or a
th~ry, but one wlllch ha~~:;;l:~n ,~EE.I~_.!2Jea S.ltth tion~. SOll1C"(')'f'thcse sl:ould
become am1a!:f"llt a~ the 2~hc,-makll1g Pl2!?_ess IS exammed throughout tim block,
and as its aspects are covered in other blocks.

The

The stages are variously presented but usually comprise

following:

fonnulation

implementation
..(
evaluation
(/ '" <2..reformulation
would include:

SC1: Public

53

Self-Assessment
gi\Cn media l'o\eragc, Is thcrc a
[(ics \\hlL'.h <lrci)cing agjustd,!

2,2 indicates:

The

//~\
Impiementation

Formulation

j\

POLICY

\
Re-formulatloll

" '{.~gun:
.
2.2:
i

SUllrCC:

seq

Pedlin, ed, IlJ]9, p III

carried uut.

Evaluate

u
P olicy-makin

Case Comments- Cases are to be found in your

Studies Booklet

Case 5: Information is limited in this case in relation to the

but it does
appear that once the issue \vas put on the policy
there were some reactions which

could be construed as formulation, with implementation

Case 7: There are some very cogent objections to the
approach to studying
policy-making. which the authors also label the
theoretic' perspective (p. 122).
Case II: This case otTers an 0PPol1lmity to obsen'e some
of the policy cycle. In
this case, we could say that the case begins at the
where the participants
(SPARe) evaluate the existing policy as it is being
Their evaluation and
pressure actions with the municipal authorities lead to reformulation of policy which is
again implemented and presumably may be reevaluated and reformulated
Case 12: This ease is an historic one oyer a long periud.
focllsing on a particular
policy change. at a particular time, might havc revealed a more evident policy cycle
going on. Instead. the case seems to illustrate that polIcy very complex, multi-faceted,
constantly changing and responsivc to change. You will bc ablc to make some of your
own judgements and there will be more comments in the
sections in this
block.

,2.5.2

The Policy '}ge_

(Each government is faced co,ntinuouslv with a se" , .. (~l1ands. There arc pressures on

\t to deal with many problems relatmg to areas as div~~Ri~~nQ.w~. r&wr atj al1,
I~g,

I2pblic morals, internatiUl1g1 re4LLions. and 'Uy;jcultl!!'e. The issues range from the
as RrQtectioni2111 versus a free ImdingMYironmenL to the ~~ific-1...slleh as
t 1e details of how live sheep may be exported, or what inf~~1must go onto food
packaging.

Fc~lch

Some 8!.the many dem,,,uds placed on governments"lS!N2smded to: some~ed or

neglected. Some demands may be seen ~1' }~~.a.important. or !~tant at all. Others
may elicit immediate response.
The notion of IJ,Qll-Qe,cisiol1-making is one to explain
heard.
Non-decision~;p:.~~!m~,is a means of pre\'entin~~fmill cwcril;tg tbe poliliWlJ process
altogether. There is considerable debate O\'er the isslle non-decision-making. Some
viewpoints are:

It is apparent .that there is considerable arbitrariness in

111
iOl1,
on the
I~lctors listcdlf
i2!n~a~
ilJilllJ)villJoe pol,iSJ.JJm~es~. it i~ Ilcce;;spry to ""

QJlri:

~:xall1in('
J~!
~

Jp

some thip~!!la.~~hilc others are il..',llOred. Why is environmentalism

~

L Pu/JIic Policy, Block 2

~WMi;$14;;Jt_

55

years'! \Vhal changed it from bl'll1g an issue

years to an issue of Jroad interest.

an aCllve

out that there has been considerable

thaI there arc still closed fields such as dekncc
the validity
some strategies for
H.-lying on issues to emerge).

Some of

It

and opportunities despite the fact that there arc

knO\\ledge constraint~;.
e\cn where therc are only weak signals. Such
prepare for future problems. Even limited
II not preclude fuller investigation later.
access to the policy agcnda. The authors dl'scribc
a . political minefield'. Rectification of such'
on
perceptIOn of that inequality. The solution
1St \\ould be differellt Ii-om that offered by a
IS\'
(Hog\\-ood anJ Gunn 19)\ ..1. pp. 69-

The problems resu

political o\crload.

sheer amount
and Gunn
Thus the

se3rch for issues \\ould include analytical and

conflicting values and goals of various parties and
to
analysed would be prohibitive. (H
g0\ ern m en ts ha vI? d eci~y~j.j!1lllQLJill1tQ.L.\~orth y 0 f
-'b~ing consitk'rcdo;";1;1plcmel;ted. But the policy agcmtl

f0 ~~YJ):~~J~;i~~.:g!:9 ups, p ubIL,.2lULQu.JJu;. med i a,

being
debated \\ithin"~"'M"",,""'''"----''''''-._'''''''''''''-'''''~''-'
the countrv".arutJhe
media.
_, ,
~

l-logwood and Gunl1

powcr they Jre often motivated to use

.L

10

Self-Assessment
h~l\

[0

makc it onto the policy-making

~.

