Unit 1
Unit 1
1.0 OBJECTIVES
1.1 INTRODUCTION
Before discussing the meaning of public policy, it would be better if we are clear
about the relationship between public policy and politics.
Policy making process is a part of politics and political action. According to Gabriel
! Almond, political system is a set of interactions having structures, each of which
i performs its functions in order to keep it like an on-going concern, it is a set of
processes that routinely converts inputs into outputs. Almond classifies illputs of
political system into generic functional categories like politica! socialisation and 5
F
Introduction to Public Policy recruitment, interest aggregation, interest articulation and political communication.
Output activities are those which are carried on by a political system in response to
demands or stresses placed upon the system in the form of inputs. Outputs can take
the form of governmental policies, programmes, decisions etc.
Another model on politics-policy relationship is the Feedback or the 'Black Box
Model' coined by David Easton. According to this model the remaining demands
which have not been included in the decisions and policies will again be fed back
through the same process for the purpose of its conversion into decisions. These
two models establish clear19 the relationship between politics and policies in a
political system.
.
-.
If the government announces that its goal is to provide housing to all the members Public Policy :
of the deprived sections of society it does not become a public policy. It is a Meaning and Nature
statement of intention of what the government wants to do. Many a time the
government, for political reasons, announces goals that it has little desire to achieve. .-
I In order to become a policy, the goal has to be translated into action. Programmes
have to be designed to achieve specific objectives. As an illustration, let us look at
the policy of poverty alleviation. Several programmes have been designed for this,
e.g., The Integrated Rural Development Programme (IRDP), The National Rural
Employment'Programme (NREP) etc. Each programme has certain goals to achieve
within a specified time and each programme is provided with financial resources and
administrative personnel. These become concrete efforts to achieve a goal. Policy
spells out the strategy of achieving a goal. Thus policy is essentially an instrument
to achieve a goal. Statement of a goal docs not make it a policy.
There can be some similarity in the processes involved in decision making and policy
making. Both are concerned with choice among alternatives and for both similar
processes can be followed in generating alternatives. But we should always
remember that policy is a more comprenensive term, as it encompasses a series of
decisions and has a comparatively longer time perspective.
The pleaning and nature of public policy will become more clear by throwing light on
different characteristics of public policy. Some of the major characteristics of public
policy making are:
7
Introduction to Public Policy Public Policy Making is a Very Complex Process: Policy making involvcs many
components. which are interconnected by communication and feedback loops and
which interact in different ways. Some parts of the process are explicit and directly
observable, but many others proceed through hidden channels that the officials
themselves are often only partly aware of. These hidden procedures are very
difficult. and often impossible to observe. Thus. gl~idelinesare often formed by a
series of single decisions that result in a 'policy' without any one of the decision
makers being aware of that process.
I
It is a Dynamic Process: Policy making is a process, that is a continuing activity
taking place within a structure; for sustainance, it requires a continuing input of
resources and motivation. It is a dynamic process, which changes with time. the
sequences of its sub-processes and phases vary internally and with respect to each
other.
Lays down Major Guidelines: Public policy, in most cases, lays down general
directives, rather than detailed instructions, on the main lines of action to be
- followed. After main lines of action ha,ve been decided on, detailed sub-policies that
translate the general theory into more concrete terms are usually needed to execute
it.
Actual policy making tends to formulate policies in vague and elastic terms; because
the future is so uncertain. It permits policy makers to adjust their policy according
to emerging facts and enables them to guard against unforeseen circumstances.
V
1) Bring out the relationship between public policy and politics.
.........................................................................................................
.........................................................................................................
2 ) Discuss the meaning of public policy.
.........................................................................................................
.............
...........................................................................................i
........................................................................................................
i
G.........
............................................................................. A................. .
.........................................................................................................
5) Highlight the different characteristics of public policy making.
.........................................................................................................
...........................................................................................................