01 pOllCllS,

! low and \evhy did

policy agenda?

onto

l(',lll( lal'tnt Ihat

arc discussed below, Some aspects

when the influence of groups
lid \\ PI k" \\ II I \1,' dtseus:-,cd, and in Block 4, when
role of the permanent executive

iii !It,',,(,
;111<1

1;1(\(11', \\

III IH,~'~~~~~"""iJM~f!!!lIi!!~~~"1

\\ ill il,' dl',('lI""cd,

,..----"'---

: I Ill', ,dates to puJi\j~l's,~!i~~lues. The

till'll policy thrusts. Every political
pragmatic or very idealistic. In many
_ ,_ _
_ __ blurred.
J(:S arc becoming
somev./hat
d"11
,';111 Il'alfirlll a ccrtain ideology or belief.
lecs ;~,?~e, often in fairly
tllclr ideas. Sometimes
ities can
1,1 1"lpllll:tllllll (I!' Brilish ppblic policy IS
L~,~_;';~';';'

of

a\l~!.ll!~'i~!~~\:~~i:eiEartl.:w-

i\ 1.1

~!~~~:.i'~OU~' These can have a strong impact on

. depending on their relative
PU\\l'I );tSeS and the interest they raise ifthey~~~~to their

i\ lthough the~ot win, an extensive Australian pilot strike in late 1989

'~l'alL'd that some industrial (worker) unions could . the country to a relative
.,>ulhbIJil to g\.Ct thdr point of view across. Other unions have little impact because their
Illl'lllbt:rs ar\.C nol involved 111 such vital services. Other
such as opponents of
ahurllon,
'Cireens', etc. may have to rely on protest marches or rallies .
'"

. Thesedetennine

Presumably Q,itjzq,n,?,:.;.ote
usually
Illl.~.hltghtt:d al!,h.:;,u,i.ction. This is limited, however, as many issues do not come to the
Thl.'n: arl.' al::i"J",:mll,u,;l;i~,l~e.~ :Y.hit~~lillJ.:~~gjded. Few governments would
maKc a dl.'cision tn bring back capital punishment once it was abolished (although the
[SSlIl.' oftell reaches the policy agenda in terms of
discussion when an unpleasant
IllC O\:curs).
or
--,----~----~--,--,--"------~-------

~~~~~~
III
ll' party 11jll, JCIU ll.!tl~~vlew; a

r:"

"'---

'.

"

,~

~,

. Issues to which go\'ernmen~ respohd

eme~JlIl"IJ.,n'gionaldl?tional
\11 nCIl g~al leveL Natural disasters, such as
floods, extreme acts of
\Ioicncc, or issues such as AJD.S and problems \\lth the ozone
\.

Changing fonditions: There arc sometimes

cause
;\d\ul1cCS in nsic~chn010gy have
slirroga!~)thcrhood,

rL'spomls

t~~country's

('hanging circumstances in countries

changed policy in other countries in response.

SCI: Public

Block 2

57

IU~,tWl;" This occurs

because no-one has

being
decision.

~,q,q"~~,, v~

considered or
it. In this sense. policy is constantly
~~~,~

can itself be

una\'oid~i~)ly influence the,J20JiC:l'ji.gs:nda when

c i,l;lt2!,l!.gJ;~.lL\;ws,er.l:.a!!J~;
they are a\'bj~j,!H?;Jllinisters
de p e n..d;;;~"';;";'~N:'~:';;-'~';~';"'~:'.
pro~~ss or
implei~lenters
that are in
Identit~tiJ2JlJtLJ1roblem
"'n1' ... .-cu'

deel}lf(:llQ.J:!;:JJ~~S~el;i~rioljcy

issues. The strength of this influence may

ne wpo Ii(,}:., i.tem snJ~l~.~.rel.at~.t.Q,.deJ).ar:tm c nta I
A separate matter is that as
able to identii'} problems withp~li~l~S

areas from problem

as a result

are
their home accommodation or

~..

e,,~aluation:

may
area. For instance .l,Ll~~t~~Jl.g!! in
might reveal that theJ:.~~E~~.~L~.~1l:s!B,~~g}:'d in

Hogwood and Gunn ( 1

~tlJli!iliujll:.:) f an i sst! e
problem. For example,
pollution. increasing rates
health costs.

~!l~~~!.~*: An issue
draw attention to it. such as
or the llse&;T~hild

particularity, its effects highlight a much larger

rain highlights problems with atmospheric
highlight poor lirestyle issues and growing
~m emQlb:~q9Lh~lm;tJ)jnterest

angle which helps

Qt~khildrclt~aff.ecled by tll~*.9!l!~ Thalidomide,

't!2~il!!e_~~; .:l\n issue

on the agenda. It if is
reaction is r

~ O~Y:E. an (Ll~gt~.lll!l cy:

llKc1y to be consIderable
electricity, and

about power and legitimacy there is

, rights, O\vnership of

factors above. f\.Jany people

. Other examples are
in government. Whether f::lshionable issues

Case Comments- Cases are to be found in your

Studies Booklet

Case 2: The stimulus for the radical policy

case seems to have been both

ideological-a belief in the user-pay modcl--and
conditions. Regarding the
latter, there were increasing numbers of students going through university or wishing to
do so and insufficient funds to support them and/or to increase quotas (p. 26). These two
factors ,vere the main drivers for getting the item on
though it is important to
remember that it was put there by a minister in the
(cabinet).

Case 5: A crisis was the \'Cry obvious cause for

regulations, inspections and

warnings relating to chemical plants. as \vcl! as disaster management strategies being put
in place. Note on page 94 the comment. 'the Bhopal
gave a boost to efforts
involving chemical disclosure la\',:s'. (Note, though, that this pertains to American law.)

Case 8: The building of tile dam emerged from a

of belief in dam-building as a
technical solution to agricultural and other problcms. More obvious in the case was the
I
ifpeople were treated as
potential fIX 'something radical' to be 'unleashed'
expendable and excluded from the resource base
tbe dam construction. I f the
predicted devastation to land and people's lives happened
continued to happen (in
other cases), there was the possibility ofa major

Case 10: At a couple oftanes tragedies--children

set to put the issue

back on the agenda for review but this does not seem to
occurred. Instead pressure
from the community and its representative groups
about action. In 1982. the
Nivara Hakk applied pressure to win a conditional
153) and again in 1985. In
1985 an attempt by the former residents to reoccupy the land occurred and was given
much media attention. This led to a concession by the municipalitythat all those who
were on the site before 1980 could qualify for re-housing.
154-156).

Case II: The revision of municipal policies-\vhere

been achieved-appears to
have resulted from the work of pressure groups, such as SPARe. Mahila Milan, and
conditions, Without their
NSDF. These groups were concerned with unsatisfactory
intervention m)Jch more time might have passed bctiJre a CrIsis stimulated action. One
can imagine how an epidemic might have led to a solution sllch as better sanitation,
clearing the slums. etc.

Case 12: A range of examples might be sought in the case. depending upon the particular
stage over time. Early on in the case. changing circumstances relating to urbanisation and
Changes of
industrialisation are causing a need for housing policy in
government mean that elections and public opmion arc
causing change, or
putting some nevv demand or solution onto the
As housing groups became
more developed and mature, and particularly when
alliances, their capacity
inlluential
increased (pp, 169for applying pressure (as pressure or other
171 ). It is also likely that housing is always on the
because it has such a
wide impact on the society

: Public

59

---------_._---_.
Identify some

the

..

--~

----

considered as public policy. What ncw

considered by govemments'?
as a result cfthe analysis of existing

What policy agenda items

policies?

2.5.3

11

Self-Assessment

Policy Appraisal
'W,1i'I'i'lt~'*'lii'm;;,~~;jI"'''''"'''"''''''ii:,'1'_,,,',

"

{ Policy appraisal and

\policy cycle determines
appraisal and evaluation as
assessed: evaluation occurs
de'\~eloped further
approach the tasks of appraisal and evaluation:
can be rational and value-free. None are, however, so
assumption that whatever model one is using is
into a purportedly objective process.

There are various methods

most tend to imply that
all have considerable
value-free can itself

to

(There i_~_?t1~n a demand

\c:ontinued, or modified.
"\ The tem1S 'appraisal'
sort of assessment
~ them will be
identifying assessment as

(POlicy"~ppr~J~~l is the

is finalized,

, arc otten used interchanGeably. Both refer to some

~''''''"'"''''''if-._'''AA.f_' '''"'''''.''.''.'''-''''~''~~'- """",v<,,,"<.y.~",,~",\-,,,","'%"'~"-""" ~%Y,fL"'0""tnt~WI!.1.~;i,1#~""~"2%
or proposed policy) In this block a distli1CtlOl1 between
.
Hie"literature agrees. The distinction is useful for
at more than one stage of the policy-making process.

presumably befor~ a fl,nal

to more0'ratiollar;~i?2~:~1~li~s to
process
evaluation occurs
Carley seeks to

''',

..

th e fe~1JQ iJ ityo fpgljS:~,12IQ120 sa Is)

is In~de. Such appraisals are more likely to correlate
In the tenninology of the cyclical or

ln~ple!~}~q!'!tiO}l.(~E~.I~~.t
'the past and the future in policy analysIs'.

]lJC;U. p.

SC1: Pullfil'

policy appraisal he

Carley goes on to illustrate the placement of the various

discusses on a time dimension. (Figure
).