Introduction to Public Policy
Substantive: These policies are concerned with the general welfare and development
of the society, the programmes like provision of education and employment
opportunities, economic stabilisation, law and order enforcement, anti-pollution
legislation etc. are the result of substantive policy formulation. These policies have
vast areas'of operation affecting the general welfare and development of the society
as a whole. These do not relate t o any particular or privileged segments of the
society. Such policies have to be formulated keeping in view the prime character of
the constitution socio-economic problems and the level of moral claims of the
society.
Regulatory: Regulatory policies are concerncd with regulation of trade, business,
safety measures, public utilities, etc. This type of regulation is done by independent
organisations that work on behalf of the government. In India, we have Life
Insurance Corporation, Reserve Bank of India, Hindustan Steel, State Electricity
Boards. State Transport Corporations, State Financial Corporations, etc., which are
engaged in regulatory activities. The policies made by the government, pertaining
t o these services and organisations rendering these services are known as regulatory
policies.
Distributive: Distributive policies are meant for specific segments of society. I t can
be in the area of grant of goods, public welfare or health services, etc. These mainly
include all public assistance and welfare programmes. Some more examples of
distributive policies are adult education programme, food relief, social insurance,
vaccination camps ctc.
Capitalisation: Under the capitali'sation policies financial subsidies arc given by the
Union government to the state and local governments, such subsidies are also
granted to the central and state business undertakings or some other important
sphere if necessary. Capitalisation policies arc different in nature than the
substantive, regulatory, distributive and redistributive policies as no provision for
public welfare services is made through these.
A brief highlight on the various stages of public policy will clarify the actual pr0ces.s
of public policy in India. . t
Policy formulation is the first stage in public policy process. Through this process
the dernands of the system are converted into policies. But before this it has to be
clearly established as to which demands require to be converted into policies. At
the policy interpretation stage, the formulated public policy is further clarified and
interpreted in order to make it fully understandable. 'I'he next stage in public policy
process is policy education. The government through various channels of mass-media
attempts to make the masses aware of the formulatc J policies. After this comes the
stage of policy implementation, when the policics are systematically executed by the
different admil~istrativeagencies at the central. \l:itc and !om1 Icvels. To ascertain
the impact of policies, it is very essential to kcep an eye on the implementation
process, to see that expenditure does not cxcced t h ~ I-csources
. available and to see
that policies are eositively affecting those for whc~rl~ they are being made. For this
proper monitoring of policy implementation has to Ile done. and policy evaluation
stage is the final stage in policy process. Proper and appropriate administrative and
adjudicative functions are needed for keeping a conlplete control over the public
- 10
policies.
Public Policy :
1.7 THE GROWING IMPORTANCE OF PUBLIC Meanlng and Nature
POLICY
' It is clear from the above sections of the Unit that policy is a purposive course of
action in dealing with a problem or a matter of concern within a specific time frame.
Before going into the question of importance which is attached to policy formulation,
implementation and monitoring, it would be better to recapitulate the components
of public policy.
great change in the role of a State. Public policies expanded their scope from merely
one of regulation to that of development. Expansion in scope led to several other
consequences like many more government agencies afld institutions came into being
in order to formulate and implement policies. In India, the Planning Commission
and its attendant agencies came into being in order to formulate policies and develop
perspectives that could define the direction which the country would follow.
So, the first major goal of public policies in our country has been in the area of
socio-economic development. Wide ranging policies were formulated in the area of
industrial and agricultural development. Many policies were converted into Statutes.
like Industrial Development and Regulating Act or Land Tenancy Act. Others were
kept as directives in the various plan documents. For all policy directions, the Five
Year Plans became the major source. These policies were of two types, one of
regulation and the other of promotion. Laws laid down what could be done or not
done by the entrepreneurs. This could be in the larger area like what goods can be
produced by the public or whether certain goods can be tiaded only by government
agencies. Laws also specified how State agencies themselves were to provide goods
and services like electricity, transport etc. The State undertook similar responsibility
in the social sphere. Dowry Act, Divorce Act, etc., are examples of this.