EX POST ANALYSIS

EX ANTE ANALYSIS

\ ~ """-\U.1.,;\-\-.,.,')

C\ {> ~ fe:., \$4\)

PAST

FUTURE

FUTURES RESEARCH

COST-UTILITY
ANALYSIS
IMPACT
ASSESSMENT
SOCiAL
INDICATORS
EVALUATION
RESEARCH

Figure 2.3:
Source:

The time dimension in analysis

Carley 1980, p, 39

Note that this placement may conflict with other views. In summary, the methods are:

Cjlt-!I!illjX,WlaI.X~Ls:

This involves a
of methods, includin~b~!l.e~,t,~nalysis, that help the decision-mak~.~J~?n:t!~,b.oices
amongst"a1tematives. Usuallv feasible altematives are identified,
predictions of outcomes are made for each, t~~~n
val~,~2P~~~10netary), and a choice i~sLthem.
Iqw.ecJ'ij~~W"lt: These methods
usually emerged in response to
the heavy reliance on monetary valuation in cost-benefit m~ods. They
focus on ~~plorin~ th imQ~t ~riilp1~:im~;;nw>ntal iJ.11p~
assessments and soclllUllWi~t g~~C~SJJ:uau~~re examples.
FO!"t~a~~,~~ ~fi(!J!.tur~,~ t~.st;~h: These methods focus on linking
forecaste~ ~Qf~l data with
types of data to establi;;h
mQ(1~~<?~~r~h~J'
to rely on ~.eI!Qtion of
caus.::,lity, cstablishmg likely
onen in a
complex sy~angcment.
Evaluation research: This method is
about measurin~ tb.e
effec~~pt(l,llrogram
same method can also be
used ~appraisal.
111 the c~,e of rylJlacing p.olic~-)J~~'@,~'~_'~~

jll1:;i}lJWi$'iJiNlOOIm!imU@(ii~,.

_'

m1'lf

~it.

SCI: Public Policy, Block 2

61

";;,i~'Al!~i'1W"l"':

methods'
attempts to
multi-dimensions of social welfbre \

some-

(CJrkY 1900. pp. --19-621

12

Self-Assessment A
reinforce
evaluation.

explain the difference bet\veen appraisal and

it can be suggested that some method of

de-cision-making is desirable. You will need to
of the vanous approaches. '{ ou may be
in govemment policies, past or current. For
for major developments such as airports often

instance. environmental'
raise considerable

13

Self-Assessment
Think about some
country. Are any

are currently being discussed or considered in your

appraisal or evaluation being applied?

How rational are

data and pro\'iding the
w111ch the policy is
neutral can they

appraisal and evaluation'? Who is gathering the

analysis? Who is ~;etting up the parameters
are the goals and values of these participants and

are to be found in your Case Studies Booklet

Case 2: There is
cases
38). on the earlier
although Gregory seems
think
bit of a bachoom committee'.
Case 7: It is
that
data collection and lack

seems tu suggest that

social and cultural

in the case, involving research on overseas

and 600 submissions tQr the Green Paper,
committee did most of its own thinking~ we wefe a

\\ilh goal definition arise from lack of appropriate

of

and cultural conditions (p. 122). This

need to include in their appraisals a scan of
other

or eyaluation in this case, but some

and publishing i3ctS in relation to
expe-clalions, lack of land tQr [e--settlement,
also mention of so mllch evidence'
be-en
tit"
Com1 (p. l-iJ). ;t also appears that the
rehabilitation and environmental reports before it
143

Case 11: The members of SPARe conduct

the collection

of data about toilet provision. Such data can be cOl1vll1cing in

councils. Note their data on Bombay on page
for 20,000 people.
appraisal has been
Case 12: This casc does not explicitly reveal how extensive any
over the decades discussed. It is apparent, however. that
appraisal methods could
be applicd to the situations discussed because there is
evidence of data being
and
which group and
kept, for example on the number of houses being
and to appraise
sector, over the years. This data is used both to evaluate
the situation so that nevV' pollcy can be den~loped. The distinctions between policy
appraisal and policy evaluation are thus less clearly demarcated than has been outlined in
this block. Most assessment appears to be ex
but since
and changes to
policy follow one aner another. some is probably also ex ante. Thus. policy appraisal is
occurring, though it might easily be identified as policy
as well.

2.5.4

Policy Formulation

We will say little about this stage of policy-making at this

for the simple reason that
policy-making.@ is the stage
policy fonnulation is the most obvious and essential part
at which decisions are clea
made, or at
made, and the st~e where
.p
- polic~haped. Block 6 will present some models of decision-making that
embrace this stage. Blocks ,4 and 5 will also givc some clues as to the particular
processes of formulation. For example, we will consider the roles o~
legis~JE..poli2!~ation, and also of P::!;:!!~jZ2:!E1?~l!!,,~icy
decisions.
-~

2.5.5

Policy Implementation

This topic [;'l~~es on th;'impi~~ stage described

cyclical model!At this
stage, fonl2l1lated J?olic,lj~ E,u!Jllto ogerllion. The ways in which policy implem\ntation
may be analysed aqd the likely success of implementation are examined.
Most of the focus of policy-making literature has been on
formulation. Since the
1970s much more has been written about implementation; t~11;1iB llElP'2%!?SS 12 !br
studv of implementatiWJ.,have emerg,~d. These are the top-d
lannin'
approach and the bottom-up, 'backward rna in' a) roac The two represent
methodologies to aI~;iy'se policy as It IS implemented rat ler tl an to prescribe how to
implement policy. They will be discussed shortly.
~;;;;

Implementation is the stage of the cyclical model in

is caITied out or
executed. It is the translation of stated policy into action.
cyclical model assumes that
implementation is a discrete stage that occurs after policy
Once the policy
to administer and execute
been enunciated. public servants are charged with
policy. The approaches shQwn belm\" highlight limitations to this viewpo~lt.

: Public

Block 2

63

The Top-Down Approach

" 1

uch
what IS committed to in
statements is not achieved. Top-down
implementation approaches ~~~:'::':;::':J.!~~~~ They highligl!.511,S..QJ2.sIflgl~s \\hich
occur to cause an
n1uch poli.,::y~}s iml?teDl~l1!g(U~1.ils to
compl~' witl1its
such t~1CtorS as:

t~lilure to
[,ilufe to
the public)
failure to

failure to
failure to
imp0l1ant)
a change in

As sllch there is a process

ollalrs'is
cullfrihllle to
(p.l07)

the policy (i.e., clearance or legitimation

thecQs)Idil1a!.iQn~mQng~tlhe various
involved in executing the policy

~:~d1Qj_IfP911:ilbl~.:W;jlllplelllenta t ion
(i.e., which [lctors arc the most

(HO\I\.'

1%3. pp. 120-128: lv1cl\laster 1979. pp. 107-121)

analysis'. McMaster (1979) defines this as:

and hUll/till je/C!OrS w/z iell CUll
ojpo/icy.1JrogrwlI objeclil't's.

rvlcl\1aster
In irs most
\\'/iether all
organ i:::a{ jOlla I

implementatiol1 seeks to determine

1IIt'1i (llid materials as (l cohesive
as H'ar
. as IU canT
. Ollt

organi:::atiolls'

Thus. the top-down

implemented. from meeting its

obstacles preventing policy, once

and seeks to remove those obstacles.

The Bottom-Up Approach

but
continues on
between the 1\\0 aI'\? too tenuous

policy

....

reformulation
time

action

Figure 2.4:

..

reaction

The policy-action continuum

Barrett and Fudge In I. p. 25.

Source'

A policy is modified as it is implemented. so that it is not possible to identify when

formulat1OIl~I~gins. It is never cle~ill:-"Yll.~~rJ2Q1ls.y is
intluencing action or agio!lls.iui1.l.L~~policy. There are..!~nectors in:::~.:;;;,ed.and
their lllrtSl;l!1Q cj[cumstr~~WJimc. Proponents of bottom-up
methodO~llOl,c~Ct ~JJlcet'
simply analyse
policy in terms ~Jl..~ll.ich..it..p.eclQrms. regardless 0(~!hriLgm2Iies with
pl.:e-~Lg.Q.alS.
.~.. --.

Self-Assessment Activity 2. 14
Which methodology do YOll think is most appropriate')
a combination of methodologies
more suitable? Can you think of instances when one or other approach clearly applied?

Implementation is a complicated process involving a complex network of participants .It

( has no discrete place in the policy process. Various approaches to implementation study
tend to highlight these complexities. In so doing. they illustrate that a limited focus on
Implementation is unlikely to improve the process. The implementation stage cannot be
easily controlled, and policy is unlikely to be implemented exactly as formulated.
The following criteria pro\'ided by Lewis and \Vallace (I
pp. 212-213) provide some
measures for judging the success of implementation. Although they tend to be more
aligned to the top-down approach, the criteria do
some general value, In their
analysis, Lewis and Wallace find each has shortcomings.
The possi~Qgip,g

SC1: Public

lJQliJ:'

impl~tation success are:

.
\
'
l\'$iI~"'''j''i!;\:W.\WM~~

the policy has been carried out

the policy has a
Ives
the implementation of the policy
the implementation of the policy
organisalion(s) responsible for the
implementation has not been

'

~~

__

~iii~_-

m '__;';;";'~';;;';';';~""'-"'~~
th,,2='~lit
~

outcome
for the
~h
its implementation
III

iI#:iib;ii;,

sid~ts

the measures taken to Implement

designed aruiJ.u:~_~,QS~i ve

Block ,2

been appropriately

65

Self-Assessment

15

Try to apply the ditTerent

are currently in operation in

implementation analysis to policies that

Case Comments- Cases are to be found in your Case Studies Booklet

ha\t: taken some \vork to develop, implementation was
to those who needed to implement itmentioned in the case is the wider impact of
implementation as universilles them::;ehes must keep records and provide them to the Tax
Office in order to know what debts
incurred by stlldent~.