But soclo-economic transformation was not the only problem when India became
independent. There were also problems of national integrity, the external
environment was a source of threat and the country had to develop suitable policies
to defend itself. Apart from this, there have been internal challenges. Regionalism
has given rise to fissaparious tendencies that have to be countered in the long-term
perspective These would include not only defence policies but also similar efforts
at decentralisation that create greater natlondl cohesiveness. Thus, since
independence, public policies in India have been formulated with a view to achieve
soclo-econo~nicdevelqment and maintain national integrity. These goals have
been coinplex demanding coherent pollcies. This has been a difficult task because
goals have had to be divided into sectors and sub-sectors. Many a time by its very
n ~ t u r e ,pollcies have been contradictory. What may be rational for economic
developmelt; a a y not be so for national Integration. Thps, the need of a strong
Centre to cope with external threats etc. is important but it may go against the
principle of decentralisation which provides for greater national cohesion of a
heterogeneous society. This is the reason why ascertaining of the actual impact of
11
public policy becomes a necessity.
Introduction to ~ u h l i cPolicy These days policy analysis is acquiring a lot of importance in the realm of the study
of public administration. This trend is observable all over the world. The success
of policy tormulation, execution and monitoring ultimately depends on the success
of policy analysis. In India, this trend emerged with the launching of our Five Year
Plans. As the years passed by, one Five Year Plan was followed by another and
disillusionment started setting in. Goals of socio-economic development could not
be achieved. Those who were supposed to benefit from the development effort
began to lose. Attention shifted to the management and administration in order to
find out why the policies were failing to achieve their objectives. This investigation .
did not include the questions of policies being right or wrong.
R took the crises of the 1960s to raise the issue of correctness of policy.
Disenchantment with the development processes followed the two wars in 1962 and
1965. The International Monetary Fund (IMF) enforced a deul-!nation of the rupee
in 1966 and a terrible drought ravaged the land during 1966-68. It became evident
that the development policies were in trouble. In the early 1970s another war,
drought and the oil crisis gave a jolt to the plan that had been followed uptil then.
The culmination was the imposition of national emergency in 1975 to cope with
the rising dissatisfaction.
It was the emergence of the turbulent period that l ~ 10 d the questioning of the
policies that had been followed. It was no more a question of implementation alone.
The argument that began to gain the popular view was that policy itself was faulty
and all the blame could not be put on administration. The first to pick up this line
of reasoning was the discipline of economics. The economic failures dominated the
scene and therefore it was natural that economists were the first ones to raise
questions about t'he appropriateness of policy. Students of public administration
began to emphasise that implementation failures could also emanate from
inadequacy of public policy and therefore policy analysis should also be included in
the area of study of public administration. This argument got support from certain
developments in the discipline of public administration. In view of the everyday
experience, it was becoming difficult to sustain the classical concept of separation
of politics and administration. This distinction categorised policy formulation and
implementation as two distinct activities. Policy formulation was regarded as a
political activity and policy implementation an administrative one. But this
distinction got increasingly blurred and it was not an easy task to determine where
policy formulation ended and where policy implementation began. It came to be
accepted that .both 'were interactive processes and had to be seen in an integrated
way. With this change in view students of public administration began to devote
greater attention to the problems of policy formulation and influence of policy
design on implementation.
It is in this way that policy analysis has become an important focus of study. Policy
makers have also shows great interest in it because it ultimately helps in improving
the effectiveness of policy. Many universities and research institutes are involved in
policy analysis. The government provides for a lot of funds in this area.
ii) Check your answers with those given at the end of the Unit.
d
1) What are the different types of public policy.
.........................................................................................................
2) Highlight the various stages involved in public policy process.
-
--
Public Policy :
1,
......................................................................................................... Meaning and Nature
.........................................................................................................
I
................................................. ........................................................
r e
It is clear that public policies are the activities that the government undertakes in
order to pursue certain established goals and objectives. In this Unit we discussed
the meaning and ialportance of public policy and the difference between a publit
policy, a goal and a decision. An attempt was also made to explain the relationship
between public policy and politics. The Unit also highlighted the different types of
public policy, the stages involved in public policy process and the various
characteristics of public policy. Some of these aspects of public policy will be
discussed in detail in the subsequent Units of this Block.