Case 2: While the

Case 5: There were SOllle

safety but the filet that there
being ensured in the ::;tate of
being effectively

,llld programs Il1 place in India for n-lCtory and worker

15 inspectors checking on how worker safety was
Pradesh suggests that these programs were not

(such as coven
In

stated, tor the policy-action continuum in

to changing conditions and circumstances
culiural environm:nts). The entire case is
very clever \'lays the notions of implementation

discllssed above.

gap demonstrated in the general mode of aid in the

elsewhere instead
broad acccptanc\ of

expected to solve poverty problems went

in more recent times, if one considers the

Case 11; The initial

;it the
of toilets to inform:1I settlements seem beset
with problems. A chief cause
a failure to understand how the toilets would
function with the
infrastructure. Further investigation by the community groups
r.:veakd that
. solution but one unlikely to succeed
link:,;s suHlci.:nl numbers
ied tu prevent problems and waste disposal \Va::;
tak~'ll care ut". Pnhaps the dC(bl(lll-l!1akcrs-local councillors and their employed staff.-\\l'r<.: unabk to scc all
and tu design solutions that could be
sllggest.:d
the community \\ere put in
pann.:rs in the impi.:menlation of the policy
'forced to Keep things clean' (p. 159l.
were invulved in implementation
ofwikts
1(0).
servants
There is evidence that

OCCUlTing.

'flouting' of new regulations in 1982 when the

imestment placed by private financial institutions
1(7), Failure to think through all the clements
continuum' seems to be very relevant to this case as
and reaction. constant adjustment. and introduction
problem .

..',

Polic~

'2.5.6

4il 117

,.#'/

that 25 percent of all

low-cost housing' (p,
one cause. The' policy-action
IS a
history action
various solutions to the hOllsing
III

Evaluation
u.~~

Much of the material relating to

can
evaluation/appraisal concepts in section 2.5.3 (Policy
methods and techniques apply. It is sufficient here to
from the point of view of evaluation and ex post

understood by revisiting the

Many of the same
the notion of policy analysis

Self-Assessment Activity 2.16

Turn to Figure 2.3 and consider Carley's location of policy analysis mcthods as ex ante or
ex post. Do you agree with his classification?

As with other issucs, values, power, and the people holding s\vay are relevant to policy
evaluation. While influence is clearly important at the pol.iCl, appraisal and formulation
stages, the same can be said for the policy evaluation stage\Poli~uation often leads
to policy change; for this reason it often pres9!;;.~hQi~tiQn7ij_iifIOn, and
successiun.
-;;;:;

Bridgman and Davis ( 1998) suggest the following

of evaluation:

AR.erOe!1~~C:2.e~s evalu!,tlou: detcrminL::!lL~JLS!!!~program has been

appro,Jltiate, often with an emphasis on whether it is the government that
should be providing the program
Efficienv~X,,~: determining how well iI1!llJts ate beil.lgJ,lsed to
gaIn a~n output
Effecti.!:,.e,~~n: determining Wh~UU~IJh~J2~producing
worthwhile results or meeting
its ~~~~~~~~~~~
~
Meta-evaluation: assessing the
(pp. 114-116)

---

*~'I

,MlI'i

e$!W1'P~'1

These are illustrated in Figure 2.5 belov,'.

5Cl: Pui)lie Policy,

')

67

2.5: Evaluation types

APPROPRL'\ TENESS

EFFECTIVENESS

COST EFFECTIVENESS
EFFICIENCY

Actual
uutcomes
Jrc eOI1\crlcd
bv program
~r()(C'ss('s

to

\\hleh

aehle\.:

maximise'

hOlldhouk, 2"d ..:dn, Allen & Unwin, Sydney, p. I ).

Source: P. Bridgman and G. Davis (1<)98).

Case Comments- Cases are to be found in your Case Studies Booklet

been conducted and are discussed on pages

Case 2: Evaluations orthe H

132-13-+'

Case 5: E\aluation-after the

certainly occurred, although it is notable that
\ arlee! dramatically (see pages 302-303). It IS also
estimates of those injured ~ll1d k
figures and to speculate about whether
inlereslll1g to note the sourCe'S
the
with a stake in the figures being higher or lower.
there might be vested

or

Case 7: There is quite a bit of in tl1ll1lallun :ibollt a range of evaiuation or policy appraisal
i \'i tics (l\xurnng ll1 this
1
the case study,

:ll'(

Case 9: Son1l'
e\a\uatl\c
[lll"UIlll' .Ji"lribution has become'
(p. l-iC: Also til(' SOlllh

n:I'crred to Il1 this casc, OPC indicating that

despite a general gr')\\th in per
um:m De\clopmcnt Repurt attributes Bangladesh's
(p" 147). Thcse ~lre not comprehensi ve
evidence of the sort of analysis that can OCCllr
is nut much in the wriltcl1 accuunt or
has oCl"lllwd, althougl it may hel\e.
(~\:ie' itself as an eVilluationmd consider what

tiwrc'
ICY
11k)!''':

comments are being made. It appears to include

publidprivate sector action, as \vcll as some evaluation

There appears to be little, if any, meta-evaluation.

2.5.7

Policy Continuation

)'~~4:, s~c~,e.:!;;l0~1, also kl:~.~ termination or reformulatio~,. i~ what ,may be.,,o,I,;si,dered

) 9~!!U~ll\'~,Pl tb.S;"~:i<r.hf'\J,~ e.

tel' po

lCy;~~~!;!lated,

'/1m~leme!~~~ evaluated, there is often a decis!O!ll!l,!~","~~~out

. t~Jlolicy. It may be continued,

,
~.~

or modified. \

.""#"",~

(ex pO.'it) indicates that

The quote from Carley (in section 2.5.3) about policy
( evaluation is used to determine whether policy should
continued, abandoned or
modified. Very ~tcn p;!!.icies bec'>m.s.!~~~~~~~hlIl~~.\?IJlWdiJr
t~m. Such a~ces..<;~~~~~rise from~r!~lE2~L2f sources and relate either to s ecific
poli.cie?..2J.1,9 ~o~~",,~~eF;J..~nd t~te or~ ex en
es.
us some
thou?ht must be ~~~~..!. cOll~~~i;ies,
them. or~ply to
tenmnate them.

There is considerable argument to suggest that policy

will become important
as demands increase on government both to legislate in more areas and to cut back on
expenditures. Governments may have to be far more selective about the number and
types of policies they introduce and far more determined about drastically modifying or
terminating policies which have little impact--those which may be inefficient or
ineffective.
Despite the moves in relation to polic succession there ar~
p~;;;gr~!l1~,;, The,sl( J.1rgbl~1l1~.i~e:
I

nding

--

intellectual reluctance
lack of l?2liH!!Jncentives
institutional permanence
dynamIC conservatIsm
anti-termination coalitions
legal obstacles
~high
start-un costs
'--"~.
adverse consequences
-''procrastinatIOn and reftlsal
~~.

SC1: P1Iblic Policy, Block 2

and Gunn 1984, pp. 246-248\

69

Case Comments- Cases are

be found in your Case Studies Booklet

Case 9: While this case does not

information about the
changed in recent decades. These
understandings about the aid

aid program, it does give some

and methodology of aid hayc
aims, attitudes, and
Especially note the account of the
99Us on page 146.

sllccession in this case study, though it is

disappeared every time a new
of \arious regubtions, organisation types
~lild Sc) on remain to make the
arena more complex: s(~e, tor example. the
three types ufhousing org,m!:oallol1s
on page:-- 16:-:-169. The earliest ufthcs\.'
\\C\s set up in the ]930s but \\as s(
at the end
the case study in the 191)Us.
\Vhilc one
IC\ can
another, 111 Ihl::' case new pl)licies can be se(,11 to ha\(' added
Il1ter\cntions.
to the array
Case 12: There a

Self-Assessment Activity
you think

ICY

17
have tel111inated outright? \Vhal are they
r('plac(' them immediately or laler'!

any policies

and \vhy wer(' they terminated'?

What policies are currently

been identified as needing
themsehes or to more
circumstances'?

2.6

The Imp'ortance

for change' by governments? Why have they

reasons relate to defick~ncies in the policies
on gOYernmcnts under tightening economic

icy in a Modern Context

aspects of sociology, politics,
the re[,dings associated with

(
ic policy is an e'xtensive ar('a:
\ c,,'onomies, organisation
1S ,.'ourse incorporate
it is not
fur
:lClOrs, their
neceSS~lrv

~lrra \

Il1 formation covcr('d in this course, it is

issue

terms of the policy process, the

environment. The course
cxamining discrete c()mponcnts
cdmponcnts in mind.
1I1

th(' theories to analvs(' cases.

, or a mixture'
to describe and

arc not

what is happening or 10 prescribe

Self-Assessment Activity 2.18

do you think is the best approach to studying public
alternative suggestions?

. Do you have any

criticisms can you make about the cyclical model

SUbject? Remember, like all models, it has tlav.:s

2.6.1

'Good' Policy
W;Q&i%1\Jlild"[(

EIDMmr;

~_

analysing policy we can consider:

the actual
@_ content and its
"'M__
how it ~~~!emented and how well it achieved these
[~W~~

~"';';:~_~_'~~~-;;';;

__

It is often espoused that policIes need to be evaluated to ensure they are:

effective-that thev achieve the stated

- - -..
do.
efficient-that thev use available resources to
-that th"e'y help to el;sure value for taxpayers'

maximum levels (i.e.,

In order to determine whether policy is effective and

some measures may need

to be devised. These can relate J~~~~~~~~~':'~~~~~~~~~~"" and to
may include:

comparison over time

comparison \vith similar LH!enC1CS
comparison with different
~nportant for comparing publicly
services)
comparison against a theoretical

o
o

However. policy is not easily measured. It is

targets. or \VllO in fact is affected by the
consequences of a particular program. There
There is significant difficulty to establishing
course. there are always dificrent evaluators \vith

: Public

Block 2

similar services (this is

privately provided

who the policy

to isolate the

71

a focus

(1l1

the

examll1ll1g
policy, our
m
policymaking to assess
(coHTed earlier in this
when public
icy is being
prescriptin.' approaches to
others concentrate on

s0111e of the other important roll's

life, equity. and social justice is not easily
Ie It is probably impossible to a\oid
us to remain totally unbiased about public
to I.:xamine thc processcs and participants of public
the topic of policy terminology
divcrsity of approaches that can bc taken
approaches ultimately lead to impw\ed
presumably bettc' policy outcomes,whlle

Self-Assessment

19

Can you think of any

policy is good or not':

measures haH' been ck\ised to assess whether a

While formulation.
improying policy,
beyond process and
the methods of analysing
topic 2.2.3
Hog\\ood
advocacy.

reformulation have a place in developing and

arc critical. It is also important to go Lu'
lons occurring in the whole policy system. Somc
relcvant, such as process advocacy. Refer to
of process advocacy and policy

Case Comments- Cases are to be found in your Case Studies Booklet

Case 9: The amhor tries tu :ms\\('!" the

what criteria
'r u\er::;e:!:>
than it would ha\e been as

abuut 'good' polil:Y when questioning

or not-' Is Bangbdesh a better place
of all the aid pumped into it?' (p. 1-1-1')
!;i

Case 12: \\'hat .

i", :lll1lingst the \arious policies in the case is difficult to
gauge. To some extent :1 reader':) ,'undu::dulb \\ill depend upon pulitical or ideological
plTsuasion. For
Ihm/.; the existence of successful self-build groups
\\ho exert
d",slrabk: oth(TS might feel an unregulated ti'ee market

2.6.2
s on
areas of stud\'. When
underlying assumptions and
ues, and
used.

an

SCI. PlIll/le

complexities and suggests a

demanjs:

values

(p.254)
Considine ( 1994) accompanies that request with two

I.

/,()/in' innovation occurs when

,~~

is Oil institutional system/or

increusing cultural va/ul.:'.

2.

This occurs lizrollgh the expert

social interests.
(p.255)

Case Comments - Cases are to be found in your Case Studies Booklet

Case 12: There is much in the case that indicates the
of contlict, negotiation
amongst groups, reorganisation of funds between the public and private sectors and the
need to consider and accommodate a vast array of
problems, and interests.
Managing the policy is multi-faceted, although it could
interesting to note that the
Unified Housing Congress
housing groups themselves are adapting by forming a
(p. 170). Key committees or agencies are sometimes indirectly able to help in the
management of complex policy areas, although \ve will later consider the issue of how
incorporation of one group leads inevitably to the exclusion of another (see section 5.2
and the comments on corporatism).

2.7

Blo~k

Summary

This block has established some of the basic concepts of public policy, including its
definitions, objectives, and instruments, and the
model we use to help understand
Its varioliS stages. The cyclical model of policy was introduced and its stages were briefly
discussed. Subsequent blocks in this course will build upon these concepts by exploring
Ihl: systems, contexts, and people involved in policy-making.

Self-Assessment Activity 2.20

Ila\mg read to this point, has your cxpectation of

I'l/b/il' Policy, Block 2

changed?

73

References
Anderson, J.

introduction. Boston: Houghton Mifflin.

1990.

Barrett, S. and D. Fudge,

public policy. London:

1.

policy handbook. 2d ed. Sydney: Allen &

Bridgman, P. and G.
Unwin.

ana~l'sis.

Carley, M. 1980. Rational

process in the rnodern capitalist state. Brighton:

Ham, C. and M. Hill. 1

Wheatsheaf.

Howe, AL. 1983. 'Report

policy. In Social po lie) in
Canberra College of
Hughes,
E. 1998.
Melbourne: Macmillan.
King, R 1990. Policy and
and politics.
1. Simmie

Poli(v m1Cl~vsis jor the reallvorld. Oxford:

when?' The implementation gap in social

. 1. Dixon and D. L. Jayasuriga, eds. Canberra:

and management: An introduction.

the modem state. The state in action: Public po/ie'\'

R., eds. London: Pinter.

into practice: National and international

Heinemann.

case studies in
McMaster,1. C. 1979.
public sector
National University.
Pollitt,
Stoughton.

analysis: An overview. In Ney..' de've/opments in

and reports. Canberra: Australian

and practice: A reader. Sevenoaks: Hodder

admillistraliOIl and development:

Turner,

SCI: Public

Aldershot: Gower.

approach. Melbourne: Macmillan.

Considine, M. 1994.

Hogwood, B. W. and
Oxford University Press.

action: Essays on the implementation

Block 2